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Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

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Journal of Loss Prevention in the Process Industries


journal homepage: www.elsevier.com/locate/jlp

An integrated holistic approach to health and safety in confined spaces T


a,∗ b b a
Lucia Botti , Vincenzo Duraccio , Maria Grazia Gnoni , Cristina Mora
a
University of Bologna, Italy
b
University of Salento, Italy

A R T I C LE I N FO A B S T R A C T

Keywords: Confined space work is a high-risk activity, posing a significant hazard for both workers and rescuers involved in
Confined space the emergency response. Risks due to working in confined spaces can be extremely dangerous. The leading cause
Risk assessment of accidents and fatalities in confined spaces is atmospheric condition. Further common causes are fire, explo-
Risk management sion, ignition of flammable contaminants, spontaneous combustion and contact with temperature extremes.
Safety procedure
Although confined space work is a high-risk activity, few studies have been oriented aiming to define structured
Industrial safety
procedures or comprehensive tools to identify and manage the risks of work in confined space. An organized and
Job hazard analysis
reliable methodology to assess and control risks associated with working in confined spaces in the process
industry is missing.
The aim of this paper is to propose a structured procedure for analyzing and managing risks in confined
spaces in the process industry. After a first literature review on the topic and an historical analysis on accidents
in confined spaces, the authors conceptualize a framework to prevent and manage the risks from working in
confined spaces. The tool collects the concepts and requirements from the fragmented regulations on safe work
in confined spaces, aiming to support both the assessment and the risk management. Two test cases show the
application of the proposed framework showing an ex-post analysis carried out on a real accident occurred
during a task execution in a confined space and an ex-ante assessment for risk prevention.

1. Introduction victim within the space is a factor contributing to cause the unfortunate
event. Furthermore, ex-post analysis of accidents in confined spaces has
Every year, confined space work causes fatal accidents and injuries, revealed that the victim causes the presence of toxic gas or oxygen
despite the in force regulatory and standards on such activity. Confined deficiency in several accidents due to hazardous atmospheric condi-
spaces are defined as limited or restricted areas not designed for con- tions, while accidents with entrapment are typically due to the attempt
tinuous occupancy where employees enter and perform a specific task. to unclog an accumulated deposit of materials. Several phenomena
Examples of confined spaces include, but are not limited to tanks, occurring in confined space greatly enhance deflagration and detona-
vessels, silos and pipelines. The high risk of confined space work can tion processes (Salzano, 2014; Salvado et al., 2017). A metal tank
lead to extremely dangerous situations. Several publications, reports containing a flammable mixture is capable of generating over pressures
and recent news describe the impact of such risks on workers’ safety of 7e10 times the initial pressure (McAllister et al., 2011). This is due to
and health, showing high accident rates and multiple-fatality incidents several reasons, such as turbulence inducing acoustic wave reverbera-
(Burlet-Vienney, Chinniah, Bahloul and Roberge, 2015a; NIOSH, 1994; tions and continuous compression and heating of the unburned mixture
OSHA, 2015b; Sahli and Armstrong, 1992; Wilson and Madison, 2008). occurring from the burned products (Kolbe et al., 2017).
Common causes of accident in confined spaces are fire, explosion, Recent pilot projects have been developed focusing on the appli-
spontaneous combustion and contact with high temperature extremes cation of Internet of Things technologies for improving safety and
(Botti, Ferrari and Mora, 2017a; Riaz et al., 2014). As an example, in emergency management in complex production systems (Elia and
case of fire in a storage tank, the hot smoky gases rising from the fire Gnoni, 2013; Yang et al., 2013). Few applications have demonstrated
reach the upper part of the confined space, heating the upper surfaces. the potential of such technologies for managing hazards in confined
The smoke layer resulting from the fire and the hot surfaces of the tank spaces. As an example, portable wireless gas detection systems provide
radiate down to the lower part of the enclosure, hitting the worker real data on atmospheric conditions within the confined area, allowing
inside the confined space. Experience shows that the activity of the a quicker and a more efficient emergency response by alerting workers


Corresponding author.
E-mail address: lucia.botti5@unibo.it (L. Botti).

https://doi.org/10.1016/j.jlp.2018.05.013
Received 14 March 2017; Received in revised form 30 January 2018; Accepted 22 May 2018
Available online 23 May 2018
0950-4230/ © 2018 Elsevier Ltd. All rights reserved.
L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

