january -2017€¦ · form the hirac team. define scope. identify processes, products and services....

Hazard Identification and Risk Assessment ControlsGUIDE TO RISK ASSESSMENT & RESPONSE

D E PA R T M E N T O F S A F E T Y & R I S K M A N A G E M E N TJ A N UA R Y - 2 0 1 7

Department of Safety & Risk Management CALIFORNIA STATE UNIVERSITY MARITIME ACADEMY 2

Department of Safety & Risk ManagementWhat is Integrated Safety Environment Management (ISEM)?

ISEM is a 5-step planning, performance, and review process for incorporating safety and environmental best practices into work activities.

The risk management process—of identifying, analyzing, evaluating,and ultimately responding to and monitoring risk—is at the heart ofan integrated safety and risk management system. (SRM)Extending this process across an entire organization, looking at both“upside” and “downside” risk, and considering risk in the context of strategy is what differentiates “SRM” from ‘Traditional’ riskmanagement.

HIRAC- Hazard Identification Risk Assessment Control is a tool used to: To identify types of Hazard in work area To make Risk Assessments To suggest Risk Controls to Organization To implementing Risk Controls To review Risk Controls

CALIFORNIA STATE UNIVERSITY MARITIME ACADEMY 3

Department of Safety & Risk ManagementUnderstanding Risk Assessment Controls

This Guide to Risk Assessment & Response deals with the risk management process shown in Figure1: establishing the context, and identifying, analyzing, evaluating, and responding to risks andopportunities that could affect the institution or a department’s ability to achieve its strategic goalsand objectives.

The context and the risk assessment steps form the basis for decision-making about which risks oropportunities are priorities, what the appropriate response should be, and how resources should beallocated to manage the risk or opportunity in a way that best supports the organization’s strategy.

The risk response step involves deciding on and planning for the best way to “treat” or modify therisk, and implementing that plan.

Department of Safety & Risk Management


Department of Safety & Risk ManagementEffective Risk Assessment Methodologies

Objectives; utilize best practices that address inherent risk in the following areas:Potential impact of “Prevention through Design”, “Risk Management,” and “Occupational Health & Safety Management Systems”

Identifying human performance aspects or serious injury and fatality prevention, focusing on best practices to manage risk at the operator/group level in the final work planning stages and work execution Systems-based approach requires the organization to assess and prioritize its occupational health and

safety management system (OHSMS) on an on-going basis; Hazard-based approach begins with the hazardous characteristics of the materials, environment, or

worksite considering the possible activities that may affect them, and the consequences; and Task-based approach begins with a job, breaks the job into specific tasks, identifies the hazards associated

with the tasks and then assesses the risks.

Common element throughout best practices is high level of employee involvement in the risk assessment process



Department of Safety & Risk ManagementHazard Identification Risk Assessment Controls: HIRAC

Any individual at any level of the institution may use this guide to assess and plan responses to risks and opportunities in their area. For the most part, however, risk assessments at Cal Maritime will be conducted along three primarypathways:

1) Administrative Annual Review: As part of Cal Maritime’s annual SRM process, “responsible officials” (deans, vice presidents, directors, or other senior officials designated as responsible for a risk) will be asked to identify and assess the institutional-level risks and opportunities for which they areresponsible.

2) Strategic Operational Review: Cal Maritime senior management may choose to conduct a risk assessment of a planned, institutional, strategic initiative to inform decision-making.

3) Post Incident/Complaint Review: Vice presidents, deans, directors, or other senior officials may conduct a risk assessment for their area that considers college-, school-, division-, or department-levelrisks.


