OTIS Field Operations CR Training FINAL

UTC – Otis Cardinal Rules Awareness
Our Vision
Otis Elevator will be the recognized
leader in EH&S excellence – not just in
our industry, but all industries world
wide. We will not be satisfied until our
workplace is free from hazards and,
and our employees are injury free.
Achieving this requires each and every
employee to make safe, healthy and
environmentally sound decisions on a We will be the recognized leader in EH&S excellence –
daily basis. not just in our industry, but all industries worldwide.
We will not be satisfied until our workplace is free
The goal of this course is to provide from hazards, our employees are injury free, our
information that will assist you in products and services set the standard for safety, and
making these decisions as they relate our commitment and record in protecting the natural
to UTC and Otis Elevator Cardinal environment are unmatched.
Rules.
© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Goals
After completing this course you will

be able to identify:
What are the
• What a Cardinal Rule is
Cardinal
• Why the Cardinal Rules were
Rules?
established
• Who must follow them.

Why are they important?
Where did they come from?
• Otis Cardinal Rule violations.
Do they apply to me?
Throughout the course we will tell you
how to get more information about
the UTC – Otis Cardinal Rules. What can I do?
Where can I get more information?

Cardinal Rules: UTC Point of Origin
Although all EH&S rules are important

and must be followed, Cardinal Rules
are rules that, if violated, have the
potential for causing:
• A serious injury
• A fatality
Based on this definition, UTC

established five (5) Cardinal Rules to
call attention to, and increase
awareness of, the high hazard/risk • Otis already had it’s own Elevator and
areas common and critical to all their Escalator Cardinal Rules prior to UTC’s
operating units. In addition there are Cardinal Rules. These specific rules were
two sets of Otis Cardinal Rules. created to address those hazards unique to
Elevator and Escalator Cardinal Rules. Otis jobsites.

Implementation and Operating Units
The UTC EH&S Cardinal Rules went

into effect January 1, 2005 and
represent the minimum requirements
that must be met by all UTC Divisions.
Businesses were given the flexibility

to make the Cardinal Rules more
stringent, and to develop additional
rules as needed to address specific
hazards and risks facing their
employee population.
This course reviews UTC & Otis

Cardinal Rule requirements.

Cardinal Rules at OTIS
Because of their serious nature, Cardinal Rules apply

to, and must be followed by, all Otis employees and
contractors, regardless of position, location or job
title.

Following Cardinal Rules
Because the safety of all employees and

contractors is of primary concern,
anyone who violates a Cardinal Rule
may be subject to disciplinary action. In
the event of a Cardinal Rule violation,
line management where the violation
occurred will be responsible for
determining if any disciplinary action is
required - up to and including
termination.
If upon investigation it is determined

the violation is related to a program
inadequacy, line management will be
responsible for determining the
appropriate corrective and or
disciplinary action required to address
the violation.

Following Cardinal Rules
We are going to review the specifics of

each UTC and Otis Cardinal Rule and
provide guidance and resources to assist
you in determining what may constitute
a violation.

Knowledge Check: Cardinal Rules Overview
Based on what you just reviewed,

please select the best response.

What is the definition of a UTC – Otis Cardinal

Rule?
A
A rule that, if violated, has the potential to
cause serious harm to the environment, or
That’s right.
D isAtheCardinal
correctRule has the
aActually,
serious injury. answer. A
potential to cause
Cardinal Rule a serious
has the injury
potential or
to cause
B aa fatality. The potential
serious injury for such
or a fatality. The
Asevere
rule that, if violated,for
consequences haseach
the potential to
potential for such severe consequences
cause serious
violation harm
is what to the environment, or
makes
for each violation is what makes
aunderstanding
fatality.
understanding and and following
following the
the
C Cardinal
Cardinal Rules
Rules important.
important.
cause serious harm to the environment,
cause a serious injury or cause a fatality.
D
cause a serious injury or fatality.

All of the following statements about the UTC -

Otis Cardinal Rules are correct except:
The rules were established to call attention

to, and increase awareness of, the high
A hazard/risk areas common and critical to all
their operating
In
That’s units.
fact,right.
all the
Allstatements are correct
the statements are
except
correctB. UTC Cardinal
except Rules represent
B. UTC Cardinal Rules
The5represent
rules were established
specific EH&S rules.
5 specific to provide
Although
EH&S a list
rules. these
B of all the are
rules
Althoughimportant
critical EH&S rules that
in cultivating
these rules are must
a healthy,
critical in
be followed.
productive
cultivating aand injury-free
healthy, workplace,
productive and
all EH&S rules
injury-free are important
workplace, all EH&Sandrules
mustare
The rules represent the minimum
be followed.
important and must be followed.
C requirements that must be met by all UTC
Divisions.
Divisions were then given the flexibility to

D make the Rules more rigorous, and to
develop additional rules as needed.