and safety managers in the case of toxic or flammable gas detection. Health at Work (EU-OSHA) state the same 60-percent statistic (Muncy,
Riaz et al. (2014) have developed a Building Information Modeling 2013). These data reveal a hidden phenomenon, i.e. both employers
(BIM) platform aiming to improve visualization for effective monitoring and workers fail to identify confined space work hazards (Burlet-
of confined spaces on construction sites. The platform adopts numerous Vienney, Chinniah, Bahloul and Roberge, 2015b). In 2017 (Botti, Mora
sensors to monitor real-time temperature and oxygen values, sending and Ferrari, 2017b), developed the first version of a tool for the iden-
alerts and notifications to the health and safety manager. tification of confined spaces in industry. The aim was to realize an ef-
Although confined space work is a high-risk activity, few studies fective tool to prevent workers entry into high-risk confined spaces. The
have been oriented to define how to treat and manage the risks of work tool addresses workers during the complex identification of high-risk
in confined space (Botti et al., 2016; Botti et al., 2015; Burlet-Vienney confined spaces. Furthermore, the tool supports the mandatory risk
et al., 2015a). Standard job hazard analysis methods do not specifically assessment for confined spaces computing the risk index for the ana-
address the complex risks of working within confined spaces. A struc- lyzed confined space and task.
tured comprehensive methodology to assess and control risks associated Despite the worldwide regulation and standard-setting efforts in
with working in confined spaces, based on confined space regulations outlining procedures and recommendations for safe confined space
and standards, is missing. Worldwide regulation and standard-setting work, the recent statistics show that several fatal incidents still occur
efforts provide fragmented procedures and recommendations for safe (Burlet-Vienney et al., 2014). Confined space work procedures are not
confined space work. However, the recent statistics show that several internationally standardized. Industrialized countries adopt different
fatal incidents still occur. approaches to address such issue. The local legislation in force reflects
This paper aims to contribute to such issue by introducing and the local strategy for addressing the risk of confined space work.
testing a procedure, based on a holistic approach, for analyzing and American standards and regulations define the confined space
managing risks in confined spaces. Following the structure of generic geometric characteristics, together with the guidelines for job hazard
job hazard analysis defined by the Occupational Health and Safety analysis, hazard elimination, and the procedures for safe confined space
Agency (OSHA 3071, 2002), the proposed tool gathers the fragmented work. The U.S. legislation widely investigates the risk of activities
regulations on safety in confined spaces. within confined spaces, providing exhaustive guidelines and procedures
The remainder of this paper is as follows. After the literature review for safe confined space work. Table 1 shows a brief overview of the
and the legislative overview on the confined space regulations in worldwide rules and standards con confined spaces.
Section 2, Section 3 describes an accident that involved two workers The 29 CFR 1910.146 (1993) standard of the American
who perished into a confined space. Furthermore, a brief historical Occupational Health and Safety Administration (OSHA) is widely
analysis investigates the major causes of accidents in confined spaces known as the Permit-Required Confined Spaces (PRCS) standard for
and the industries exposed to the risks associated with working in confined space work in general industry. Such standard provides a
confined spaces. The proposed procedure for the prevention and man- general definition of “confined space”, together with requirements for
agement of risks in confined spaces is in Section 4, while two applica- practices and procedures to protect employees in general industry from
tions are in Section 5. Finally, Section 6 and Section 7 discuss the results the hazards of entry into permit-required confined spaces. The PRCS
of the case studies and provide the conclusions and the future devel- defines “Confined space” as a space that is large enough and configured
opments of this research. that an employee can enter and perform work, has limited openings of
entry or exit and is not designed for continuous occupancy (OSHA,
2. Literature review 1993). The OSHA 29 CFR 1910.146 is considered one of the most dif-
ficult OSHA's standards to comprehend, likely is the hardest with which
Confined space work is a high-risk activity, posing a serious life- to comply (Taylor, 2011). Confined spaces are not limited to enclosed
threatening hazard to the workers. Hazards in confined spaces are spaces as storage tanks, process vessels, sewers and pipelines. The
difficult to evaluate and manage, due to the complex characteristics of OSHA 1926.21 enlarges the definition of confined spaces. For purposes
such particular work environments (Nano and Derudi, 2012). Both the of such standard, confined or enclosed space means any space having a
features of the confined area and the characteristics of the performed limited means of egress, which is subject to the accumulation of toxic or
task have direct impact on the overall risk level of a specific confined flammable contaminants or has an oxygen deficient atmosphere. Con-
space activity. sequently, confined or enclosed spaces include open top spaces more
Several accidents and injuries related to confined space work than 4 feet in depth such as pits, tubs, vaults, and vessels.
showed that workers access to confined areas without proper training The 29 CFR 1910.146 protects employees who enter confined spaces
and personal protective equipment, exposing themselves to high levels while engaged in general industry work. This standard has not been
of hazards (Botti et al., 2015). The lack of situation awareness is an extended to cover employees entering confined spaces while engaged in
underlying cause of human errors, especially when workers access to specific industries, as construction work or confined space workers in
areas not designed for continuous occupancy as confined spaces. Rescue agriculture because of unique characteristics of such worksites. The US
attempts in confined spaces are also hazardous situations, since emer- legislation provides precise standards for industries exempt form
gency response is a low-frequency, high-risk operation. Rescuing a OSHA's 29 CFR 1910.146, such as construction, agriculture and ship-
worker from a confined space is a time sensitive and technically chal- yard work. For example, the OSHA 29 CFR 1926 Subpart AA (2015)
lenging operation (Wilson et al., 2012). Many would-be rescuers perish protects construction workers in confined spaces, while the OSHA
while trying to rescue a victim after a confined space accident. Ex- 1910.272 (1996) applies to grain handling facilities and the OSHA 29
perience and historical data on accidents in confined space show that a CFR 1915 is for confined spaces in shipyard employment.
unplanned and hurriedly executed rescue increases the probability that Despite the numerous directions of the OSHA's standards, employers
would-be rescuers will become victims (Wilson and Madison, 2008). in general industry have difficulty determining if spaces are permit-
Would-be rescuers victims include trained fire-fighters and competent required confined spaces. The OSHA 3138-01R (2004) provides a de-
personnel who had years of experience in emergency response. How- cision flow chart to help identifying permit-required confined spaces
ever, first-responding firefighters are not trained or equipped to effect a and providing signage requirements.
confined space rescue (Wilson et al., 2012). Data and statistics reveal The main cause of accidents in confined spaces is the need of en-
that the 60% of confined space fatalities in U.S. occur among would-be tering the high-risk area. The most effective risk control measure for
rescuers (NIOSH, 1986). The chain of would-be rescuer deaths is an on- work in confined space is not to enter the confined area. A recent study
going phenomenon globally challenging. The Canadian Center for Oc- has collected innovative non-man entry technologies for work in con-
cupational Health and Safety and the European Agency for Safety and fined spaces. The research focused on automated entry technologies for