HIRAC Team Leader HIRAC Team

SRM CLC

SRM HIRAC Team Leader HIRAC Team

SRM SRM CLC


Department of Safety & Risk ManagementHIRAC Process Management Flow: Process Flow: Start-A, A-B, B-End

SRM HIRAC Team Leader HIRAC Team Process Owner

SRM SRM CLC TBD

Start

Form the HIRAC Team

Form the HIRAC Team

Define Scope

Identify processes, products and services

Determine major activities

Determine infrastructure, inputs

and outputs

Identify applicable hazardous events and interactions with the

environment

A

Determine causal factors

Classify the hazards

Determine likelihood

Determine existing controls

Evaluate the adequacy/effectiveness

of existing controlsDetermine compliance

to legal limits/licensing/permit

requirements associated to the

hazard

Perform Risk Rating Assessment

B

A

Determine additional controls/improvement

B

Cascade results & update SRM

Implement and maintain programs

Evaluate effectiveness

Review & update HIRAC

Consolidate HIRAC results

End

Review & update HIRAC

Distribute HIRAC template

Consult with SRM as needed

Evaluate effectiveness



Department of Safety & Risk ManagementDepartmental/Division Level HIRAC Process

1. Start by meeting with your department and identifying your Team Members to assist with completing the attached Table.• Familiarize your self with the HIRAC Table and reporting criteria

by using the Guide Tables in this presentation. 2. Brainstorm

• Try Identify all your Department specific hazards. These represent the specific dynamics your Team faces on a day to day basis.• Example: Workstation, desk, chair, lighting

• Then expand to the Campus as a whole.• Example: Walking downstairs from parking lot to office.

3. Start filling in your data• Insert new rows as needed• Use the Table Guides in this handout to help you rank Low-

Moderate-High impacts to your operation.4. Turn your Department/Division Level HIRAC Table in to the

Department of Safety & Risk Management when you have finished.



Department of Safety & Risk ManagementUnderstanding Risk Assessment ControlsFigure 1


SRM works with Departments to

develop JHA/JSA/SOP’s

SRM consolidates all the department level

tables into one master campus

community table

Dept./Division Leaders work with

their Teams to identify hazards


Department of Safety & Risk ManagementHIRAC: Establish the Context

The purpose of establishing the context for risk assessment is to set the stage for risk identification. Since “risk” is defined as “any issue (positive or negative) that may impact an organization’s ability to achieve its objectives,” defining the organization’s objectives is a prerequisite to identifying risk.

Steps to Follow1. Identify which goals or objectives of the Campus Strategic Plan your area supports, if any.2. Identify your College, School, Division, or department’s strategic goals or objectives.3. Identify any major initiatives that your area is planning or engaged in, at the institution, College,

School, Division, or Department level.4. Identify the critical activities, functions, or services others rely on your area to provide.5. Identify any your area’s external context: legal/regulatory requirements, stakeholder perceptions

and expectations, and any relevant social, cultural, political, financial, technological, economic, or competitive factors.



Department of Safety & Risk ManagementHIRAC: Steps to Follow

Identify all the risks and opportunities you can that might affect your objectives (see Questions to Spur Thinking &Discussion, above).For each one, give it a short name or title.Write a brief “risk statement” that describes each risk oropportunity and provides a little more detail about itssources and causes. Do not include potential impacts orconsequences. Aim for a “Goldilocks” risk statement: not too short,

not too long; not too vague, not too detailed;meaningful but not inflammatory

Too vague: “IT infrastructure” Too specific/inflammatory: “IT network and

hardware is obsolete, resulting in the potential for loss of institutional business continuity, lossof irreplaceable data, and privacy breaches”

Just right: “IT infrastructure not maintained and/orupgraded to necessary standards

Consider whether each issue is, overall, a risk or anopportunity.Consider which University strategic goal and objectiveeach risk or opportunity affects or is most closely relatedto.Consider which University Strategic Initiatives Projectareas, if any, each risk or opportunity affects or is mostclosely related to.Consider other strategic goals or initiatives for yourDivision, College, School, or department that this riskor opportunity affects.Identify the responsible official for each risk oropportunity. This is the individual at Cal Maritime with the accountability and authority to manage the issue.



Department of Safety & Risk ManagementHIRAC: Risk IdentificationThe purpose of the risk identification step is to “generate acomprehensive list of risks based on those events that mightcreate, enhance, prevent, degrade, accelerate, or delay the achievement of objectives” (ISO 31000, 2009).

