CONDUCTING A BASELINE RISK ASSESSMENT

LEARNER GUIDE

 Unit Standard 244287Level 5 Credits 7

TABLE OF CONTENTSTABLE OF CONTENTS..................................................................................i

Glossary and Terms.....................................................................................................1HOW TO USE THIS LEARNER GUIDE.............................................................3

Programme Overview..................................................................................................4Personal Objectives And Expectations.........................................................................5

UNIT STANDARD 244287............................................................................6SECTION 1: SPECIFIED REQUIREMENTS TO CONDUCT A BASE-LINE RISK ASSESSMENT...........................................................................................10

The Process of Identifying Hazards and Assessing Associated Risks (SO1, AC1 and 2).................................................................................................................................. 11

Introduction.........................................................................................................................11Definitions...........................................................................................................................11Why do we do risk assessments?........................................................................................12Management System Requirements....................................................................................13Expectations of a Risk Assessment.....................................................................................15Formal Risk Assessment......................................................................................................16HIRA....................................................................................................................................17Statutory Requirements......................................................................................................17Different Types of Risk Assessments...................................................................................18

The Sequence of Control Measures (SO1, AC3).........................................................24Human Behaviour as a Factor in Controls...........................................................................26

The importance of identifying, dealing with and reporting hazards (SO1, AC4)........28Different Types of Risk Assessments (SO1, AC5).......................................................28

Issues based risk assessment (Issue based HIRA)...............................................................29Continuous risk assessment (Continues HIRA)....................................................................30Specialised Risk Assessment (Specialised HIRA).................................................................31

SECTION 2: PREPARING TO CONDUCT A BASELINE RISK ASSESSMENT.........32Collating Relevant Documentation (SO2, AC1)..........................................................33Selecting and Training Team Members (SO2, AC2)...................................................36Personal Protective Equipment (PPE) (SO2, AC3)......................................................40Venues, Sites and Attendance (SO2, AC4).................................................................43

Venues................................................................................................................................43Details of further action required..............................................................................45

SECTION 3: CONDUCTING A BASELINE ASSESSMENT...................................47

Hazards and Associated Risks (SO3, AC1).................................................................48Drafting Risk Profiles (SO3, AC2)...............................................................................52

SECTION 4: INITIATING REMEDIAL ACTION FOR HAZARDS IDENTIFIED AND RISKS ASSESSED.....................................................................................55

Control Measures (SO4, AC1)....................................................................................56Applying Reasonably Practicable Risk Control Measures.....................................................56

Reporting and Follow-up (SO4, AC2).........................................................................58Reporting............................................................................................................................58Review and Update.............................................................................................................59

Glossary and TermsAssessment The process of collecting evidence of learners’ work to measure and

make judgments about the achievement or non-achievement of specified National Qualifications Framework (NQF) standards or qualifications.

Assessment criteria The assessment criteria for a course are the dimensions with which you will judge how well a learner has achieved the learning goals.

Assessor A person who is registered by the relevant Education Training Quality Assurance (ETQA) body to measure the achievement of specified National Qualifications Framework standards or qualifications.

Credit That value assigned by the authority to ten (10) notional hours of learning.

Critical Cross-Field Outcomes (CCFO)

Critical Cross-Field Outcomes refer to those generic outcomes that inform all teaching and learning. For example CCFOs may include working effectively with others as a member of a team, and/or collecting, analysing, organising and critically evaluating information.

Essential Embedded Knowledge (EEK)

Essential embedded knowledge is explicit and resides within systematic routines. It relates to the relationships between roles, technologies, formal procedures and emergent routines within a complex system.

Formative Assessment

Refers to assessment that takes place during the process of learning and teaching. May also be integrative in nature.

Integrated Assessment

An assessment which permits the learner to demonstrate applied competence and which uses a range of assessment methods.

Moderation The process which ensures that assessment of the outcomes described in the NQF standards and qualifications is fair, reliable, and valid.

Outcome Contextually demonstrated end product of the learning process.

Recognition for Prior Learning (RPL)

The comparison of the previous learning and experience of a learner, howsoever obtained, against the learning outcomes

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required for a specified qualification, and the acceptance for purposes of qualification of that which meets the requirements.

SETA A body responsible for the organisation of education and training programmes within a specific sector.

Specific Outcome Knowledge, skills and values (demonstrated in context) which support one or more critical outcomes.

Summative Assessment

It is the assessment for making a judgement about achievement. This is carried out when a learner is ready to be assessed at the end of a programme of learning.

Unit standard Registered statement of desired education and training outcomes and its associated assessment criteria together with administrative and other information as specified in the regulations.

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HOW TO USE THIS LEARNER GUIDEThis module belongs to you. It is designed to serve as a guide for the duration of your course and as a resource for after the time. It contains readings, activities, and application aids that will assist you in developing the knowledge and skills stipulated in the specific outcomes and assessment criteria.Follow along in the guide as the facilitator takes you through the material, and feel free to make notes and diagrams that will help you to clarify or retain information. Jot down things that work well or ideas that come from the group. Also note any points you’d like to explore further.Participate actively in the skills practice activities as they will give you an opportunity to gain insights from other people’s experiences and to practice the skills. Remember to share your own experiences so that others can lean from you too.Each section will be preceded by outcomes and assessment criteria taken from the South A-frican Unit Standards, where available. These will describe what you must know and be able to do in order to successfully complete the course. If the course is aligned to Unit Standards, you will be able to receive credits towards a National Qualification upon successful assessment.

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Programme OverviewPurposeIn order to achieve the credits and qualify for the appropriate registered standard, determined by the Sector of Education Training Authority, you are expected to have demonstrated specific learning outcomes.

Specific OutcomesSpecific Outcomes describe what the learner has to be able to do successfully at the end of this learning experience.

Assessment CriteriaThe only way to establish whether a learner is competent and has accomplished the specific outcomes is through the assessment process. Assessment involves collecting andInterpreting evidence about the learners’ ability to perform a task. This module includes assessments in the form of self-assessments, group tasks, quizzes, projects and a practical training programme, whereby you are required to perform tasks and collect, as a portfolio of evidence, proof signed by your facilitator that you have successfully performed these tasks.

To QualifyTo qualify and receive credits towards your qualification, a registered Assessor will conduct an evaluation and assessment of your portfolio of evidence and competency.

Range of LearningThis describes the situation and circumstance in which competence must be demonstrated and the parameters in which the learner operates.

ResponsibilityThe responsibility of learning rests with you, so ………

Be proactive and ask questions Seek assistance and help from your facilitator, if required.

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How You Will LearnThe programme methodology includes facilitator presentations, readings, individual activities, group discussions and skill application exercises. Know what you want to get out of the programme from the start and start applying your new skills immediately. Participate as much as possible so that the learning will be interactive and stimulating.

How you will be assessedThis programme has been aligned to registered unit standards. You will be assessed against the outcomes of the unit standards by completing a knowledge assignment that covers the essential embedded knowledge stipulated in the unit standards, and by compiling a portfolio of evidence that provides proof of your ability to apply the learning to your work situation. When you are assessed as competent against the unit standards, you will receive credits towards your National Qualification.

Personal Objectives And ExpectationsYou will get much more out of the programme if you take some time to think about the things you would like to achieve as a result of the training.

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UNIT STANDARD 244287 Unit Standard TitleConduct a baseline risk assessment and take appropriate action 

NQF LevelLevel 5

Credits7

Purpose Of The Unit StandardThis unit standard is for learners who have to demonstrate the ability to conduct a base-line risk assessment in a work place. Learners credited with this unit standard will be capable of:

Learning Assumed To Be In Place And Recognition Of Prior Learning 

Mathematical Literacy at NQF Level 4. Communication at NQF Level 4. 

Unit Standard Range N/A 

Specific Outcomes and Assessment Criteria: 

Specific Outcome 1: Explain the specified requirements needed to conduct a base-line risk assessment. Assessment Criteria:

The process of identifying hazards and assessing the associated risks, as well as the information required to conduct the baseline risk assessment is explained. 

The definitions and applications of the base-line risk assessment process are explained and applied to the identified hazards and associated risks. 

The sequence of applying control measures when dealing with hazards is explained.  The importance of identifying, dealing with and reporting hazards is explained.  The application of the different types of risk assessments is explained. 

Specific Outcome 2: Prepare to conduct a baseline risk assessment. Assessment Criteria

The relevant documents are collated based on previously identified hazards, risks and associated risks, incidents and control measures. 

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Team members are selected and trained in a manner that fosters teamwork and avoids conflict. 

