The concept of Lock-Out/Tag-Out is a great one and it works. As rescuers, however, we have to take the common industrial application and expand it to ensure that the rescue scene is safe and that we are controlling hazards at the point of contact with the victim or in a space where something has gone very wrong.

What Does OSHA Say?

Although commonly referred to as the “Lock-out/Tag-out” (LOTO) standard, the actual title of 1910.147 is “The Control of Hazardous Energy.” This title probably better describes its true purpose – and there's no doubt that the understanding of this concept has saved many lives and prevented countless injuries. Prior to work, potential sources of hazardous energy must be identified and controlled. As responders, we do not have the luxury of studying blueprints and schematics to identify how to isolate the hazard. In fact, we’re most often responding to incidents where LOTO turned out to be ineffective or was improperly used.

Standard LOTO is usually defined in a work planning and control process or a job safety analysis. Days, weeks, and even months are spent planning and assessing cause and effect to ensure a safe work environment. During an actual emergency, rescuers have only minutes to assess and determine how to “make the scene safe.” This safety mindset serves to protect both the rescuer(s) and the victim(s) from additional harm following an incident.

NOTE: While LOTO tags are permissible by OSHA, they are not commonly used as you must prove that a tag is at least as effective as a physical lock – something that would be hard to ensure.

 We’ve found that if you ask different people to define LOTO and who is responsible for performing it, you will get a variety of answers. OSHA 29 CFR 1910.147(b) has a very narrow and specific definition of who can perform lock-out or tag-out operations. That definition does not include rescuers; and there is good reason for that. OSHA defines two types of persons in regard to LOTO; “authorized employees” and “affected employees.”

An authorized employee is a person who locks out or tags out machines or equipment in order to perform service or maintenance on that machine or equipment. An affected employee becomes an authorized employee when that employee's duties include performing service or maintenance covered under this section.

Translation: A person that the employer says has the systems or mechanical knowledge and authority to safely lockout/tagout a machine or space.

An affected employee is an employee whose job requires him or her to operate or use a machine or equipment on which service or maintenance is being performed under lock-out or tag-out, or whose job requires work in an area in which such service or maintenance is being performed.

Translation: A person who has to work in an area where LOTO is in place. (Sounds like a rescuer to me.)

LOTO for rescuers

According to an OSHA clarification letter¹, an affected employee is one who does not perform service or maintenance work on the machine or a piece of equipment and does not implement the LOTO system procedural elements. Rather, the affected employee's job responsibilities include operating the machine or equipment or performing other work in an area where the service or maintenance work is being performed.

There is good reason for these prohibitions on applying Lock-out/Tag-out. Improperly performed LOTO can be just as dangerous, if not more so, than no LOTO at all. Allowing LOTO to be performed by personnel who are not familiar with the processes and equipment increases the chances of improper lock-out. As rescuers, we rarely (if ever) have the kind of institutional knowledge to perform true LOTO of a process or environment.

If the reason for the rescue is something other than an exposure to a hazardous energy source, and LOTO has already been performed, the rescuers should walk through and verify the "authorized employees'" LOTO and ensure no changes are made to the system.

If LOTO was performed improperly or has failed and is causing the emergency, then rescuers can lock-out the equipment as they see fit or as the rescue needs dictate. The control of hazardous energy is part of making the area safe for rescue operations, but doing so without understanding the bigger picture can be dangerous.  Whatever actions are taken should be completed with the coordination of a facility representative who understands where or what you are working with. 

From a rescuer’s viewpoint, our definition and options for effective LOTO needs to include other equipment and techniques that provide a safe area for rescue operations and prevent further harm to the victim. This includes equipment that is used every day in the municipal rescue world that may not typically be found in an industrial facility. This includes equipment such as hydraulic spreaders and high-pressure air bags. Even simple tools, such as metal wedges, can be used to isolate and protect the hand or arm of a victim trapped in a piece of machinery. The key is to review your current capabilities and identify what may be needed prior to an incident occurring.

Machine entrapment rescues are another all too common situation in which responders need to isolate the area at the point of contact with the patient to prevent further movement. RESCUERS BEWARE – Another huge consideration for rescuers is stored energy! Sometimes what sounds like a simple solution (such as turning off a machine) can do more harm IF the machine normally recycles before coming to a resting position. OSHA identifies these hazards and provides a pretty good list of examples to be aware of when responding. It includes stored or residual energy in capacitors, springs, elevated machine members, rotating flywheels, hydraulic systems, and air, gas, steam, or water pressure, etc. Rescuers need equipment and techniques to control, restrain, dissipate, and immobilize these hazards.