UTC – Otis Cardinal Rules apply to, and must be

followed by:
A
All Otis employees
Right. Because
The Correct of their
answer serious
is B. nature,
Because of
B Cardinal Rulesnature,
their serious apply to, and must
Cardinal be
Rules
All followed
Otis
apply to,by,
employees
andallmust
Otis
andbeemployees
followedand
contractors by, all
contractors,
Otis employees regardless of position,
and contractors,
location
regardlessor job title.. location or job
of position,
C title.
Contractors
D
All shop employees
E
All shop employees and contractors

Okay, let’s go on and take a look at our

first Cardinal Rule.

UTC Confined Space Cardinal Rule
Confined
Spaces
UTC Confined Space Cardinal Rule
The UTC Rule States: Confined Spaces

shall be identified and written
procedures established and followed
for entry.
Please ask your EH&S representative

for a copy of your local Confined
Space procedure or for additional
resources go the UTC EH&S Website
and download Standard Practice 016.
*Manholes may not always be marked, but are to

be considered Permit-Required Confined Spaces.

What is a Confined Space?
A Confined Space:
1. Is large enough for employee entry.
2. Has limited means of entry or exit.
3. Is not designed for continuous

human occupancy.
A space must meet all three of

these criteria to be considered a
confined space.
Here are some examples of

confined space signs.

What is a Permit-Required Confined Space?
In addition to meeting the three

confined space elements, a Permit
Required Confined Space (PRCS)
contains, or has the potential to
contain, any hazard that is capable of
causing death or serious injury and as
a result, requires a permit to be
acquired and completed before entry.
Permit Required Confined Spaces will

be labeled with signage identifying
!
them as such. In some cases, HAZARD
manholes may not be labeled, but
they should always be considered
Permit-required confined spaces.
Here are some examples of PRCS

signs.

So this Cardinal Rules Means…
Before entry is made, individuals
planning to enter a confined space
must contact the local EH&S
Professional or refer to the
requirements outlined in the sites
Confined Space Entry Program
procedure.
You must be an Authorized Entrant

in order to enter a Permit Required
Confined Space (PRCS) and all
permit requirements must be
executed prior to entry.
Failure to do any of this will be

considered a violation of the UTC
Confined Space Cardinal Rule.
Let’s review some examples of

potential violations.

Permit-Required Confined Space (PRCS) Entry
According to the Confined Space

Entry Program procedure, certain
steps must be taken prior to
executing a PRCS entry.
They include:
• Having a permit and all

required controls needed to
ensure the health and safety of
the entrant in place
• Having an attendant and

required monitoring and
ventilation equipment in place
• Performing LOTO to eliminate,

dissipate or control any
hazardous energy sources
associated with the confined
space
Permit-Required Confined Space (PRCS) Entry
According to the Confined Space

Entry Program procedure, certain
steps must be taken prior to
executing a PRCS entry.
They include:
• Having a “Rescue Ready” plan

in place to assure a rescue
team can be at a victim’s side
in enough time to perform
adequate rescue services based
on the existing hazards.
Failure to complete these or any

other critical control listed on the
permit prior to a PRCS entry would
lead to a Cardinal Rule violation.

Violations
The following are a few additional

examples of acts or behaviors that
would lead to a UTC Confined Space
Cardinal Rule violation:
• Using required monitoring

equipment during a confined
space entry that has not been
calibrated
• Not wearing required PPE

during the confined space
entry

Knowledge Check: Confined Spaces
Based on what you just learned about the

UTC Confined Space Cardinal Rule,
consider the following scenarios and
determine if they illustrate a violation of
the rule.

