PERMANENT RULES
LABOR AND INDUSTRIES
Effective Date of Rule: June 1, 2006.
Purpose: The Occupational Safety and Health Administration (OSHA) found our administrative rules to be less-effective-than the federal requirements. The adopted rule makes the WISHA rule at-least-as-effective-as the federal equivalent rules. Housekeeping changes have been made, in addition to rewriting for clarity and usability. Existing rules contained in chapter 296-350 WAC, Administrative rules, and WAC 296-800-350 WISHA appeals, penalties, and other procedural rules, are being combined into a single book titled administrative rules and are applicable to all businesses, including those currently covered by chapter 296-307 WAC, Safety standards for agriculture.
Citation of Existing Rules Affected by this Order: Repealing WAC 296-350-010 Definitions, 296-350-700 Variance from WISHA rules, 296-350-70010 Purpose of variances, 296-350-70015 Permanent variances -- Description, 296-350-70020 Temporary variances -- Description, 296-350-70030 Requesting a permanent variance, 296-350-70035 Requesting a temporary variance, 296-350-70040 Renewing temporary variances, 296-350-70045 Submitting variance requests, 296-350-70050 Notifying employees about variance requests, 296-350-70055 Department review and decision, 296-350-70060, Your responsibilities once we make a decision, 296-350-70065 Changing a variance, 296-350-70070 Variance hearings, 296-350-990 Appendix A -- Form F418-023-000 -- Application for copies of citations and notices, 296-800-350 Introduction, 296-800-35002 Types of workplace inspections, 296-800-35004 Scheduling inspections, 296-800-35006 Inspection techniques, 296-800-35008 Response to complaints submitted by employees or their representatives, 296-800-35010 Citations mailed after an inspection, 296-800-35012 Employees (or their representatives) can request a citation and notice, 296-800-35016 Posting a citation and notice and employee complaint information, 296-800-35018 Reasons to assess civil penalties, 296-800-35020 Minimum penalties, 296-800-35022 Base penalty calculations -- Severity and probability, 296-800-35024 Severity rate determination, 296-800-35026 Probability rate determination, 296-800-35028 Determining the gravity of a violation, 296-800-35030 Base penalty adjustments, 296-800-35032 Types of base penalty adjustments, 296-800-35038 Minimum and maximum adjusted base penalty amounts, 296-800-35040 Reasons for increasing civil penalty amounts, 296-800-35042 Employers must certify that violations have been abated, 296-800-35044 For willful, repeated, or serious violations, submit additional documentation, 296-800-35046 Submitting correction action plans, 296-800-35048 Submit progress reports to the department when required, 296-800-35049 WISHA determines the date by which abatement documents must be submitted, 296-800-35050 Inform affected employees and their representatives of abatement actions you have taken, 296-800-35052 Tag cited moveable equipment to warn employees of a hazard, 296-800-35056 You can request more time to comply, 296-800-35062 WISHA's response to your request for more time, 296-800-35063 Post the department's response, 296-800-35064 A hearing can be requested about the department's response, 296-800-35065 Post the department's hearing notice, 296-800-35066 Hearing procedures, 296-800-35072 Post the hearing decision, 296-800-35076 Employers and employees can request an appeal of a citation and notice, 296-800-35078 Await the department's response to your appeal request, 296-800-35080 Department actions when reassuming jurisdiction over an appeal, 296-800-35082 Appealing a corrective notice, and 296-800-35084 Notify employees.
Statutory Authority for Adoption: RCW 49.17.010, 49.17.040, 49.17.050, 49.17.060.
Adopted under notice filed as WSR 05-23-145 on November 22, 2005.
Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 39, Amended 0, Repealed 52; or Recently Enacted State Statutes: New 0, Amended 0, Repealed 0.
Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.
Number of Sections Adopted on the Agency's Own Initiative: New 0, Amended 0, Repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 39, Amended 0, Repealed 52.
Number of Sections Adopted Using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 0, Repealed 0.
Date Adopted: February 21, 2006.
Gary Weeks
Director
OTS-8413.3
ADMINISTRATIVE RULES
Employer requests for using an alternative to WISHA requirements.
Workplace inspections conducted by WISHA.
Citations and penalties for violations of WISHA safety and health requirements.
How to respond to actions that WISHA may take when requirements have been violated.
Employer correction of cited violations, and notification to WISHA when the corrections are made.
Employer obligations to inform employees.
Reporting alleged safety and health hazards.
Appeal and hearing processes for employers and employees.
[]
Summary:
Employer responsibility:
To follow requirements on granted variances:
Applying for a variance
Interim orders
Renewing a temporary variance
Changing a variance
Variance hearings
[]
IMPORTANT:
A variance provides an approved alternative to WISHA requirements to protect employees from a workplace hazard. Variances can be permanent or temporary.
Variances will not be retroactive. Employers are obligated to follow WISHA requirements until the variance is granted.
You must:
Follow steps 1-5 to apply for a variance when you wish to use an alternative to WISHA requirements as a means to protect your employees.
Step 1: | Decide what type of variance is needed by reviewing the types of variances in Table 1, Requesting a Variance. |
Step 2: | Complete a written application for the variance, following the requirements in Table 1, Requesting a Variance. |
Note: | A form, Variance Application (F414-021-000), is available for requesting variances: |
From any L&I office. | |
On our web site under Safety Forms, Variance Application http://www.lni.wa.gov/FormPublications/TablesForms/Safety/SafetyHealth.asp |
Reference: | For a list of the local L&I offices, see the resources section of the Safety and health core rules, chapter 296-800 WAC. |
Step 3: | Notify employees before submitting any type of variance request by doing all of the following: |
Posting a copy of the request on your safety bulletin board. | |
Using other appropriate means for notifying employees who may not be expected to receive notices posted on the safety bulletin board. For example, provide a copy to a designated representative or the safety committee. | |
Step 4: | Submit the written request, using one of the following means: |
Mail to: | |
Assistant Director | |
WISHA Services | |
P.O. Box 44650 | |
Olympia, WA 98504-4650 | |
Fax to: 360-902-5438 | |
Take to any L&I office. | |
Step 5: | After receiving a written decision from WISHA about your request, immediately notify affected employees of the decision by using the methods in Step 3. |
Follow the specific requirements of the variance that WISHA has granted.