Municipal and industrial rescuers get called to a wide variety of rescues – each with its own unique problems. As we know, the number of ways people can get themselves in harm’s way is unlimited! In all entrapment incidents, however, it is essential that we protect both the victim and ourselves from further injury and limit our exposure to the hazards that are present. In every incident, rescuers must first identify the hazards and try to eliminate or control them in every way possible.

Sixth most cited standard

Every year, OSHA issues its “Top 10 Most Frequently Cited Standards” list. While the order of the list is different from year to year, it is generally still comprised of the same 10 standards year after year. LOTO, the control of Hazardous Energy (29 CFR 1910.147), consistently makes the list; and, for 2021, it was no different. For 2021, the LOTO standard landed as the 6^th most frequently cited standard in the industry.

Incident: An Ohio aluminum parts manufacturer with a history of safety violations now faces penalties for 38 safety and health violations and a proposed $1 million fine following an investigation into the death of a 43-year-old worker struck by a machine's barrier door on March 30, 2021.

OSHA alleges that the company allowed employees to bypass guarding mechanisms designed to protect employees from the barrier door closing on them and that a malfunction in the door's optic control existed prior to the deadly incident. The worker was loading a part into the machine when the barrier door closed on his head.

OSHA's investigation identified problems with machine guarding and a lack of protective procedures – commonly known as lockout/tagout – throughout the facility. OSHA claims that the company was aware of these problems and failed to address them adequately.

Incident: Another case of LOTO “gone bad” occurred during a Roco CSRT stand-by job at a local industrial plant. After LOTO had supposedly been performed, one of our team members decided to test it by pushing the “Start” button on a hyper bar in a tank – it turned “ON!” Further investigation revealed that electrical work had been done in the area and the fuse lock-out was moved to another box adjacent to its original location. No one had notified the workers or changed the written protocol. Workers were locking out the wrong circuit! Had this been a rescue, how would rescuers control the hazard without knowing where the problem was with the LOTO?

Conclusion

It is clear that rescuers need to look deeper into their technique toolbox for creative options to isolate energy sources in order to protect themselves as well as the victim. And, this doesn’t only apply to municipal rescuers. Industrial rescue teams are very likely to be called when an emergency like this occurs. In order to be proactive and prepared, take the time in advance to evaluate your response capabilities as well as that of local responders in your immediate area. Every minute is critical for that person trapped or injured.

¹ Standard Interpretation: Clarification of "authorized" and "affected" employees and proper energy control procedures, Feb 10, 2004, question #3

Additional Resources

• Improper LOTO Costs Company $283,390
• OSHA Lock-out/Tag-out Fact Sheet 
• Evaluating Your Rescue Service

We’re often asked, “How many team members should be on a standby rescue team?”

While there is no definitive answer, we wanted to share some practical guidelines that we use here at Roco. We will offer some key points for consideration as well as address relevant standards and regulations. The safety procedures and internal policies for your organization must also be given priority consideration.

In assessing the number of personnel needed, we normally start with the various “types of confined spaces” that are applicable to the site. Other factors include elevation of the space; internal obstructions; and the potential for hazardous atmospheres. In addition, access into and out of the space; size and shape of opening; internal configuration; communications; hazard types and sources; and required PPE. Consideration must also be given to the types of injuries that may occur, which will dictate patient care and movement limitations inside the space.

 As an example, to rescue an entrant from a 24-inch round horizontal portal that is 3-feet off the ground would require fewer personnel than one that is 80-feet off the ground, or if it has an IDLH environment. This is a much different story! Careful consideration must be given to the various factors involved so that rescuers can be adequately prepared to take the appropriate action when needed.

From a regulations standpoint

OSHA’s Permit-Required Confined Space Regulation (29 CFR 1910.146) is our primary reference for this topic. However, this regulation is “performance-based” – and does not provide a specific number of personnel required for stand-by operations. It simply requires that the team or service gets the job done in a safe and timely manner.

