WSR 15-13-049 PERMANENT RULES DEPARTMENT OF LABOR AND INDUSTRIES [Filed June 9, 2015, 3:49 p.m., effective September 1, 2015]
Effective Date of Rule: September 1, 2015.
Purpose: The Occupational Safety and Health Administration (OSHA) changed its policies for calculating penalties in October 2010. In October 2012, OSHA updated the States Activities Mandated Measures (SAMM) Report to require state plan states to meet new measures for calculating penalties. Failure to adopt rules to respond to the change in OSHA policies and to meet the new SAMM measures could result in the suspension of Washington's state plan approval and/or federal funding.
AMENDED SECTIONS:
WAC 296-900-140 Monetary penalties.
WAC 296-900-14005 Reasons for monetary penalties.
WAC 296-900-14010 Base penalties.
WAC 296-900-14015 Base penalty adjustments.
WAC 296-900-14020 Increases to adjusted base penalties.
WAC 296-900-180 Definitions.
Citation of Existing Rules Affected by this Order: Amending 6 - see Purpose above.
Statutory Authority for Adoption: RCW 49.17.010, 49.17.040, 49.17.050, and 49.17.060.
Adopted under notice filed as WSR 15-04-115 on February 3, 2015; and continuance of comment period filed in WSR 15-08-089 on March 31, 2015.
Changes Other than Editing from Proposed to Adopted Version: As a result of written and oral comments received, the following sections are being changed as indicated below:
CHANGES TO THE RULES (proposed rule versus rule actually adopted):
WAC 296-900-140 Monetary penalties.
WAC 296-900-14010 Base penalties.
WAC 296-900-14015 Base penalty adjustments.
WAC 296-900-14020 Increases to adjusted base penalties.
WAC 296-900-180 Definitions.
Number of Sections Adopted in Order to Comply with Federal Statute: New 0, Amended 0, Repealed 0; Federal Rules or Standards: New 0, Amended 6, Repealed 0; or Recently Enacted State Statutes: New 0, Amended 0, Repealed 0.
Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, Amended 0, Repealed 0.
Number of Sections Adopted on the Agency's Own Initiative: New 0, Amended 0, Repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, Amended 6, Repealed 0.
Number of Sections Adopted Using Negotiated Rule Making: New 0, Amended 0, Repealed 0; Pilot Rule Making: New 0, Amended 0, Repealed 0; or Other Alternative Rule Making: New 0, Amended 6, Repealed 0.
Date Adopted: June 9, 2015.
Joel Sacks
Director
AMENDATORY SECTION (Amending WSR 06-06-020, filed 2/21/06, effective 6/1/06)
WAC 296-900-140 Monetary penalties.
Summary:
Employer responsibility:
To pay monetary penalties if assessed.
Contents:
Reasons for monetary penalties
WAC 296-900-14005.
Base penalties
WAC 296-900-14010.
Base penalty adjustments
WAC 296-900-14015.
Increases to adjusted base penalties
WAC 296-900-14020.
Definitions:
• "Base penalty" means that penalty amount calculated for a violation by considering either specific statutory penalty amounts or the gravity of the violation.
• "Division" or "DOSH" means the division of occupational safety and health, Washington state department of labor and industries.
• "Gravity" for purposes of calculating a penalty, means the amount calculated by multiplying a violation's severity rate by its probability rate.
• "Inpatient hospitalization" means formal admission to the inpatient service of a hospital or an equivalent medical facility on an emergent basis for a work-related injury, or illness.
• "Monetary penalties" are fines assessed against an employer for violations of safety and health requirements.
• "Probability" means a number that describes the likelihood that an injury, illness, or disease will occur ranging from 1 (lowest) to 3 (highest).
• "Severity" for purposes of calculating a penalty, means the most serious injury, illness, or disease that could be reasonably expected to occur, ranging from 1 (lowest) to 3 (highest), because of a hazardous condition.
• "WISHA" means the Washington Industrial Safety and Health Act.
AMENDATORY SECTION (Amending WSR 06-06-020, filed 2/21/06, effective 6/1/06)
WAC 296-900-14005 Reasons for monetary penalties.
• ((WISHA)) DOSH may assess monetary penalties when a citation and notice is issued for any violation of safety and health rules or statutes.
• ((WISHA)) DOSH 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.
• The minimum civil penalties assessed by ((WISHA)) DOSH are:
– One hundred dollars for any penalty.
– Two thousand five hundred dollars per violation for violations contributing to a fatality.
– 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).
AMENDATORY SECTION (Amending WSR 06-06-020, filed 2/21/06, effective 6/1/06)
WAC 296-900-14010 Base penalties.
• ((WISHA)) DOSH 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
• Severity and probability are established in the following ways:
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)) 3 (highest). ((Violations with a severity rating of 4, 5, or 6 are considered serious.
– WISHA uses)) – Tables 3((, Severity Rates,)) and 4 are used to determine the severity rate for a violation.