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Table 1
Standards for work in confined space.
Nation Standard/Guideline Field of intervention

USA OSHA 1910.146 (1993) Definition of confined space in general industry, requirements for practices and procedures to protect employees from the
hazards of permit-required confined spaces.
OSHA 1926.21(b)(6)(ii) (1987) Construction. Extension of the definition of confined space, including open top spaces more than 4 feet in depth.
OSHA 29 CFR 1926 Subpart AA Standard on confined spaces in construction.
(2015)
OSHA 29 CFR 1910.272 (1996) Grain handling facilities.
OSHA 29 CFR 1915 Subpart B (2011) Confined and enclosed spaces and other dangerous atmospheres in shipyard employment.
OSHA 3138-01R (2004) Informational booklet including a decision flow chart to help in identifying permit-required confined spaces and providing
signage requirements.
OSHA 3071 (2002) Requirements and guidelines for the job hazard analysis.
NIOSH 80-106 (1979) Criteria for working in confined spaces, investigating the atmosphere characteristics of the confined areas.
NIOSH 86-110 (1986) Case reports of fatal incidents concerning confined space work.
NIOSH 87-113 (1987) Guidelines for safe confined space work.
NIOSH 94-103 (1994) Data and investigative reports of fatal incidents involving workers who entered confined spaces.
ANSI/ISA 92.04.01 Part I-2007 (2007) Requirements for instruments used to provide a warning of the presence of oxygen-deficient or oxygen-enriched atmospheres.
ANSI/ASSE Z117.1–2009 (2009) Safety requirements to be followed while entering, exiting and working in confined spaces at normal atmospheric pressure.
ASTM D4276-02 (2012) Procedures to protect the health and safety of workers required to enter confined spaces, and practice with specific safety steps
to be taken for entry into confined spaces.
UK HSE (1997) Requirements for safe confined space work. Apply where the assessment identifies risks of serious injury from work in confined
spaces.
HSE (1999) Require employers and self-employed people to identify the hazards present in confined spaces, assessing the risks and
determining what precautions to take.
HSE (2014) Approved Code of Practice (ACOP) and guidance for those involved in work within confined spaces, those who employ or train
such people and those that represent them.
Swiss SUVA 01416 (2004) Guidelines for safe confined space work.
SUVA 44040.i (2010a) Guidelines and checklist for maintenance activities in enclosed areas.
SUVA 44062.i (2010b) Guidelines for activities in pits, sewers and pipelines.
SUVA CFSL:6806i (2012) Checklists for inspection and maintenance in confined spaces.
SUVA 67103.i (2013) Checklist for welding, cutting and other hot work.
Italy TU D.Lgs. 81/2008 (2008) Regulation on occupational safety and health in general industry.
DPR 177/2011 (2011) Requirements for confined space personnel and operating companies.

