The Hierarchy of Control: A Compliance and Risk Management Tool

Stephan Heyneke

Workplace safety is a top priority for business owners. The well-being of employees is not only a moral responsibility but also a critical factor in compliance and risk management. In environments where hazards are inevitable, understanding how to mitigate or drastically reduce risks effectively can save lives and safeguard businesses. Enter the Hierarchy of Control, a structured framework that serves as a cornerstone for reducing workplace hazards while ensuring adherence to safety regulations.

This blog unpacks the hierarchy of control, explores its practical applications, and highlights its value in compliance and risk management.

What Are the Hierarchy of Controls?

The hierarchy of control is a systematic approach used to identify and mitigate workplace hazards. Its core principle? To prioritise measures that eliminate or reduce risks at the source, instead of relying on employee intervention or personal protective equipment (PPE) alone.

This framework supports compliance and risk management by providing a clear roadmap for assessing hazards and determining the most effective control measures. It ensures that organisations not only comply with legal safety standards but also foster a proactive safety culture.

Understanding the Hierarchy of Control Measures

The hierarchy of control is structured into five levels, each representing a different approach to managing risks:

1. Elimination

The gold standard of hazard control elimination involves removing the hazard entirely. When a risk no longer exists, so does the potential for harm. For example, replacing manual, high-risk tasks with automated systems can completely remove the threat posed to employees.

2. Substitution

If elimination isn’t feasible, the next best option is substitution—replacing a hazard with a safer alternative. For instance, using non-toxic cleaning agents instead of harmful chemicals is a common substitution strategy in workplaces.

3. Engineering Controls

Engineering controls focus on isolating people from the hazard through physical barriers or redesigns. Installing machine guards to prevent accidental contact or designing ergonomic workstations to minimise strain are practical examples.

4. Administrative Controls

These measures involve changing organisational processes or behaviours to reduce risks. Strategies include staff training, scheduling regular breaks to prevent fatigue, and implementing detailed safety protocols. Administrative controls rely on consistent human compliance to be effective.

5. Personal Protective Equipment (PPE)

Often seen as the last line of defence, PPE includes gear like gloves, helmets, goggles, and respirators. While essential in hazardous environments, PPE doesn’t address the source of the hazard and should never be the sole control measure.

Each level of the hierarchy builds upon the previous one, reinforcing a comprehensive approach to risk mitigation.

Hierarchy of Controls Examples in Practice

To illustrate the hierarchy of control’s effectiveness, let’s explore real-life examples of its application:

• Elimination: a manufacturing company transitions from manual welding to robotic welding, removing the risk of burns and toxic fume exposure. Another example: A manufacturing company discovers that a specific chemical used in their processes is harmful to employees. Instead of simply providing personal protective equipment (PPE) or implementing safety protocols, the company decides to eliminate the chemical entirely by reformulating their product. This change reduces exposure to toxic substances, improving workplace safety significantly.
• Substitution: in a laboratory, researchers can switch from volatile organic solvents to water-based alternatives. Then we can also look at construction site examples: A construction site was using a solvent-based paint that emitted harmful fumes. To enhance air quality and decrease the risk of respiratory problems for workers, the site supervisor substituted traditional solvent-based paints with low-VOC (Volatile Organic Compounds) paints that are safer for health and the environment.
• Engineering controls: a factory could install noise-dampening barriers around loud machinery to reduce noise exposure. This is something seen by many companies with the issue of interrupted electricity supply, which requires them to use their large generators more often. With more frequent usage, the risk of noise levels increases, thus placing noise-damping barriers which can reduce and even mitigate the risks. 
• Administrative controls: a retail chain implements mandatory training for certified operators and restricts forklift use. With licences and compliance with administrative requirements stipulated in the company’s Quality Management System and more specifically in Policies, Procedures and Standard Operating Procedures. 
• PPE: construction workers wear high-visibility vests and hard hats to mitigate risks from falling objects or poor visibility. This is seen as standard practice on construction sites. This creates a norm and explains the aspect of psychological safety, as the employee perceives the employer as being aware of their safety and the risks involved in their daily work. This also has a ripple effect on motivation and employee performance. 

These examples demonstrate the hierarchy’s emphasis on prioritising measures that address risks at their source before relying on administrative actions or protective equipment.

The Role of the Hierarchy of Risk Control Diagram

A visual representation of the hierarchy of control often takes the form of a pyramid, with elimination at the top and PPE at the base. This diagram simplifies complex concepts and helps stakeholders understand the importance of prioritising controls that offer the most protection.

How to Use the Diagram:

1. Risk assessment: begin by identifying workplace hazards and consulting the hierarchy diagram to determine which control measures to prioritise.
2. Planning and implementation: use the diagram to develop a step-by-step plan for mitigating risks, starting with elimination or substitution wherever possible.
3. Training and awareness: share the diagram with employees during safety training sessions to reinforce its principles and empower staff to identify potential hazards.

By integrating the diagram into safety planning, organisations can align their risk management strategies with best practices for compliance.

Why the Hierarchy of Control Is Essential for Compliance and Risk Management

The hierarchy of control is more than a safety framework; it’s a compliance and risk management powerhouse. Here’s why:

1. Regulatory compliance: governments and regulatory bodies worldwide emphasise hazard control as part of workplace safety standards. Adopting the hierarchy ensures adherence to these legal requirements.
2. Employee health and safety: by systematically addressing hazards, the hierarchy minimises risks to employees, reducing workplace injuries and illnesses.
3. Proactive safety culture: a structured approach to hazard management instils confidence and accountability among employees, fostering a culture of safety and vigilance.

In today’s fast-evolving work environments, the hierarchy of control equips business owners with the tools they need to anticipate and address risks effectively, ensuring the long-term success of their organisations.

The hierarchy of control is not just a compliance checklist—it’s a strategy for building safer workplaces and protecting the most valuable resource: people. By understanding and applying its principles, business owners can mitigate risks, enhance employee safety, and meet regulatory standards with confidence.

Integrating the hierarchy into your risk management practices is a step toward a safer and more resilient organisation. If you’re ready to take your compliance and safety efforts to the next level, contact DDi today for expert guidance and tailored solutions. Let’s create a workplace where safety isn’t just a priority—it’s a foundation for success.