Section (d)(9) of the regulation states the requirement to “Develop and implement procedures for summoning rescue and emergency services, for rescuing entrants from permit spaces, for providing necessary emergency services to rescued employees…”. However, the number of team members is left up to the employer or agency.

Section (k) provides more details regarding rescue and emergency services but again does not include a specific number of team members required. It’s all based on the rescue service’s ability to perform rescue from the types of confined spaces to which they may respond. OSHA’s Confined Spaces in Construction (1926 Subpart AA) standard echoes 1910.146 with a few additional requirements, but again offers no specific numbers on rescuers needed for standby operations.

Next, the Respiratory Standard (1910.134), section (g)(3)(i) states that “One employee or, when needed, more than one employee is located outside the IDLH atmosphere;” and Section (g)(3)(iii) adds that…“The employee(s) located outside the IDLH atmosphere are trained and equipped to provide effective emergency rescue” – however, once again, we are given no set number of personnel.

NFPA 1670, Standard on Operations and Training for Technical Search and Rescue Incidents, (2017 Ed) Chapter 7.3.2.1, states that “The role of a confined space rescue service is intended to include entry into the space to perform a rescue and, as a minimum, shall be staffed to provide sufficient members with the following exclusive functions:

1. Rescue entrant/entry team of sufficient size and capability to perform the rescue…
2. Backup rescue entrants of a sufficient number to provide immediate assistance…
3. Rescue attendant…
4. Rescue team leader (supervisor)…”

Still, no definitive number of personnel, but at least it offers some guidance on the positions that should be taken into consideration. If you dig a little deeper into the Appendix of 1670, you can find in A.7.3.2.1, “In general, confined space rescue teams are composed of no less than six members to perform all the required functions listed. However, the size and capability of a team required to perform a specific rescue will depend on many factors, including the condition of the patient, the size and shape of the space, size of the access opening, and the hazards present...”.

How Roco’s stand-by rescue services would typically handle

So, how many team members does it take? We’ll give you an idea of how we address this with Roco’s stand-by rescue services. Our typical Confined Space Rescue Team consists of three personnel including a Crew Chief and two Rescue Technicians. Keep in mind, however, these individuals are experienced, professional emergency responders, who perform stand-by rescue operations and/or train on a regular basis.

Our teams also have the benefit of preplanning the rescue and setting up equipment in advance. Considerable effort goes into rescue planning by Roco teams prior to an entry. Preplanning precautions include:  

1. Analyze, identify and eliminate hazards in and around the confined space.
2. Ensure appropriate administrative and work practice controls are being used and followed.
3. Hazard-specific PPE is provided and correctly used by all personnel involved.
4. Communication methods are defined, verified and implemented (written and verbal).

Also, with our standby teams, the Crew Chief is responsible for filling two roles during an actual emergency… (1) the rescue team leader and (2) either the rescue attendant or the backup rescuer. One Rescue Technician fills the role the Crew Chief didn’t, and the other Rescue Technician becomes the rescue entrant.

This has proven to be an effective and efficient team when providing standby rescue services. Again, we have the benefit of being onsite while the entries are occurring and the opportunity to preplan the rescue. In addition, the job circumstances and scope of work are carefully evaluated prior to committing to a specific number of personnel.

As an example, we typically require a four-person team for jobs involving inert entries and other types of IDLH environments, unusual space configurations (i.e., long distances, entanglement hazards or complex obstructions), or any other high hazard condition. In certain instances, even a two-person team may be appropriate. This would include when there is no potential for atmospheric hazards; large and easily assessable openings; no secondary lowering operations; strictly horizontal movement, etc.

In closing, we must emphasize that employers are required to ensure that adequate rescue capabilities are readily available. OSHA 1910.146 is a performance-based standard that requires a safe and timely rescue response for confined space incidents. This is one reason it is so important to evaluate the rescue service you are depending upon to provide emergency services (i.e., is the team trained and equipped to provide confined space and elevated rescue appropriate to your needs?). Appendix F of 1910.146 provides a valuable tool for conducting rescue performance evaluations. It is critically important to know in advance that your rescue service is prepared, capable and ready to perform an emergency rescue. 

Additional Resources

• Confined Space Types – Are All Your Bases Covered?
• Confined Space Rescue Types Chart & Compliance Guide (pictured here)
  
  

Blog originally posted in March 2011.

