Hierarchy of Controls: Everyone Home, Every Day

By Clayton Dimmitt, MBA, CSP, Sr. HSE Project Manager, SevenGen

INTRODUCTION

In the complex landscape of workplace safety, protecting workers from hazards is not just a legal requirement, but a moral imperative.?Workplace safety standards have improved since the birth of the Occupational Safety and Health Act of 1970, where workplace fatalities have plummeted from 14,000 annually in the early 1970s to approximately 5,333 in 2019, a decrease of over sixty percent (OSHA Online Center, 2023).?Although evident of the nation’s successful journey towards safer workplaces, countless employees still face potential risks that lead to injuries or illnesses, emphasizing the need to implement effective hazard controls.?Among the many strategies developed to mitigate these risks, the hierarchy of controls stands out as a foundational principle that guides organizations in creating safer work environments. This systematic approach categorizes control measures into different levels based on their effectiveness in reducing or eliminating hazards.

The hierarchy of controls is a layered strategy for managing workplace hazards, emphasizing the most effective means of hazard control, such as elimination and substitution initiatives, before considering less effective measures like administrative controls and personal protective equipment (NIOSH, 2023). By implementing hazard control methods from most to least effective, it ensures that organizations adopt the most efficient strategies to protect their workforce.

The objective of this analysis is to better understand the hierarchy of controls, exploring each level of the hierarchy in detail.?The application of the hierarchy of controls will be examined, including various industry and non-industrial examples.?Challenges faced by organizations in their efforts to implement the hierarchy of controls, and possible solutions to overcome those obstacles, will be highlighted.?Lastly, a look at future directions and innovations in the field of hazard control, with a focus on how technology is reshaping safety measures in the workplace, will be discussed. Through this comprehensive analysis and use of real-world examples, it is the intent to emphasize the significance and correct application of the hierarchy of controls in fostering a culture of safety and accident prevention in the workplace.

UNDERSTANDING THE HIERARCHY OF CONTROLS

The hierarchy of controls is a fundamental concept in occupational health and safety management, providing a structured approach to reducing workplace hazards. This framework is predicated on prioritizing control measures based on their effectiveness in mitigating risks. It is designed to guide employers and safety professionals in implementing the most effective means of control before resorting to less effective, more temporary solutions. The hierarchy is generally presented in the following order, from most to least effective: Elimination, Substitution, Engineering Controls, Administrative Controls, and Personal Protective Equipment (PPE).

Elimination

Elimination is the most effective method in the hierarchy of controls. It involves removing the hazard entirely from the workplace, ensuring the risk of injury or illness is completely eradicated. For example, if handheld power tools pose a trip hazard due to cables extending across a work area, then replacing those tools with battery operated tools would eliminate the associated risk altogether.?Similarly, if a valve must be activated that is only accessible by ladder or powered lift, then relocating that valve to the ground level would eliminate all fall hazards.?While elimination is the most desirable outcome, it is not always feasible depending on the actual hazard or the essential nature of the work process to an organization’s operations.

Substitution

If a hazard cannot be eliminated, the second most effective control measure is substitution, which involves replacing a hazardous substance or process with a less dangerous one. This method does not remove the hazard but reduces its potential to cause harm.?The substitution of asbestos with safer insulating materials in many industries is a good example of using this level of the hierarchy.?It is important to note, if residual hazards remain after implementing substitution controls, employers must look to other levels of the hierarchy to mitigate that risk to an acceptable level, or until it is eliminated.?

Engineering Controls

In many cases, elimination and substitution control measures are difficult, if not impossible to achieve.?As a next step, engineering controls are an extremely efficient method of managing workplace hazards and eliminating risk.?Engineering controls aim to isolate people from hazards through physical means.?This could involve installing guards or barriers, improving ventilation systems, or designing equipment that reduces exposure to hazardous conditions. Engineering controls are preferred because they do not rely on human intervention to be effective. They are designed to automatically provide protection by modifying the work environment or the way tasks are performed.?

Administrative Controls

Administrative controls are policies, procedures, and practices designed to minimize exposure to hazards through organizational measures. This includes rotating job assignments to reduce exposure time, scheduling work at less hazardous times, or implementing safety training programs. Administrative controls are dependent on human behavior and adherence to policies, making them less effective than physical controls because they require constant management and supervision to ensure effectiveness.?