Table 3
Severity ((Rates)) - Serious Violations
Table 4
Severity - General Violations
Probability:
Definition:
A probability rate is a number that describes the likelihood ((of)) that an injury, illness, or disease ((occurring,)) will occur ranging from 1 (lowest) to ((6)) 3 (highest). See Table 5.
– When determining probability, ((WISHA)) DOSH considers a variety of factors, depending on the situation, such as:
■ Frequency and amount of exposure.
■ Number of employees exposed.
■ Instances, or number of times, the hazard is identified in the workplace.
■ How close an employee is to the hazard, i.e., the proximity of the employee to the hazard.
■ Weather and other working conditions.
■ Employee skill level and training.
■ Employee awareness of the hazard.
■ The pace, speed, and nature of the task or work.
■ Use of personal protective equipment.
■ Other mitigating or contributing circumstances.
Table 5
Probability
– ((WISHA uses Table 4, Gravity Based Penalty,)) Table 6 is used to determine the dollar amount for each gravity-based penalty, unless otherwise specified by statute.
((Table 4
Gravity Based Penalty
Table 6
Gravity-Based Penalty - Serious Violations
Severity x Probability = Gravity
The minimum penalty for a serious violation = $100.
(A penalty is required by statute for a serious violation; where adjustments would result in a penalty below the minimum, the minimum will be applied.)
The maximum statutory penalty for a serious violation = $7,000.
Table 7
General Violations Penalty
A penalty is not applied to first time general violations. The base penalty is used to calculate the penalty for willful, repeat, or failure to abate general violations.
AMENDATORY SECTION (Amending WSR 06-06-020, filed 2/21/06, effective 6/1/06)
WAC 296-900-14015 Base penalty adjustments.
• ((WISHA may adjust base penalties. Table 5, Adjusted Base Penalties,)) Tables 8 through 11 describe((s)) the various factors ((WISHA)) DOSH 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 adjusted penalty for serious violations contributing to a fatality is two thousand five 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.
((Table 5
Adjusted Base Penalties
Table 8
Employer Inspection History
• History is based on the prior three years statewide.
• No reduction is given for violations classified as willful, repeat, failure to abate, or violations contributing to an inpatient hospitalization with an assigned gravity of 6 or 9 or any violations contributing to a fatality.
Table 9
Good Faith
Based on:
• Evidence of an overall safety and health program, including a written accident prevention program (APP), other required written programs, training, etc.
• Efforts to fully communicate safety and health policies.
• Employees are clearly involved in the safety and health programs.
• Management's commitment at all levels is apparent.
• Employer's injury and illness rate.
No reduction is given for violations classified as willful, repeat, or failure to abate.
Table 10
Abatement Quick-Fix Reduction
No reduction is given for:
• Violations classified as willful, repeat, or failure to abate.
• Violations contributing to an inpatient hospitalization or fatality, or to any incidents resulting in serious injuries to employees.
• Blatant violations that are easily corrected or "abated" due to the short-term duration of work at a specific location.
Table 11
Size of Workforce
Based on workforce size nationwide.
AMENDATORY SECTION (Amending WSR 07-03-163, filed 1/24/07, effective 4/1/07)
WAC 296-900-14020 Increases to adjusted base penalties.
• ((WISHA may increase an adjusted base penalty in certain circumstances. Table 6, Increases to Adjusted Base Penalties,)) Tables 12 through 14 describe((s)) circumstances where an increase may be applied by DOSH to an adjusted base penalty.
((Table 6
Increases to Adjusted Base Penalties
Table 12
Repeat Violations
(increases the adjusted base penalty, after willful assessment)
• History is based on the prior three years
• Maximum statutory penalty = $70,000
Table 13
Willful Violations
Minimum statutory penalty = $5,000
Maximum statutory penalty = $70,000
Table 14
Failure to Abate
Maximum statutory penalty cannot exceed $7,000 per day if violation is not corrected.
Table 15
Egregious Violation
Table 16
Penalty Calculation Method
AMENDATORY SECTION (Amending WSR 06-06-020, filed 2/21/06, effective 6/1/06)
WAC 296-900-180 Definitions.
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 of occupational safety and health (DOSH) at the department of labor and industries or his/her designated representative.
Base penalty
The penalty amount calculated for a violation by considering either specific statutory penalty amounts or the gravity of the violation.
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.
Division or DOSH
The division of occupational safety and health, Washington state department of labor and industries.
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.
Gravity
For purposes of calculating a penalty means the amount calculated by multiplying a violation's severity rate by its probability rate.
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.
Inpatient hospitalization
Formal admission to the inpatient service of a hospital or an equivalent medical facility on an emergent basis for a work-related injury, or illness.
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)) 3 (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.
Severity
For purposes of calculating a penalty means the most serious injury, illness, or disease that could be reasonably expected to occur, ranging from 1 (lowest) to 3 (highest), because of a hazardous condition.
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.
Sample Tag for Cited Moveable Equipment
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