An employee leaves a tool in a Permit Required

Confined Space (PRCS) during a properly
permitted entry. A few hours later the
employee realizes the tool is still in the space
and decides to go back in just for a few seconds
to retrieve the tool.
Would this constitute a Cardinal Rule violation?
Yes
A Right!
Actually,
This this
wouldwould
be abe
Confined
a Confined
Space
Cardinal
Space Cardinal
Rule violation.
Rule violation.
The employee
The
cannot
employeereenter
cannotthereenter
space again,
the space
even
again,
for “just
evenaforfew“just
seconds"
a few without
seconds"
No following
without following
all properall
PRCS
proper
procedures
PRCS
B procedures
prior to
prior
entering.
to entering.

While walking through the shop, you notice

that the barrier tape surrounding an active
PRCS entry has been broken in several areas.
You question the attendant, and he states he is
aware of the situation.
Yes In Right.
fact, This
this would not be a Confined
A Space Cardinal
Space Cardinal Rule
Rule violation
violation based
based
upon the
upon the relatively
relatively minor
minor finding
finding
involved. This
involved. This remains
remains true
true as
as long
long as
as
the attendant
the attendant isis controlling
controlling the
the area
area
No andand isn't
isn't allowing
allowing outside
outside hazards
hazards toto
be
B be introduced
introduced to theto the entrant
entrant in the in the
permit-
permit-required
required confinedconfined
space.space.

Good! Now that you’ve learned about the

rules for confined spaces, let’s move on.

UTC – Otis Fall Protection Cardinal Rule
Fall Protection
UTC – Otis Fall Protection Cardinal Rule
The UTC Rule States: Employees shall

use fall protection when working at an
elevated height of 6 feet/2 meters or
greater
Employees must understand how to

properly use fall protection to protect
them from a potentially fatal fall.
When personal restraint or fall arrest

systems are required, knowledge of
the system, proper use and
appropriate behavior are critical in
preventing a potentially fatal fall.
The Otis-specific Elevator and

Escalator Cardinal Rules are to:
ALWAYS assure protection from falling
where a fall hazard exists.

What is Fall Protection?
Simply put, fall protection is the

means used to protect employees
from falling while working at elevated
heights.
Forms of fall protection (in order of

preference):
1. Eliminate the fall hazard
2. Prevent
3. Protect

Violations
These acts or behaviors would lead to

a UTC - Otis Fall Protection Cardinal
Rule violation:
• An employee working on a
platform at a height greater than
6ft (2 m) without any form of fall
protection.
• An employee working on top of

a machine at a height of 6ft (2
m), who is wearing a harness and
lanyard, but never adjusted the
lanyard to prevent a free fall of
6ft (2 m).
• Guard rails are not adequate and

no fall protection is used.

What About Working on Ladders?
Although working on a ladder may

require an employee to work at a
height greater than 6ft (2 m). in most
cases fall protection is not required.
However, the Fall Protection Cardinal
Rule requires all employees to work in
a safe manner while on a ladder.
Personal fall protection is not required for

ladder work above 6ft, because the proper
use and set-up of the ladder is sufficient to
protect the operator from fall hazards.

Ladder Safety
To remain safe while working on a

ladder you must:
• Never stand on the top rung
• Always maintain three-point

contact while climbing and
descending the ladder
• Never allow your body to extend

beyond the rails of the ladder
• Maintain 3 points of contact

while carrying a load on a ladder
• Carry tools in a shoulder bag or

holster and not by hand
• Make sure the ladder is stable

and in a safe location away from
doors and foot traffic

Ladder Safety
Remember, failing to work in a safe

manner while on a ladder would be
considered a Cardinal Rule violation.
For more information on ladder safety

please refer to the Otis World Wide
Jobsite Safety Standards found on the
Otis WHQ EH&S website.

Knowledge Check: Fall Protection

UTC-Otis Fall Protection Cardinal Rule,
the rule.

You observe an employee or contractor

climbing to a height of 12ft on a ladder
without the benefit of fall protection.
Would this constitute a Cardinal Rule

violation?
Right.
In Thiswould
fact, this wouldnot notbebeaaFall
Fall
A ProtectionCardinal
Protection
Yes CardinalRule
Ruleviolation.
violation.Fall
Fall
protectionisisnot
protection notrequired
requiredwhen
when
climbingup
climbing upor ordown
downaaladder.
ladder.However
However
employees
employees and contractors
and contractors are
are required
required
to to follow
follow proper proper
ladder ladder
safety safety
while on
while on theIfladder.
the ladder. If theyto
they neglect neglect
followto
No follow
basic basic
ladder ladder
safety, safety,
then theythen
wouldthey
be
B
inwould be inofviolation
violation of the Fall
the Fall Protection
Protection
CardinalCardinal
Rule. Rule.