The importance of ensuring that personal protective equipment is available, operational, fit for purpose, and used in accordance with its design and specified requirements is explained in terms of the consequences to health and safety. 

The required arrangements in terms of venues, sites and attendance are explained according to the selected methodology. 

Specific Outcome 3: Conduct a baseline risk assessment. Assessment Criteria 

Hazards and associated risks are identified and assessed in comparison with available standards. 

A risk profile is drafted, identified deviations are recorded and a report is prepared. 

Specific Outcome 4: Initiate remedial action for hazards identified and risks assessed. Assessment Criteria 

Control measures are identified, deviations recorded and actions taken, compliant with the specified operational procedures. 

Final reports are completed, submitted to designated personnel on time and dates are proposed for subsequent control assessments. 

Unit Standard Essential Embedded Knowledge Specified Requirements: Specified requirements include legal and site-specific requirements and are contained in one or more of the following categories of documentations: Legal:

Include, but not limited to, pertinent sections of legislation - including associated regulations and other supporting documentation.

Range: Occupational health, safety and environment. Mining and minerals. Local government. Mandatory codes of practice. Safety standards.

Site Specific:

Hazard Identification and Risk Assessments (HIRA). Occupational Health and Safety Risk Management Programme.

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Managerial Instructions. Mine Standard Procedures. List of Recorded OH&S Risks. Working Guides.

Equipment and Materials Specifications.

Information is obtained from PERTINENT sections of CURRENT documents. 

Unit Standard Developmental Outcome N/A 

Unit Standard Linkages N/A 

Critical Cross-field Outcomes (CCFO): 

Unit Standard CCFO Identifying Identify and solve problems and make decisions using critical and creative thinking. Note:

By participating in the risk assessment process the individual will be required to have a basic knowledge on the specific requirements of a health and safety risk assessment programme and so be able to solve problems and make decisions. 

Unit Standard CCFO Working Work effectively with others as members of a team, group, organisation or community. Note:

The individual will have to take an active part in the risk assessment process to ensure the requirements and needs of the represented people are addressed. 

Unit Standard CCFO Organising Organise and manage themselves and their activities responsibly and effectively. Note:

As part of the team, the individual will take into account the activities around him/her and ensure that his/her actions are complementary. -

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Unit Standard CCFO Collecting Collect, organise, analyse and critically evaluate information. Note:

When participating in a health and safety risk assessment programme, the individual will have to collect, organize and evaluate information in such a way that he/she will be able to contribute to decision-making. 

Unit Standard CCFO Communicating Communicate effectively using visual, mathematics and/or language skills in the modes of oral and written presentations. Note:

The expectations and contributions of the represented people is communicated during the development, implementation and evaluation of the health and safety risk assessment programme and feedback on the progress and results of the programme is provided. 

Unit Standard CCFO Science Use science and technology effectively and critically showing responsibility towards the environment and health of others. Note:

Science and technology are used at the appropriate level, e.g. in interpreting statistical data. 

UNIT STANDARD CCFO DEMONSTRATING Demonstrate an understanding of the world as a set of related systems by recognising that problem-solving contexts do not exist in isolation. Note:

He/she must understand the impact of the health and safety risk assessment programme on the overall objectives of the working place. 

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SECTION 1: SPECIFIED REQUIREMENTS TO CONDUCT A BASE-LINE RISK ASSESSMENT

Specific Outcome 1Explain the specified requirements needed to conduct a base-line risk assessment. 

Assessment Criteria

The process of identifying hazards and assessing the associated risks, as well as the information required to conduct the baseline risk assessment is explained. 

The definitions and applications of the base-line risk assessment process are explained and applied to the identified hazards and associated risks. 

The sequence of applying control measures when dealing with hazards is explained.  The importance of identifying, dealing with and reporting hazards is explained.  The application of the different types of risk assessments is explained. 

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The Process of Identifying Hazards and Assessing Associated Risks (SO1, AC1 and 2)

IntroductionOHSAS 18001:2007 defines risk assessment as the evaluation of the risks arising from hazards taking into account the adequacy of any existing controls and deciding whether or not the risk is acceptable.

In essence, it is the process of identifying hazards, evaluating those risks associated with the hazards and assessing the effectiveness of the controls in place in order to control or reduce those risks.

Risk assessment is a cornerstone of SHE management. It forms the basis, and often the first step of most modern SHE management systems. The output dictates monitoring and measurement, training, operational control, objectives and targets and related safety management programme requirements.

Definitions

The success of the HIRA is strongly dependent on all members of the team having the same understanding of the concepts used in the process:

Aspect An environmental aspect is an element of an organsation’s activities or products or service that can interact with the environment.

Hazard A source of or exposure to danger

Risk The probability that injury or damage will occur (OHSA). It also indicates the presence of uncertainty of an event and the severity of the event

Exposure To be exposed to a danger while at the workplace

Danger Anything that may cause injury or damage to persons or property

Safe Free from any hazard

Workplace Any premises or place where a person performs work in the course of his employment

Premise Includes any building, vehicle, vessel, train or aircraft

Building Includes any: Structure attached to the soil Building or such structure or part thereof which is in the process of

being erected

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Prefabricated building or structure not attached to the soil

Risk management

The implementation of a formal system where hazards and risks are identified and actions taken to mitigate these risks

Impact Environmental impact can be defined as any change to the environment whether adverse or beneficial, wholly or partially resulting from organizational environmental aspects.

Why do we do risk assessments?A risk assessment by itself has no direct benefits except in conducted in the context of a SHE management system with appropriate controls being identified and implemented. The benefits include legal and system compliance, financial and moral.

Legal RequirementsThe importance of the risk assessment in terms of the SHE Management System has already been discussed. You cannot manage what you cannot define or do not know.

In terms of Section 8(2)d of the OHS Act (85) of 1993, the employer is required to establish as far as reasonably practicable:

what hazards to the health or safety of persons are attached to any work which is performed, any article or substance which is produced, processed, used, handled, stored or transported and any plant or machinery which is used in his business, and he shall, as far as is reasonably practicable, further establish what precautionary measures should be taken with respect to such work, article substance, plant or machinery in order to protect the health and safety of persons, and he shall provide the necessary means to apply such precautionary measures.

The term ‘reasonably practicable’ implies that not every hazard or circumstance automatically requires the same levels of control, but rather that each hazard and its associated risk needs to be assessed ‘reasonably practicably’.

The OHS Act defines ‘reasonably practicable’ as being practicable with regard to:

(a) the severity and scope of the hazard or risk concerned;(b) the state of knowledge reasonably available concerning that hazard or risk and of

any means of removing or mitigating that hazard or risk;(c) the availability and suitability of means to remove or mitigate that hazard or risk;

and(d) the cost of removing or mitigating that hazard or risk in relation to the benefits deriving

therefrom;

In summary, it is mandatory for an employer to conduct a risk assessment and put appropriate control measures in place.The context of HIRA (discussed in detail further on) within a SHE Management System, can be illustrated as follows:

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Management System Requirements

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HIRA (Hazard Identification, Risk Assessment)

Eliminate, migrate before resorting to PPE

Safe systems, plant and machinery

Information, Instruction, Training and Supervision

Articles and substances

Duty to inform

Enforcement Prohibition

Self regulation

In developing a risk assessment process and methodology, one needs to consider the specific requirements of OHSAS 18001:2007 and ISO 14001: 2004

OHSAS 18001 requires: Routine non-routine activities Activities of all persons having access to the workplace Human behaviour, capabilities and other human factors Identify the hazards originating outside the workplace capable of adversely affecting the

health and safety of persons in the workplace Changes to processes, activities or material Modification of OH&S systems and their impact on operations

ISO 14001: 2004 requires Identify the aspects of its activities, products and services that it can control and

influence Consider planned or new development, new or modified activities, products and

services Determine those aspects that can have significant impact on the environment

Financial Advantages

Although there are costs associated with the implementation of controls, savings are also achieved in the form of

Reduction in incidents and associated incident investigation and reputational costs Enhanced productivity and staff morale Reduction in waste Efficiency and reduced downtime Legal liability

Moral Reasons

Doing risk assessments are included in the employer’s moral duties to provide a healthy and safe working environment for their employees and others. Because the employer benefits from the acts and practices of employees, s/he has a duty of care towards their safety and well-being. Furthermore, environmental resources are commodities shared with society, thus the employer has a duty to minimize the impact of the organization on these commodities to the benefit of the community at large.

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Expectations of a Risk Assessment

A good risk assessment must be

SystematicThe selected methodology should be clear with steps to follow, e.g. Step 1, Step 2, Step 3

RigorousIf properly applied, the outcome of the risk assessment should come up with reasonable, consistent results.