Questions to Spur Thinking & Discussion1. What could affect the institution or your area’s ability to achieve

or fulfill your strategic goals, initiatives, or key functions, either positively or negatively? What uncertainties do you face?

2. What risks or opportunities could your area or the institution facein terms of:

a. Compliance and Privacyb. Financesc. Health, Safety, or Legal Liabilityd. Human Capitale. Operationsf. Reputationg. Securityh. Strategic Issues

3. What do you see as the strengths, weaknesses, threats, andopportunities facing your area?

4. Have there been any recent major changes to your area ofresponsibility or control (new regulations, newprograms/activities, organizational changes, etc.) that posenew risks or opportunities?

5. Are there particular programs, activities, internal controls, orlegal/regulatory issues, in your area that worry you or you think may pose significant risk to your unit or the institution?

Things to Keep in MindBe as comprehensive as possible at this stage – identify everything you can.Identify positive events that could advance strategic goals(opportunities) as well as negative events that couldhinder attainment of those goals (risks).Include risks and opportunities regardless of whether or not they are “under your control.”Consider the risks associated with not pursuing anopportunity.Think about related risks and opportunities, and cascading orcumulative impacts.Involve the most knowledgeable people.Use the most relevant and up-to-date information you have



Department of Safety & Risk ManagementHIRAC: Risk & Opportunity Identification

Risk & Opportunity IdentificationRisk or Opportunity Name Risk or Opportunity Statement CMA Strategic Goal Affected

CMA StrategicInitiatives Project Areas

Department Goals,Initiatives, or FunctionsAffected [Optional]

Responsible Official

Short name or title of risk oropportunity

Brief statement that includes sources, events,causes, and impacts of the risk oropportunity.

CMA strategic goal that this risk or opportunity affects

SIP Sub-Team to whichthis risk/opportunity ismost closely related

College, School, Division, orDepartment goals,objectives, or initiatives thatthis risk or opportunityaffects

Person or entity withthe accountability andauthority to manage thisrisk or opportunity

EXAMPLE -- Lab safety-- EXAMPLE

Lab safety training and compliance needsimprovement

5) Institutional Efficacy: As an institution, model the higheststandard of ethical conduct,accountability and bestpractice, public service, andstrong commitment to lifelong learning.

None or N/A C6-Provide a safe,healthy environment

John Smith, VPFA



Department of Safety & Risk ManagementHIRAC: Risk Analysis

The purpose of the risk analysis step is to develop anunderstanding of the risk or opportunity in order toinform your evaluation and decision of whether aresponse is required. Here is where you will assess thepotential impact and likelihood of the risks andopportunities.

Things to Keep in Mind• Analysis can be qualitative, semi-qualitative,

quantitative, or a combination thereof.• Consider causes and sources, their positive and negative

consequences, the likelihood that they can occur, andother attributes of the risk or opportunity.

• Consider interdependence of different risks or opportunities and their sources.

Steps to Follow1. Consider which institutional risk “category” best fits each risk or opportunity:

compliance and privacy, financial, health/safety/legal liability, human capital,operations, operational, or strategic. (See Table 1, Risk Categories.)

2. Consider the potential impact of each risk or opportunity by using the risk andopportunity impact scales shown in Table 2 and 3. If more than one column of the scale relates to your risk, base your rating on the column that reflects the greatestimpact. This will likely be the column that also corresponds to the category of the risk.(For example, if you categorized your risk as a “financial” issue, you will likely use thefinancial column of the impact scale to determine your impact rating.)

3. Consider the likelihood that each risk or opportunity will occur by using the likelihood scales shown in Tables 4 and 5.

4. The impact and likelihood scores will be multiplied to produce an initial risk score foreach risk or opportunity.

5. If an issue presents both risk and opportunity (i.e., could have both positive and negative impacts), rate the positive/opportunity aspects of the issue using the opportunityimpact and likelihood scale. Multiply the impact and likelihood ratings to produce anopportunity score. Then consider the negative/risk aspects of the issue and rate it using the risk impact and likelihood scales. Multiply the impact and likelihood ratings toproduce a risk score. Compare your opportunity and risk scores: which is greater? Isthere more upside or downside to this issue? In the worksheet, enter whichever impactand likelihood ratings produced the higher score.