You observe an employee or contractor

working on a ladder above 6ft (2 m) .
While watching them, you see the person
lean far enough to the left that their left
arm and body are well beyond the safety
of the ladder’s rails.

violation?
That’s right. This would be a Fall

A In fact, this would be a Fall Protection
Protection Cardinal Rule violation.
Yes
Cardinal Rule violation. Any unsafe act
Any unsafe act while working on a
while working on a ladder is considered a
ladder is considered a violation.
violation. When the employee or
When the employee or contractor
contractor moved their body beyond the
moved their body beyond the ladders
ladders rails, they were no longer
rails, they were no longer following
B following basic ladder safety.
basic ladder safety.
No

Great! You’re now familiar with the Cardinal

Rules for Confined Spaces and Fall Protection,
so let’s move on to the next one.

UTC Electrical Safety Cardinal Rule
Electrical
Safety
UTC Electrical Safety Cardinal Rule

use Ground Fault Circuit Interrupters
(GFCIs) at all times on all portable
tools and electrical devices.
The intent of this Cardinal Rule is to

protect against dangerous shocks
caused by faulty wiring or equipment.
Additional Electrical Safety CR

information can be found in the Otis
World Wide Jobsite Safety Standards
found on the Otis WHQ EH&S website.
Power drills use 30 times more current than

it takes to kill a person.

What is a GFCI?
A GFCI is an electrical device designed

to protect people from severe or fatal
electric shocks. It does this by
monitoring the electrical current flow
and if there is any imbalance, it will
trip the circuit and cut off electricity to
the power tool or electrical device.
GFCIs may also be referred to as a

Earth Leakage Circuit Breakers (ELCB),
Residual Current Circuit Breakers
(RCCB), or Residual Current Devices
(RCD).
GFCIs designed for personal

protection must meet applicable (U.L.,
C.E or I.E.C) specifications and should
be located in the electrical circuit at
the point of connection to the
receptacle (i.e. the load side).

Violations
The following acts or behaviors would

lead to a UTC Electrical Safety Cardinal
Rule violation:
• Operating portable electrical

tools or equipment without a
GFCI

Knowledge Check: Electrical Safety

UTC Electrical Safety Cardinal Rule,
the rule.

On your way to lunch, you notice that a

contractor is using an electric cord and plug
drill while putting up a wall for a new office
area. From your observation, it does not
appear that he is using a GFCI extension and
the tool is not plugged into a GFCI outlet.
Yes You’re right of course. This would be

Actually, this is an Electrical Safety
an Electrical Safety Cardinal Rule
A Cardinal Rule violation. The contractor is
violation. The contractor is required
required to be using a GFCI on his tools
to be using a GFCI on his tools and
and equipment. By not using a GFCI the
equipment. By not using a GFCI the
contractor is in violation of the Electrical
No contractor is in violation of the
Safety Cardinal Rule.
B Electrical Safety Cardinal Rule.

A carpenter is hanging a shelf using an

electric cord and plug drill without a GFCI
in an established office area with no
construction type hazards.

violation?
Right! This would be a Electrical Safety

A InYes
fact, this would be a Electrical Safety
Cardinal Rule violation. Although the
Cardinal Rule violation. Although the
employee is in an office environment
employee is in an office environment the
the nature of the work still requires a
nature of the work still requires a GFCI to
GFCI to be used. Good Catch!
be used.
No
B

Walking through the shop you notice a

floor fan is being used without a GFCI and
is located next to a process that often
splashes and leaks water onto the floor.

violation?
In fact,
Thisthis
would would
be anbeElectrical
an Electrical
Safety
Safety
Cardinal Rule violation. In this case the
A Yes
floor
floorfanfanisisexposed
exposedtotowetwetconditions.
conditions.By
By
using
usinga GFCI
a GFCIthethe
employees
employees working
workingin
inthe
thearea
areawould
wouldbe beprotected
protectedififthey
they
attempted
attemptedtotomove moveororturn
turnthe
thefan
fanon
onor
or
off.
Nooff.
Catching
Catching this
this
violation
violation
could
couldsave
save
a
B afellow
fellowemployee
employeefrom fromsustaining
sustainingaa
serious or fatal electrical shock.

Ok. Let’s continue with a look

at our next cardinal rule.