Note: | If employers fail to follow Steps 1-5 above, the variance cannot be granted. |
Citations may be issued for failing to follow a variance. | |
Employers can always follow the original WISHA requirements instead of the variance requirements. | |
If your variance is no longer necessary and you decide to follow the WISHA requirements instead, please advise WISHA in writing. |
For this type of variance: | Include the following on your written application: | ||
Permanent variance | |||
| Request a permanent variance if you can show that you will be providing alternate methods of protecting employees from hazards that are as effective as those provided by the requirements from which you are requesting relief. |
|
Employer name and
address
|
| Description of proposed alternative methods of protection, and how they will protect employees. | ||
Note: | | How employees will be notified: | |
| A permanent variance remains in effect unless WISHA modifies or revokes it. Examples of reasons a variance might be revoked include: |
|
About the variance
request, as required in
Step 2
|
|
An employer requests the variance be revoked | | The following notice on the first page of your posted application, written in large and clear enough print to be easily read: |
|
Requirements that existed when the variance was approved are modified | "Attention Employees: Your employer is applying to WISHA for a variance from safety and health requirements. You have a right to ask WISHA for a hearing on the variance request, but you must ask for the hearing in writing by (date*). If no hearing is requested, WISHA will act on the variance request without a hearing." | |
| The work location is changed | *This date must be 21 calendar days after the variance request is mailed or delivered. | |
Temporary variance | |||
Request a temporary variance if both of the following apply: | | Provide all the information required above for permanent variances | |
| New WISHA requirements can't be met for any of the following reasons: | | Also provide all of the following: |
| Professional or technical people are not available | | An explanation of why WISHA requirements can't be met, including documentation that supports this belief |
| Materials or equipment are not available | | Steps that will be taken to protect employees until WISHA requirements can be met |
| Construction or alteration of facilities cannot be completed by the effective date of the requirements | | When WISHA requirements will be met |
| You have an effective plan for meeting WISHA requirements as soon as possible. | | A statement that this request is from a qualified person who has first hand knowledge of the facts represented |
Note: | |||
| Temporary variances remain in effect: | ||
| Until current WISHA requirements are met | ||
| No longer than one year, unless extended |
A review of all variance requests.
If more information is needed to make a decision, WISHA may:
&sqbul; Contact you or others who may have the needed information.
&sqbul; Visit your workplace after contacting you to make arrangements.
&sqbul; Deny your request if you don't provide information needed to make a decision on it.
A decision at least twenty-one calendar days from when the request was posted for employees.
The twenty-one-day period allows employees time to request a hearing on your variance application. See Variance hearings, WAC 296-900-11025.
A written decision either granting or denying the variance.
If granted, the written decision will include all of the following:
&sqbul; The requirement for which the variance applies.
&sqbul; The locations where the variance applies.
&sqbul; What you must do as an alternative means of protecting employees.
&sqbul; The effective date of the variance.
&sqbul; An expiration date for the variance, if applicable.
&sqbul; The requirement to post the decision.
If denied, the written decision will include:
&sqbul; A brief statement with reasons for the denial.
&sqbul; The requirement to post the decision.
WISHA will review permanent variances periodically after they have been in effect for six months, to decide whether they are still needed or need to be changed.
Note: | If there's an appealed WISHA citation and notice that relates to the variance request, the decision on the variance may be delayed until the appeal is resolved. |
[]
Definition:
An interim order allows an employer to vary from WISHA requirements until a permanent or temporary variance is granted.
You must:
Request an interim order if alternate methods of protecting employees are needed while waiting for a permanent or temporary variance.
Note: | An interim order may be requested at the same time a permanent or temporary variance is requested, or anytime after that. |
A review of the request for an interim order.
If more information is needed to make a decision, WISHA may:
&sqbul; Contact the employer or others who may have the needed information.
&sqbul; Visit the workplace after contacting the employer to make arrangements.
&sqbul; Deny the request if the employer doesn't provide information needed to make a decision.
A decision at least twenty-one calendar days from when the request was posted for employees.
The twenty-one-day period allows employees time to request a hearing on your temporary variance renewal. See Variance hearings, WAC 296-900-11025.
A written decision either granting or denying the interim order request.
If granted, the decision will include all of the following:
&sqbul; The requirement for which the interim order applies.
&sqbul; The locations where the interim order applies.
&sqbul; What you must do as an alternative means of protecting employees.
&sqbul; The effective date of the interim order.
&sqbul; An expiration date for the interim order.
&sqbul; The requirement to post the decision.
If denied, the decision will include:
&sqbul; A brief statement with reasons for the denial.
&sqbul; The requirement to post the decision.
Note: | WISHA's decision to grant or deny an interim order request will not affect the decision on a permanent or temporary variance request. |
WISHA may choose to issue an interim order in response to a variance request, even when the interim order wasn't specifically requested. | |
Interim orders are effective until they are revoked, or until the variance request is granted or denied. |
[]
Temporary variances can be renewed up to two times, for up to one hundred eighty days each time.
You must:
Apply for a temporary variance renewal at least ninety days before the temporary variance expires.
Send a letter, explaining why more time is needed to fulfill the current requirements.
What to expect from WISHA:
A review of the temporary variance renewal request.
If more information is needed to make a decision, WISHA may:
&sqbul; Contact you or others who may have the needed information.
&sqbul; Visit your workplace after contacting you to make arrangements.
&sqbul; Deny your request if you don't provide information needed to make a decision.
A decision at least twenty-one calendar days from when the request was posted for employees.
The twenty-one-day period allows employees time to request a hearing on your temporary variance renewal. See Variance hearings, WAC 296-900-11025.
A written decision either granting or denying the temporary variance renewal request.
If granted, the written decision will include all of the following:
&sqbul; The requirements for which the temporary variance applies.
&sqbul; The locations where the temporary variance applies.
&sqbul; What you must do as an alternative means of protecting employees.
&sqbul; The effective date of the temporary variance.
&sqbul; An expiration date for the temporary variance.