StructuredThe risk assessment should be in such a format that a person with little training should be able to understand the methodology and outcomes, and exact information as required.

RepeatableThe risk assessment should be in such a format that it can be re-applied to the same hazard in the future with similar results being attained. The methodology excludes all non-related variables.

ConsultativeThe risk assessment process must take cognisance of different viewpoints and insights through consulting a relevant cross-section of the organization or third parties.

The outcomes of a risk assessment should also be auditable and defensible. Defensibe means that the organization must be able to justify the rating of any risk in the context of the methodology selected. It is helpful to keep the definition of reasonably practicable in mind when considering the defensibility of an assessment.

Auditable implies that when audited by a third party, the information must be such that it is sufficient for that party to make a fair assessment and be able to draw conclusions from it.

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Formal Risk Assessment

A formal risk assessment entails:

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HIRAThe acronym HIRA stands for the following and summarises the risk assessment process:

H Hazard

I Identification

R Risk

A Assessment

The HIRA process consists of the following steps:

Step Action

1 Recognise/Identify hazards

2 Evaluate the risk for each hazard

3 Quantify/rank the risks

4 Implement control measures to eliminate/mitigate each risk

5 Evaluate effectiveness of control measures

The Risk Assessment process must be repeated on a regular basis to accommodate changes in processes, work environment, whether and other conditions that may change and have a significant influence on the health and safety of workers.

Risk assessments must be conducted formally and documented proof must be available in the Safety Health and Environment (SHE) Management file. The results of HIRA must be used to establish and implement safe work procedures.

Statutory RequirementsThere are four health and safety laws you need to comply with when doing risk assessments:

Law#1: The Occupational Health and Safety Act (OHSA Act 85 of 1993)The core of the Act is the identification of hazards and risks related to tasks performed in the workplace. The Act requires risk management action be taken to prevent injury and loss of health status due to exposures in the workplace.

It’s important to remember that according to The occupational Health and Safety Act, both the employer and the employee are responsible for health and safety

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aspects at work.

Law#2: The Hazardous Chemical Substance Regulation (Section 5, OHSA)The Hazardous Chemical Substance Regulation details requirements in terms of exposure levels, medical surveillance and education of employees exposed to chemical substances in the workplace. As an employer, you must assess the workplace to identify potential exposure to chemical substances according to The Hazardous Chemical Substance Regulation.

Law#3: The Basic Conditions of Employment Act (BCEA)According to The Basic Conditions of Employment Act (BCEA), as an employer you must identify risks posed to employees in the workplace. The aim of the BCEA is to determine minimum standards that apply to any contract of employment.

Law#4: Environmental LegislationYou’re required to ensure compliance with environmental legislation like the Environment Conservation Act, Atmospheric Pollution Prevention Act and National Water Act.

Knowing the relevant health and safety laws when doing risk assessments will ensure you’re compliant all the time.

Different Types of Risk AssessmentsWhen you and your team are aware of the necessary definitions, you’ll need to choose from four types of risk assessment:

Type #1: Baseline assessmentType #2: Generic assessmentType #3: Continuous assessmentType #4: Specialised assessments

The focus of this skills programme is baseline risk assessment.

Purpose of a baseline risk assessmentA comprehensive risk assessment must be compiled for your workplace. Doing this will allow you to protect your employees from health and safety hazards, and save yourself from a R100000 fine, two years in jail or even both!

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Baseline risk assessment can be defined as the broad-based primary risk assessment of the organisation and it is used to control risk at corporate level. It is used to identify which additional risk assessments are required. The output of this process is the risk profile.

By conducting a hazard identification and risk assessment (HIRA) process you will be able to: Recognise and control hazards and exposures in the workplace Create awareness among employees and also use it as a training tool. Set risk

management standards based on acceptable self practices and legal requirements Reduce incidents in the workplace and Save costs by being proactive instead of reactive.

To effectively identify hazards and assess risks in the workplace, you’ll need the assistance of all your employees.

Remember the process doesn’t stop with the identification and assessment of hazards and risks. Once the first part of the process has been completed, risk management actions need to be taken.

What should be included in a risk assessment? Safety (of people) Health (of people) Environment (working conditions and pollution) Emergencies Property (loss and damage) Production (loss and damage) Plant, machinery and equipment (loss and damage) Resources (water, electricity etc.) Natural events 

What should be included in a risk assessment?Your risk assessment should include consideration of what in your business might cause harm and how and, the people who might be affected.  It should take into account any controls which are already in place and identify what, if any, further controls are required.You should be able to show from your assessment that:

a proper check was made; all people who might be affected were considered; all significant risks have been assessed; the precautions are reasonable, and the remaining risk is low.

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You do not need to include insignificant risks. You do not need to include risks from everyday life unless your work activities increase the risk.

Any paperwork that is produced should help with communicating and managing the risks in your business.

Baseline Risk AssessmentThe purpose of conducting a baseline HIRA is to establish a risk profile or a set of risk profiles. It is used to prioritise action programmes for issue-based risk assessments. It should be performed to obtain a benchmark of the types and size of potential hazards, which could have a significant impact on the whole organisation. They need to identify the major and significant risks, then prioritise these risks and evaluate the effectiveness of current systems for risk control.  It must be emphasised that the baseline is an initial risk assessment that focuses on a broad overview in order to determine the risk profile to be used in subsequent risk assessments. A baseline risk assessment focuses on the identification of risk that applies to the whole organisation or project.  This type of assessment could be performed on a site, region or even on a national basis concerning any facet of the organisation operations or procedures. This assessment needs to be comprehensive and may even lead to other and more in-depth studies.

The acronym BRA is often used when referring to a baseline risk assessment.

The output of a baseline risk assessment it is a risk profile or set of risk profiles; and it is a clear description of the methodology, system, terminology etc. used in the

scoping exercise, and what may be required for the improvement of the baseline HIRA in the future.

Examples of baseline risk assessments Hygiene and Health Surveys (Noise, Lighting, Ventilation, Temperature Extremes) Environmental Impact and Aspect Registers Fire Risk Assessments

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Step 1: Planning

Define the Scope and depth of the risk assessment Clarify the methodology to be used Identify resources needed (e.g. people, data) Identify and assess input data (e.g. incident record hygiene survey, MSDS etc) Determine documentation needs (e.g. forms and checklists) Compiling an operational flow diagram (it is useful to indicate inputs and outputs) Establishing the roles and responsibilities of all role players Determining the team and composition requirements (e.g. supervisor, operators, union

representative, SHE representative)

Step 2: Identify Hazards

There are many ways for identifying hazards. Some examples are

Brainstorming and process mapping Review input data – incident history, hygiene surveys, MSDS Physical assessment Interviews with operators, maintenance personnel, etc. Benchmarking – codes of practice/standards and legal requirements

Legislation is a good source of hazard identification. The fact that it is legislated that revolving machinery is required to be guarded gives you a clear indication that revolving machinery is a hazard that poses a risk.

A useful methodology in identifying hazards within operational procedures is that of process mapping.

Process Mapping

Process mapping is a workflow diagram to bring forth a clearer understanding of a process or series of parallel processes.

It can be used to analyse all business and production processes. The main processes can be mapped in one flow diagram and sub-processes can then be drawn separately in order to provide detail at the next level.

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The process map should show all individual process steps, the relationship between the different processes and their related inputs and outputs. Inputs can be all resources (e.g. water, energy and materials) used in the process, while outputs can be the product or service itself, wastes generated (e.g. solid waste, liquid effluent, used PPE) or hazardous output (gas, fume, heat, noise etc.)

Keys to preparing a successful flow diagram

Depict the process the way it really works Draw the macro-level flowchart first. After you’ve depicted the big picture of the

process, you can develop other diagrams with increased detail. Observe the current process in actual operation Record the process steps you observed Arrange the sequence of steps Draw the process exactly as you observed, recorded and arranged the sequence of

steps.

Step 3: Analysis

His step entails the identification of safety, health and environmental risks and the consequences associated with the risks identified. This aspect is discussed in more detail in Section 3.

Safety ConsequencesConsequences that are the result of direct energy transfer fall under this category. They usually result from contact between the person and the plant or machinery.

This includes, but is not limited to: Amputations Contusions Lacerations

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Unconsciousness Fractures Electric shock Burns

Health consequencesConsequences that are the result from existing conditions within the working environment fall under this category. They usually result from exposures to fumes, dust, chemicals, etc.