UTC – Otis Hazardous Energy Cardinal Rule
Hazardous
Energy
UTC - Otis Hazardous Energy Cardinal Rule
The UTC Rule States: Prior to

performing work on machines or
equipment, Authorized Employees
shall identify, secure and relieve all
sources of hazardous energy, before
verifying Zero Energy State (ZES)*
Lockout/tag out (LOTO) is a program

to protect individuals from injuries
caused by accidental or unexpected
activation, start-up of or release of
stored energy during installation,
servicing, maintenance or repairs of
machines and equipment.
* This includes the use of lock out tag out

(LOTO) procedures when working on any
hazardous energy source.

UTC – Otis Hazardous Energy Cardinal Rule
The Otis-specific Elevator Rules:
ALWAYS follow lock and tag out
procedures when power is not required.
ALWAYS maintain control of the elevator
when accessing/egressing the hoistway,
working on the car top or in the pit.
The Otis-specific Escalator Cardinal Rules:
ALWAYS follow lock and tag out
procedures when power is not required.
ALWAYS use the inspection controls to
operate or move the step chain.
ALWAYS verify the proper functioning of
the emergency stop switch prior to
entering the machine room or pit.
ALWAYS secure the step chain from
movement by two independent means
when work is performed in the truss
Additional Control of Hazardous Energy CR
information can be found in the Otis World
Wide Jobsite Safety Standards found on
the Otis WHQ EH&S website.

Authorized Employees, Hazardous Energy & LOTO
An Authorized Employee is a
technically competent person trained
to identify the Hazardous Energy
sources of a machine or piece of
equipment and perform a LOTO
procedure to control them by:
• Applying energy isolating

devices, locks and tags
• Verifying that a Zero Energy

State has been achieved
Doing this assures the energy sources

no longer pose a hazard to individuals
installing, servicing, maintaining or
repairing machines or equipment.

Authorized Employees, Hazardous Energy & LOTO
If more than one individual works on

a machine or equipment that has
been locked and tagged out, each
individual must add their own lock
and tag to the isolation device(s).

Violations
The following are examples of acts or

behaviors that would lead to a UTC –
Otis Hazardous Energy Cardinal Rule
violation:
• Performing maintenance on
machinery or equipment without
first having an Authorized
Employee lock and tag out the
energy sources and verify that a
Zero Energy State has been
achieved
• Five employees performing

maintenance on a machine and
only two of them having locks
and tags applied
• Determining through
observation and interview that
Zero Energy State was never
verified before maintenance on
the machine or piece of
equipment began
Knowledge Check: Hazardous Energy

hazardous energy Cardinal rule, consider
the following scenario and determine if it
illustrates a violation of the rule.

You walk by a sheave that is obviously in

a state of repair. The sheave guard is
removed and there are tools nearby, but
you notice the controller has not been
locked or tagged out or removed from
service and secured. In addition, nobody
seems to be around.

violation?
That’s right.this
Actually,
Yes This would
would bebe a Hazardous
a Hazardous
A Energy Cardinal
Energy Cardinal Rule
Rule violation,
violation because
because
critical components of the LOTO
program are not being followed. In this
case the machine's hazardous energy
sources have not been secured with
No
B
administrative locks and tags.

Ok, we’ve covered the UTC – Otis Hazardous

Energy Cardinal Rule. Now let’s turn our attention
to the next one.

UTC – Otis Machine Guarding Cardinal Rules
Machine
Guarding
UTC – Otis Machine Guarding Cardinal Rules

not tamper with or disable machine or
equipment guarding while operating
under normal conditions. “Normal
conditions” meaning normal operation
of the machine.
The Otis-specific Elevator and Escalator

Cardinal Rules are to:
NEVER work or position body parts in
proximity to unguarded moving parts or
electrical circuits.
Additional Machine Guarding Cardinal

Rule information can be found in the
Otis World Wide Jobsite Safety
Standards found on the Otis WHQ EH&S
website.

What is a Machine Guard?
A Machine Guard is a piece of

equipment installed on a machine to Unguarded
Guarded Sheave
Sheave
physically prevent hazardous
components of the machine from
coming in contact with an employee's
body.

