5.1 Hierarchy of Controls & PPE Hazard Assessment

Hierarchy of Controls & PPE Hazard Assessment

Quick Answer: Under OSHA's General Industry Personal Protective Equipment standard (29 CFR 1910 Subpart I, specifically 1910.132), PPE is legally established as the last line of defense in the Hierarchy of Controls. Employers are legally obligated to perform a formal workplace hazard assessment and maintain a written certification of hazard assessment identifying the facility, certifier, and dates. Furthermore, under 29 CFR 1910.132(h), employers must provide all required PPE at no cost to employees, with narrow exceptions limited to non-specialty safety-toe footwear, non-specialty prescription safety eyewear, and ordinary weather clothing.

Personal Protective Equipment (PPE) serves as a physical barrier between a worker and potential occupational hazards, including flying projectiles, chemical splash, caustic fumes, optical radiation, noise, and sharp objects. However, PPE does not eliminate or reduce the hazard at its source—it merely reduces the severity of potential injury if an incident occurs. Consequently, OSHA mandates that employers systematically exhaust engineering and administrative solutions before relying on personal protective gear.

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|                   THE NIOSH / OSHA HIERARCHY OF CONTROLS                    |
|                                                                             |
|   +---------------------------------------------------------------------+   |
|   | 1. ELIMINATION       | Physically remove the hazard entirely        |   |
|   |                      | (MOST EFFECTIVE CONTROL)                     |   |
|   +---------------------------------------------------------------------+   |
|   | 2. SUBSTITUTION      | Replace the hazard with a safer alternative  |   |
|   |                      | (e.g., water-based cleaner for toxic solvent)|   |
|   +---------------------------------------------------------------------+   |
|   | 3. ENGINEERING       | Isolate workers from the hazard              |   |
|   |    CONTROLS          | (Ventilation, machine guards, acoustic bays) |   |
|   +---------------------------------------------------------------------+   |
|   | 4. ADMINISTRATIVE    | Change the way people work                   |   |
|   |    CONTROLS          | (Job rotation, safe work procedures, signage)|   |
|   +---------------------------------------------------------------------+   |
|   | 5. PERSONAL          | Protect the worker with physical equipment   |   |
|   |    PROTECTIVE EQUIP. | (LEAST EFFECTIVE - LAST LINE OF DEFENSE)     |   |
|   +---------------------------------------------------------------------+   |
+-----------------------------------------------------------------------------+

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1. The Five Levels in the Hierarchy of Controls

The Hierarchy of Controls is an internationally recognized safety framework developed by the National Institute for Occupational Safety and Health (NIOSH) and enforced by OSHA. It arranges hazard mitigation strategies from the most effective and reliable down to the least effective:

Level 1: Elimination

Elimination involves physically removing the hazard from the workplace. Because the hazard no longer exists, elimination provides 100% risk reduction and is completely independent of human behavior.

• Industrial Examples: Eliminating manual high-elevation maintenance by installing ground-level automated grease lines; eliminating hazardous manual lifting by redesigning conveyor discharge chutes.

Level 2: Substitution

Substitution replaces a hazardous material, chemical, or piece of machinery with a significantly less hazardous alternative.

• Industrial Examples: Replacing a flammable, carcinogenic chlorinated degreasing solvent (such as trichloroethylene) with a non-toxic, water-based citrus cleaner; replacing lead-based industrial solder with lead-free silver-tin alloy.

Level 3: Engineering Controls

Engineering controls do not remove the hazard itself, but they place a physical barrier or mechanical system between the worker and the hazard. These controls are highly reliable because they protect workers automatically without requiring active worker vigilance.

• Industrial Examples: Installing local exhaust ventilation (fume hoods) to capture chemical vapors at the generation point; placing interlocked physical barrier guards on mechanical power presses; building soundproof acoustic enclosures around noisy industrial air compressors.

Level 4: Administrative Controls

Administrative controls alter workplace policies, operational schedules, or standard operating procedures (SOPs) to minimize employee exposure duration, frequency, or intensity.

• Industrial Examples: Implementing worker rotation schedules to limit each employee's daily exposure to high-temperature vulcanizing ovens; scheduling noisy pavement cutting during night shifts when fewer workers are present; establishing mandatory safe work permit systems for hot work.

