Industry Regulations & Compliance Flashcards

The Dodd-Frank Act Section 1502 (conflict minerals rule) requires SEC-reporting manufacturers to disclose use of which minerals if sourced from the Democratic Republic of Congo region?

Answer: Tantalum, tin, tungsten, and gold (3TG)

Section 1502 targets tantalum, tin, tungsten, and gold (3TG) — minerals whose trade has financed armed conflict — requiring due diligence and disclosure by SEC-reporting companies.

A process facility implements a 'bow-tie' risk analysis as part of its process safety program. In a bow-tie diagram, 'barriers' on the LEFT side of the top event are called:

Answer: Prevention barriers (or threat barriers)

In a bow-tie analysis, barriers to the left of the top event are prevention (threat) barriers that stop threats from causing the top event, while right-side barriers mitigate consequences.

Under HIPAA's Security Rule, which type of safeguard requires covered entities to implement policies and procedures to prevent, detect, contain, and correct security violations involving electronic protected health information (ePHI)?

Answer: Administrative safeguards

HIPAA's administrative safeguards are the policies, procedures, and training programs that govern how a covered entity manages the selection, development, implementation, and maintenance of security measures for ePHI.

ISO 45001:2018 (Occupational Health and Safety Management) replaced which earlier international standard?

Answer: OHSAS 18001:2007

ISO 45001:2018 replaced OHSAS 18001:2007 as the internationally recognized OH&S management system standard, adopting the High Level Structure (HLS) common to other ISO management standards.

In a facility subject to EPA's Spill Prevention, Control, and Countermeasure (SPCC) rule, a Tier I Qualified Facility can use a self-certification template instead of a PE-certified plan when its total aboveground oil storage capacity is:

Answer: No more than 10,000 gallons and no single container exceeds 5,000 gallons

Tier I Qualified Facility status under SPCC applies when total aboveground capacity is ≤10,000 gallons and no single container exceeds 5,000 gallons, allowing owner/operator self-certification.

A CPS practitioner reviewing a manufacturing site's compliance calendar notices the PSM compliance audit is overdue. OSHA 1910.119 requires compliance audits to be conducted at least every:

Answer: 3 years

OSHA PSM requires that employers certify they have evaluated compliance with PSM requirements at least every three years through a compliance audit by a qualified team.

The concept of 'inherently safer design' (ISD) in process safety prioritizes which hierarchy of risk reduction strategies, from most to least preferred?

Answer: Minimize, Substitute, Moderate, Simplify

ISD's hierarchy (often remembered as SMSM or CCPS's four strategies) prioritizes: Minimize (reduce quantities), Substitute (less hazardous materials), Moderate (milder conditions), and Simplify (reduce complexity/error potential).