For the first time in the state’s history, a Washington employer will go to jail for the death of one of his employees due to trench safety violations.

The incident occurred back in 2016 when a worker was crushed to death under more than 6,000 pounds of dirt when an 8- to 10-foot-deep trench caved in on top of him at a West Seattle home. Washington state OSHA regulations require trenches over 4-feet deep to be shored (the federal OSHA requirement is 5 feet.)

The Labor and Industries (L&I) Department, which houses Washington OSHA, cited the construction company in September 2016 and fined the company $51,500, including two willful violations stating that the company “knowingly ignored basic, common-sense safety rules”.

The trench in question had been dug for over a week prior. During the time it was open, there were several days of heavy rain. The trench was only shored on two sides and only part way up. It was dug right next to the house and a sidewalk, weakening the support for both of them. The dirt taken out of the trench was piled right next to it. The trench dirt had been previously loosened from earlier digging. The worker was given a reciprocating saw to use in the trench which vibrated it and further loosened the dirt. Each one of these things made the trench more likely to collapse. There was also no ladder or other safe way to get out quickly.

Violations included: not protecting workers from cave-in; failure to have an accident-prevention program for excavation work; no ladder or other safe way to enter and exit the trench; sidewalks and structures were not supported to protect employees; dirt and other materials were less than 2 feet from the edge of the excavation; and there were no daily inspections of the changing soil conditions.

Trench collapses are well known hazards and easy to prevent if federal or state OSHA standards are followed. Yet every month, workers die (or in a few cases are rescued) from unsafe trenches in this country. Federal OSHA requires every trench over 5-feet deep to be protected with a trench box or some other form of shoring or sloping. The problem is that trench walls can collapse in seconds and you generally can’t dig someone out of a deep collapsed trench. One cubic meter of soil weighs around 3,000 pounds — the size of a small automobile. When an automobile falls on your chest, you are unlikely to survive. Even the attempt to dig someone out is fraught with peril: collapsed trenches can continue to collapse, endangering the rescuers.

Criminal Charges

Two years after the worker’s death, King County Prosecutor’s Office charged the company owner with felony second-degree manslaughter and violation of labor safety regulation for alleged negligence that caused the death. It was the first time a Washington employer had faced felony manslaughter charges for a workplace death. According to L&I Director Joel Sacks, “There are times when a monetary penalty isn’t enough.”

However, instead of the manslaughter charge, the prosecutor’s office later backed down and reached a settlement with the owner, where he pleaded guilty to the crime of Attempted Reckless Endangerment, a simple misdemeanor and agreed to serve 45 days in jail. The company must also pay a fine of $100,000 (in addition to the original L&I fine) and serve probation for 18 months.

The owner is the first Washington state employer to serve time in jail for a workplace death, but he may not be the last. Five people were charged with manslaughter after the January 2020 trench collapse at a wind farm facility in Lewis County that killed a 24-year-old worker. A Lewis County Superior Court judge later dismissed all charges against four of the five codefendants. Only one of the individuals will face one count of first-degree manslaughter.

A Powerful Deterrent

According to officials, the prospect of jail time can be a powerful deterrent for employers who routinely cut corners on workplace safety. However, only 110 worker death cases have been criminally prosecuted under the Occupational Safety and Health Act since 1970, with defendants serving a total of at least 112 months in jail.

Local prosecutors have been more active, to include:

• In Philadelphia, the district attorney successfully prosecuted the general contractor and crane operator for the deaths of six individuals in the 2013 Salvation Army building collapse, winning convictions for involuntary manslaughter and jail time.
• In New York City, the Manhattan district attorney won a manslaughter conviction against a general contractor for the 2015 trenching death of a young undocumented immigrant construction worker. The foreman for the excavation company was convicted of criminally negligent homicide and reckless endangerment, and sentenced to one to three years in jail.

This article was originally written by Jordan Barab of Confined Space.
https://jordanbarab.com/confinedspace/2022/03/15/trench-jail-time/

Additional Resources

If you’re concerned that your rescue service may not be adequately prepared, give us a call or check out these resources for more information on how to keep you and your personnel safe around trenches.