Personal Protective Equipment (PPE)

PPE is considered the least effective control measure within the hierarchy. PPE includes items such as gloves, safety glasses, earplugs, and respirators, which are designed to protect the worker from hazards. The reliance on PPE is seen as a last resort because it does not eliminate or reduce the hazard itself but rather attempts to prevent harm in the event of exposure. The effectiveness of PPE is highly dependent on proper fit, consistent use, and maintenance, which introduces variables that can reduce its protective capabilities.

Conclusion

Each level of the hierarchy of controls has its place in a comprehensive safety program; however, employers must be cautious not to ignore the more effective levels of the hierarchy and place too much emphasis on administrative controls and PPE.?Although they may have the most desirable upfront costs and require little effort to implement, if they are the only levels of the hierarchy being used, administrative controls and PPE are the least effective methods for managing workplace hazards.?The most effective strategies often involve a combination of controls, with a preference for those that physically remove or reduce existing hazards. By understanding and applying the hierarchy of controls, organizations can systematically reduce workplace risks and protect their employees from harm.

APPLICATION AND EXAMPLES

The hierarchy of controls is more than a theoretical framework; it is a practical guide used across many industries to mitigate workplace hazards. The hierarchy of controls and its benefits can also be found outside the workplace, often improving the safety of consumer products.?The sections below illustrates the real-world application of each control level through common examples, showcasing their effectiveness in improving worker and consumer safety.

Elimination

Industry – Manufacturing.?In a trailer manufacturing company, workers receive large quantities of steel stock that must be processed to smaller sizes before being sent to the production floor for assembly. Processing this stock requires overhead gantry cranes,?powered industrial trucks, and the use of?large band saws, all of which introduce significant hazards.?By purchasing stock that is already cut to size, this organization can eliminate the hazards associated with processing the stock themselves.?

Non-Industry – Fans.?An excellent example of hazard elimination comes from the evolution of the household fan.?Earliest versions of the fan did not protect the consumer against the fan blades’ hazardous movements, often completely unguarded, creating potential risk of exposure.?Eventually, fans were manufactured with protective guards, which did reduce the risk of exposure, but only if the guards remained in place.?It wasn’t until the early 2000s that bladeless fans became available for purchase.?With this intuitive design, fan manufacturers were able to eliminate the risk associated with fan blades by removing them altogether!

Substitution

Industry – Chemical Manufacturing. A chemical manufacturing company uses a solvent known for its high volatility and health risks. After evaluating safer alternatives, the company substituted this solvent with a less volatile and non-toxic one. This change significantly reduces the risk of inhalation exposure and fire hazards, showcasing how substituting hazardous materials with safer alternatives can effectively reduce risks without altering operational outcomes.

Non-Industry – Travel.?It is well known that automobile travel is the most dangerous form of travel, killing nearly 39,000 in the United States in 2020 (Bieber, 2023).?However, that doesn’t prevent the average American from traveling on a daily basis.?With the evolution and enhancements of air travel, people can now substitute vehicle transportation with airplanes, which provides an extremely safer mode of transportation.

Engineering Controls

Industry – Automotive. An automotive manufacturing plant identifies a high incidence of repetitive strain injuries among workers on the assembly line. The company implements engineering controls by introducing ergonomic workstations, which adjusted to the height and reach of each worker, and mechanical assistance devices for lifting heavy components.?These changes significantly reduce the occurrence of musculoskeletal disorders, illustrating how engineering controls can effectively reduce exposure to ergonomic hazards.

Non-Industry – Washing Machines.?Although the risk may be minimal, early versions of household washing machines would allow the washer to run while the lid was open, creating a risk of accidental drowning, entanglement, and chemical exposure, especially for toddlers.?Since the use of water and laundry detergent can not be eliminated from the process of washing clothes, manufacturers now equip washing machines with locks that automatically activate when the washer is started, and they do not unlock until the washer has stopped, effectively using an engineering control to improve consumer safety.?

Administrative Controls

Industry – Healthcare. In a hospital, the risk of needlestick injuries among healthcare workers is a concern. The leadership team can implement a series of administrative controls, including safe needle handling protocols, regular safety training sessions, and a clear procedure for reporting and responding to incidents. These measures do not eliminate the hazard but may significantly reduce the incidence of needlestick injuries, highlighting the role of organizational policies in hazard management.?