This includes, but is not limited to: Dermatitis Cancer Asbestosis NIHL Silicosis

Environmental consequencesThis category includes consequences that affect the environment and are not necessarily restricted to the plant premises.

This includes, but is not limited to: Air pollution Water pollution Ground/soil pollution Resource utilization (Renewable vs Non-renewable)

Step 4 Evaluating Risks

There are two broad approaches to risk evaluation, namely qualitative and quantitative. In a quantitative assessment the numerical value assigned to any aspect of the evaluation can be directly aligned to a measurable quality of that hazard, e.g. rating the severity aspect as 3 if the measured exposure exceeds the OEL (Occupational Exposure Limit). This type of measurement is generally employed by specialists in very specific circumstances, e.g. very hazardous installations.

Qualitative assessments, although they might have quantitative components, take into account factors that may not be absolutely measurable such as placement, accessibility, etc. Thus, they rely heavily on experience and opinion which makes it of critical importance that the various viewpoints of a cross-section of employees are taken into consideration when assigning values.

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Whatever methodology is used must pass the test of reasonable practicability. If a SHE Management System was to fail and an incident occurred as a result, an organisation’s evaluation methodologies were to be brought into question, it will be weighed up against common practice and in the context of the overall risk assessment process.

The evaluation methodology employed must account for controls and actual practices e.g. if a company has a lockout procedure and the procedure is not adhered to, this must be taken into consideration. The methodology should indicate the level of control measures required.

Consideration should also be given to the circumstances or conditions under which the hazard is present when evaluating them. Circumstances/conditions can be evaluated as follows:

Normal (N) This would be normal working conditions, and covers usual working operations and routine tasks

Abnormal (A) This would refer to non-routine tasks such as shutdown maintenance, the presence of adverse conditions (such as bad weather), or routine tasks taking place under unusual conditions.

Emergency E) This would refer to extreme weather conditions (e.g. flood), power outages, gas leaks, etc.

Differing or additional controls may be needed for different circumstances. E.g. the lockout procedure may differ for routine shut down maintenance to your lockout for an emergency situation.

The Sequence of Control Measures (SO1, AC3)

Hierarchy of control measuresThe hierarchy of control is a sequence of options which offer you a number of ways to approach the hazard control process. Here is a list, with typical examples. Work your way down the list, and implement the best measure possible for your situation.

Eliminate the hazard remove a noisy machine cease in-house operations of hazardous work.

If this is not practical, then:

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Substitute the hazard with a lesser risk replace hazardous electrics with hydraulics purchase less hazardous machinery.

If this is not practical, then:

Isolate the hazard install guards, screens or enclosures install roll-over protection on mobile powered plant.

If this is not practical, then:

Use engineering controls redesign the task, to enable it to be carried out in a different way.

If this is not practical, then:

Use administrative controls set up entry permits to operate work systems install warning signs or danger tags.

If this is not practical, then:

Use personal protective equipment safety belts and harnesses, fall-arrest systems industrial safety gloves and footwear.

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Human Behaviour as a Factor in Controls

The more dependent a control is on human interaction, the less reliable it is.

Consider the following behavioural model:

A-Antecedent which is those things which cause behaviour B-BehaviourC-Consequence which is the effects of behaviour

Consequences of behavior can be Positive – Negative Certain – Uncertain Soon – Late

Consequences act as antecedents, motivating behaviour. Consequences which are soon, positive and certain cause reinforcement of the behavior in question, whilst others are less effective in motivating the behaviour, either having no effect or extinguishing the behavior.

Consider the effectiveness of an engineering control of a fixed immovable guard (unreliant on human behavior) as compared to a movable guard requiring an employee to put it in place every time the machine is used.

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Antecedent-(proceding the

occurance) What motivates

you?

Behaviour (observable

and non-observable)

Consequence – outcomes reinforce behaviour

The two possible behaviours of the employee are:

OPTION A: USE THE GUARDIf the employee uses the guard, the consequences would be:

Positive – chance of injury lowered √Uncertain – not certain incident will occur XSoon √

OPTION B: DO NOT USE THE GUARDIf the employee does not use the guard, the consequences would be:

Positive – work will finish sooner √Certain – will be less effort √Soon – directly after behavior √

The consequences of Option A will act as antecedent reinforcing the behavior, until such time the consequences of either option changed. For this reason a fixed guard which is not reliant on the human factor is better as opposed to an easily movable guard which would rely on the human factor.

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The importance of identifying, dealing with and reporting hazards (SO1, AC4)

Everyone will agree to the fact that health is the most important thing in our life. We all want to live a healthy life in a clean environment. Most of the people who work spend their entire day in the offices. It is very important to identify the hazards in the workplace and then start the process of Risk Assessment. We should know that risk assessment process helps us find the reasons that can create some health issues at work places.

Make sure that you undertake a Risk Assessment according to the requirements of the company. It is the employer’s duty to take safety measures to keep the employees safe.

It is very important to identify all kinds of hazards from the smaller ones to the big ones. Also, you have to analyze how many people can get hurt if any unforeseen situation arises. Not everyone is at the risk or in danger, but there are certain groups who might be in danger if the risk assessment team does not complete its job properly.

It is very important to analyze the level of the risk. Once the level is known, safety measures can be taken in accordance to the situation. Not all hazards result in high level of risk. Once you have identified the hazard, you need to identify the groups, which can be affected. After evaluating the level of the risk and the people to be possibly affected, it is recommended that you decide on what precautions can be taken. It is very important to communicate things properly to the staff. Write down the important points and distribute them among the staff so that everyone can have access to the detailed information.

Different Types of Risk Assessments (SO1, AC5)

The baseline risk assessment is one type of risk assessment. Other risk assessments include: Issues based risk assessment (Issue based HIRA) Continuous risk assessment (Continues HIRA) Specialised risk assessment (Specialist HIRA)

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Issues based risk assessment (Issue based HIRA)

Purpose of an issue based risk assessmentThe purpose of conducting an issue-based HIRA is to conduct a detailed assessment study that will result in the development of action plans for the treatment of significant risk. This type of assessment is normally focused on at operational activities, processes and systems based business functions. It focuses the identification of the risks within a certain task, process or activity and is usually associated with the management of change.

Risk profiles from the baseline HIRA form the basis for establishing issue-based HIRA programmes.

The issue-based HIRA programme can be modified when necessary due to, for example:

The output of a an issue-based risk assessmentThe output of an issue-based HIRA is clear recommendations to management for further action in terms of Section 11(2) of the MHSA.

Examples of issues based risk assessments A new machine is introduced at the site A system of work or an operations is changed After an accident or a 'near-miss' has occurred new designs, layouts, equipment, or processes, etc Task risk assessments findings that come to the fore during continuous HIRA requests from employees a change in the risk profile new knowledge and information becoming available on the level of risk to employees Process hazard analysis Environmental impact assessments Major hazardous installations risk assessments HAZOP (Hazard And Operability Study)

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Continuous risk assessment (Continues HIRA)

Purpose of a continuous risk assessmentThe purpose of conducting continuous HIRA is to:

identify hazards with the purpose of immediately treating significant risks; gather information to feed back to issue-based HIRA; and gather information to feed back to baseline HIRA.

Output of a continuous risk assessmentA continuous risk assessment should be conducted on a continuous basis in the work environment. It is a powerful and important form of assessment and should take place continually, as an integral part of day to day management. In continuous HIRA, the emphasis is on day to day hazard awareness, through HIRA, and immediate risk treatment.

In developing hazard awareness, memory joggers such as inspection checklists, pre-use checklists, and critical part and paths checklists, can be produced from management controls that are a product of issue-based HIRA. Planned Task Observations could also be conducted on an ongoing basis.

It is performed at an operational level, where the system, process and activities are monitored on a continuous basis by the operational floor management and first line supervisors. It must not be sophisticated and should mainly be conducted by first line supervisors.

Formal training in this regard is essential. The main emphasis is on “hazard awareness through hazard identification”.

Hazardous activities need to undergo this type of risk assessment prior to the conducting of the activity and can include:

Inspections Critical task observations OHS audits Work permits Toolbox talks Medical surveillance Occupational hygiene measurements Planned maintenance systems

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Specialised Risk Assessment (Specialised HIRA)In the field of hazard identification and risk assessment there are several methods available for determining risk in the workplace. These models each have a specific application and are used to achieve specific objectives.

Do Activity 1 in the Assessment Guide.

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SECTION 2: PREPARING TO CONDUCT A BASELINE RISK ASSESSMENT

Specific Outcome 2: Prepare to conduct a baseline risk assessment. Assessment Criteria

The relevant documents are collated based on previously identified hazards, risks and associated risks, incidents and control measures. 