• Trench Safety & Rescue Articles: Read More
• Trench Training: Competent Person | Trench Rescue Technician
• Recorded Webinar: Staying Safe in the Trenches

We’ve all heard it before, “falls are one of the leading causes of death in the industry.” In fact, falls have been the leading cause of death in the construction industry, year after year, for over a decade now. Additionally, Fall Protection (29 CFR 1926.501) and other related standards continue to land on OSHA’s “Top 10 Most Frequently Cited Standards” list each year.

According to NIOSH, 401 of the 1,102 construction fatalities recorded in 2019 were due to falls. To raise awareness of this hazard, OSHA now conducts a “National Fall Protection Safety Stand-down” to prevent falls in construction and has done so each year since 2014. The 2022 Stand-Down is May 2-6, but OSHA encourages holding your own stand-down any time, year-round.

With all of the emphasis on fatal falls, why are workers continuing to fall to their deaths? More importantly, what can we do to prevent them? Well, I’m glad you asked!

There are many actions that employers can take to prevent fatal falls from occurring in the industry; however, the adage “an ounce of prevention is worth a pound of cure” definitely comes to mind here. The most effective measure that any company can take to prevent fatal falls is to implement proper planning before work begins. An effective fall protection plan is multi-faceted and contains multiple steps, all of which should be given great attention to detail.

What should a fall protection plan include?

1) General Information About the Jobsite

As with any plan, an effective fall protection plan should begin with general information about the task at hand. What type of jobsite or facility is this? Is the job taking place at a residential home, a new construction project, or an industrial manufacturing facility? What type of work is being done? Consider electrical work, roofing, hot work, confined space work, or other tasks that may be a contributing factor in falls. Are there any existing fall protection measures in place? In many cases, permanent ladders and guardrails are in place throughout the jobsite; however, on new construction, there may not be any existing fall protection measures. Are there any work surfaces that could affect the job? Take note of areas that may be slippery, areas that could be abrasive, uneven or unlevel areas or areas with trip hazards. Will the weather impact the safety of the job? Consider how rain, wind, or ice accumulation could impact the jobsite. What is the estimated duration of the job? Long-term jobs may require different solutions from short-term jobs. In some instances, scaffold erection may not be an effective use of time and mobile aerial lifts may be more feasible.

2) Assessment of All Fall Hazards on Site

Once the general information of the jobsite has been documented, a thorough assessment of all fall hazards on the jobsite should be conducted and documented. OSHA has different fall protection requirements for General Industry and Construction. While there are a nearly unlimited number of ways that fall hazards can present on a jobsite, the following are a few examples of the more common situations to look for:

• Open-sided walking/working surfaces
• Open-sided ramps, runways, and platforms
• Floor openings
• Wall openings
• Elevator Shafts
• Stairwells
• Trenches

Do not skimp out on this step of your plan. After all, if you do not identify a fall hazard, you will not be able to protect against it! Consider including workers of all levels in the hazard assessment; every worker has a different perspective and may identify things that are missed by others.

3) Outline of Fall Protection Measures to be Used

Now it’s time to decide how you are going to protect workers from the hazards identified. The hierarch of fall protection is a 5-tiered approach, and the preferred method to eliminate or reduce the risk of falls. The 5 tiers are as follows:

1. 

   Hazard Elimination (best practice)
   The most effective measure of protecting workers from a fall hazard is to eliminate it all together. If possible, relocate the work to ground level or eliminate the exposed edge or opening.
2. Passive Fall Protection
   In many cases, elimination of the hazard is not possible or feasible. The next best measure to implement is to provide passive fall protection which includes things like guardrails or hole covers. Passive fall protection provides a lower possibility of error as it does not rely on the use of personal protective equipment (PPE). 
3. Active Fall Restraint
   In some cases, passive fall protection is not warranted as the duration of exposure may not offset the cost of implementing passive protection or the task being performed may not allow for passive fall protection. Active fall restraint is a type of PPE that limits a worker’s range of movement so that they cannot physically travel to the area of the fall hazard. This method is preferred over fall arrest as it significantly reduces the likelihood of secondary injury due to falls and the need to perform a suspended worker rescue. However, there are many cases where a worker must enter the area of the hazard to perform work.  
4. Active Fall Arrest
   An important note with active fall arrest systems is that they do not prevent a worker from falling but rather prevent the worker from contacting lower levels after the fall has occurred. One important, and often overlooked, element of this is having an effective rescue plan. Be sure to have a plan in place in the event that someone does fall. You must also ensure that workers are trained and understand how to properly use their equipment as well as its limitations. More on that later.
5. Establishing Controlled Access Zones (least effective)
   As a last resort, controlled access zones may be established to limit essential personnel into the area of the fall hazard. These methods generally include safety monitoring systems, warning lines or horns, or control lines. It is important to note that these controls are the least effective as they do not provide any physical means of protection. It is strongly recommended that all efforts have been exhausted to use the previous methods in the hierarchy before settling on controlled access zones.