high-risk activities as cleaning, inspecting and maintenance (Botti et al., to determine what precautions to take. The Swiss approach to confined
2017a). However, effective and affordable non-man entry technologies space issues is based on the type of confined space and activity to
are available for a limited number of industrial operations. Experience perform. The Swiss National Accident Insurance Fund (SUVA) provides
shows that several industrial applications require man entry into the several checklists for different confined space activities. Such checklists
confined space. When entry is not avoidable, organizations are required help confined space workers to analyze the hazard of typical confined
to perform a risk assessment. The US legislation explores the risk of spaces and activities to perform (SUVA, 2004; SUVA, 2010a; SUVA,
confined space work from multiple perspectives, to help employers and 2010b; SUVA, 2012; SUVA, 2013). The Italian legislation does not
employees in recognizing such hazardous workplaces. The risk of con- provide a specific regulation addressing the multiple risks of confined
fined spaces is due to both the characteristics of the confined area and space work as it provides general requirements for work in polluted-
the characteristics of the task to be performed. Activities such as suspected environments. Italian employers and employees are required
cleaning, repairing and welding can create a hazardous environment, to follow the directions of the TU D.Lgs. 81/2008 (2010), the Italian
when performed within the confined area. regulation on occupational safety and health. Such regulation provides
The American National Institute for Occupational Safety and Health requirements for occupational safety and risk assessment methods in
(NIOSH) provides criteria and guidelines for preventing occupational general industry. The Italian specific rule for confined spaces defines
fatalities in confined spaces (see in Table 1). The NIOSH publication 80- the requirements for confined space personnel and operating compa-
106 (1979) outlines a classification system for confined spaces, in- nies, but no guidelines for safe confined space work are provided.
vestigating the atmosphere characteristics of the confined area. The
publication provides a checklist of factors to consider for the analysis of
hazardous atmospheres, based on the content of oxygen, flammable 3. Accidents in confined spaces
substances and potential or toxic air contaminants. Further NIOSH
publications provide guidelines for the recognition of confined spaces Incidents in confined spaces frequently lead to multiple fatalities as
and their general physical hazards, together with statistics and findings would-be rescuers perish while trying to rescue the first victim of the
on fatalities in confined spaces (NIOSH, 1986; NIOSH, 1987; NIOSH, accident. Two major risks associated with working in confined spaces
1994). The American National Standard Institute (ANSI) and the are asphyxiation and intoxication (Frensh ministry for sustainable de-
American Society for Testing and Materials (ASTM) provide further velopment -SRT/BARPI, 2009). These risks are present in several sec-
standard practices for confined spaces and performance requirements tors, e.g. chemical industry, agricultural industry, food processing and
for instruments used to detect the atmosphere of confined areas. wastewater industry. Accidents in chemical processing and refining
A European Standard for confined space work is not yet available. frequently implicate the introduction of nitrogen for inerting purposes
The European Regulation on confined spaces is fragmented. The pro- or toxic gases (H2S, NH3, Cl2, etc.) used or released during the various
cedures and practices for safe confined space work apply to the country processes. Specifically, gaseous releases might occur during process
where the rules are published. The Britain legislation on confined implementation.
spaces is based on The Management of Health and Safety at Work Before introducing an historical analysis of accidents in confined
Regulations (1999) and the Confined Spaces Regulations (1997), which spaces, this section describes a tragic event in which two workers were
require workers to identify the hazards present, to assess the risks and asphyxiated inside a nitrogen filled confined space in a U.S. refinery in
2005. The event is sadly known as the “Valero Refinery Asphyxiation

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Incident”. workers are not properly trained on the dangers of confined spaces in
The workers were engaged in reinstalling a large pipe elbow on the the complex plants of process industry. Nitrogen asphyxiation caused
top of a pressure vessel, called a hydrocracker reactor, during the 80 deaths and 50 injuries in U.S. from 1992 to 2002 (CSB, 2006).
overnight shift. The uninstalled pipe left an opening on a work platform This section shows a quantitative analysis on incidents in con-
24 inches in diameter, surrounded by two-foot high steel bolts. The fined spaces, aiming to identify the major causes of accidents and
reactor was performing a purification process which removes oxygen fatalities. The main databases and archives collecting data on occupa-
and hazardous gas from equipment by flowing nitrogen through it. The tional safety have been verified to gather and analyse accidents and
investigations revealed that the workers decided to attempt to remove a fatalities due to work in confined space. Such databanks include the
roll of duct tape lying inside the reactor with a long wire hook. The roll CSB, Facts (Failure and ACcidents Technical information System), the
was five feet below the opening. The workers repeated numerous at- OSHA (US Occupational Safety and Health Administration), CRED
tempts to remove the tape with no success. Investigators concluded that (International Disaster Database), ARIA (Analysis, Recherche et
one worker stepped over the bolts and sat on the narrow ledge around Information sur les Accidents) and the NIOSH (The National Institute
the opening, to improve his chance of hooking and removing the tape for Occupational Safety and Health) archives, which provided the most
(see Fig. 1). updated data on confined space fatalities. In particular, NIOSH data

Fig. 1. Reactor opening (CSB, 2006).