Team members are selected and trained in a manner that fosters teamwork and avoids conflict. 

The importance of ensuring that personal protective equipment is available, operational, fit for purpose, and used in accordance with its design and specified requirements is explained in terms of the consequences to health and safety

The required arrangements in terms of venues, sites and attendance are explained according to the selected methodology. 

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Collating Relevant Documentation (SO2, AC1)Some of the documents that needs to be collated when conducting a baseline risk assess include:

Relevant organisational policy and proceduresAn example of a general policy and arrangements for health and safety is given below:

Records of significant RisksEmployers have to record the significant findings of their risk assessment.

On the next page is an example of how to record a risk found in an office-based environment.

Look at how this might apply to your business, continue by identifying the hazards that are the real priorities in your case and complete the table to suit.

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It is important you discuss your assessment and proposed actions with staff or their representatives.

You should review your risk assessment if you think it might no longer be valid, e.g. following an accident in the workplace, or if there are any significant changes to the hazards in your workplace, such as new equipment or work activities.

Risk Assessment TemplatesRisk assessments are workplace specific and will vary between industries and business within the same industry.

Don't just copy it and put your company name to it as that would not satisfy the law - and would not protect your employees. Every business is different - you need to think about the hazards and controls your business needs.

Even where the hazards are the same, the control measures you adopt may have to be different from those in the examples to meet the particular conditions in your workplace.

A risk assessment is only effective if you and your staff act on it. You must follow through with any actions required and review it on a regular basis.

Example risk assessment for food preparation and serviceThis example risk assessment shows the kind of approach a small business might take. It can be used as a guide to think through some of the hazards in your business and the steps you need to take to control the risks. Please note that it is not a generic risk assessment that you can just put your company name on and adopt wholesale without any thought. This would not satisfy the law - and would not be effective in protecting people.

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Every business is different - you need to think through the hazards and controls required in your business for yourself.

This example risk assessment applies to food preparation and food service areas (restaurants, cafés, sandwich bars, pubs, takeaways or hotel kitchens).

Setting the sceneThe catering manager carried out the risk assessment in this café. The business employs five permanent staff working a variety of shifts to prepare, cook and serve food. A young person under 16 helps on a Saturday to serve food and load and unload the dishwasher. An employment permit for the young person has been obtained from the local authority. One staff member does not speak English well. The business, which is located on the high street, is open from 7.00 am to 5.30 pm.

How was the risk assessment done? To identify the hazards, the manager:

Researched relevant health, safety and environmental requirements for catering and hospitality and the employment of young people;

walked around the kitchen, the stockroom and all other areas, noting things that might pose a risk;

talked to staff to learn from their knowledge and experience, and to listen to their concerns and opinions. He paid particular attention to the requirements for ensuring the young person's safety;

looked at the accident book, to understand what particular risks previously resulted in incidents.

The manager wrote down who could be harmed and how.

The manager then wrote down what controls, if any, were in place to eliminate or reduce the likelihood of somebody being hurt. He compared these controls to the good practice in HSE’s guidance. Where he did not consider the existing controls to be good enough, he wrote down what else needed to be done.

The manager put in place the actions the risk assessment identified as necessary. He discussed the findings with staff, pinned it up in a prominent place so that all staff could see it and made it part of the induction process for new staff. He told the young person's guardians about the findings of the risk assessment and how risk to that young person will be controlled. And he made sure that the worker, who had difficulty understanding English, had the safety arrangements explained to her in a language she understood.

The manager decided to review the risk assessment every year, or straightaway if major changes in the workplace happened. To get a better understanding of the risks, the manager also asked staff to report any accident, however minor.

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A sample of the resulting risk assessment documentation is included below to serve as an example:

Selecting and Training Team Members (SO2, AC2)

Who should conduct risk assessments?Risk Assessments should be done by a team, made up from the following essential persons:

Department manager Supervisor HS Representative Fire Fighter First Aider (or an Occupational Health Practitioner) Operator/s (person/s doing the work)

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Other persons that may need to be part of this team could be: Driver (where driven machinery/vehicles are involved) Cleaners (both contract or employed) Artisan (where plant, machinery and equipment are involved)

This team should have a thorough knowledge of the work to be undertaken.

The team leader should have undergone training in risk assessment. Alternatively, a safety consultant trained and has experience in job safety analysis and risk management could be engaged to assist in the conduct of risk assessment.

Roles and ResponsibilitiesRisk management duties are imposed on every employer, self-employed person and principal (including contractor and sub-contractor). These parties must take all reasonably practicable measures to ensure that the workplace is safe to every person within its premises.

The Employer should: Designate, assign, appoint or engage a competent person leading a team of personnel

(including contractors) associated with the process or activity to conduct risk assessments;

Ensure that the risk control measures are implemented without undue delay after the completion of risk assessment;

Inform all persons working at the workplace of the risks, and the means to minimise or, where possible, eliminate the risks;

Provide a risk assessment register to record the findings of risk assessment; Endorse and approve the risk assessments conducted; Keep risk assessment records for inspection for at least three years from the date of the

assessment; and submit the records to the Commissioner for Workplace Safety and Health if the Commissioner so requires;

Review and update the risk assessment at least once every three years or whenever there is a significant change in the work, or after an incident involving the work process;

Ensure that all employees are aware of the risk assessment for the work activity they carry out;

Develop and implement safe work procedures (SWPs) for work which poses safety or health risks to workers; and

Keep a written description of SWPs and produce this to the inspector for inspection when requested.

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The Team Leader should: Have adequate knowledge of the risk assessment method; Recommend appropriate risk control measures to reduce or eliminate the risks

identified; Prepare a record of the risk assessment for the employer after completion of the

assessment; and Assist management in monitoring the effectiveness of risk control measures after their

implementation.

Employees should: Participate in the risk assessment or assist in conducting the risk assessment; Adhere to SWPs established to reduce any safety and health risks in the workplace; and Inform their supervisors of any shortcomings in the SWPs or risk control measures.

Contractors and SuppliersWhenever necessary, contractors and suppliers should work with the risk assessment team to identify hazards, evaluate and control the risks that machinery, equipment or hazardous substances may pose. Contractors and suppliers must provide information of any machinery, equipment or hazardous substances to their customers who may require the information to conduct risk assessment in their workplaces. For example, contractors and suppliers should provide operation manuals, maintenance manuals, safety data sheets, etc.

Where contractors and suppliers undertake work for their customers, they must take all reasonably practicable measures to eliminate or reduce the risk that may be posed by their machinery, equipment or hazardous substances as much as reasonably practicable

Training team membersResearchers have identified 10 teamwork processes that fall into three categories:

Transition processes (between periods of action) Mission analysis Goal specification Strategy formulation

Action processes (when the team attempts to accomplish its goals and objectives) Monitoring progress toward goals Systems monitoring Team monitoring and backup behavior Coordination

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Interpersonal processes (present in both action periods and transition periods) Conflict management Motivation and confidence building Affect management

Researchers have confirmed that performing teamwork works better when you are with a close person. This is due to a chemical called serotonin( 5-Hydroxytryptamine (5-HT) which helps an individual to communicate better and think more positively which. Serotonin is produced when an individual is in a situation where he/she is in comfortable environment.

This needs to be taken into consideration when selecting team members that needs to work together closely.

The benefits of teamwork include:

Problems solving: A single brain can’t bounce different ideas off of each other. Each team member has a responsibility to contribute equally and offer their unique perspective on a problem to arrive at the best possible solution. Teamwork can lead to better decisions, products, or services.

Accomplish tasks faster: A single person taking on multiple tasks will not be able to perform at a same pace as a team can. When people work together they can complete tasks faster by dividing the work to people of different abilities and knowledge.

Healthy competition: A healthy competition in groups can be used to motivate individuals and help the team excel.

Developing Relationships: A team that continues to work together will eventually develop an increased level of bonding. This can help people avoid unnecessary conflicts since they have become well acquainted with each other through team work. Team members’ ratings of their satisfaction with a team are correlated with the level of teamwork processes present.

Everyone has unique qualities: Every team member can offer their unique knowledge and ability to help improve other team members. Through teamwork the sharing of these qualities will allow team members to be more productive in the future.

In healthcare: teamwork is associated with increased patient safety.

In order to benefit from teamwork, conflict needs to be managed effectively.

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Conflict ManagementTeamwork enables ideas to flow between employees and management. Ideally, it encourages interaction, joint decision making and effective and efficient communication between all parties. When a unit is not working as a team, communication lags, resentments build and projects fall by the wayside. Teamwork naturally comes with a certain amount of conflict. The skilled leader understands how to manage it successfully.

