training material prepared by 707.373.9709 cell david ... i in compliance with calosha...– post...

Training Material Prepared By David Patzer, DKF Solutions Group, LLC Copyright September 2011 All Rights Reserved

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CalOSHA Compliance Overview for Public Works, Water and Wastewater

David Patzer, DKF Solutions Group, LLC. [email protected]

Today’s Scope

•  Not enough time to address specific requirements for each regulation.

•  Overview of general compliance requirements.

•  Provide a systematic approach to addressing CalOSHA compliance.

•  Handouts available after the webinar – just drop me an email!

CalOSHA REGULATORY COMPLIANCE BURDEN

•  Special District Staff Report to Board on State Of Agency Compliance:

The Title 8 regulations are so complex we are unable to determine our Agency’s state of

compliance…

Don’t forget…CalOSHA compliance is not the gold standard…it’s the minimum standard


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RISKS FOR NON-COMPLIANCE

•  What Can Happen for Non-Compliance? –  Fines –  Multi-Employer Liability –  Third-Party Lawsuits –  Employee Lawsuits –  Damaged Public Image –  Bad Example to Employees –  Employee/Third Party Injury/Fatality –  Increased Liability &/OR Workers’ Comp Costs –  Criminal Liability…

Criminal Liability

RISKS FOR NON-

COMPLIANCE


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How Would Your Agency Fare In A Compliance Audit?

How Do I Know If I’m In Compliance With CalOSHA Requirements?

•  Step 1: Determine which CalOSHA regulations apply to your activities

•  Step 2: Determine what each applicable regulation requires

•  Step 3: Do it •  Step 4: Audit it •  Step 5: Relax

Step 1: Which CalOSHA Regs Apply?

•  Which regulations apply to all employers? •  Which regulations apply due to your

employee’s activities? •  Sources for help


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•  Which regulations apply to all employers? • Report immediately by telephone or fax to the

nearest Cal/OSHA Enforcement Unit district office any serious injury or illness, or death, of an employee occurring in a place of employment or in connection with any employment as required by section 342(a), Title 8, California Code of Regulations (T8CCR).

• Serious injury or illness is defined in section 330(h), T8CCR


•  Which regulations apply to all employers? – Establish, implement and maintain an Injury

and Illness Prevention Program and update it periodically to keep employees safe (10 EE’s)

–  Inspect workplace(s) to identify and correct unsafe and hazardous conditions

– Make sure employees have and use safe tools and equipment and properly maintain this equipment

– Use color codes, posters, labels or signs to warn employees of potential hazards


•  Which regulations apply to all employers? – Establish or update operating procedures and

communicate them so employees follow safety and health requirements

– Provide medical examinations and training when required by Cal/OSHA standards

– Keep records of work-related injuries and illnesses, and post a copy of the totals from the last page of the log 300 during the entire month of February each year, if the employer has 11 or more employees


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•  Which regulations apply to all employers? – Provide the Cal/OSHA enforcement personnel

with names of authorized employee representatives who may be asked to accompany enforcement personnel during an inspection

– Do not discriminate against employees who exercise their rights under the California OSH Act


•  Which regulations apply to all employers? – Post Cal/OSHA citations at or near the work

area involved. Each citation must remain posted until the violation has been corrected, or for three working days, whichever is longer.

– Correct cited violations by the deadline set in the Cal/OSHA citation and submit required abatement verification documentation.

http://www.dir.ca.gov/dosh/EmployerInformation.htm


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http://www.californiaosha.info/


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•  Which regulations apply due to your employee’s activities? – Based on exposure and/or activity – For Public Works, Water and Wastewater

• TYPICALLY:


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http://www.dir.ca.gov/dosh/dosh_publications/trainingreq.htm


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http://www.sipeonlinetraining.com/Main/


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Step 2: Determine what each applicable regulation requires

•  Most require training – Frequency

• Most have an initial and “as needed” training requirement

• Determine the best format for each –  Tailgate, video, computer vs classroom and/or hands-on

• Some have refresher frequencies –  Examples:

»  Bloodborne Pathogens = Annually »  Forklift = 3 year re-certification »  Confined Space Entry Rescue = Annual Drill