&sqbul; The requirement to post the decision.
If denied, the written decision will include:
&sqbul; A brief statement with reasons for the denial.
&sqbul; The requirement to post the decision.
[]
You, your employees, or their representatives may:
Request changes to variances in writing as follows:
For a permanent variance only after it's been in effect for at least six months.
For a temporary variance, only when renewing it.
Note: | &sqbul; After six months, WISHA may initiate changes to a variance if they appear to be warranted. |
&sqbul; Employers can decide at any time to follow the original requirement, instead of the requested variance. |
A review of your request to change a variance.
If more information is needed to make a decision, WISHA may:
&sqbul; Contact you or others who may have the needed information.
&sqbul; Visit your workplace after contacting you to make arrangements.
&sqbul; Deny your request for a change if you don't provide information needed to make a decision.
A decision at least twenty-one calendar days from when the request was posted for employees.
The twenty-one-day period allows employees time to request a hearing on your request to change a variance. See Variance hearings, WAC 296-900-11025.
A written decision either granting or denying the change in variance.
If granted, the written decision will include all of the following:
&sqbul; The requirements for which the variance applies.
&sqbul; The locations for which the variance applies.
&sqbul; What you must do as an alternative means of protecting employees.
&sqbul; The effective date of the change in variance.
&sqbul; An expiration date of the variance, if applicable.
&sqbul; The requirement to post the decision.
If denied, the written decision will include:
&sqbul; A brief statement with reasons for the denial.
&sqbul; The requirement to post the decision.
[]
IMPORTANT:
Employers, affected employees, or employee representatives may request a hearing on any of the following:
Permanent or temporary variance requests.
Changes to existing variances.
You and your affected employees must:
Do all of the following if requesting a variance hearing:
Put the request in writing and sign it.
Make sure the request is posted or delivered to the department within twenty-one calendar days from the variance application date, or renewal request date.
Send the written request to WISHA, using one of the following means:
Mail to:
Assistant Director
WISHA Services
P.O. Box 44650
Olympia, WA 98504-4650
Fax to: 360-902-5438
Take to any L&I office.
You must:
Immediately do all of the following when you receive a notice of the hearing from WISHA:
Post a copy of the notice on the safety bulletin board.
Give a copy of the notice to affected employees and employee representatives.
Use any other appropriate means for notifying employees who may not receive notices posted on the safety bulletin board. For example, provide a copy to a designated representative or the safety committee.
What to expect from WISHA:
WISHA will do both of the following after receiving a request for a hearing on a variance, change of variance, or temporary variance renewal:
Within ten days, issue a notice advising all interested parties listed on the application that they have the option to participate in the hearing.
Provide you with a notice of the hearing at least twenty calendar days before the hearing date.
A hearing for the variance or variance change will be conducted as follows:
A WISHA representative will explain WISHA's view of the request for a variance or any proposed change to a variance.
Employers, employees, or employee representatives will then have an opportunity to explain their views and provide any relevant documents or information.
Information gathered at the hearing will be used to make a decision about whether to grant or deny the request for a variance or change in variance.
Note: | WISHA may record a variance hearing. |
Employers, employees, or employee representatives may request copies of recordings or transcripts of variance hearings at cost. |
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Summary:
WISHA inspections
Inspection techniques
Complaints
[]
WISHA conducts the following types of programmed inspections:
Hazardous workplaces.
WISHA identifies hazardous workplaces using objective criteria and inspection-scheduling systems that may include any of the following factors:
&sqbul; Type of industry.
&sqbul; Injury and illness data that identifies hazards.
&sqbul; Employer's industrial insurance experience.
&sqbul; Number, type, and toxicity of contaminants in the workplace.
&sqbul; Degree of exposure to hazards.
&sqbul; Number of employees exposed.
&sqbul; Other factors, such as history of employee complaints.
Note: | WISHA periodically reviews the scheduling systems and may adjust the type or significance of each criteria. |
&sqbul; Agriculture.
&sqbul; Asbestos renovation and demolition.
&sqbul; Construction.
&sqbul; Electrical utilities and communications.
&sqbul; Logging.
&sqbul; Maritime.
WISHA conducts the following types of unprogrammed inspections of workplaces that may be in violation of WISHA safety or health requirements or chapter 49.17 RCW, the Washington Industrial Safety and Health Act. These inspections may focus only on certain areas or processes in a workplace or, depending on initial findings, may be expanded to include the entire workplace. Unprogrammed inspections may occur because of:
Complaints from current employees or employee representatives who believe they have been exposed to a hazard because of a violation.
Referrals from anyone, including former employees, who reasonably believes that workers under WISHA jurisdiction are being, or have been, exposed to a hazard because of a violation.
Workplace deaths, catastrophic events, or serious injury or illness.
A reason to believe that employees may be in imminent danger of serious injury or death.
Follow-up inspections to verify that hazards identified in a previous inspection have been corrected.
[]
During an inspection, WISHA staff may:
Take samples, photographs, videotapes, or audiotapes.
Conduct tests or interviews.
Ask employees to wear sampling devices.
Privately question, on or off the worksite, any:
&sqbul; Employer.
&sqbul; Employer representative.
&sqbul; Owner.
&sqbul; Operator.
&sqbul; Employee.
&sqbul; Employee representative.
Employ any other reasonable investigative techniques.
[]
Employees or employee representatives may:
File a written complaint if they believe they have been exposed to a hazard that is a violation of WISHA safety and health requirements.
What to expect from WISHA:
After receiving a written complaint from an employee or employee representative, WISHA reviews the allegations and responds according to Table 2, WISHA Responses to Employee Complaints.