4) Outline of Use, Maintenance, and Inspection Procedures for Equipment Being Used

Now that the methods of fall protection and prevention for the jobsite have been established, an outline of use, maintenance, and inspection procedures for the equipment used should be documented. Be sure to include proper assembly and disassembly procedures for equipment according to the manufacturer's recommendations. Ensure that a process exists for a competent person to inspect equipment at least annually or as required by manufacturer’s recommendations as well as a process for inspection of safety equipment by the end-user before each use. Any defective equipment must be tagged and removed from service immediately.

5) Outline of the Handling, Storage, and Securing of Tools and Materials on the Jobsite

This section of the fall protection plan goes hand-in-hand with the previous section. Establish a clear outline of how the equipment will be handled and stored on the jobsite. If equipment is not stored properly, it may become contaminated or damaged and render unsafe for use. Storage and handling of equipment vary from jobsite to jobsite but remember to protect equipment against heat, moisture, and chemicals when storing your equipment.

6) Outline of Overhead Protection to be Used

While not directly related to preventing workers themselves from fall hazards, it is important to address how workers in the area of overhead work will be protected. The use of toeboards, debris nets, or other side guards can be effective in preventing tools and material from falling below. Lanyards used to tether tools to the worker are also a great way to avoid dropped objects. Ensure that workers are notified of overhead work in the area with signs and barricades when possible. Consider postponing overhead work in unfavorable weather conditions and secure loose objects whenever possible.

7) Detailed Rescue Plan

Perhaps the most often overlooked item of a fall protection plan is the rescue plan. Many workers in the construction industry know that they must tie-off when working at heights; however, few take the time to think about what happens if/when they fall. Take the time to discuss and document the plan of action to be taken when someone falls. Suspension trauma is a life-threatening condition that can develop when a worker is hanging from their fall arrest system and can be lethal in as little as five minutes. Consider the use of a specialized rescue team for complex scenarios or be sure that you have the proper equipment, training, and proficiency to perform the rescue if needed. Remember, with fall protection – your life is literally on the line!

8) Employee Training and Instructions

Without adequate training, even the most effective plan is worthless. Remember that jobsites are dynamic and that fall hazards that were not present yesterday may be present today. For this reason, ensure that workers are trained to identify fall hazards and how to take measures to reduce or eliminate the hazard. Be sure that workers know when, where, how, and what fall protection equipment is to be used for the task or hazard in question. Also, ensure that workers know how to properly inspect their equipment before use and what to do with equipment that does not pass inspection. Most importantly, ensure that workers are trained on the fall protection plan, have easy access to it, and know how to access it for reference at any time.   

Summary

Despite the increased emphasis placed on falls, they continue to be the number one killer in the construction industry. Unfortunately, the one thing that doesn’t seem to fall is the number of fatalities resulting from it. While there are many actions that employers can take to reduce the likelihood of a fall occurring, the most effective measure is to have an adequate fall protection plan in place. Establish the details of the job, identify the fall hazards, and develop a method to eliminate or reduce the risk associated with the hazard. Establish a guide for proper use, maintenance, inspection, and storage of fall protection equipment and ensure that workers have the training they need to do the job safely. Last but not least, ensure that you have an adequate rescue plan in the event that a fall does occur. Remember, with fall protection – your life is on the line!

Chris McGlynn is the Director of Safety/VPP Coordinator for Roco Rescue. He is a Certified Safety Professional (CSP) through the Board of Certified Safety Professionals as well as a Certified Confined Space and Rope Rescue Technician, and a Nationally Registered Paramedic. As Director of Safety, Chris oversees all corporate safety initiatives, ensuring that employees at Roco have the tools and training that they need to do their work safely and effectively. He is also responsible for managing Roco's Safety Services Division, which provides trained safety professionals for turnarounds and other special projects. Finally, Chris serves as the VPP Coordinator for Roco, continuing Roco’s long-standing commitment to excellence in safety and health. Roco has been an OSHA VPP Star Worksite since 2013.