Conflict is not always a bad thing and teams that avoid it lose out on an opportunity to create stronger bonds among members. Teams that cohere without disagreements or energetic debates become uninspired and stale. Too much solidarity among members also leads to of poor decision making and a failure to research outcomes before putting ideas into practice. When team members are comfortable and confident with each other, open discussions and disagreements become animated, leading to higher-quality results and satisfaction among team members.

Handling project team conflict effectively involves managing concerns about time, budget and other constraints. By acknowledging different personalities and conflict resolution styles, you can resolve disputes and complete work without compromising an individual's integrity. Establishing a culture in which open communication is fostered is essential to ensuring team cohesion.

When conflict does occur, encourage team members to avoid heated arguments and to respect different opinions in order to come to an acceptable compromise.

Personal Protective Equipment (PPE) (SO2, AC3)

It is important to ensure that personal protective equipment is available, operational, fit for purpose, and used in accordance with its design and specified requirements is explained in terms of the consequences to health and safety. 

What is Personal Protective Equipment (PPE)Personal protective equipment is special clothing or equipment worn by an employee for protection against a hazard.

Personal protective equipment is designed to protect many parts of the body, i.e., eyes, head, face, hands, feet, and ears.

Personal safety equipment must be issued free of charge in terms of S23 of the Occupational Health and Safety Act.

PPE must be in a good, clean condition.

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All users of personal protective equipment (PPE) need to be instructed on: proper use; maintenance; and limitations of equipment provided.

The use of PPE needs to be enforced through discipline. An employer shall not require or permit any employee to work unless such an employee uses the required safety equipment.

PPE should not be removed from the premises, except for: cleaning; repair / mending / maintenance; modification; and replacement.

The intention is to prevent the spreading of contamination.

General Safety Regulation 3: PPE- Employer Responsibilities

The employer shall take steps to reduce the risk as much as is practicable, and shall provide free of charge and maintain in a good and clean condition such safety equipment and facilities as may be necessary to ensure that any person exposed to any such condition or situation at a workplace or in the course of his employment or on premises where machinery is used is rendered safe.

(3) Taking into account the nature of the hazard that is to be countered, and without derogating from the general duties imposed on employers and users of machinery by subregulations (1) and (2), the safety equipment and facilities contemplated in subregulation (2) shall include, as may be necessary –a) suitable goggles, spectacles, face shields, welding shields, visors, hard hats, protective helmets, caps, gloves, gauntlets, aprons, jackets, capes, sleeves, leggings, spats, gaiters, protective footwear, protective overalls, or any similar safety equipment or facility of a type that will effectively prevent bodily injury;

(b) waterproof clothing, high-visibility clothing, chemical-resistant clothing, low temperature clothing, chain mail garments, waders, fire retardant or flame-proof clothing, ice-jackets, or any similar safety equipment of a type that will effectively protect the wearer thereof against harm;

(c) belts, harnesses, nets, fall arresters, life lines, safety hooks, or any similar equipment of a type that will effectively protect persons against falls;

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(d) mats, barriers, locking-out devices, safety signs, or any similar facility that will effectively prevent slipping, unsafe entry or unsafe conditions;

(e) protective ointments, ear-muffs, ear-plugs, respirators, breathing apparatus, masks; air lines, hoods, helmets, or any similar safety equipment or facility of a type that will effectively protect against harm;

(f) suitable insulating material underfoot where persons work on a floor made of metal stone, concrete or other similar material; and

(g) generally, such safety equipment or facilities as may be necessary to render the persons concerned safe.

(4) An employer or a user of machinery, as the case may be, shall take steps to ensure that no safety equipment or facility provided as required by this or any other regulation is removed from a workplace or from premises where machinery is used, except for purposes of cleaning, repair, maintenance, modification, mending or replacement, and no person shall remove any such safety equipment or facility from a workplace or premises where machinery is used, except for the aforesaid purposes.

5) An employer shall instruct his employees in the proper use, maintenance and limitations of the safety equipment and facilities provided.

(6) An employer shall not require or permit any employee to work unless such an employee uses the required safety equipment or facility provided in terms of this or any other regulation.

Site Specific PPEPersonal protective clothing and safety equipment requirements are site specific. Personal protective clothing and equipment include, but is not limited to Safety gear for the body, for the head, eyes, arms, hands, legs and feet.

The Occupational Health and Safety Act 85/1993 stipulates that employers and users of machinery and equipment should ensure that they utilize personal safety equipment which is suitable for the situation and hazards which they are exposed to.

What do the Regulations require? The main requirement of the PPE is that personal protective equipment is to be supplied and used at work wherever there are risks to health and safety that cannot be adequately controlled in other ways.

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The Regulations also require that PPE: is properly assessed before use to ensure it is suitable; is maintained and stored properly; is provided with instructions on how to use it safely; and is used correctly by employees

Consider the following when assessing whether PPE is suitable: Is it appropriate for the risks involved and the conditions at the place where exposure to

the risk may occur? Does it prevent or adequately control the risks involved without increasing the overall

level of risk? Can it be adjusted to fit the wearer correctly? Has the state of health of those who will be wearing it been taken into account? What are the needs of the job and the demands it places on the wearer? If more than one item of PPE is being worn, are they compatible?

Venues, Sites and Attendance (SO2, AC4)

Risk assessment involves a careful examination of what, in the hotel, teaching room, venue location, street, work site or town could cause harm to people. Attendants can also pose risks to people.

Venues

Below is an example of a risk assessment form for a venue where public events takes place.

Activity Visiting of public for events/shows

Description of operation

The XYX Arena stages a wide programme of events that involves the visit of different groups from the community. These may include provision of specialist disabilities and facilities at the venue. A full risk assessment will take place which will be show specific in the period prior to the event taking place. However this is a generic risk assessment dealing with the risks associated to the public entering the XYZ Arena.

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Who is affected by this operation?

Employees √ Contractor

s √ Visiting Show/Events √ Publi

c √ Young people √ Pregnan

t Women √

Description of hazards / risks Likelihood Severity Risk Factor

Risk (before precautions have been taken)

Danger to visiting public/groups from a major incident occurring at the XYZ Arena.

4 6 24 High

Danger of tripping or falling of personnel and public from steep rake of stairs in auditorium, due to poor visibility.

3 4 12 Medium

Emergency access/egress from building before during and after events.

3 4 12 Medium

Smoking in venue (this is no longer permitted but may still occur) poor electrical maintenance, poor house keeping, visiting staff/public.

3 6 18 High

Injury/illness becoming more serious following an incident. 3 6 18 High

Noise/sound in auditorium could affect staff, visiting personnel and public

2 4 8 Medium

Recommended precautions

The XYZ Arena management in conjunction with the local authorities and the emergency services periodically review the Emergency procedures laid out in the XYZ Arena Emergency procedures. Within these procedures designated XYZ Arena personnel/contractors both event and non-event are aware of their responsibilities should a major incident occur.

Handrails are permanently fixed within auditorium to support public when accessing their seats in the upper tier due to its steepness. On events when lights are minimal due to the event requirements, the auditorium is lit by lights, which highlight the stairs. Stewards are placed at the gangways and on the XYZ Arena floor to aid public in the seated areas and are provided with torches to light the access to seated areas.

All cables are removed or covered to prevent trips. A full cleaning and spillages policy is in operation. The XYZ Arena has a pre-event checklist that is used to ensure that the XYZ Arena is

safe for the public to enter for events. On the checklist access/egress from the XYZ Arena is checked and reports completed confirming that the venue is safe to open to the public once the duty manager gives permission.

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The XYZ Arena has many years’ experience of running this type of event. Smoking is banned and the XYZ Arena operates a zero tolerance policy on smokers. Fire and evacuation procedures are in place in accordance with the Premises Licence

and all staff are trained to deal with evac situations. The XYZ Arena provides adequate first aid cover in accordance with an event specific

risk assessment and XYZ Arena/HSE Medical Guidelines. MEN Arena monitors the noise levels for each event to ensure they comply with the

HSE Guidelines

Description of hazards / risks Likelihood Severity Risk Factor

Risk (after precautions have been taken)

Danger to visiting public/groups from a major incident occurring at the XYZ Arena.

3 4 12 Medium

Danger of tripping or falling of personnel and public from steep rake of stairs in auditorium, due to poor visibility.

2 4 8 Medium

Emergency access/egress from building before during and after events.

2 3 6 Low

Smoking in venue poor electrical maintenance, poor house keeping, visiting staff/public.