For this determination: | WISHA will take the following actions: | |
The complaint is within WISHA jurisdiction and an inspection doesn't appear to be needed at this time | |
Call the employer to
discuss the complaint
|
| Fax or mail a complaint notification letter to the employer. Before the complaint is faxed or mailed, the following names will be removed unless specific permission is given to include them: | |
| The name of the person submitting the complaint | |
| The names of any employees identified in the complaint | |
| Evaluate the employer's response, and do one of the following: | |
| Close the complaint because the issues have been addressed, and send a copy of the employer's response to the person filing the complaint | |
| Inspect the workplace | |
Note: | ||
| If the complaint is closed and additional information is received from the person filing the complaint disputing the employer's written response, WISHA may schedule an inspection | |
| If the person who filed the original complaint requests in writing that WISHA review a decision not to conduct an inspection, WISHA will review the decision and notify the person in writing of the results | |
| If the person requesting the review is not satisfied with the results of the review, they may request a second review by the assistant director or designee | |
The complaint is within WISHA jurisdiction and an inspection needs to be conducted | |
Conduct an inspection
|
| Violations found | |
| No violations were found | |
| Send a letter to the person filing the complaint with inspection results | |
Reference: For citation and notice information, turn to citation and notice, WAC 296-900-130 | ||
The complaint is not within WISHA jurisdiction | | Send a written response to the person filing the complaint explaining the matter is not within WISHA jurisdiction |
Note: WISHA may make a referral to the proper authority |
[]
Summary:
Employer responsibility:
To notify employees when a citation and notice is received:
Citation and notice
Copies of inspection results
Posting citation and notices
[]
Definition:
A citation and notice is a document issued to an employer notifying them of:
Inspection results.
Any specific violations of WISHA safety and health requirements.
Any monetary penalties assessed.
Employer certification of correction requirements.
WISHA will mail a citation and notice to you as soon as possible but not later than six months following any inspection or investigation.
If violations are found, the citation and notice will include:
&sqbul; A description of violations found.
&sqbul; The amount and type of assessed penalties.
&sqbul; The length of time given to correct the violations not already corrected during the inspection.
If no violations are found, a notice of inspection results will be sent stating that no violations were found or penalties assessed.
[]
Submit a request for copy of citation and notice form to the following:
Department of Labor and Industries
Standards and Information
P.O. Box 44638
Olympia, WA 98504-4638
Note: | A request for copy of citation and notice form can be obtained by: |
Calling 360-902-5553. | |
Contacting the local L&I office. |
Reference: | &sqbul; For a list of the local L&I offices, see the resources section of the Safety and health core rules, chapter 296-800 WAC. |
WISHA may decide who will receive copies of the citation and notices if more than one employee or employee representative requests a copy.
WISHA may deny a request for copies of citation and notices if the person filing the request is not an employee or employee representative.
If WISHA grants the request for copies of citation and notices, the employee or employee representative will:
Receive an approval document from WISHA.
Receive all citation and notices issued to that employer for the next twelve months.
Continue receiving citation and notices for an additional twelve months if a one-year extension is requested and approved.
[]
You must:
Immediately notify employees of a citation and notice by posting it and any correspondence related to an employee complaint on the safety bulletin board for three working days or until all violations are corrected, whichever time period is longer.
Use any other appropriate means to notify employees who may receive notices posted on the safety bulletin board.
Examples of other appropriate means include sending a copy by mail or electronically to any of the following:
&sqbul; A designated employee representative.
&sqbul; Safety representatives.
&sqbul; The safety committee.
[]
Summary:
Employer responsibility:
To pay monetary penalties if assessed.
Contents:
Reasons for monetary penalties
Base penalties
Base penalty adjustments
Increases to adjusted base penalties
Definition:
Monetary penalties are fines assessed against an employer for violations of safety and health requirements.
[]
WISHA may assess monetary penalties when a citation and notice is issued for any violation of safety and health rules or statutes.
WISHA will assess monetary penalties under the following conditions:
When a citation and notice is issued for a serious, willful, or egregious violation.
When civil penalties are specified by statute as described in RCW 49.17.180.
Note: | In addition to penalties specified by WISHA, there are penalties specified by other statutes, such as: |
Asbestos construction projects, RCW 49.26.016. | |
Right to know (RTK) -- MSDS, RCW 49.70.190. | |
Right to know -- Penalty for late payment, RCW 49.70.177. |
One hundred dollars for any penalty.
Five thousand dollars per violation for all willful violations.
Two hundred fifty dollars per day for asbestos good faith inspection (RCW 49.26.016 and 49.26.013).
[]
WISHA calculates the base penalty for a violation by considering the following:
Specific amounts that are dictated by statute;
OR
By assigning a weight to a violation, called "gravity." Gravity is calculated by multiplying a violation's severity rate by its probability rate. Expressed as a formula:
Gravity = Severity x Probability
Note: | Most base penalties are calculated by the gravity method. |
Severity:
Severity rates are based on the most serious injury, illness, or disease that could be reasonably expected to occur because of a hazardous condition.
Severity rates are expressed in whole numbers and range from 1 (lowest) to 6 (highest). Violations with a severity rating of 4, 5, or 6 are considered serious.
WISHA uses Table 3, Severity Rates, to determine the severity rate for a violation.
Severity | Most serious injury, illness, or disease from the violation is likely to be: | |
6 | | Death |
| Injuries involving permanent severe disability | |
| Chronic, irreversible illness | |
5 | | Permanent disability of a limited or less severe nature |
| Injuries or reversible illnesses resulting in hospitalization | |
4 | | Injuries or temporary, reversible illnesses resulting in serious physical harm |
| May require removal from exposure or supportive treatment without hospitalization for recovery | |
3 | | Would probably not cause death or serious physical harm, but have at least a major impact on and indirect relationship to serious injury, illness, or disease |
| Could have direct and immediate relationship to safety and health of employees | |
| First aid is the only medical treatment needed | |
2 | | Indirect relationship to nonserious injury, illness, or disease |
| No injury, illness, or disease without additional violations | |
1 | | No injury, illness, disease |
| Not likely to result in injury even in the presence of other violations |
Definition:
A probability rate is a number that describes the likelihood of an injury, illness, or disease occurring, ranging from 1 (lowest) to 6 (highest).
When determining probability, WISHA considers a variety of factors, depending on the situation, such as:
&sqbul; Frequency and amount of exposure.
&sqbul; Number of employees exposed.
&sqbul; Instances, or number of times the hazard is identified in the workplace.
&sqbul; How close an employee is to the hazard, i.e., the proximity of the employee to the hazard.
&sqbul; Weather and other working conditions.