Violations
So, if an employee tampers with,

removes, bypasses, or simply does not
use required guarding it will be
MISSING
considered a Cardinal Rule violation on
the part of the employee. For example,
GUARD
the following acts or behaviors would be
considered Machine Guard Cardinal Rule
violations:
• Operating a machine where

someone else has disabled or
removed the guarding
• Not using the guarding that is

GUARD
intended to protect from point of
operation hazards
IN PLACE
• A supervisor requiring an employee
to operate a machine with the
guarding bypassed or removed,
endangering the employee for the
sake of production

Knowledge Check: Machine Guarding
Based on what you just learned about the UTC -

Otis Machine Guarding Cardinal Rule, consider
the following scenarios and determine if they
illustrate a violation of the rule.

You walk by an employee performing

work on another machine while in close
proximity to an unguarded sheave.

violation?
A
Actually, would
That’s right.
Yes bewould
This a Machine
be a Guarding
Machine
Cardinal
Guarding Rule violation.
Cardinal RuleWorking
violation.in
closeinproximity
Working (5ft/1.5m)
close proximity to
(5ft/1.5m)
unguarded
to unguarded drives, diverter
drives, sheaves,
diverter or
sheaves,
orother
otherrotating
rotatingequipment
equipmentis isa aUTC
UTC– –
Otis
Otis Cardinal
Cardinal Rule
Rule violation.
violation.
B
No

You are on your way to lunch when you notice

an employee removing a sheave guard. When
you inquire about the removal, you find that
the employee is performing a regularly
scheduled PM event. You feel better having
asked and head off to lunch. Upon your return
a half hour later, you notice that the PM is
complete and the employee is gone, but the
guard was not placed back on the sheave.

This would
In fact, this not be anot
would Machine Guarding
be a Machine Cardinal
Guarding
A Yes
Rule violation. As long asAs nolong
oneasis running
Cardinal Rule violation. no one isthe
elevator
runningandthethe sheave
elevator andis not
the moving,
sheave isthere
not is
no Cardinal
moving, thereRule
is noviolation.
Cardinal However, if the
Rule violation.
B No mechanic
However, returns
if the and begins
mechanic returnsto move
and theto
begins
elevator
move without having
the elevator withoutthe guardthe
having re-installed
guard re-
thatthat
installed will will
be abe violation.
a violation.
Ok, we’ve covered the cardinal rules for confined

spaces, fall protection, electrical safety, hazardous
energy and machine guarding. Let’s just spend a
few more minutes talking about how they affect
your work and how you can get more information.

Otis Jumper/Shunt Cardinal Rule
Jumpers
Shunts
Otis Jumper/Shunt Cardinal Rule
The Otis-specific elevator Cardinal

Rule States: ALWAYS follow the
operation’s authorized control
processes when using jumpers and
shunts.
Additional Otis Jumper/Shunt

Cardinal Rule information can be
found in the Otis World Wide Jobsite
Safety Standards found on the Otis
WHQ EH&S website.

Violations
The following are examples of acts or

behaviors that would lead to an Otis
Jumper/Shunt Cardinal Rule violation:
• Use of unauthorized jumpers in

place
• Jumper in place without proper

control of the elevator
• Jumpers in place when a

mechanic departed from the
jobsite (service)

Knowledge Check: Jumpers/Shunts

Otis Jumper/Shunt Cardinal Rule, consider
the following scenario and determine if it

Knowledge Check: Jumpers/Shunts
Your shift is almost over during a repair

job, and you need to relinquish the job
task to another employee. It’s ok to leave
your jumpers on as long as you discuss it
with the other mechanic.

violation?
A
That’s
Yes right.this
Actually, Thiswould
wouldbebeananOtis
Otis
Jumper/Shunt
Jumper/ShuntCardinal
CardinalRule
Ruleviolation.
violation.
For maintenance
For maintenance and repair
and repair operations,
operations, jumpers
jumpers shall shall bewhenever
be removed removed
whenever
the mechanictherelinquishes
mechanic relinquishes
the job task
the
to job task
another to another
employee, employee.
and as a result
B
Nothis is a clear violation of the Otis
Jumper/Shunt Cardinal Rule.

Otis Hoisting & Rigging Cardinal Rule
Hoisting
& Rigging
Otis Hoisting & Rigging Cardinal Rule

Rule States: ALWAYS follow the Floor
procedures for hoisting and rigging
and mechanical blocking of elevator
equipment.
Additional Otis Hoisting & Rigging

Cardinal Rule information can be
found in the Otis World Wide Jobsite
Safety Standards found on the Otis
WHQ EH&S website.