Department of Safety & Risk ManagementHIRAC: Category Definitions

Category DescriptionCOMPLIANCE &

PRIVACYRisks or opportunities related to violations of federal, state or local law, regulation, or University policy, that creates exposure to fines, penalties, lawsuits, reduced future funding, imposed compliance settlements, agency scrutiny, injury, etc.

FINANCIALRisks or opportunities related to physical assets or financial resources, such as: tuitiongovernment support, gifts, research funding, endowment, budget, accounting and reporting, investments, credit rating, fraud, cash management, insurance, audit, financial exigency plan, long- term debt, deferred maintenance

HAZARD-SAFETY Risks or opportunities related to legal liability (negligence), injury, damage, or health and safety of the campus population or the environment, includingimpacts caused by accidental or unintentional acts, errors or omissions, and external events such as natural disasters.

HUMAN CAPITALRisks or opportunities related to investing in, maintaining, and supporting a quality workforce, suchas: recruitment, retention, morale, compensation & benefits, change management, workforce knowledge, skills, and abilities, unionization, employmentpractices

OPERATIONAL Risks or opportunities related to management of day-to-day University programs, processes, activities, and facilities, and the effective, efficient, andprudent use of the University’s resources.

REPUTATION Risks or opportunities related to human behavior

SECURITY Risks or opportunities related to crime, traffic and cyber attack

STRATEGICImpacts related to Cal Maritime's ability to achieve its strategic goals and objectives, including competitivemarket risks, and risks related to mission, mission, values, strategic goals; diversity; academic quality; research; student experience; business model; market positioning; enrollment management; ethical conduct; accreditation



Department of Safety & Risk ManagementHIRAC: Risk Impact Scale Matrix

ImpactScore Human Capital Hazard/Safety/Legal

Liability Financial* Operational Compliance Strategic Reputational

1Minor

• Affects <5% of Employees No collective bargaining impacts

• No impact on Recruitment or retention

• Minor injury• Minor legal liability exposure• Minor, reparable environmental damage

• Annual loss of <$50 thousand* in current fiscal year

• 5-year cumulative liability/obligation <$250 thousand

• No disruption of critical operations and Services 1-2 day disruption of a department

• Minor impact on efficiency, client/student programs and services, environmental sustainability, or infrastructure

• No effect on leadership effectiveness

• Minor audit findings• Minor fines

• Slows progress on one CMA strategic goal

• Limited negative publicity• No effect on CMA

reputation/image

2Moderate

• Affects 5-10% of Employees Collective bargaining required <5% employee turnover

• Moderate injury• Self-insured workers’ compensation

injury/exposure possible• Moderate legal liability exposure• Moderate, reparable environmental damage

• Annual loss of $125>$50 thousand* in current fiscal year

• 5-year cumulative liability/obligation $250<500 thousand*

• 3- to 5-day disruption of several departments or one critical service Moderate impact on efficiency, client/student programs and services, environmental sustainability, or infrastructure

• Moderate effect on leadership effectiveness

• Moderate audit findings• Moderate fines

Short-term agency scrutiny

• Slows progress on more than one CMA strategic goal

• Local/regional negative publicity

• Minor, short-term effect on CMA reputation/image

3Substantial

• Affects 11-25% off Employees Collective bargaining required 6-9% employee turnover

• Substantial injury• Self-insured workers’• Compensation injury/exposure possible• Substantial legal liability exposure• Substantial environmental damage requiring

mitigation

• Annual loss of $500 thousand >$1 million in current fiscal year

• 5-year cumulative liability/obligation $2million*

• 6- to 10-day disruption of a College School, or Division or several critical services

• Substantial impact on efficiency, client/student programs and services, environmental sustainability, or infrastructure