Follow Chris 

Additional Resources

• Fall Hazard Survey (pictured here) 
• Hierarchy of Fall Protection Poster 
• Personal Fall Arrest Systems (PFAS)

You’ll spot them everywhere – from a local utility company working in your neighborhood to your workplace at an industrial or manufacturing facility during construction. It’s way too common to see an open trench unattended and unprotected. And, as we know, it’s only a matter of time until it collapses.

More and more of our customers are asking questions to address safety-related concerns. For example, who’s signing off on the trench project? Is the person you have signing off that a trench is constructed properly and safe for entry trained to know what to look for? Do they have the authority to act (competent person), or are they assuming that the contractor is “doing the right thing”? It is all too common that supervisors are signing off on trench permits without having any trench safety training or experience. Therefore, they cannot be considered competent persons.

Of course, this is troubling. It’s troubling due to the hazards involved and the personnel who will be entering the trench. A trench collapse happens in seconds, making an escape very unlikely once the soil starts moving. Due to the weight of the soil and the speed of the collapse, most do not survive.

Trench safety starts with the Competent Person. If none are available, who is watching out for the safety of the entrants? Not just anybody will do. According to 1926.650(b), the Competent Person is “one who is capable of identifying existing and predictable hazards in the surroundings, or working conditions which are unsanitary, hazardous, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them.” Who on your site is responsible for this? Do they have the authority to correct hazards immediately?

Hopefully, we’ve convinced you of the importance of a trained and experienced Competent Person. Now, what about rescue in case the worst does happen? You’ve got an extremely hazardous situation – is your rescue service prepared for this? Your emergency response team may be trained for most emergencies, but what about this one?

Trench is one of the most dangerous rescue disciplines. It requires special knowledge, such as soil classification, hazard analysis and mitigation, understanding tabulated data, and the proper installation of shoring and shielding systems, just to name a few. It also requires specialized equipment that many response organizations simply don’t possess. This seems to be true for most municipal and industrial teams. With specialized training and equipment required for safe operations, it’s a commitment that most rescue teams just can’t make.

With trench rescue, timeliness is everything. Although it is often a slow and tedious process, proper training and equipment can be the difference between a rescue and a body recovery. Don’t ignore this hazard that may be located on your street or worksite. Take a careful look around, we think you’ll be surprised with the number of trenches and excavations that are occurring on a daily basis.

Did You Know?

After researching many of the questions we have received concerning trench operations, we came across this OSHA Letter of Interpretation that was reviewed most recently on November 8, 2018.
Note: It is always important to review all standards and regulations in their entirety.

Here are some excerpts:

1. Can workers enter a trench with water accumulation if the workers are protected from cave-in by shoring, shields or sloping, and the water level is controlled?

Paragraph .651(h) of 29 CFR 1926 allows workers to work in a trench with water accumulation, provided adequate precautions have been taken to protect employees against the hazards posed by water accumulation. The precautions necessary to comply with the standard vary with each situation, and the precautions you listed, such as additional shoring and control of the water level may not, in all cases, provide the required employee protection. 

2. The Stairways and Ladders Standard requires that a stairway or ladder shall be provided at points of access where there is a break in elevation of 19 inches or more. The Excavation Standard requires a ladder or other means of access and egress when the trench is 4 feet or more. Which of these requirements is applicable to trenching operations?

Be advised that since the specific excavation standard also addresses means of access and egress, the more general requirement in the stairways and ladders subpart is not applicable. A ladder, stairway, ramp or other safe means of access is required only when the trench is four feet or more in depth. Paragraph 651(c)(2) also states…as to require no more than 25 feet (7.62 m) of lateral travel for employees.

3. Must rescue equipment be available at every trenching jobsite that is located near or passes by a gas station, refinery, gas line, sewer main, etc.? Can a contractor rely on the local rescue squad since they are probably better equipped to handle a rescue?

Emergency rescue equipment is required to be readily available where a competent person determines, based on the conditions at each jobsite, that hazardous atmospheric conditions exist or may reasonably be expected to develop during work in an excavation.

In regard to whether a contractor can rely on a local rescue squad instead of providing the rescue equipment, please be advised that many emergency situations associated with the hazards involved with hazardous atmospheres in trenches would normally require an immediate response within a few minutes or even seconds.