Violations
These conditions or acts would lead to

an Otis Hoisting and Rigging Cardinal
Rule violation:
• Out-of-date or no inspection of
lifting apparatus while in use
• Slings do not have sufficient

strength for the load.
• Failure to use pre-fabricated

slings (slings made up using
clips).
• Riding or working under

suspended load.

Knowledge Check: Hoisting & Rigging
Based on what you just learned about the Otis

Hoisting & Rigging Cardinal Rule, consider the
following scenario and determine if it

Knowledge Check: Hoisting & Rigging
Your lifting device has a load rating of 1

ton, and your load weighs approximately
1.2 tons. It’s ok to use the lifting device
since there’s a safety factor built in.
Would this be a Cardinal Rule violation?
A Yes
Actually,
That’sthis would
right. This be an Otis
would Hoisting
be an Otis &
Rigging Cardinal
Hoisting Rule violation.
& Rigging Cardinal Rule
Manufacturer recommended
violation. Manufacturer load
recommended
capacities on rigging
load capacities hardware
on rigging and lifting
hardware
devices
andshall notdevices
lifting be exceeded,
shall notand
beas a
No this is a clear
result violation of the Otis
exceeded.
B
Hoisting & Rigging Cardinal Rule.

Otis False Car/Running Platform Cardinal Rule
False Car
UP
DA
Running Platform
TE

Otis False Car/Running Platform Cardinal Rule

Rule States: ALWAYS follow the
procedures for false cars/running
platforms.
Additional Otis False Car/Running

Platform Cardinal Rule information
can be found in the Otis World Wide
Jobsite Safety Standards found on the
Otis WHQ EH&S website.

Violations
These acts or behaviors would lead to

an Otis False Car/Running Platform
Cardinal Rule violation:
• Assembling/disassembling on
other than the lowest floor
available.
• Missing toe guards and guard

rails.
• Not using adequate overhead

protection.
• Not using a audible/visible

warning system on the bottom
platform.

Knowledge Check: False Car/Running Platform

UP
False Car/Running Platform Cardinal Rule,

consider the following scenario and determine
if it illustrates a violation of the rule.
DA
TE

Knowledge Check: False Car/Running Platform
You are assembling a running platform in

a common hoistway. You install overhead
protection and screening between
hoistways, you feel that the protection is
adequate and continue to work.

violation?
You’re right!
In fact, this This
would would
not benotanbeOtis
an Otis
FalseFalse Car/Running
Car/Running
PlatformCardinal
CardinalRule
Ruleviolation.
violation.Assembly
Assemblyofofrunning
running
A Platform
platforms, false cars, or other such equipment requires
platforms,
Yesfalse cars, or other such equipment requires That
That adequate overhead protection be installed
adequate overhead protection be installed and maintained and
maintained
in place in place
at all times andatIfall times
work and If work
in common in common
hoistways (i.e.
hoistways (i.e. multiple units in the same hoistway
multiple units in the same hoistway or shaft) is being carried or shaft)
B is being carried
out, adequate screeningout,between
adequate screening
hoistways between
MUST also be
No if additional hazards exist; therefore there is no
hoistways
considered MUST also be considered if additional hazards
exist; therefore there is
Cardinal no violation.
Rule Cardinal Rule violation.

Otis Elevator Cardinal Rule
Elevators
Otis Elevator Cardinal Rule
The Otis-specific Elevator Cardinal

Rule State:
NEVER ride the car top with the
elevator in normal operation.
Additional Otis Elevator Cardinal Rule


Violations
These acts or conditions would lead to

an Otis Elevator Cardinal Rule
violation:
• Riding the car top without top of

car inspection fitted or used.
• Riding the car top in normal

operation
• Accessing/egressing the car top

with stop switch in normal
operation.

Knowledge Check: Elevators

Elevator Car Top Cardinal Rule, consider the
following scenario and determine if it

Knowledge Check: Elevators
You’ve finished your work on the top of
the car and have taken it out of inspection
mode. You position yourself in the center
of the car and maintain a firm handhold
on the crosshead, away from moving
parts. You move the car without putting
it back into inspection mode.
Would this be a Cardinal Rule violation?
Yes
A
Actually,
That’sthis would
right. This be an Otis
would be anElevator
Otis
Car Top Cardinal
Elevator CarRule
Top violation.
Cardinal RuleNever ride
the elevatorNever
violation. car top with
ride thethe elevator
elevator carin
normal
topoperation. Complete
with the elevator control of
in normal
theoperation.
elevator must be maintained
Complete control ofattheall
No
times while must
elevator working on the Car top.
be maintained at allCars
B
must
timesbewhile
only moved
workingononinspection mode.
the Car top.
Cars must be only moved on
inspection mode.