• Some require employees trained and designated as either a “Qualified” or “Competent” Person


•  Qualified Person: A qualified person is a person designated by the employer; and by reason of training, experience, or instruction has demonstrated the ability to perform safely all assigned duties; &, when required is properly licensed in accordance with federal, state, or local laws and regulations. –  Examples: –  Mobile Crane & Tower Crane Operators 5006.1(a)

Scaffold Erection & Dismantling Supervisors 1637(k)(1) Personal Fall Arrest System supervisors 1670(b)


•  Competent Person: A competent person is a person who is capable of identifying existing and predictable hazards in the surroundings or working conditions that are unsanitary, hazardous, or dangerous to employees. The competent person has the authority to impose prompt corrective measures to eliminate these hazards. –  Examples:

•  Excavation - Inspectors 1541 •  Fall Protection Plan implementers & supervisors 1671.1

•  Additionally…


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•  IIPP –CCR Title 8 Section 3203 Provide training and instruction: –  (A) When the program is first established; –  (B) To all new employees; –  (C) To all employees given new job assignments for

which training has not previously been received; –  (D) Whenever new substances, processes, procedures

or equipment are introduced to the workplace and represent a new hazard;

–  (E) Whenever the employer is made aware of a new or previously unrecognized hazard; and,

–  (F) For supervisors to familiarize themselves with the safety and health hazards to which employees under their immediate direction and control may be exposed.


•  What about equipment/tasks? – Anything not considered in the realm of

common knowledge must have documented proof of training

– Example: Hammer vs. Stumpgrinder

•  Training must be provided in a “a form readily understandable by all affected employees” –  IIPP Requirement

What mechanism does your agency use to demonstrate comprehension of training material? How about competency?


•  City of Corona Department of Water and Power: – Cited for an alleged violation of GISO §3328(b)

after a worker was crushed to death by a "camel" truck that had inadvertently rolled forward in December 2005.

– The Division proposed an $18,900 penalty.


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•  A laborer for National Plant Services in Simi Valley was killed when he was run over by the sewer pump truck he was operating.

•  The 47-year-old employee had been assigned to clean sewer lines at a mall construction project by using a high-pressure water jet supplied by the truck's tank, Fryer said.

•  "This was the first day this employee had been operating this truck," Fryer noted.

•  Preliminary information indicates that the truck's power transfer box (similar to a tractor's power take-off) was different from other trucks the worker had operated, "and improper operation might have contributed to the accidental start-up" of the truck.

• Elsner v. Uveges – Admissibility of safety regulations – Finding of “negligence per se”

• Violation of a Statute especially designed to protect safety.


•  Most require (or it’s highly recommended) a written policy and/or procedure – Why have written policies/procedures?

• Clarity • Expectations • Agreed upon correct way of doing things • Without it, what do you use for training? • Also…research into how people make errors

shows…

TIP: Keep track of the action items each policy requires, who’s responsible and what completion of the action item looks like (i.e. completed safety audit forms)


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ERRORS

•  Human Performance Levels – 3 levels of human performance

Level Features

Skill Based (SB) Automatic control of routine tasks with occasional checks

Rule Based (RB) Pattern matching prepared rules or solutions to trained-for problems

Knowledge Based (KB) Conscious, slow, effortful attempts to solve new problems on the go

RULE-BASED ERRORS •  Example:

–  1988 Clapham Junction RR Collision •  Northbound commuter train ran into the back of a stationary train

after passing a green “all-clear” signal on the tracks –  35 ppl died, 500 injured

•  A maintenance worker had re-wired the signal the day before –  Didn’t cut off or tie back the old wires, just bent them back out of the

way (bad work habit) –  Re-used old insulating tape (bad work habit) –  The tape came off and the wires came into contact causing a wrong

signal to be issued –  The employee:

»  12 years on the job »  Described as hardworking and motivated »  Never received any formal training - learned by watching others

and trying to “figure things” out on his own »  Result = Bad work habits were never corrected

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

Never Occasionally Very Often

KNOWLEDGE-BASED ERRORS At work in the last year, how often have you done an unfamiliar job, despite

being uncertain whether you were doing it correctly?