• Substantial impact on leadership effectiveness

• Audit findings Requiring programmatic changes

• Moderate-term agency scrutiny

• Enforcement action likely

• Stops progress of one CMA strategic goal

• Local/regional negative publicity

• Pressure for CMA to control the message

• Moderate damage to CMA ’s reputation/image

4Serious

• Affects 26-50% of employees Collective bargaining required 10-15% employee turnover

• Serious injury• Self-insured workers Compensation

injury/exposure• Serious legal liability exposure• Environmental damage eligible for EPA National

Priorities List

• Annual loss of $2>$25 million* in current fiscal year

• 5-year cumulative liability/obligation

• $100<150 million*

• 10- to 14-day disruption of 2 or more Colleges, Schools, or Divisions or three or more critical services

• Serious impact on efficiency, client/student programs and services, environmental sustainability, or infrastructure

• Serious effect on leadership effectiveness

• Principal investigator debarred Program funds rescinded Long-term agency scrutiny Enforcement action likely

• Stops progress on more than one CMA strategic goal

• National negative• Publicity Intense pressure for

CMA to control the message• Significant damage to CMA ’s• reputation/image

5Severe

Business Critical

• Affects 51-75% of employees Collective bargaining required >25% employee turnover

• Severe injury or death• Self-insured workers’• Compensation injury/exposure• Severe legal liability exposure• Severe environmental• damage eligible for EPA• National Priorities List

• Annual loss of $25<$50 million* in current fiscal year

• 5-year cumulative liability/obligation $150<250 million*

• 14-day to 3-month disruption of 2 or more Colleges, Schools, or Divisions or most critical services

• Severe impact on efficiency, client/student programs and services, environmental sustainability, or infrastructure

• CMA Insolvency Leadership failure results in long term damage to institution

• Imposed settlement or corporate integrity agreement

• Organizational criminal prosecution

• Record financial• Judgment• Threatens viability of

CMA • Loss of all Federal

research funds

• Reverses progress on one or more CMA strategic goals

• University strategic plan failure

• National negative publicity• CMA cannot control the• message• Severe, long-term damage to

CMA ’s reputation/image Negative publicity

• Significant decrease in enrollment or research funding* Estimated Campus budget impact

Use as a theoretical guide


2/28/2017 CALIFORNIA STATE UNIVERSITY MARITIME ACADEMY 16

Department of Safety & Risk ManagementHIRAC: Opportunity Impact Scale Matrix

IMPACT SCORE STRATEGIC REPUTATIONAL ENROLLMENTMANAGEMENT& STUDENT SUCCESS FINANCIAL* OPERATIONAL

1MINOR

• Minor alignment with CMA vision and mission • Minor contribution to competitive advantage

or long term viability• Minor progress on one strategic goal

• Limited, local positive publicity• No lasting effect on CMA• reputation/image

• Minor improvement in recruitment, retention, completion, or student satisfaction with CMA experience

• Annual savings or new net revenue <$50 thousand*

• Minor improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure

2MODERATE

• Moderate alignment with CMA vision and mission

• Moderate contribution to competitive advantage or long-term viability

• Minor progress on more than one• strategic goal

• Positive local/regional publicity• Minor, short-term effect on CMA• reputation/image

• Moderate improvement in recruitment, retention, completion, or student satisfaction with CMA experience

• Annual savings or new net revenue of $50>$100 thousand*

• Moderate improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure

3SUBSTANTIAL

• Substantial alignment with CMA vision and mission

• Substantial contribution to competitive advantage or long-term viability

• Major progress on one strategic goal

• Positive publicity and external• recognition• Moderate. short-term Improvement to• CMA’s reputation/image• Positive effect on CMA’s academic, environmental,

or research reputation

• Substantial improvement in recruitment, retention, completion, or student satisfaction with CMA experience

• Annual savings or new net revenue of $100>$500thousand*

• Substantial improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure

4SERIOUS

• Overall alignment with CMA vision and mission

• Significant contribution to competitive advantage or long-term viability

• Major progress on more than one• strategic goal

• Positive national publicity or external Recognition• Significant, lasting improvement of• CMA’s reputation/image• Positive effect on CMA’s academic,• environmental, or research reputation