The worker intentionally entered or fell into the reactor, where the report that the total number of accidents in confined spaces in US be-
oxygen-depleted environment created by the nitrogen flow overcame tween 1985 and 2015 was 141, which have caused 197 fatalities and a
him (see Fig. 2). He immediately collapsed. The second worker quickly consequent average fatality rate per accident of 1.39 (NIOSH, 2016) .
inserted a ladder through the opening and climbed inside, trying to Data have been arranged in relation to the type of industry: che-
rescue the colleague. He too was overcome by the oxygen-depleted mical (e.g. accidents in reaction vessels), food (e.g. accidents in silos)
environment and also succumbed. The oxygen content in the atmo- and utility (e.g. accidents in sewers). Fig. 3 shows the results of the
sphere was less than one percent. Efforts by properly-equipped emer- accident analysis. Left side of Fig. 3 (A) refers to NIOSH data (NIOSH,
gency responders to revive the men were unsuccessful and the men 2016) while right side (B) shows Italian accidents in confined spaces by
were declared dead at the hospital (CSB, 2006). industry (Botti et al., 2015).
Both US and Italian data in Fig. 3 show that the highest number of
accidents in confined spaces are in wastewater industry. The collection
and treatment of industrial or agricultural wastes, in addition to their
associated wastewater networks, causes the production of gaseous ef-
fluent by means of physicochemical reactions or fermentation (H2S).
Furthermore, wastewater treatment technologies and plants are located
below ground level. Workers enter into such confined areas by access
stairways to perform routine maintenance, inspection, testing, sampling
and repairing operations.
NIOSH data (Fig. 3A) revealed high prevalence of confined space
fatalities in agriculture, i.e. farming activities use tanks and silos as-
sociated with the phenomena of normal or accidental evaporation or
fermentation (e.g. CO, CH4, CO2, alcohol) of organic materials. The
analysis of Italian data (Fig. 3B) revealed a significant number of ac-
cidents in confined spaces in the food industry, that involved workers in
storage tanks, grape presses, fermentation tanks, utility vaults and
vessels. Accidents in food processing industries are due to intoxications
from ammonia used in refrigeration installations, accidental mixes of
incompatible chemical substances (e.g. acid and bleach) and fermen-
tation phenomena (CH4, H2S, etc).
Seven main causes of accident have been identified as asphyxiation,
engulfment, poisoning, oxygen deficiency, drowning, explosion, and
electrocution. Data classification is proposed in Fig. 4. Specifically,
Fig. 2. Reactor work platform (CSB, 2006).
when the total number of occurrence is less than 3, data have been
grouped in the “Other” category. Results show that Asphyxiation is the
The U.S. Chemical Safety Board (CSB) stated that the accident could most frequent cause of death when an accident in confined space oc-
have been avoided through better hazard awareness training and curs.
proper confined space rescue actions. The Valero incident shows that These results confirm the statistics reported by Wilson et al. (2012)

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Fig. 3. Classification of accidents in confined spaces by industry (A: NIOSH data, B: Italian data).

on confined space emergency response. Italian statistics on accidents in administrative controls for risk elimination or reduction.
confined spaces from 2001 to 2016 show similar results. Specifically,
the total number of accidents in the analyzed period is equal to 20
accidents, which have caused 60 fatalities; in this case, the average 4.1. Phase 1: analysis
fatality rate is equal to 2.25 fatalities per accident. Results are in Fig. 5.
Aiming to provide a reference tool for the prevention and man- The first step of the procedure guides safety specialists and practi-
agement of the risks associated with working in a confined space, tioners through the analysis of the confined space characteristics. The
Section 4 introduces a procedure for safe work in confined space. analysis investigates the characteristics of the confined space, the
characteristics of the task and the requirements for safe emergency
response in case of accident. The first analysis includes the analysis of
4. The procedure for safe work in confined space the characteristics of the confined space. Both the geometric char-
acteristics and the atmospheric characteristics of the confined space
Structured procedures and technical guidelines on risk assessment affect the safety conditions of the confined area. Particularly, confined
and management for confined space work are not standardized and not spaces are restricted areas with limited openings for entry and exit.
effectively integrated. Thus, a stepwise procedure for the prevention Consequently, the restricted airflow and the hazardous contents may
and management of confined spaces risks is now discussed in detail determine atmospheric conditions immediately dangerous to life or
aiming to provide technicians, practitioners as well as researchers with health (OSHA, 1993). The second analysis investigates the character-
a reliable tool for the analysis of the dangerous scenario in confined istics of the task performed in the confined space. Both the adopted
spaces. Specifically, the procedure consists of a framework that collects equipment and the performed activity may affect the atmospheric
the concepts and requirements from the fragmented regulations for safe conditions of the confined area and contaminate the atmosphere. Fi-
confined space work. The aim is to support both the assessment and the nally, the third analysis includes the study of the requirements for safe
risk management phases. emergency and rescue operations. The emergency response plan ana-
The stepwise approach in Fig. 6 addresses safety managers and risk lysis aims to ensure high performances of both the emergency response
analysts during the design of work procedures and risk assessment for plan and the emergency and rescue procedures, in case of accident in
work in confined space. Firstly, the framework proposes the analysis of the confined area. Particularly, the preplan of the confined space in-
the characteristics of the confined area, the characteristics of the task cident helps emergency response team in identifying the causes and the
and the requirements of the emergency response plan. Next, the overall consequences of possible incidents. The analysis of emergency and re-
risks that could affect a confined space work are analyzed in detail. The sponse plan concludes with the preplan of the emergency and rescue
risk assessment includes the analysis of both the causes and the con- operations. The aim is to identify an effective approach for confined
sequences of the activities performed within the confined area. The space rescue operations. This phase involves the design of a standard
procedure terminates with the analysis of the engineering and emergency and rescue procedure, and the phases from the request for

Fig. 4. NIOSH accidents classification based on causes and number of fatalities occurred in confined space from 1985 to 2015.