Non-Industry – User Manuals. It is safe to say that nearly every product available for purchase in the United States is equipped with a user manual, maintenance guide, or safety instructions.?These tools are designed to communicate important information about the product.?The goal being to ensure the product is utilized as intended or manufactured, and to ensure consumer safety.?The publication of these tools is an administrative control of the manufacturer, and like the workplace, are dependent on human behavior for effectiveness.?

Personal Protective Equipment (PPE)

Industry – Chemical Research Laboratory. Researchers working with hazardous chemicals in a laboratory setting are required to use PPE as a last line of defense. Despite implementing various control measures, direct exposure to certain chemicals are sometimes unavoidable.?The use of gloves, goggles, and lab coats tailored to the specific chemicals handled provide critical protection against splashes and inhalation risks. This example underscores the importance of PPE in protecting workers when hazards cannot be fully eliminated, substituted, or controlled through engineering and administrative means.

Non-Industry – Automotive.?Common PPE in an automobile include seat belts and air bags.?Although PPE does not prevent an automobile accident from happening or separate a driver from the hazards associated with an accident, but if used properly, can save a life.?

These examples demonstrate the practical application of the hierarchy of controls in various settings. By strategically applying these principles, organizations can significantly reduce workplace hazards and protect their employees from harm. The flexibility of the hierarchy allows for tailored solutions that meet the unique needs of different industries and work environments, proving its universal applicability in enhancing workplace safety.

CHALLENGES AND SOLUTIONS

Implementing the hierarchy of controls in a workplace can face several challenges, ranging from financial constraints to cultural resistance. Identifying these challenges and strategizing solutions is crucial for the successful mitigation of hazards. This section outlines common obstacles and proposes practical solutions to effectively enhance workplace safety.

Financial Constraints

Challenge. Common challenges with efficiently implementing the hierarchy of controls is the perceived high cost of certain control measures, especially elimination, substitution, and engineering controls.

Solution. Organizations can overcome this by adopting a long-term perspective on investments in safety.?A cost-benefit analysis often reveals that the initial expenses are offset by reduced injury rates, lower insurance premiums, and increased productivity. Grants and subsidies for workplace safety improvements are also available in many jurisdictions, providing financial assistance to businesses committed to enhancing their safety protocols.

Lack of Awareness and Understanding

Challenge. A lack of understanding of the hierarchy of controls among management and employees can hinder its effective implementation.

Solution.?Educating all stakeholders of the benefits and practical applications of each level of control is essential. Regular training sessions, workshops, and safety drills can help increase awareness and understanding, making it easier to integrate these practices into daily operations. Additionally, involving employees in the decision-making process can foster a culture of safety and encourage adherence to established controls.

Resistance to Change

Challenge. Resistance from employees and management, often due to inconvenience or disruption to established routines, can be a significant barrier.

Solution. To overcome this, it is vital to communicate the importance of the changes clearly and demonstrate their positive impact on safety and efficiency. Success stories and case studies from within the organization or similar industries can be powerful tools in illustrating the benefits of adopting new safety measures. Moreover, providing incentives for compliance and demonstrating management's commitment to safety can further help in overcoming resistance.

Technological Limitations

Challenge. Sometimes, the technology required to implement effective engineering controls may not be readily available or may not exist for specific hazards. In such cases, innovation and creativity become key.

Solution. Collaborating with research institutions, industry groups, and technology developers can lead to the development of new solutions. Until such solutions are found, relying on a combination of administrative controls and PPE, while continuously seeking improvements, can provide interim protection.

Complacency

Challenge. Over time, organizations may become complacent, especially if they have a good safety record. This complacency can lead to a decline in vigilance and adherence to control measures.

Solution.?To combat this, organizations should adopt a continuous improvement mindset, regularly reviewing and updating safety protocols.?Celebrating safety milestones and recognizing individual and team contributions to safety can help maintain high levels of engagement and commitment.

By addressing these challenges with targeted solutions, organizations can effectively implement the hierarchy of controls, leading to safer work environments. It's a continuous process that requires commitment, creativity, and collaboration among all stakeholders to ensure the well-being of employees and the success of the organization.