• Significant improvement in recruitment, retention, completion, or student satisfaction with CMA experience

• Annual savings or new net revenue of $500 thousand>$1 million*

• Serious improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure

5MAJOR

TRANSFORMATIVE

• Complete alignment with CMA vision and mission

• Major contribution to competitive• advantage or long-term viability• Accelerates progress on one or more strategic

goals• Complete alignment with CMA vision and

mission• Definitively enhances competitive• advantage or long-term viability• Fulfills strategic plan

• Positive national publicity or external recognition• Long-term enhancement of CMA’s• academic, environmental, or research reputation• Positive national publicity and external recognition• Permanent enhancement of CMA’s academic,

environmental, or research reputation• Results in a significant increase in• enrollment, student academic quality, and/or

research funding

• Major improvement in recruitment, retention, completion, or student satisfaction with CMA experience

• Meets or exceeds recruitment, retention, completion, or student satisfaction with CMA experience goals

• Annual savings or new net revenue of $1> $10 million*

• Major improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure Transformative improvements in efficiency, client/student programs and services, environmental sustainability, or infrastructure

* Estimated Campus budget impact Use as a theoretical guide


Department of Safety & Risk ManagementHIRAC: Likelihood Tables

RATING UNDER NORMAL CONDITIONSABNORMAL EMERGENCY CONDITIONS

RESOURCE CONSUMPTIONS

FREQUENCY OF WASTE DISPOSAL, EMISSIONS,

DISCHARGES, RELEASES

CUMULATIVE EXPOSURE OVER AN 8-

HR PERIOD

MOST RECENT OCCURRENCE OF EHS RELATED INCIDENTS/

EMERGENCIES

(1)Unlikely

Consumption of the resourcelasts for < 1hr/day, More than once yearly but not quarterly

Annually < 1 hr/day Has not occurred for more than 10 years

(2)Occasional

Consumption of the resourcelasts for 1-3 hours/day , More than once quarterly but not monthly

Quarterly 1-3 hours/day Has not occurred for more than 10 years

(3)Moderately/

Frequent

Consumption of the resourcelasts for >3-5 hours/day , More than once a month but not weekly

Monthly > 3-5 hours/day Has not occurred for more than 5 years

(4)Frequent

Consumption of the resourcelasts for >5-8 hours/day , More than once a weekly but not daily

Weekly > 5-8 hours/day Has not occurred for more than 3 years

(5)Very Frequent

Consumption of the resourcelasts for >8 hours/day , More than once a day

Daily > 8 hours/dayHas not occurred for

more than 1 year



Department of Safety & Risk ManagementHIRAC:

RATING

UNDER NORMAL CONDITIONSABNORMAL EMERGENCY

CONDITIONS

RESOURCE CONSUMPTIONSFREQUENCY OF WASTE DISPOSAL, EMISSIONS, DISCHARGES, RELEASES

CUMULATIVE EXPOSURE OVER AN 8-

HR PERIOD

MOST RECENT OCCURRENCE OF EHS RELATED INCIDENTS/ EMERGENCIES

(1)Unlikely

Consumption of the resource lasts for < 1hr/day, More than once yearly but not quarterly Annually < 1 hr/day Has not occurred for more than 10

years

(2)Occasional

Consumption of the resource lasts for 1-3 hours/day , More than once quarterly but not monthly Quarterly 1-3 hours/day Has not occurred for more than 10

years

(3)Moderately/

Frequent

Consumption of the resource lasts for >3-5 hours/day , More than once a month but not weekly Monthly > 3-5 hours/day Has not occurred for more than 5

years

(4)Frequent

Consumption of the resource lasts for >5-8 hours/day , More than once a weekly but not daily Weekly > 5-8 hours/day Has not occurred for more than 3

years

(5)Very Frequent

Consumption of the resource lasts for >8 hours/day , More than once a day Daily > 8 hours/day Has not occurred for more than 1 year



Department of Safety & Risk ManagementHIRAC: RISK LEVELS LOW(L)----MODERATE (M)----HIGH (H)

RISK LEVEL MINIMUM CONTROLS

CLEARAcceptable Risk

Risk is negligible, hence: Existing controls shall be maintained. No additional control or action is required except compliance to applicable legal & other requirements

including use of PPE if applicable.