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Fig. 5. Italian accidents classification based on causes and number of fatalities occurred in confined space from 2001 to 2016.

Fig. 6. The proposed framework.

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

emergency response to the termination of the emergency intervention employee while he was working into a confined space. The second test
(Hansen, 1999). case describes the manufacturing process of a metal tank and the phases
in which the worker is required to enter into the tank.
4.2. Phase 2: risk assessment
5. Test of the proposed framework
Risk identification and assessment for work in confined spaces are
difficult and complex. The second step of the framework analyses the Two test cases are discussed to show the application of the frame-
multiple risks of confined space work. The aim is to identify the leading work described in previous Section 4. The aim is to validate the global
causes of confined space incidents and the possible hazards in such effectiveness of the proposed tool by its application in two different
workplaces. Three main types of risk characterize confined spaces: case studies: an ex-post analysis carried out on a real accident occurred
electrical, mechanical and chemical risk. Electric shock injuries and during a task execution in a confined space and an ex-ante assessment
deaths are frequent consequence of electrocution in confined spaces. for risk prevention.
Mechanical risks include the risk of entrapment, asphyxiation and en-
gulfment due to drowning or falling objects. Finally, hazardous atmo- 5.1. Test case 1: fatal incident in a tank
spheric conditions lead to fire, explosion, poisoning and other ha-
zardous consequences of the chemical risk in confined spaces. Other This Section introduces summary data and investigative reports of a
possible risks of work activity in confined spaces include temperature fatal accident involving a worker who entered an oil storage tank.
extremes, noise, vibration and communication problems (see Fig. 6). Specifically, the following case study is from the NIOSH State Face
Report (NIOSH, 2014). The investigations revealed the wrong appli-
4.3. Phase 3: risk elimination or reduction cation of safety procedures during maintenance activity in an oil sto-
rage tank. The unsafe operations caused the death of a welder who was
The information obtained from the hazard analysis in Phase 1 and repairing the tank. The worker was inside the confined space to weld a
the risk assessment in Phase 2 allow to identify the control measures for defect that caused the oil leakage from the tank. After detecting the leak
risk prevention. The aim of Phase 3 is to define the control methods to position, the site manager activated the procedure for the tank re-
eliminate or to reduce the risks identified in the first two phases of the covery. The recovery process included four different phases:
framework. The most effective control methods are engineering con-
trols, which physically change the characteristics of the work activity • Aspiration of the liquids in the four tank compartments;
preventing the exposure of the workers to the risks arising from work in • High pressure steam cleaning (90 min);
confined space. Engineering controls for risk elimination are preferred • Inspection of the tank (worker entry);
control methods, rather than engineering controls for risk minimiza- • Maintenance and repair operations inside the tank (worker entry).
tion, enclosure, isolation or redirection. Such control measures include
the use of static electricity for the risk elimination or the use of con- During the first two phases, the welder prepared the welding
tinuous forced air ventilation for risk redirection (Garrison and Erig, equipment. A fan was introduced inside the damaged compartment of
1991). If engineering controls are not feasible, administrative controls the tank to decrease the inner temperature. The welder entered the tank
may be appropriate. Such controls involve operating procedures or to set the fan when an explosion killed him instantly. The investigation
organizational methods, e.g. written operating procedures, safe work reported the cause of the explosion as lack of refrigeration of the ad-
practices and training. Finally, PPE is an acceptable control method if jacent compartment. Consequently, the temperature increased trig-
engineering controls are not feasible or when administrative controls do gering the residual vapours inside the tank.
not provide adequate additional protection. Safety plans and proce- The proposed framework suggests analysing the characteristics of
dures may include engineering control methods rather than adminis- the confined space and the task to be performed, aiming to identify and
trative controls or PPE, aiming to provide protection and to abate the manage the risks of confined space work.
hazards in confined spaces. If engineering controls can not eliminate
the risk, the optimal control measure is a combination of all the three 5.1.1. Phase 1: analysis
types of control method. The tank capacity is about 50,800 l, divided in four compartments of
Section 5 introduces the application of the proposed framework to 15,990 l, 6430 l, 9460 l and 18,930 l. Four manholes (0.45 m diameter)
two test cases. Specifically, the first test case shows data and informa- allow the access to each compartment. Furthermore, each compartment
tion from the investigative report on a fatal accident involving an is provided with an inspecting hatch (0.25 m diameter) on the top.

Fig. 7. Oil storage tank (on the left) and the extractor fan (on the right) (NIOSH, 2014).