Aircraft Maintenance Personnel Survey, 2000

Can We ask this question in any department?

Is a YES answer a good leading indicator that something bad is likely to happen?


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Step 3: Do It

•  Policy/Procedure Development •  Training

Develop the necessary policies


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Develop the necessary training requirements

Don’t forget the necessary task/equipment training requirements

Then develop any necessary SOPs to provide the basis for training…but be careful!

LOCAL ERROR-PRODUCING FACTORS •  Unworkable SOPs

– Common source of errors • Nuclear industry:

–  70% human error due to bad SOPs »  Incorrect procedures »  Unworkable »  Were not known about »  Out of date »  Couldn’t be found »  Couldn’t be understood »  Didn’t exist


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VS

From the Manufacturer…

New Equipment/Procedure = Knowledge Based Behavior = Higher Likelihood of Error

Vacuum Truck Operating Manual


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This is also a Sanitary Sewer Management Plan Requirement for any equipment used during emergency response to spills

New Equipment/Procedure = Knowledge Based Behavior = Higher Likelihood of Error

PHOTO-BASED SOPs

DECISION-BASED SOPs


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DECISION-BASED SOPs

How Do You Know If Your SOPs/Procedures Are A Problem?


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Step 3: Do It

•  Policy/Procedure Development •  Sources for help

– Contact me for samples from other similar organizations • You tailor to your operations

– Consultants • Contact me for referrals

– Risk Control Online


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Step 3: Do It

•  Policy/Procedure Development •  Sources for help

– Contact me for samples from other similar organizations • You tailor to your operations

– Consultants • Contact me for referrals

– Risk Control Online – Or…


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Guidance on how to customize to your operations is built into the template

Designed for the “non safety expert” to TAILOR to their operations

Much less expensive than consultants

Much easier than trying to tailor someone else’s

Step 3: Do It

•  Policy/Procedure Development •  Training


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•  Training –  Classroom/Hands-on

•  Interactive is best •  Time-Consuming and Disruptive

–  Web-Based •  Can be efficient if… •  Generic - doesn’t reflect your procedures, equipment, etc

Step 3: Do It




–  Customized Computer Based Training •  Efficient - delivered as a group or individually •  Reflects your procedures, equipment, etc •  Cost effective – custom modules typically cost about as much as a

good quality generic safety video

Step 3: Do It


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–  Customized Computer Based Training •  Efficient - delivered as a group or individually •  Reflects your procedures, equipment, etc

•  Competency Testing –  Training without testing…..how do you know if people “got it?”

Step 3: Do It

DO YOU KNOW WHAT YOUR PEOPLE KNOW?

Human Reliability

The Human Reliability Curve

Factors Affecting Human Performance (including personal behaviors)

Poor Good

Human Error

Successful Operation

100%

0%

Goal


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Training, Testing And Interactive SOPs Available In The Field

How Do You Know What Your People Know?

How Do You Know What Your People Take Away From Training?

How Do You Know if Your Training Is Effective?

How Do You Know What Your People Know?

How Do You Know What People Take Away From Training?

How Do You Know if Your Training Is Effective?

Remember Clapham Junction?


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•  Necessary core competencies have been identified.

•  Written Policies/SOPs have been developed for identified core competencies.

•  A documented and ongoing employee training and proficiency-testing program is in place for identified core competencies.

Step 3 Summary: Do It

Where to Start?

R

I

S

K

FREQUENCY

HR

LF

HR

HF

LR

LF LR

HF

What Risk Control Systems Do You Have In Place To Make Sure They Go As Planned EVERY TIME?






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HSE Management System A framework for HSE Management

Alcohol & Drugs

Policy Audit Plans

Road Safety Plan

Safety Drills

Security Policy HSE

Policy

No Structure Structure

Policy

Process

Task

Continuous Improvement

Safety (HSE Cases)

Mgt. policy link

Do You Know What Your Policies Require? Who’s Responsible For What?

How Do They Interrelate? (i.e. IIPP and Bloodborne Pathogens) Do You Know If You’re Doing What Your Policies Say You’re Doing?

If an employer is not doing what their own policies SAY they do, is that a good leading indicator of an ineffective safety program?