GREENLow/ Relatively Acceptable Risk

Risk is low. Efforts shall be made to reduce risk in accordance with the prescribed hierarchy of controls which include among others the following: Compliance to applicable legal and other requirements including use of PPE if applicable Identification and monitoring and measurement of relevant EHS parameters

YELLOWModerately

Unacceptable Risk

Risk is moderately unacceptable. Efforts shall be made to reduce risk in accordance with the prescribed hierarchy of controls which includeamong others the following:

Documented operational control procedure, taking into consideration the identified causal factors Documented operating criteria & training requirements [may be incorporated in the operational control procedure] Compliance to applicable legal and other requirements including use of PPE if applicable Identification and monitoring and measurement of relevant EHS parameters

REDHighly

Unacceptable Risk

Risk is extremely unacceptable. Efforts shall be made to reduce risk in accordance with the prescribed hierarchy of controls which includeamong others the following:

Identification of specific programs and improvements to existing controls aimed at reducing the risk. These shall be incorporated in the company’s objectives, targets and programs (OTPs).

Documented operational control procedure, taking into consideration the identified causal factors Documented operating criteria & training requirements [may be incorporated in the operational control procedure] Compliance to applicable legal and other requirements including use of PPE if applicable Identification and monitoring and measurement of relevant EHS parameters



Department of Safety & Risk ManagementHIRAC: Guide for the Severity of Consequence Scores for SRM

CATEGORY SEVERITYSLIGHT MINOR SERIOUS MAJOR CATASTROPHIC

1 PEOPLE

• Nuisance/ Discomfort • Minor Illness/ Injury case • Serious Illness/ Injury; Lost time case

• Major Illness/ Injury • Fatality (Single to Multiple)

• First aid case • No lost time up to restricted workcase

• Sick leave not more 3 months • Sick leave not more than 6 months • Sick leave more than 6 months

2 ENVIRONMENTAL• Will cause negligible to slight

environmental damage• Will cause minor environmental

damage• Will cause serious- environmental

damage; could• Will cause major environmental

damage;• Will cause catastrophic

environmental damage

3 SPILL/ LEAKS/DISCHARGES/ RELEASES

• Reversible by natural mechanisms,e.g. dissipation, biodegradation

• May be reversible using practical/manual methods

• Reversible but requiring anti-pollution/ treatment devices

• May require extensive restoration/ rehabilitation, i.e., reforestation, dredging

• Practically irreversible damage,

4 WASTES

• Non-hazardous • Slightly hazardous • Moderately hazardous • Highly hazardous • Extremely hazardous• Biodegradable/ recyclable non-

hazardous waste• Non- biodegradable wastes • Wastes contaminated with

chemicals/ materials with hazardrating of 1

• Wastes contaminated withchemicals/ materials with hazardrating of 2-3

• Wastes contaminated withchemicals/ materials with hazardrating of 4

5 AIR

• Repulsive odor but not causing harm to humans

• Results to minor irritation or illness to humans

• Results/ contributes to globalwarming/ ozone depletion/ acidrain

• Results to Impairment/ damage of human organs after long or repeated exposure. Gradual loss/ mortality of vegetation

• Results to Immediate fatal effectto humans when exposed to polluted air. Immediate loss/ mortality of vegetation

6 WATER

• Known long term adverse effect toaquatic resources (change in water color, turbidity, etc.) but not causing harm to aquatic resources

• Known immediate adverse effectto aquatic resources but notcausing immediate mortality orloss

• Known immediate adverse effectto aquatic resources; Results tofish kill or immediate loss/ mortality of aquatic resources

• Results to major illness to humansupon contact with contaminated water; requiring recovery measureto contaminated water for less than a month.