FUTURE DIRECTIONS AND INNOVATIONS

The landscape of workplace safety and hazard control is continually evolving, driven by advancements in technology and a deeper understanding of effective risk management strategies. As organizations strive for a safer work environment, several emerging trends and innovations have begun to shape the future direction of hazard control. This section highlights key developments and the role of technology in enhancing safety measures.

Digital Safety Platforms and Data Analytics

One of the most significant trends is the adoption of digital safety platforms and the use of data analytics. These technologies allow for real-time monitoring of workplace conditions, predictive analytics to foresee potential hazards, and more personalized approaches to employee safety. By harnessing the power of big data, organizations can identify patterns that may indicate a risk of accidents or injuries, enabling proactive interventions before incidents occur.

Wearable Technology

Wearable technology is another innovation transforming the safety landscape. Devices equipped with sensors can monitor vital signs, detect exposure to hazardous materials, and even alert workers to imminent danger. For example, smart helmets can monitor a construction worker's environment for fall risks or collisions, while wearable gas detectors can provide immediate warnings of toxic exposures. These devices not only enhance personal safety but also contribute to a broader understanding of workplace hazards.

Automation and Robotics

The integration of automation and robotics in hazardous environments is reducing the need for human exposure to risks. Automated systems can perform dangerous tasks, such as handling toxic substances or operating in extreme conditions, thereby minimizing the human risk factor. This shift not only improves safety but also increases efficiency and productivity.

Augmented Reality (AR) and Virtual Reality (VR)

AR and VR technologies are revolutionizing safety training and hazard identification. Through immersive simulations, workers can experience realistic scenarios involving potential hazards, allowing for better preparedness and response strategies without the risk of actual exposure.?Additionally, AR can overlay safety information directly onto a worker's field of view, providing instant guidance and warnings about the surrounding environment (Sawyer, et al., 2015).

Artificial Intelligence (AI) and Machine Learning

AI and machine learning algorithms are being developed to predict workplace accidents and suggest interventions. These systems can analyze vast amounts of data from various sources, including incident reports, equipment sensors, and environmental monitors, to identify trends and predict potential hazards, enabling preventative measures to be taken more efficiently.

These innovations not only make workplaces safer but also shift the emphasis from reactive to proactive hazard control.?By leveraging technology, organizations can anticipate risks, enhance training, and implement more effective controls, leading to a significant reduction in workplace injuries and illnesses.

CONCLUSION

The hierarchy of controls serves as a cornerstone in the realm of occupational health and safety, offering a systematic framework for identifying and implementing the most effective measures to mitigate workplace hazards.?Throughout this paper, the layers of this hierarchy – from elimination and substitution to engineering controls, administrative actions, and personal protective equipment – highlighting their significance and application in various industry settings were explored. The case studies and examples presented underscore the practicality and effectiveness of adhering to this hierarchy, demonstrating how a proactive approach to hazard control can significantly reduce risks and enhance worker safety.

Emerging trends and technological innovations, including digital safety platforms, wearable technology, automation, and augmented reality, are setting new standards for hazard control, shifting the focus from reactive measures to proactive risk management. These advancements underscore the evolving nature of workplace safety, emphasizing the importance of continuous improvement and adaptation in safety practices.

As we look to the future, it is clear that the principles of the hierarchy of controls will remain central to effective hazard management. Organizations that embrace these principles, along with the innovations and technologies available, will be better equipped to create safer work environments, protect their employees, and achieve operational excellence.

This is a call to action for industry leaders, safety professionals, and workers alike to prioritize safety through the diligent application of the hierarchy of controls. By fostering a culture of safety and embracing the latest innovations in hazard control, we can continue to reduce workplace injuries and illnesses, ensuring everyone goes home every day.

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N.A. (2023, March 6). OSHA Online Center. Retrieved from The Evolution of OSHA: A Brief History of Workplace Safety in the United States: https://www.oshaonlinecenter.com/articles/the-evolution-of-osha-a-brief-history-of-workplace-safety-in-the-united-states

NIOSH. (2023, January 17). Centers for Disease Control and Prevention. Retrieved from The National Institute for Occupational Safety and Health: https://www.cdc.gov/niosh/topics/hierarchy/default.html#:~:text=The%20hierarchy%20of%20controls%20has%20five%20levels%20of,exposures%20and%20reduce%20risk%20of%20illness%20or%20injury .

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