&sqbul; Employee skill level and training.
&sqbul; Employee awareness of the hazard.
&sqbul; The pace, speed, and nature of the task or work.
&sqbul; Use of personal protective equipment.
&sqbul; Other mitigating or contributing circumstances.
WISHA uses Table 4, Gravity Based Penalty, to determine the dollar amount for each gravity-based penalty, unless otherwise specified by statute.
Gravity | Base Penalty |
1 | $100 |
2 | $200 |
3 | $300 |
4 | $400 |
5 | $500 |
6 | $1000 |
8 | $1500 |
9 | $2000 |
10 | $2500 |
12 | $3000 |
15 | $3500 |
16 | $4000 |
18 | $4500 |
20 | $5000 |
24 | $5500 |
25 | $6000 |
30 | $6500 |
36 | $7000 |
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WISHA may adjust base penalties. Table 5, Adjusted Base Penalties, describes the various factors WISHA considers when adjusting a base penalty, and the effect on the fine.
The minimum adjusted base penalty for any violation carrying a penalty is one hundred dollars.
The minimum penalty for willful violations is five thousand dollars.
The maximum adjusted base penalty for a violation is seven thousand dollars.
No adjustments are made to minimum penalty amounts specified by statute.
Note: | Repeat, willful, egregious, or failure-to-abate (failure to correct) penalty adjustments can exceed seven thousand dollars. See Increases to adjusted base penalties, WAC 296-900-14020, for those penalties. |
Table 5
Adjusted Base Penalties
For this type of adjustment: | WISHA will consider: | The base penalty will be adjusted as follows: | |
Good faith effort | | Awareness of act | Excellent rating = 35% reduction |
| Effort before an inspection to provide a safe and healthful workplace for employees | Good rating = 20% reduction | |
| Effort to follow a requirement they have violated | Average rating = No adjustment | |
| Cooperation during an inspection, measured by a desire to follow the cited requirement and immediately correct identified hazards | Poor rating = 20% increase | |
Size of workforce | | Work force size at all sites in Washington state | 1-25 employees
= 60% reduction
|
101-250 employees = 20% reduction | |||
More than 250 employees = No adjustment | |||
Employer history | | History of previous safety and health violations in Washington state and injury and illness rates for that employer | Good history
= 10% reduction
|
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WISHA may increase an adjusted base penalty in certain circumstances. Table 6, Increases to Adjusted Base Penalties, describes circumstances where an increase may be applied to an adjusted base penalty.
For this circumstance: | The adjusted base penalty may be increased as follows: | |
Repeat violation
|
| Multiplied by the total
number of citations
with violations
involving similar
hazards, including the
current inspection.
|
Willful violation | | Multiplied by ten with at least the statutory minimum penalty of five thousand dollars |
An act committed with the intentional, knowing, or voluntary disregard for the WISHA requirements or with plain indifference to employee safety. | Note: The maximum penalty can't exceed $70,000 for each violation. | |
Egregious violation
|
| With a separate penalty issued for each instance the employer fails to follow a specific requirement. |
The violations resulted in worker fatalities, a worksite catastrophe, or a large number of injuries or illnesses. | ||
The violations resulted in persistently high rates of worker injuries or illnesses. | ||
The employer has an extensive history of prior violations. | ||
The employer has intentionally disregarded its safety and health responsibilities. | ||
The employer's conduct taken as a whole amounts to clear bad faith in the performance of his/her duties. | ||
The employer has committed a large number of violations so as to undermine significantly the effectiveness of any safety and health program that might be in place. | ||
Failure to abate (FTA)
|
| Based on the facts at the time of reinspection, will be multiplied by: |
Reference: For how to certify corrected violations, go to Certifying violation corrections, WAC 296-900-60005 through 296-900-60035. | | At least five, but up to ten, based on the employer's effort to comply. |
| The number of calendar days past the correction date, with a minimum of five days. | |
Note: The maximum penalty can't exceed seven thousand dollars per day for every day the violation is not corrected. |
[]
Summary:
Employer responsibility:
To certify that violations to safety and health requirements have been corrected.
To submit, if required:
Additional information.
Correction action plans.
Progress reports.
To comply with correction due dates.
To tag cited moveable equipment to warn employees of a hazard.
To inform affected employees that each violation was corrected.
Certify violation correction
Violation correction action plans
Progress reports
Timeliness of violation correction documents
Inform employees about violation correction
Tag moveable equipment
[]
Definition:
A correction date is the date by which you must meet the WISHA requirements listed on either a:
Citation and notice (C&N);
OR
A corrective notice of redetermination (CNR).
You must:
Certify in writing within ten calendar days following the correction date shown on the C&N that each violation has been corrected. Include the following:
Employer name and address.
The inspection number involved.
The citation and item numbers which have been corrected.
The date each violation was corrected and the method used to correct them.
A statement that both:
&sqbul; Affected employees and their representatives were informed that each violation was corrected;
AND
&sqbul; The information submitted is accurate.
Employer's signature or the signature of employer's designated representative.
Note: | Certification is not required if the WISHA compliance officer indicates in the C&N, or a reassumption hearings officer indicates in a CNR, that they have already been corrected. |
Submit additional documentation for willful or repeated violations, demonstrating that they were corrected. This documentation may include, but is not limited to:
Evidence of the purchase or repair of equipment.
Photographic or video evidence of corrections.
Other written records.
Submit additional documentation for serious violations when required in the C&N or CNR.
[]
You must:
Submit a written violation correction action plan within twenty-five calendar days from the final order date when the citation and notice or corrective notice of redetermination requires it. Include all of the following in the violation correction action plan:
Identification of the violation.
The steps that will be taken to correct the violation.
A schedule to complete the steps.
A description of how employees will be protected until the corrections are completed.
What to expect from WISHA:
WISHA will notify you in writing only if your plan is not adequate, and describe necessary changes.
[]
You must:
Submit written progress reports on corrections when required in the citation and notice (C&N) or corrective notice of redetermination (CNR), and briefly explain the:
Status of each violation.
Action taken to correct each violation.
Date each action has or will be taken.