Level 5: Personal Protective Equipment (PPE)

PPE places wearable protective gear directly on the employee's body. OSHA considers PPE the least effective control method for critical engineering reasons:

• It does not eliminate, reduce, or contain the hazard in the environment.
• It relies entirely on continuous human behavior, proper equipment fit, correct donning/doffing, and disciplined maintenance.
• Equipment failure or improper usage results in immediate, direct exposure to the worker.
• PPE can introduce secondary hazards, such as heat stress, reduced peripheral vision, reduced tactile dexterity, and ergonomic fatigue.

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2. Workplace Hazard Assessment (29 CFR 1910.132(d))

Under 29 CFR 1910.132(d), employers must systematically evaluate their facilities to determine if hazards are present, or likely to be present, which necessitate the use of personal protective equipment.

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|            MANDATORY HAZARD ASSESSMENT CERTIFICATION ELEMENTS               |
|                                                                             |
|   1. IDENTIFICATION OF WORKPLACE EVALUATED                                  |
|      (Specific facility address, plant area, department, or workstations)   |
|                                                                             |
|   2. NAME & SIGNATURE OF CERTIFYING OFFICIAL                                |
|      (Safety director, industrial hygienist, or designated manager)         |
|                                                                             |
|   3. EXACT DATE(S) OF THE HAZARD ASSESSMENT                                 |
|      (Calendar dates when physical walkthrough and analysis took place)     |
|                                                                             |
|   4. WRITTEN DOCUMENT IDENTIFIED AS A CERTIFICATION                         |
|      (Explicit title: 'Certification of Hazard Assessment')                 |
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The Hazard Assessment Process

To conduct a compliant hazard assessment under 1910.132(d), employers must execute three systematic phases:

1. Comprehensive Hazard Survey: Conduct a physical walkthrough of all operational areas to identify specific hazard categories: impact, penetration, compression (roll-over), chemical splashes/vapors, extreme heat/cold, harmful dusts, optical radiation (welding/lasers), and electrical shock.
2. PPE Selection: Select types of PPE that will protect each affected employee from the identified hazards, ensure proper fit, and communicate selection decisions to workers.
3. Written Certification of Hazard Assessment: Under 29 CFR 1910.132(d)(2), the employer must verify that the required hazard assessment has been performed through a written certification. During an OSHA inspection, the absence of this specific written document represents an immediate citation.

[!IMPORTANT] Written Certification Mandate: A generic corporate safety manual does not satisfy 1910.132(d)(2). The certification must explicitly state the workplace evaluated, the name and signature of the person certifying the evaluation, the date(s) of the assessment, and be identified as a certification of hazard assessment.

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3. Employee PPE Training and Retraining (29 CFR 1910.132(f))

Providing protective equipment without adequate training is a direct violation of OSHA standards. Under 29 CFR 1910.132(f), employers must provide thorough training to each employee required to use PPE before the employee is exposed to workplace hazards.

The Five Mandatory Training Subjects

Every worker assigned PPE must receive instruction and demonstrate proficiency in five core areas:

1. When PPE is necessary: Understanding specific tasks, operating conditions, and facility zones requiring protection.
2. What PPE is necessary: Identifying the exact gear required for specific hazards (e.g., nitrile gloves for solvents vs. cut-resistant Kevlar for sheet metal).
3. How to properly don, doff, adjust, and wear PPE: Correct sizing, strap adjustment, seal checks, and sequence of donning/doffing to avoid self-contamination.
4. Limitations of the PPE: Understanding equipment boundaries (e.g., chemical breakthrough times, impact limits, optical shade limits, temperature thresholds).
5. Proper care, maintenance, useful life, and disposal: Daily inspection procedures, cleaning protocols, shelf-life expiration, storage away from sunlight/contaminants, and proper disposal of damaged or contaminated gear.

Mandatory Retraining Triggers

Employers are legally required to retrain an employee under any of the following three operational conditions:

• Workplace Changes: Changes in workplace processes, chemicals, or equipment render previous PPE training obsolete.
• PPE Type Changes: Changes in the types of PPE assigned (e.g., upgrading from half-mask to full-face respirators, or switching glove polymers).
• Demonstrated Inadequacies: When an employee demonstrates deficiencies in understanding, proper fitting, or use of assigned PPE (e.g., wearing safety glasses on top of the head, failing to adjust chin straps, or using degraded gloves).