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Repair and maintenance are performed inside a building with four test case concerning the manufacturing process of a big-sized metal
garage doors. The characteristics of the tank identify a confined space. tank (Fig. 9). The tank is included in the filtration process for the
Different maintenance operations may be performed. Welding tasks are treatment of potable water. Once the treatment system is in service, raw
performed with an MIG welding torch. water goes through the filtering layers contained within the tank.
The first two phases of the recovery process (aspiration of residual The tank manufacturing process requires a worker to enter a cy-
liquids and high pressure steam cleaning) are completed outside the lindrical tank to perform welding of the metal components of the tank
building (Fig. 7) and prior to inspection. (e.g. top, lateral metal sheet, bottom and other small components).
A metal canopy protects the tank outside the building (Fig. 7). A Specifically, the worker accesses inside the confined space twice for
supervisor oversees the whole recovery process and the actuation of performing welding operations (see Fig. 9 right side).
each phase. Following the step-wise procedure of the framework in Fig. 6, the
characteristics of the tank and the characteristics of the welding op-
5.1.2. Phase 2: risk assessment erations are analyzed to identify the risks of the introduced confined
The worker enters the tank to perform inspecting operations. During space work and the risk control measures to adopt.
such activity, the tank can contain vapour and liquid residuals poten-
tially harmful. These agents may cause worker asphyxiation. 5.2.1. Phase 1: analysis
Furthermore, fumes and gas from welding operations may displace the The tank diameter is 3 m. During welding operations, a positioning
oxygen in the tank to the extent that it will asphyxiate workers almost device sustains the tank with the diameter perpendicular to the floor, as
immediately. Finally, the high temperature inside the tank and the in Fig. 9. The width of the internal space where worker welds compo-
adoption of electric equipment (e.g., welding torch) expose the worker nents is about 1.3 m, while the height is 3 m (tank diameter). The
to the risk of explosion, fire, thermal shock and electrical shock. worker accesses the tank through a manhole of DN 500. The manhole is
the same for both the entry and the exit. Such features identify a con-
dition of high confinement for both the confined space and the access.
5.1.3. Phase 3: risk elimination or reduction
An additional opening is positioned on the top of the tank. The di-
The risk elimination or reduction is obtained through residuals as-
mensions are 420 × 320 mm. The airflow is restricted.
piration and high pressure steam cleaning. In case of worker entry, an
The welder performs welding operations by means of a welding
extractor fan is placed inside the tank (see Fig. 7 on the right side). The
torch. A pipe positioned on the additional opening is connected to an
extractor provides mechanical ventilation, refrigerates materials after
artificial ventilation system to suck the welding fumes. The temperature
steam cleaning and increases the air content inside the tank compart-
inside the tank and close to the welding point is about 40 °C. The
ment. The investigative report showed that no preventive measures for
worker keeps a kneeling or crouching position for the whole duration of
explosion hazard triggering were taken. Internal procedures require the
the welding operations. Specifically, the welding task inside the con-
adoption of air monitoring equipment inside the tank. Such tool was not
fined space requires up to 45 min. The worker accesses the confined
available when the accident occurred. Further possible risks concerning
space wearing proper protections (e.g., gloves, leather clothes, mask,
electrocution have been considered.
kneepads and ear plugs) and equipment to monitor the atmosphere (e.g.
The accident and the related investigative reports have shown lack
portable multi gas detector). A second worker, the attendant (OSHA,
of confined space risk management. The company did not include the
1993), is stationed outside the tank, monitoring the entrant and the
recovery operation among the activities performed in confined space.
position of the pipe connected to the ventilation system. The victim
No documents described the operations performed by the workers and
removal equipment is a pulley arranged on a removable metal base. The
no air monitoring equipment was available during the operations.
connections on the ground for the installation of the metal base are
Finally, workers were not prepared to work in confined space.
arranged close to the point where the worker accesses the tank. During
Consequently, specific safety procedures and operations for safe con-
the welding operations, the pulley and the base are stored close to the
fined space work were omitted. The result was the explosion of the tank
tank. In case of emergency, the attendant retrieves the rescue equip-
(Fig. 8).
ment and fixes the rescue equipment with the connections on the
ground, hooks the worker inside the tank and pulls by means of the
5.2. Test case 2: metal tank manufacturing process pulley.

This Section shows an application of the proposed procedure to a 5.2.2. Phase 2: risk assessment
The welder assumes awkward and static postures for extended
periods of time while welding. Consequently, welding inside the tank
exposes the welder to ergonomic risk factors. Such conditions are as-
sociated with the development of work-related musculoskeletal injuries
and disorders (Stack et al., 2016). Welding operations produce fumes
and gases that could cause a reduction in the oxygen percentage content
inside the tank and asphyxiate the worker. Furthermore, the high
temperature inside the tank and the use of an electric device expose the
welder to the risks of fire, explosions, thermal shock and electric shock.