What to expect from WISHA:
WISHA will state in the C&N or CNR if progress reports are required, including:
Items that require progress reports.
Date when an initial progress report must be submitted. The initial progress report is due no sooner than thirty calendar days after you submit a correction action plan.
Whether additional progress reports are required, and the dates by which they must be submitted.
[]
What to expect from WISHA:
WISHA will determine the timeliness of violation correction documents by reviewing the following:
The postmark date for documents sent by mail.
The date received by other means, such as personal delivery or fax.
[]
You must:
Inform employees about violation corrections by doing the following:
Post a copy of each violation correction document submitted to WISHA, or a summary, near the place where the violations occurred, if practical.
&sqbul; If posting near the place where the violation occurred is not practical, such as with a mobile work operation, post in a place readily accessible to affected employees or take other steps to fully communicate actions taken to affected employees or their representatives.
Keep violation correction information posted for at least three working days after submitting the correction documents to WISHA.
Give notice to employees and their representatives on or before the date you submit correction information to WISHA.
Make sure that all posted correction documents are not altered, defaced, or covered by other materials.
Inform employees and their representatives of their right to examine and copy all correction documents submitted to WISHA.
If they ask to examine or copy documents within three working days of receiving notice that the documents were submitted to WISHA, provide access or copies no later than five days after receiving their request.
[]
You must:
Tag moveable equipment that has been cited to warn employees if a hazard has not been corrected, as follows:
Attach a warning tag or a copy of the citation to the equipment's operating controls or to the cited component.
&sqbul; For hand-held equipment, tag it immediately after you receive a citation.
&sqbul; For other equipment, tag it before moving it within the worksite or between worksites.
Note: | The tag should warn employees about the nature of the violation and tell them where the citation is posted. |
Reference: | For a sample tag that meets this requirement, go to helpful tools, sample tag for cited moveable equipment, in the resources section of this chapter. |
Make sure that the tag or copy of the citation attached to movable equipment is not altered, defaced, or covered by other materials.
Keep the tag or copy of the citation attached to movable equipment until one of the following occurs:
Violations have been corrected and all certification documents have been submitted to WISHA.
Cited equipment is permanently removed from service.
The final order from an appeal vacates (voids) the violation.
Note: | Safety standards for construction work, chapter 296-155 WAC, has information on warning tags. You can use warning tags that meet those requirements instead of the warning tags required by this rule. |
[]
Summary:
Your responsibility:
To submit timely requests when more time is needed to correct violations. To post requests for more time for employees.
Requesting more time to comply
Post WISHA's response to requests for more time
Correction date hearing requests
Post WISHA's violation correction hearing notice
Violation correction hearing procedures
Post the violation correction hearing decision
[]
Employers can request more time to correct violations if they:
Have made a good faith effort to correct the violation.
Have not corrected the violation because of factors beyond their control.
You must:
Submit any requests for more time to correct violations in writing. Requests must be received or postmarked before midnight of the correction date shown on the citation and notice (C&N) or corrective notice of redetermination (CNR), and include:
The business name.
The address of the workplaces.
The citation and the correction dates to be extended.
The new correction date and length of correction period being requested.
A description of the actions that have been, and are being, taken to meet the correction dates in the C&N or CNR.
Factors preventing correction of violations by the date required.
The means that will be used to protect employees while the violation is being corrected.
Certification that the request for correction date extension has been posted, and if appropriate, certification that a copy was delivered to affected employees or their representatives.
Employer's signature or the signature of the employer's representative.
Date.
Submit requests by one of the following methods:
First class mail, postage prepaid to any L&I office.
Take to any L&I office.
Fax to the number shown in the C&N.
Reference: | For a list of the local offices, see the resources section of the Safety and health core rules, chapter 296-800 WAC. |
WISHA may:
Accept late requests if they are both:
&sqbul; Received within five days following the related correction date;
AND
&sqbul; Accompanied by your written statement explaining the exceptional circumstances that caused the delay.
Note: | WISHA doesn't accept late requests when compliance activity has already started. |
Respond to telephone requests or personal conversations asking for more time to comply if timely, and followed up in writing within twenty-four hours.
Conduct an investigation before making a decision whether to grant a request for more time.
WISHA will:
Make a decision whether or not to grant the employer more time. Once made, the decision remains in effect unless an employee or employee representative requests a hearing.
Keep the original correction date in effect unless a notice granting more time is sent.
[]
You must:
Post notices from WISHA approving additional time to correct citations, with the related citation, immediately upon receipt.
Keep the notices posted until one of the following occur:
The correction date has passed.
A hearing notice is requested and posted.
[]
IMPORTANT:
Affected employees or their designated representatives may request a hearing if they disagree with WISHA's decision to grant an employer more time to correct a violation.
Employers may request a hearing if WISHA denies their request for more time to correct a violation.
You, your employees, or their representatives must:
Send requests for hearings, if desired, in writing no later than ten calendar days after the issue date of the notice granting more time to correct a violation to:
Mail to:
Assistant Director for WISHA Services
Attn: WISHA Appeals
P.O. Box 44604
Olympia, WA 98504-4604
Fax to: 360-902-5581
Take to any department service location.
Reference: | For a list of the local offices, see the resources section of the Safety and health core rules, chapter 296-800 WAC. |
[]
You must:
Post WISHA's hearing notice or a complete copy until the hearing is held, along with the:
Citation containing the correction date for which more time was requested.
Department notices issued in response to the employer's request for more time.
[]
After receiving a hearing request, the assistant director for WISHA services will appoint someone from WISHA to act as a hearings officer.
The hearings officer:
Will send a hearing notice to the employer and employee at least twenty days before the hearing date that includes all of the following:
&sqbul; A statement that all interested parties can participate in the hearing.
&sqbul; The time, date, and place of the hearing.
&sqbul; A short and clear explanation why a hearing was requested.
&sqbul; The nature of the proceeding, including the specific sections of the statute or rule involved.
&sqbul; The legal authority and jurisdiction under which the hearing will be held.
May discuss the material to be presented to determine how the hearing will proceed.
An assistant attorney general may be present at the hearing to give legal advice to the hearings officer.