2 4 8 Medium

Injury/illness becoming more serious following an incident. 2 3 6 Low

Noise/sound in auditorium could affect staff, visiting personnel and public.

2 3 6 Low

Details of further action required1) Re-assess the activity if an accident, near miss or change in operation takes place.

Probability 1 Very unlikely 2 Unlikely 3 May occur 4 Likely 5 Very likely 6 Will occur

Severity 1 Very minor injury 2 Minor injury 3 Lost time to

injury4 Major injury

5 Single fatality

6 Multiple fatality

LOW - Risk Factor 0-6Risk factor above 6 Improve if possible

MEDIUM - Risk Factor 7-17 Risk factor above 12 Further action required

HIGH - Risk Factor 18-36 Immediate action required

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The contents of the risk assessment will vary depending on the particular workplace and the method used.

The results of the risk assessment need to be communicated to all relevant stakeholders.

Risk communication is the way in which decision-makers communicate with various interested parties about the nature and level of risk, and about the risk reduction strategies to reduce the risk.

The purpose of risk communication is to help in the planning of the risk assessment and to convey the results of the risk assessment in a way that effectively supports risk management decisions; this is so that the risk management decisions both meet the goals of the project and provide some comfort level for stakeholders. Good risk communication strategies are a fundamental aspect of developing trust among various stakeholders and the community and are often considered an important first step that can begin even before conducting the risk assessment. Involving the community, establishing and maintaining relationships, and networking with other partners (e.g., agencies, organizations, officials, the media) are key elements in a risk communication strategy. Tailoring communications to the cultural diversity of the community is important because it may help establish the trust necessary to complete a risk assessment that meets all stakeholder and community needs. Risk management rooted in voluntary measures requires effective risk communication to get buy-in.

Do Activity 2 in the Assessment Guide.

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SECTION 3: CONDUCTING A BASELINE ASSESSMENT

Specific Outcome 3: Conduct a baseline risk assessment. Assessment Criteria

Hazards and associated risks are identified and assessed in comparison with available standards. 

A risk profile is drafted, identified deviations are recorded and a report is prepared. 

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Hazards and Associated Risks (SO3, AC1)

Hazards

The meaning of the word hazard can be confusing. Often dictionaries do not give specific definitions or combine it with the term "risk". For example, one dictionary defines hazard as "a danger or risk" which helps explain why many people use the terms interchangeably.

There are many definitions for hazard but the more common definition when talking about workplace health and safety is:

A hazard is any source of potential damage, harm or adverse health effects on something or someone under certain conditions at work.

Basically, a hazard can cause harm or adverse effects (to individuals as health effects or to organizations as property or equipment losses).

Sometimes a hazard is referred to as being the actual harm or the health effect it caused rather than the hazard. For example, the disease tuberculosis (TB) might be called a hazard by some but in general the TB-causing bacteria would be considered the "hazard" or "hazardous biological agent".

An unsafe situation, if left uncontrolled, may lead to an incident.

Following are some hazards that could be found the workplace. These hazards may affect our health and safety or harm the environment.

Hazard Explanation

Physical hazards Physical hazards occur when workers are exposed to: Very high or very low temperatures; High levels of noise; or Vibration or radiation.

These hazards can harm your body and can affect your concentration and add to the change of having an accident at work.

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Hazard Explanation

Chemical hazards Chemical hazards can be in the form of Gases; Vapour; or Dust.

When there are high levels of industrial chemicals in the air, they can pollute the environment. They can poison your body and affect your lungs and your ability to breathe. They can also cause fires or explosions

Biological hazards Biological hazards occur in places where organisms (life forms) can be passed from one person to another or from animals to people, e.g. infected needles could prick people who work in hospitals, or breathe in or ingest bacteria, viruses, etc. They can also disturb the balance in nature.

Mechanical hazards

Moving parts and the energy sources which power a broad range of machinery and equipment are a high source of danger to employees. The implementation of strict operational procedures, training and guarding are the best way to prevent injuries like

Punctures and cuts; Crush injuries; Amputations; and Fractures, etc.

Ergonomic hazards

Ergonomic hazards occur where people Work in cramped spaces or positions; Have poor lighting; Poor seating; or having to stand for long periods of time. Continued exposure to these conditions could result in Eyestrain; Backache; Wrist strain; and Sore shoulders.

Psychosocial hazards

Poor workplace organisation (such as “speed-up” and “just-in-time” processes) occurs in various workplaces, from factories to offices, resulting in stress which manifests as ill mental health.

Identification of hazards and assessment of risks must be an activity that is associated with every job that is performed.

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Risks

Risk is the chance or probability that a person will be harmed or experience an adverse health effect if exposed to a hazard. It may also apply to situations with property or equipment loss.

For example: The risk of developing cancer from smoking cigarettes could be expressed as "cigarette smokers are 12 times (for example) more likely to die of lung cancer than non-smokers". Another way of reporting risk is "a certain number, "Y", of smokers per 100,000 smokers will likely develop lung cancer" (depending on their age and how many years they have been smoking). These risks are expressed as a probability or likelihood of developing a disease or getting injured, whereas hazards refer to the possible consequences (e.g., lung cancer, emphysema and heart disease from cigarette smoking).

Factors that influence the degree of risk include: how much a person is exposed to a hazardous thing or condition, how the person is exposed (e.g., breathing in a vapour, skin contact), and how severe are the effects under the conditions of exposure.

What is a risk assessment?Risk assessment is the process where you:

identify hazards, analyze or evaluate the risk associated with that hazard, and determine appropriate ways to eliminate or control the hazard.

What is an adverse health effect?A general definition of adverse health effect is "any change in body function or the structures of cells that can lead to disease or health problems".

Adverse health effects include:

bodily injury, disease, change in the way the body functions, grows, or develops, effects on a developing fetus (teratogenic effects, fetotoxic effects), effects on children, grandchildren, etc. (inheritable genetic effects) decrease in life span,

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change in mental condition resulting from stress, traumatic experiences, exposure to solvents, and so on, and

effects on the ability to accommodate additional stress.

Will exposure to hazards in the workplace always cause injury, illness or other adverse health effects?Not necessarily. To answer this question, you need to know:

what hazards are present, how a person is exposed (route of exposure, as well as how often and how much

exposure occurred), what kind of effect could result from the specific exposure a person experienced, the risk (or likelihood) that exposure to a hazardous thing or condition would cause an

injury, or disease or some incidence causing damage, and how severe would the damage, injury or harm (adverse health effect) be from the

exposure.

The effects can be acute, meaning that the injury or harm can occur or be felt as soon as a person comes in contact with the hazardous agent (e.g., a splash of acid in a person's eyes). Some responses to may be chronic (delayed). For example, exposure to poison ivy may cause red swelling on the skin two to six hours after contact with the plant. On the other hand, longer delays are possible: mesothelioma, a kind of cancer in the lining in the lung cavity, can develop over 20 years or more after exposure to asbestos.

Once the hazard is removed or eliminated, the effects may be reversible or irreversible. For example, a hazard may cause an injury that can heal completely (reversible) or result in an untreatable disease (irreversible).

Risk ManagementRisk management is the identification, assessment, and prioritization of risks followed by coordinated and economical application of resources to minimize, monitor, and control the probability and/or impact of unfortunate events or to maximize the realization of opportunities.

Methods, definitions and goals vary widely according to whether the risk management method is in the context of project management, security, engineering, industrial processes, financial portfolios, actuarial assessments, or public health and safety.

The strategies to manage risk typically include transferring the risk to another party, avoiding the risk, reducing the negative effect or probability of the risk, or even accepting some or all of the potential or actual consequences of a particular risk.

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In ideal risk management, a prioritization process is followed whereby the risks with the greatest loss (or impact) and the greatest probability of occurring are handled first, and risks with lower probability of occurrence and lower loss are handled in descending order. In practice the process of assessing overall risk can be difficult, and balancing resources used to mitigate between risks with a high probability of occurrence but lower loss versus a risk with high loss but lower probability of occurrence can often be mishandled.

The principles of risk assessment are that it should: create value – resources expended to mitigate risk should be less than the consequence

of inaction, or (as in value engineering), the gain should exceed the pain be an integral part of organizational processes be part of decision making process explicitly address uncertainty and assumptions be systematic and structured be based on the best available information be tailorable take human factors into account be transparent and inclusive be dynamic, iterative and responsive to change be capable of continual improvement and enhancement be continually or periodically re-assessed

Drafting Risk Profiles (SO3, AC2)

The purpose of risk profilesAn Occupational Health Risk Profile is the backbone of your company’s success. After all, by identifying health-related risks in your company and complying with the law, you’re preserving the most valuable asset of your company: Your employees.