A rescue squad would be unable to provide the necessary response and therefore could not be used to comply with 1926.651(g)(2).

4. If a contractor has several of the same make and model trench shields at a jobsite, does he have to have separate manufacturer's tabulated data on hand for each specific shield? We have been told that the shields and the data sheets must have the same serial number in order to be in compliance.

Be advised that only one set of tabulated data is required for each different shield design. If a contractor uses several shields of the identical make and model, only one set of tabulated data would be required for them.

5. Do excavations greater than 20 feet have to be designed by an RPE (Registered Professional Engineer) or can manufacturer's tabulated data be used in lieu of an RPE? For example, a contractor may have boxes rated for depths greater than 20 feet.

Protective systems that are designed using a manufacturer's tabulated data can be used in trenches deeper than 20 feet provided the use is within the limits of the data, including depth limitations and soil type. It should be noted that all tabulated data, by definition (1926.650), must be approved by an RPE.

6. We clearly understand that a ladder has to be secured, but we are not sure how. Contractors have informed us that compliance officers have told them that they cannot secure a ladder to the shoring system or in some cases the trench shield. These same contractors have been told to secure the ladder by driving a stake into the ground and to tie the ladder off to the stake. This alternate method presents three different problems: 1) It is not always possible to drive a stake through concrete or asphalt sidewalks or pavement; 2) This method creates a tripping hazard next to the trench; 3) Some contractors believe that driving a stake could create a stress crack. Please clarify these requirements for us?

Paragraphs 1926.1053(b)(6) and (7) address ladder footing displacement which is not normally a problem in trenches. If a ladder needs to be secured against tipping, it may be secured to a shield or member of a protective structure provided the ladder does not alter the effectiveness of the protective system.

7. Does the competent person have to be standing by the trench at all times during the work shift or can he/she go off site for short periods of time, such as lunch, meeting, or maybe to pick up supplies at the local builder’s supply store? Can the competent person move around the jobsite away from the trench? Often the foreman is the competent person and he may have other responsibilities at the jobsite.

It is not normally necessary for a competent person to be at a jobsite at all times. However, it is the responsibility of a competent person to ensure compliance with applicable regulations and to make those inspections necessary to identify situations that could result in possible cave-ins, indications of failure of protective systems, hazardous atmospheres, or other hazardous conditions, and then to ensure that corrective measures are taken. Consistent with these goals, the competent person may perform other duties.

8. Must an RPE approve all work when digging below a footing, foundation, retaining wall, sidewalk or pavement? We recognize the need for an RPE to design a system to support buildings and structures. However, we don't agree that an RPE is needed to layout a system to support sidewalks, pavement, and in some cases small structures like a small retaining wall. It is often very difficult to find an RPE who is willing to take on small incidental projects.

An RPE approval is not required when the excavation is not "reasonably expected to pose a hazard to employees." In situations where it is reasonably expected to pose a hazard, an RPE approval is not required when a support system, such as underpinning, is provided to ensure the safety of employees and the stability of the structure, or the excavation is in stable rock.

9. At what point and under what conditions would OSHA consider a trench a confined space?

Under normal circumstances, a trench would not be considered a confined space. The excavation standards address the hazards associated with employees entering potentially harmful atmospheres by requiring atmospheric testing and controls where hazardous atmospheres exist or could reasonably be expected to exist.

10. Some compliance officers are telling contractors that they must use a penetrometer or shearvane to estimate the compressive strength of soil and that the thumb test is unacceptable. Keeping in mind that these are field tests. We realize that the thumb test is not accurate, but neither is the penetrometer that many compliance officers swear by. What is OSHA's interpretation for using a thumb test versus an instrument?

Be advised that the thumb penetration test is one of the acceptable methods of estimating soil compressive strength. The compressive strength can be determined by laboratory testing, or estimated in the field using a penetrometer, shearvane, thumb penetration tests, as well as by other methods.

Source: OSHA Letter of Interpretation: Construction standards addressing excavations (reviewed November 8, 2018)

Additional Resources

If you’re concerned that your rescue service may not be adequately prepared, give us a call or check out these resources for more information on how to keep you and your personnel safe around trenches.

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Trench Training: Competent Person | Trench Rescue Technician