The hearing will be conducted by either:
The hearings officer;
OR
The assistant attorney general, if requested by the hearings officer.
After the hearing, WISHA will issue an order that either affirms or modifies the correction date that caused the hearing.
[]
You must:
Post a complete, unedited copy of the order affirming or modifying the correction date as soon as it is received, along with the applicable citation.
[]
Summary:
Employer responsibility:
To post information regarding appeals in a conspicuous area where notices to employees are normally posted:
Appealing a citation and notice (C&N)
Appealing a corrective notice of redetermination (CNR)
Posting appeals
[]
Employers may appeal C&Ns.
Employees of the cited employer, or their designated representatives, may only appeal correction dates.
You must:
When appealing, submit a written appeal to WISHA within fifteen working days after receiving the C&N. Include the following information:
Business name, address, and telephone number.
Name, address, and telephone number of any employer representative.
C&N number.
What you believe is wrong with the C&N and any related facts.
What you believe should be changed, and why.
A signature and date.
Send appeals in any of the following ways:
Mail to:
Assistant Director for WISHA Services
Attn: WISHA Appeals
P.O. Box 44604
Olympia, WA 98504-4604
Fax to: 360-902-5581
Take to any department service location.
Reference: | See the resources section of the Safety and health core rules, chapter 296-800 WAC, for a list of the local offices. |
Note: | The postmark is considered the submission date of a mailed request. |
When appealing C&N correction dates, submit a written request to WISHA within fifteen working days after the C&N is received. Include the following information:
Name of employee, address, telephone number.
Name, address, and telephone number of any designated representative.
C&N number.
What is believed to be wrong with the correction date.
A signature and date.
Send appeals in any of the following ways:
Mail to:
Assistant Director for WISHA Services
Attn: WISHA Appeals
P.O. Box 44604
Olympia, WA 98504-4604
Fax to: 360-902-5581
Take to any L&I service location.
Reference: | See the resources section of the Safety and health core rules, chapter 296-800 WAC, for a list of the local offices. |
Note: | The postmark is considered the submission date of a mailed request. |
After receiving an appeal, WISHA will do one of the following:
Reassume jurisdiction over the C&N, and notify the person who submitted the appeal.
Forward the appeal to the board of industrial insurance appeals. The board will send the person submitting the appeal a notice with the time and location of any board proceedings.
Definition:
Reassume jurisdiction means that WISHA has decided to provide the employer with an informal conference to discuss their appeal.
When reassuming jurisdiction over a C&N, WISHA has thirty working days after receiving the appeal to review it, gather more information, and decide whether to make changes to the C&N. The review period:
Begins the first working day after the appeal is received. For example, if an appeal is received on Friday, the thirty days will begin on the following Monday unless it is a state holiday.
May be extended fifteen additional working days, if everyone involved agrees and signs an extension agreement within the initial thirty-day period.
Will include an informal conference about the appeal that is an opportunity for interested parties to:
Briefly explain their positions.
Provide any additional information they would like WISHA to consider when reviewing the C&N.
Note: | WISHA might reassume jurisdiction over a C&N to do any of the following: |
&sqbul; Provide an employer and affected employees an opportunity to present relevant information, facts, and opinions during an informal conference. | |
&sqbul; Give an employer, affected employees, and the department an opportunity to resolve appeals rapidly and without further contest, especially in routine compliance cases. | |
&sqbul; Educate employers about the C&N, the WISHA appeals process, and WISHA compliance. | |
&sqbul; Review citations, penalties, and correction dates. Although informal, the conference is an official meeting and it may be either partially or totally recorded. Participants will be told if the conference is recorded. |
Reflects any changes made to the C&N.
Is sent to the employer, employees, and employee representatives participating in the appeal process.
[]
IMPORTANT:
Employers may appeal CNRs.
Employees who could be affected by a CNR, or their designated representatives, may appeal correction dates.
Employees or their representatives must:
Appeal a CNR, if desired, in writing within fifteen working days after it was received to the:
Board of Industrial Insurance Appeals
2430 Chandler Court S.W.
P.O. Box 42401
Olympia, WA 98504-2401
Send a copy of the appeal to the CNR to the:
Assistant Director for WISHA Services
Attn: WISHA Appeals
P.O. Box 44604
Olympia, WA 98504-4604
Fax to: 360-902-5581
Take to any department service location.
[]
You must:
Immediately post notices and information related to any appeal in the same place where WISHA citation and notices (C&Ns) are posted. These notices and information include:
The notice of appeal, until the appeal is resolved.
Notices about WISHA reassuming jurisdiction, and any extension of the review period until the end of review period.
A notice of an informal conference until after the conference is held.
A corrective notice of redetermination for as long as C&Ns are to be posted.
Reference: | For C&N posting requirements, see Posting citation and notices, WAC 296-900-13015. |
[]
Affected employees
Employees who could be one of the following:
Exposed to unsafe conditions or practices.
Affected by a request for, or change in, a variance from WISHA requirements.
Assistant director
The assistant director for the WISHA services division at the department of labor and industries or his/her designated representative.
Board
The board of industrial insurance appeals.
Certification
An employer's written statement describing when and how a citation violation was corrected.
Citation
See citation and notice.
Citation and notice
Issued to an employer for any violation of WISHA safety and health requirements. Also known as a citation and notice of assessment, or simply citation.
Correction action plans
Your written plans for correcting a WISHA violation.
Correction date
The date by which you must meet the WISHA requirements listed on either a:
Citation and notice (C&N);
OR
A Corrective notice of redetermination (CNR).
Corrective notice of redetermination (CNR)
Issued by WISHA after WISHA has reassumed jurisdiction over an appealed citation and notice.
Designated representative
Any of the following:
Any individual or organization to which an employee gives written authorization.
A recognized or certified collective bargaining agent without regard to written employee authorization.
The legal representative of a deceased or legally incapacitated employee.
Documentation
Material that an employer submits to prove that a correction is completed. Documentation includes, but is not limited to, photographs, receipts for materials and labor.
Failure to abate (FTA)
A violation that was cited previously which the employer has not fixed.
Final order
Any of the following (unless an employer or other party files a timely appeal):
Citation and notice.