Here’s why creating an Occupational Health Risk Profile will help you comply with the law and help protect your employees by identifying health hazards before they occur.

The Occupational Health and Safety Act requires that you identify health hazards in your company. This means you need to create an Occupational Health Risk Profile, which will help you be compliant with the law and ensure effective maintenance of the health status of your employees on site.

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An Occupational Health Risk Profile ensures a risk based quality occupational health service through risk management and minimum impact on the health status of the employees. It also contributes positively to the bottom line of the company

This is how a thorough Occupational Health Risk Profile will help you… It’ll allow for the early identification of the impact on the health status of your

employees caused by health hazards in the workplace. You’ll be able to facilitate prompt, early corrective and preventative measures. It’ll contribute positively to the bottom line of the company. For instance, it will save you

time and money because blanket medical surveillance won’t be needed when your Occupational Health Risk Profile is streamlined according to the relevant profile of health hazards

Having an Occupational Health Risk Profile won’t only help you comply with the law, but it’ll help you protect your employees by identifying health hazards before they occur.

How to draft a risk profile

A risk profile is a summary of the key risks existing across an organisation

From the prioritisation of major risk, a risk profile for the organisation can be developed where risks across the agency are identified in the different contexts or areas of activity, e.g.

Accident Risk Fire Risk Occupational hygiene risk Occupational health risk Environmental risk Security risk etc.

The risk management process develops risk treatment plans with controls and strategies that relate directly to organisational objectives. Reporting on the effectiveness of risk management controls effectively becomes reporting on the achievement of organisational objectives.

The organisation’s risk profile can be updated as part of the regular planning cycle.

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The risk profile could include more detailed information on:

Issue – description of risk and inherent and assessed risk level, Potential effect – description of consequences, Potential risk factors for the organisation – description of contributing factors in this

organisation, Current controls, or Future strategies – treatment plan.

For example:

Do Activity 3 in the Assessment Guide.

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SECTION 4: INITIATING REMEDIAL ACTION FOR HAZARDS IDENTIFIED AND RISKS ASSESSED

Specific Outcome 4: Initiate remedial action for hazards identified and risks assessed. Assessment Criteria

Control measures are identified, deviations recorded and actions taken, compliant with the specified operational procedures. 

Final reports are completed, submitted to designated personnel on time and dates are proposed for subsequent control assessments. 

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Control Measures (SO4, AC1)

As an employer, you have a legal duty to do what’s reasonably practicable to reduce health and safety risks to an acceptable level.

To do this, you’ll need to follow the legal principle of what a reasonable man would do in these circumstances.

Each work activity poses some health and safety risks. While it’s not always possible to remove all the health and safety risks, you must take steps to reduce the health and safety risks to an acceptable level to avoid fines or jail time for non-compliance with the Occupational Health and Safety Act.

Applying Reasonably Practicable Risk Control Measures

Use these three steps when applying reasonably practicable risk control measures in your company.

Step#1: Establish the severity and the scope of the health and safety risk

You need to establish if the health and safety risks affect all employees or only a few. Then establish what the result of exposure to the health and safety risks will be. For

instance, will it be minor health effects that are reversible, like temporary dizziness, or will it be major adverse health effects, like unconsciousness or death?

Step#2: Find out the knowledge available concerning the health and safety risk

You need to establish if it’s possible to remove the health and safety risks completely by changing process, raw materials, technology or any other means that could completely eliminate the health and safety risk.

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Step#3: Consider the costs of removing or reducing the health and safety risks in relation to the benefits

You aren’t expected to implement health and safety risk control measures where the costs outweigh the benefits.

However, if no health and safety risk control measures are implemented, you’ll need to justify this decision. You can’t simply decide not to reduce risk because the company can’t afford the risk reduction or control measures. You won’t be able to defend a decision like this if an incident occurs and you’ll be prosecuted.

These three steps must be considered when implementing or deciding not to implement health and safety risk control measures. This will ensure you avoid ending upon the wrong side of the law.

To efficiently implement health and safety risk measures as required by the law, there're certain points you need to remember to cover all your bases.

The health and safety legislation is based on keeping people safe at work and not endangering their health in any way. Therefore, it’s of the outmost importance that when you implement your company’s health and safety risk control measures in your workplace, you do it efficiently. To help you do this, there're six points you should keep in mind.

Before you implement new health and safety risk control measures, check for any additional hazards it may cause and any unexpected risks. For instance, “it’s often found that due to security risks, emergency exits are locked or barricaded. Whilst this may reduce the risks of theft of theft or unauthorised access, it escalates the risk of not being able to evacuate the premises without loss of life in the event of an emergency.

It’s important to select the most practical and cost effective way to reduce health and safety risk control measures to an acceptable level.

Remember to ensure you have an action plain detailing how the new health and safety risk control measures will be implemented with a defined time frame.

You must ensure that the person you’ve chosen to implement the new health and safety risk control measures carries sufficient authority in the company to ensure all the necessary controls are successfully implemented.

Update your procedures to reflect the new health and safety risk control measures. It’s crucial that you train all employees on the new health and safety risk control

measures, once they’ve been implemented.

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Reporting and Follow-up (SO4, AC2)

ReportingFinal reports need to be completed, submitted to designated personnel on time and dates are proposed for subsequent control assessments. 

Putting the results of your risk assessment into practice will make a difference when looking after people and your business.

Writing down the results of your risk assessment, and sharing them with your staff, encourages you to do this. If you have fewer than five employees you do not have to write anything down.

When writing down your results, keep it simple, for example ‘Tripping over rubbish: bins provided, staff instructed, weekly housekeeping checks’, or ‘Fume from welding: local exhaust ventilation used and regularly checked’.

We do not expect a risk assessment to be perfect, but it must be suitable and sufficient. You need to be able to show that:

a proper check was made; you asked who might be affected; you dealt with all the obvious significant hazards, taking into account the number of

people who could be involved; the precautions are reasonable, and the remaining risk is low; and you involved your staff or their representatives in the process.

If, like many businesses, you find that there are quite a lot of improvements that you could make, big and small, don’t try to do everything at once. Make a plan of action to deal with the most important things first. Health and safety inspectors acknowledge the efforts of businesses that are clearly trying to make improvements. A good plan of action often includes a mixture of different things such as:

a few cheap or easy improvements that can be done quickly, perhaps as a temporary solution until more reliable controls are in place;

long-term solutions to those risks most likely to cause accidents or ill health; long-term solutions to those risks with the worst potential consequences; arrangements for training employees on the main risks that remain and how they are to

be controlled;

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regular checks to make sure that the control measures stay in place; and clear responsibilities – who will lead on what action and by when.

Review and UpdateFew workplaces stay the same. Sooner or later, you will bring in new equipment, substances and procedures that could lead to new hazards. It makes sense therefore, to review what you are doing on an ongoing basis.Look at your risk assessment and think about whether there have been any changes? Are there improvements you still need to make? Have your workers spotted a problem? Have you learnt anything from accidents or near misses? Make sure your risk assessment stays up to date.When you are running a business it’s all too easy to forget about reviewing your risk assessment – until something has gone wrong and it’s too late. During the year, if there is a significant change, don’t wait: check your risk assessment and where necessary, amend it. If possible, it is best to think about the risk assessment when you’re planning your change – that way you leave yourself more flexibility.Remember, prioritise and tackle the most important things first. As you complete each action, tick it off your plan.

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REFERENCES

http://www.labourguide.co.za/health-and-safety/different-types-of-risk-assessments-1512http://www.safework.sa.gov.au/contentPages/EducationAndTraining/HazardManagement/Machinery/TheAnswers/machAnswerHierarchy.htmhttp://ezinearticles.com/?The-Importance-of-Risk-Assessment-and-Identifying-Hazards-in-the-Work-Place&id=4037000http://www.ccohs.ca/oshanswers/hsprograms/hazard_risk.htmlhttp://en.wikipedia.org/wiki/Risk_managementhttp://www.healthandsafetyclub.fspbusiness.co.za/articles/risk-assessment/follow-these-three-steps-to-apply-practicable-health-and-safety-risk-control-measures-in-your-workplace-25.htmlhttp://en.wikipedia.org/wiki/Team_workhttp://www.ehow.com/info_7783524_teamwork-conflict.htmlhttp://www.ehow.com/way_5859254_effective-teamwork-conflict.htmlhttp://bfscmusic.com/RiskManagement.htmhttp://www.hse.gov.uk/risk/fivesteps.htm

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