5.2.3. Phase 3: risk elimination or reduction


The complete elimination of the hazard is possible by preventing
worker entry, as required by regulations on confined space work. Non-
man entry technologies are automated solutions that replace the
workers for activities in confined spaces. Examples of non-man entry
technologies for welding operations in confined spaces are automated
welding robots. Welding robots are widely adopted in industry. Such
robots consist of a programmable manipulator arm equipped with
welding automation equipment. The welding task is pre-programmed
Fig. 8. Tank conditions after the explosion (NIOSH, 2014). by the worker outside the confined area or guided by machine vision, or

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L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

Fig. 9. Metal tank for water treatment (on the left side) and worker entry into the metal tank (on the right side).

by a combination of the two methods. Either way, the welder is not engineering controls are not feasible, the OSHA 3071 encourages the
required to enter the confined space and the risk of confined space work adoption of administrative controls, e.g. written operating procedures,
is eliminated. The adoption of written operating procedures and per- work permits, and safe work practices. Finally, PPE is an acceptable
mits for work in confined space are further effective risk control control method when engineering controls do not totally eliminate the
methods. Specifically, the PRCS standard defines “Permit-required hazard or when safe work practices do not provide sufficient additional
confined space” a confined space that has one or more of the following protection.
characteristics: contains or has a potential to contain a hazardous at- Job hazard analysis aims to identify hazards before they occur,
mosphere; contains a material that has the potential for engulfing an eliminating or reducing them to an acceptable risk level. However, a
entrant; has an internal configuration such that an entrant could be structured and reliable methodology to assess and control risks of
trapped or asphyxiated by inwardly converging walls or by a floor confined space work is missing. Recent statistics on accidents in con-
which slopes downward and tapers to a smaller cross-section; or con- fined spaces has shown that, despite current job hazard analysis pro-
tains any other recognized serious safety or health hazard. The permit- cedures and risk assessment methods, confined space fatalities still
to-work certificate identifies the tools allowed in the confined space and occur. Confined spaces regulations widely address the problem of safety
the requirements for work implementation. The issue of the permit and risks in confined spaces. Table 1 has provided a list of world-wide
ensures a safe atmosphere inside the confined space prior to entry and regulations on work in confined spaces.
during work in progress. The validity of the permit is limited to the time Previous studies have investigated the problem of safety in confined
stipulated on the certificate, after which workers are required to leave spaces, aiming to realize a comprehensive risk identification and to
the confined space. Permit-to-work certificates and risk assessment re- categorize interventions by means of checklists and questioners (Burlet-
ports should be accessible and visible within the immediate vicinity of Vienney et al., 2015a). This paper has introduced a framework to ad-
the confined space. Leather and flame-resistant treated cotton clothing dress risks of confined space work adopting a holistic approach to safety
is recommended in welding environments, as they provide durability in confined spaces. The aim is to help employers and safety profes-
and fire resistance. PPE protect welding operators from injury, such as sionals during the design of work activity in confined spaces, sup-
burns, which are the most common welding injury. The use of hearing porting the risk management and addressing critical aspects of safety in
devices and protective gloves reduces the exposure of the worker to confined spaces. The proposed framework collects the concepts and
noise and to the risk of electrocution. Furthermore, the welder should requirements from the fragmented regulations for safe confined space
wear a respiratory mask for welding operations, provided with a self work. As required from regulations on general job hazard analysis, risk
contained breathing apparatus. Finally, proper and adequate PPE allow analysis and risk assessment are addressed in the first step of the fra-
freedom of movement while providing sufficient protection from mework. Specifically, Step 1 includes the analysis of three critical as-
welding hazards. pects of safety in confined spaces, i.e. the characteristics of the area, the
characteristics of the task and the analysis of the emergency response
plan. Step 2 investigates causes and consequences of risks in confined
6. Discussion spaces. Finally, the third step of the framework addresses the choice of
engineering and administrative risk control measures, and PPE to
This paper has conceptualized a procedure for preventing and eliminate or reduce the identified risks. The application of the proposed
managing confined space risks. framework to two case studies from industry has proved its effective-
Although confined space work is a high-risk activity, few studies ness in preventing hazardous situations and accidents in confined
and technical reports have been oriented to define how to treat and space.
manage the risks of work in confined space. Regulations on occupa-
tional safety and health provide directions and stepwise procedures to
identify hazards before they occur and to eliminate or reduce them to 7. Conclusions
an acceptable risk level. As an example, the OSHA 3071 (2002) Stan-
dard proposes a stepwise procedure for the job hazard analysis in This paper has introduced a structured and effective procedure for
general occupational workplaces: task description, hazard description risk assessment and risk management of work activity in confined
and hazard controls. After reviewing the task characteristics and the spaces. Every year, this activity causes fatal accidents and injuries.
types of hazard, the procedure considers the control methods for the Incidents in confined spaces frequently lead to multiple fatalities as
elimination or the reduction of the identified hazards. Control methods would-be rescuers perish while trying to rescue the first victim of the
include engineering controls, administrative controls and Personal accident. The results of historical analysis on accidents in confined
Protective Equipment (PPE), such as respirators and protective spaces in Section 3 show that the major cause of fatalities in confined
clothing. Engineering controls physically change a machine or work spaces is asphyxiation.
environment to prevent employee exposure to the hazard. If Despite the rising accident rates and the statistics on multiple-

33
L. Botti et al. Journal of Loss Prevention in the Process Industries 55 (2018) 25–35

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