CalOSHA and the CalOSHA Appeals Board thinks so…

Risk Mgt Performance: Leading vs. Lagging Indicators

Leading indicators are: •  Measurements associated with proactive activities to

identify hazards and assess, eliminate, minimize and control risk.

Lagging indictors are: •  ‘after the fact’–measuring outcomes and occurrences.

Which Tells Us More About The “Health” or “Quality” Of an Agency’s Risk Mgt Program?

Most Common Lagging Indicators of Safety Performance

•  EMR or XMod •  Injury Performance, as in the frequency of OSHA

recordable injuries per 200,000 hours of worker exposure

•  Day Away, Restricted work, and Transferred injury rate

•  First aid injury rate •  Near miss rate


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Leading Indicators of Safety Performance •  Predictors of Future Safety Performance Based on

Selected Criteria. •  If performance indicators show poor or

unacceptable performance, modifications or changes can be made before injuries actually occur

•  Focus is on the process, not the end result.

Keys to a Successful Risk Mgt Program

Physical conditions

-Inspections -Audits -Risk assessments

-Prevention & control

Leading Indicators

Lagging Indicators

Attitudes (set up conditions,

behavior)

- Perception surveys

Program Elements

- Training - Accountability - Communications - Planning & Evaluation - Roles & Procedures - Accident Investigations

Behavior (action)

-Observations -Feedback loops

Measures Results

- OSHA Recordables - Lost Workdays - Restricted Workdays

That Which Gets Measured Gets Managed!

Step 4: Audit It – TRAINING PROGRAM ID CalOSHA Training Requirements

-1st day/week -Prior to Activity

-Retraining Triggers

ID Department Specific Training Requirements -Processes/Procedures

-Equipment

FORMAT? CONTENT?

FORMAT? CONTENT?

ID Who is Responsible For: - Providing Training

- Verifying Training is Occurring per Schedule - Verifying Training Has Been Completed

- AUDITING Training Requirements, Schedule & Completion?

GOAL

Consistency Uniformity Verification


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Step 4: Audit It – POLICY REQUIREMENTS

Step 4: Audit It – REPORT IT (i.e. MANAGE IT)



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Keys to a Successful Risk Mgt Program

Physical conditions

-Inspections -Audits -Risk assessments

-Prevention & control

Leading Indicators

Lagging Indicators

Attitudes (set up conditions,

behavior)

- Perception surveys

Program Elements

- Training - Accountability - Communications - Planning & Evaluation - Roles & Procedures - Accident Investigations

Behavior (action)

-Observations -Feedback loops

Measures Results

- OSHA Recordables - Lost Workdays - Restricted Workdays

Without Measurement, There Cannot Be Management

CalOSHA REGULATORY COMPLIANCE BURDEN

•  Special District Staff Report to Board on State Of Agency Compliance: –  The Title 8 regulations are so complex we are unable

to determine our Agency’s state of compliance


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31

Step 4: Audit It – Where to Start?

R

I

S

K

FREQUENCY

HR

LF

HR

HF

LR

LF LR

HF

What Risk Control Systems Do You Have In Place To Make Sure They Go As Planned EVERY TIME?





SOURCES FOR HELP

•  CSRMA’s Risk Control Online •  My Safety Officer •  Professional Gap Analysis

– Typically, expect to pay ~$2-4k, depending on size of agency, scope of the analysis, vendor

– Vendor Should Provide clear blueprint on: • Where you are now • Where you need to be • Path to get there, including estimated cost info


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http://www.sipeonlinetraining.com/Main/ Contact Me For More Info

mysafetyofficer.com/ Contact Me For More Info

Contact me for information on having a CalOSHA Compliance Gap Analysis Performed


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What’s Coming Down the Pipe…

Google” CA SB 829 to learn the details

To Stay On Top Of What’s Changing…

http://www.dir.ca.gov/oshsb/proposedregulations.html

To Stay On Top Of What’s Changing…

http://www.calosha.com


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David Patzer DKF Solutions Group, LLC.

707.373.9709 [email protected]

THANK YOU!

training material prepared by 707.373.9709 cell david ... i in compliance with calosha...– post...

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