Written Training Certification (1910.132(f)(4))

The employer must verify that each affected employee has received and understood the required training through a written certification containing:

• The name of each employee trained
• The date(s) of training
• The subject matter / specific PPE certified

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4. Employer PPE Payment Rules and Exceptions (29 CFR 1910.132(h))

In November 2007 (effective February 2008), OSHA promulgated the landmark PPE Payment Final Rule codified at 29 CFR 1910.132(h). The foundational legal principle is straightforward: Employers must provide all required PPE at zero cost to employees.

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|                     OSHA PPE PAYMENT RESPONSIBILITY MATRIX                  |
|                                                                             |
|   EMPLOYER MUST PAY (100% NO COST):                                         |
|   - Hard hats, bump caps, and replacement suspensions                       |
|   - Chemical splash goggles, safety glasses, face shields, welding helmets   |
|   - Specialized cut-resistant and chemical-resistant gloves                  |
|   - Hearing protection (earplugs and earmuffs)                              |
|   - Respiratory protection (cartridges, filters, elastomeric masks)         |
|   - Personal Fall Arrest Systems (harnesses, lanyards, lifelines)           |
|   - Metatarsal boots (or strap-on metatarsal guards over regular boots)     |
|   - Specialized footwear (chemical rubber boots, electrical dielectric boots)|
|   - High-visibility reflective vests and fire-retardant clothing (FRC)      |
|                                                                             |
|   STATUTORY EXCEPTIONS (EMPLOYER NOT REQUIRED TO PAY):                      |
|   1. Non-specialty safety-toe protective footwear (standard steel-toe boots) |
|      IF the employer permits them to be worn off the jobsite.               |
|   2. Non-specialty prescription safety eyewear IF the employer permits      |
|      them to be worn off the jobsite.                                       |
|   3. Everyday weather gear (winter coats, rain jackets, ordinary sunglasses)|
|      used solely for environmental protection against standard weather.      |
|   4. Upgraded / luxury PPE requested by employee beyond OSHA-compliant gear  |
|      (Employer pays for standard compliant model; worker pays upgrade delta)|
|   5. Replacement PPE due to employee intentional damage or loss             |
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Detailed Breakdown of Statutory Payment Exceptions

1. Non-Specialty Safety-Toe Footwear (1910.132(h)(2)): Employers are not required to pay for standard steel-toe or composite-toe work boots, provided two statutory conditions are met:
   • The footwear is non-specialty (readily available commercial safety shoes).
   • The employer permits the footwear to be worn off the jobsite (the employee retains personal ownership and off-site utility). Note on Metatarsal Footwear: If an employer requires footwear with built-in metatarsal protection, the employer must pay for the metatarsal boots. Alternatively, the employer can provide detachable, strap-on metatarsal guards at no cost to the employee to wear over employee-owned safety-toe boots.
2. Non-Specialty Prescription Safety Eyewear (1910.132(h)(3)): Employers are not required to pay for prescription safety glasses, provided the employer permits them to be worn off the jobsite. However, if the employer does not pay for prescription safety glasses, the employer must provide over-the-glasses (OTG) safety goggles or prescription inserts at zero cost to the worker.
3. Everyday Weather Clothing (1910.132(h)(4)): Employers are not required to pay for ordinary winter coats, jackets, thermal underwear, hats, raincoats, standard sunglasses, or sunscreen used solely for protection against normal weather elements. However, specialized thermal protective gear for artificial environments (such as sub-zero walk-in commercial freezers) must be paid for by the employer.
4. Employee-Owned Equipment (29 CFR 1910.132(b)): Where an employer allows employees to provide their own PPE (e.g., custom welding hoods or preferred safety shoes), the employer remains legally responsible under OSHA for assuring its adequacy, proper maintenance, sanitary condition, and compliance with ANSI/ASTM standards.
5. Lost or Intentionally Damaged PPE (1910.132(h)(5)): The employer must pay for replacement PPE necessitated by normal workplace wear and tear. However, if an employee loses assigned equipment or intentionally damages it, the employer is not legally required to bear the replacement cost.