• Immediate fatal effect to humans upon contact with contaminated water, requiring recovery measure for more than a month.

7 CHEMICAL• Non-hazardous • Slightly hazardous • Moderately hazardous • Highly hazardous • Extremely hazardous• Chemicals with hazard rating of 0 • Chemicals with hazard rating of 1 • Chemicals with hazard rating of 2 • Chemicals with hazard rating of 3 • Chemicals with hazard rating of 4

8 RESOURCE USAGE

• Manmade, Synthetic, naturallygrown resource but low value, i.e.,rice hulls, banana leaves.

• Manmade, synthetic, naturallygrown resource but high value,i.e., vegetable/ animal oil, equipment & parts

• Renewable and non-renewable resources; supply/ access is controlled but abundant, i.e., soil,sand, etc.

• Renewable and non-renewable resources; supply/ access iscontrolled and scarce, i.e., paper,water, electricity

• Non-renewable natural/ resources but supply/ access is controlledand scarce or fixed, i.e., high value mineral deposits, fossil fuel, coal, gold, etc.

• Over the counter purchase, but low value

• Over the counter purchase, but high value

• Imported, customer – supplied;low value

• Imported, customer – supplied;high value

• Access requires permit/ license

PART 2: SRM HIRAC- CONSOLIDATION

CALIFORNIA STATE UNIVERSITY MARITIME ACADEMY 21Department of Safety & Risk Management


Department of Safety & Risk ManagementHIRAC: Risk & Opportunity Identification Consolidation & Action Item Table

Observation Risk or Opportunity Item/Description

CO and/or Regulatory Reference

Level of ConsequenceAction CMA Strategic

Goal Affected Owner OS CS ClosedL M H IDLH

1Accident Prevention Signage

Inconsistent or worn signage Cal OSHA 3340 X Replace worn Facilities Mgr.

Xx/xx/xx Xx/xx/xx

Xx/xx/xx

2

Lab Safety Lab safety training andcompliance needs improvement

X Review Program

Provide a safe,healthy environment

Institutional Efficacy:As an institution,model the higheststandard of ethical conduct,accountability and best practice, publicservice, and strongcommitment to lifelong learning.

HIRAC Team Eval

From the HIRAC Table we can then develop Action Items to help close any Risk and Improve our Opportunities

Departmental Data Compiled

SRM to Consolidate into Master Campus file



Department of Safety & Risk ManagementHIRAC: Compiled Data will be identified on Heat Map

Input Data Graphically Represented on “Heat Map”

PART 3: SRM HIRAC- HAZARD ANALYSIS TOOLS



HIRAC: Hazard Analysis Tools: Activity Hazard Analysis Master LibraryJob Hazard Analysis (JHA) and Job Safety Analysis (JSA) are often used interchangeably. Some believe a JHA identifies the hazard where the JSA controls the hazards. JHA is the “macro” vies and the JSA is the “micro” view of the same basic hazard identification and control issues. A JHA is normally occurs less frequently, maybe every year and usually serves as the foundational element for a Safe Work Practice or Safe Operating Procedure type document. JSA is the document to be used in a daily format, similar to a Pre-Task Plan.

Safe Operating Procedures (SOP's) are written step-by-step procedures for a specific non-repetitive task which may be hazardous or critical

Pre-Task Plan (PTP's) similar to SOP’s in that they are written step procedures that define the scope, analyze hazards, develop control methods, and identified dynamics associated with the Plan on any given day. They are often used as briefing guides.




Department of Safety & Risk ManagementJob Hazard Analysis & Safety Guideline Development



Department of Safety & Risk ManagementPre-Trip-Safety Plan Worksheet: A scalable document to support ALL off campus activities; domestic and international



Department of Safety & Risk ManagementPre-Task-Safety Plan Worksheet: For use with all high hazard potential activities


january -2017€¦ · form the hirac team. define scope. identify processes, products and services....

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