Otis Escalator Cardinal Rules
Escalators
Otis Escalator Cardinal Rules
The Otis-specific Escalator Cardinal

Rules State:
ALWAYS use effective barriers and
warnings, block the unit electrically
and mechanically, when leaving the
unit unattended with steps/pallets
removed.
NEVER walk on step axles.
NEVER ride the unit with steps/pallets
removed.
Additional Otis Escalator Cardinal Rule


Violations
These acts or conditions would lead to

an Otis Escalator Cardinal Rule
violation:
• Improper verification of escalator

control/stop switches.
• Work procedure involves walking

on step axle of escalator,
travolator, or moving walk.
• Work procedure involves riding

the escalator, travolator, or
moving walk with one or more of
the steps or pallets removed.

Knowledge Check: Escalators

Escalator Cardinal Rules, consider the following
scenario and determine if it illustrates a
violation of the rule.

Knowledge Check: Escalators
You notice an employee working on an

escalator. You see that he has secured the
step chain from movement by two
independent means. As you observe him
enter and exit the truss frame, you notice
that he is using a temporary walkway.

violation?
In fact,
Right. Thisthis would
would not not
be anbeOtis
an Otis Escalator
Escalator Cardinal
Cardinal RuleRule
violation.
violation.
WalkingWalking
on step on step
axles axlesallowed.
is not is not allowed. Entry
Entry and exitand
fromexit
the
A from
trussthe truss
frame frame
must must be achieved
be achieved by safesuch
by safe means means
as asuch as a
temporary
Yes
temporary walkway or temporary work platform; therefore
walkway or temporary work platform ; therefore there is no
there is no Cardinal Rule violation.
Cardinal Rule violation.
B
No

Wrap-up
The UTC Cardinal Rules represent five of the critical

safe work practices and along with them, the Otis
Cardinal Rules for Elevators and Escalators. These
Cardinal Rules must be followed to help us continue
toward our goal of creating the safest work
environment possible for employees.

Wrap-up
You can help by:
• Being aware of the rules

• Choosing to act in a safe manner by following the rules
• Making a conscious effort to identify potential violations
Be alert and stay safe!

For More Information
1. Go to the EH&S website at:
http://myutc.utc.com/guest/server.pt?open=51
2&objID=1258&parentname=Gateway&parentid
=None&mode=2&in_hi_userid=2&cached=true
2. In the Otis EH&S

links, click on either
the Elevator or
Escalator Cardinal Rules

For More Information
1. Go to the EH&S website at:
http://ehs.corp.utc.com/
2. In Documents, click
on Cardinal Rules
3. The Cardinal Rules

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UTC – Otis Cardinal Rules Awareness

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

After completing this course you will

• Who must follow them.

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Although all EH&S rules are important

Based on this definition, UTC

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

The UTC EH&S Cardinal Rules went

Businesses were given the flexibility

This course reviews UTC & Otis

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Because of their serious nature, Cardinal Rules apply

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Because the safety of all employees and

If upon investigation it is determined

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

We are going to review the specifics of

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Based on what you just reviewed,

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

What is the definition of a UTC – Otis Cardinal

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

All of the following statements about the UTC -

The rules were established to call attention

Divisions were then given the flexibility to

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

UTC – Otis Cardinal Rules apply to, and must be

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Okay, let’s go on and take a look at our

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

The UTC Rule States: Confined Spaces

Please ask your EH&S representative

*Manholes may not always be marked, but are to

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

1. Is large enough for employee entry.

2. Has limited means of entry or exit.

3. Is not designed for continuous

A space must meet all three of

Here are some examples of

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

In addition to meeting the three

Permit Required Confined Spaces will

Here are some examples of PRCS

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

You must be an Authorized Entrant

Failure to do any of this will be

Let’s review some examples of

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

According to the Confined Space

• Having a permit and all

• Having an attendant and

• Performing LOTO to eliminate,

According to the Confined Space

• Having a “Rescue Ready” plan

Failure to complete these or any

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

The following are a few additional

• Using required monitoring

• Not wearing required PPE

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

Based on what you just learned about the

© COPYRIGHT PureWorks, Inc. 2010. All rights reserved.

An employee leaves a tool in a Permit Required