Corrective notice of redetermination.
Decision and order from the board of industrial insurance appeals.
Denial of petition for review from the board of industrial insurance appeals.
Decision from a Washington state superior court, court of appeals, or the state supreme court.
Final order date
The date a final order is issued.
Hazard
Any condition, potential or inherent, which can cause injury, death, or occupational disease.
Imminent danger violation
Any violation resulting from conditions or practices in any place of employment, which are such that a danger exists which could reasonably be expected to cause death or serious physical harm, immediately or before such danger can be eliminated through the enforcement procedures otherwise provided by the Washington Industrial Safety and Health Act.
Interim order
An order allowing an employer to vary from WISHA requirements until a permanent or temporary variance is granted.
Monetary penalties
Fines assessed against an employer for violations of safety and health requirements.
Movable equipment
A hand-held or nonhand-held machine or device that:
Is powered or nonpowered.
Can be moved within or between worksites.
Must
Means mandatory.
Permanent variance
Allows an employer to vary from WISHA requirements when an alternate means, that provides equal protection to workers, is used.
Probability rate
A number that describes the likelihood of an injury, illness, or disease occurring, ranging from 1 (lowest) to 6 (highest).
Reassume jurisdiction
WISHA has decided to provide the employer with an informal conference to discuss their appeal.
Repeat violation
A violation where the employer has been cited one or more times previously for a substantially similar hazard, and the prior violation has become a final order no more than three years prior to the employer committing the violation being cited.
Serious violation
When there is a substantial probability that death or serious physical harm could result from one of the following in the workplace:
A condition that exists.
One or more practices, means, methods, operations, or processes that have been adopted or are in use.
Temporary variance
Allows an employer to vary from WISHA requirements under certain circumstances.
Variance
Provides an approved alternative to WISHA requirements to protect employees from a workplace hazard. Variances can be permanent or temporary.
WAC
An acronym for Washington Administrative Code, which are rules developed to address state law.
WISHA
This is an acronym for the Washington Industrial Safety and Health Act.
You
An employer.
WARNING: EQUIPMENT HAZARD Cited by the Department of Labor and Industries |
Equipment cited: | |||
Hazard cited: | ||||
For detailed information, see L&I citation posted at: | ||||
WARNING: EQUIPMENT HAZARD See reverse side |
This tag or similar tag or
a copy of the citation
must remain attached to
this equipment until the
criteria for removal in
WAC 296-900-15035 are
met. The tag/citation copy must not be altered, defaced, or covered by other material. |
|||
[]
OTS-8390.1
REPEALER
The following sections of the Washington Administrative Code are repealed:
WAC 296-350-010 | Definitions. |
WAC 296-350-700 | Variance from WISHA rules. |
WAC 296-350-70010 | Purpose of variances. |
WAC 296-350-70015 | Permanent variances -- Description. |
WAC 296-350-70020 | Temporary variances -- Description. |
WAC 296-350-70030 | Requesting a permanent variance. |
WAC 296-350-70035 | Requesting a temporary variance. |
WAC 296-350-70040 | Renewing temporary variances. |
WAC 296-350-70045 | Submitting variance requests. |
WAC 296-350-70050 | Notifying employees about variance requests. |
WAC 296-350-70055 | Department review and decision. |
WAC 296-350-70060 | Your responsibilities once we make a decision. |
WAC 296-350-70065 | Changing a variance. |
WAC 296-350-70070 | Variance hearings. |
WAC 296-350-990 | Appendix A -- Form F418-023-000 -- Application for copies of citations and notices. |
OTS-8391.1
REPEALER
The following sections of the Washington Administrative Code are repealed:
WAC 296-800-350 | Introduction. |
WAC 296-800-35002 | Types of workplace inspections. |
WAC 296-800-35004 | Scheduling inspections. |
WAC 296-800-35006 | Inspection techniques. |
WAC 296-800-35008 | Response to complaints submitted by employees or their representatives. |
WAC 296-800-35010 | Citations mailed after an inspection. |
WAC 296-800-35012 | Employees (or their representatives) can request a citation and notice. |
WAC 296-800-35016 | Posting a citation and notice and employee complaint information. |
WAC 296-800-35018 | Reasons to assess civil penalties. |
WAC 296-800-35020 | Minimum penalties. |
WAC 296-800-35022 | Base penalty calculations -- Severity and probability. |
WAC 296-800-35024 | Severity rate determination. |
WAC 296-800-35026 | Probability rate determination. |
WAC 296-800-35028 | Determining the gravity of a violation. |
WAC 296-800-35030 | Base penalty adjustments. |
WAC 296-800-35032 | Types of base penalty adjustments. |
WAC 296-800-35038 | Minimum and maximum adjusted base penalty amounts. |
WAC 296-800-35040 | Reasons for increasing civil penalty amounts. |
WAC 296-800-35042 | Employers must certify that violations have been abated. |
WAC 296-800-35044 | For willful, repeated, or serious violations, submit additional documentation. |
WAC 296-800-35046 | Submitting correction action plans. |
WAC 296-800-35048 | Submit progress reports to the department when required. |
WAC 296-800-35049 | WISHA determines the date by which abatement documents must be submitted. |
WAC 296-800-35050 | Inform affected employees and their representatives of abatement actions you have taken. |
WAC 296-800-35052 | Tag cited moveable equipment to warn employees of a hazard. |
WAC 296-800-35056 | You can request more time to comply. |
WAC 296-800-35062 | WISHA's response to your request for more time. |
WAC 296-800-35063 | Post the department's response. |
WAC 296-800-35064 | A hearing can be requested about the department's response. |
WAC 296-800-35065 | Post the department's hearing notice. |
WAC 296-800-35066 | Hearing procedures. |
WAC 296-800-35072 | Post the hearing decision. |
WAC 296-800-35076 | Employers and employees can request an appeal of a citation and notice. |
WAC 296-800-35078 | Await the department's response to your appeal request. |
WAC 296-800-35080 | Department actions when reassuming jurisdiction over an appeal. |
WAC 296-800-35082 | Appealing a corrective notice. |
WAC 296-800-35084 | Notify employees. |