LEARNER GUIDE Learner Name - Sustainable Skills · RIIRIS301D Apply risk management processes Application This unit describes a participant’s skills and knowledge required to apply

DRILLING • MINING • QUARRYING • CIVIL INFRASTRUCTURE

RIIRIS301D - Apply risk management processes LEARNER GUIDE

Learner Name:

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Published by: SkillsDMC Ltd (Resources and Infrastructure Industry Skills Council)

Level 9, 36 Carrington Street, Sydney, NSW 2000

First published: 2016

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Contents

Unit of Competency 4

Unit Descriptor 6

Topics 6

Recognition of Prior Learning 7

Learning activities 8

Legislation 11

Hazard Identification 12

Risk Management 19

Hazard Analysis 23

Job Hazard Analysis 27

Heirarchy of Controls 30

Assess Risk 33

Risk Criteria 40

Risk Controls 43

Contribute to the Implementation of Controls 47

Review Safety Managemetn Systems 50

Check your understanding 53

Knowledge questions 54

Practical activities 58

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Unit of Competency

RIIRIS301D Apply risk management processes

Application This unit describes a participant’s skills and knowledge required to apply risk management processes in the Resources and Infrastructure Industries.

This unit is appropriate for those working in operational or supervisory roles.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

Element Performance Criteria

Elements describe the essential outcomes of a unit of competency

Performance Criteria describe the required performance needed to demonstrate achievement of the element.

1. Plan and prepare for risk management

1.1. Access, interpret and apply risk management documentation and ensure the work activity is compliant

1.2. Inspect and analyse work area conditions regularly and systematically to identify potential hazards

1.3. Access, interpret and apply existing procedures to control identified hazards

1.4. Identify hazards not controlled by existing procedures

1.5. Recognise the type and scope of unresolved hazards and their likely impact

2. Assess and identify unacceptable risk

2.1. Consider and determine the likelihood of an event

2.2. Evaluate and determine the consequence of the event

2.3. Consider and determine the risk level (likelihood and consequence combined)

2.4. Identify or source the criteria for determining the acceptability/unacceptability of the risk

2.5. Evaluate the risk and identify ‘unacceptable risk’ status

3. Review risk management documentation

3.1. Monitor and review working instructions

3.2. Seek authority and approval to amend in writing the working instructions

3.3. Seek authority and approval to action amendments to the working instructions

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4. Identify and recommend controls

4.1. Identify the range of controls which may eliminate or minimise the risk

4.2. Conduct a detailed analysis of feasible options including the identification of resource requirements

4.3. Select the most appropriate control for dealing with the situation

5. Contribute to the implementation of controls

5.1. Write up the risk management plans selected control in detail, including resource requirements

5.2. Gain authorisation for selected control

5.3. Document and review controls for the job

5.4. Apply procedures to control recognised hazards

5.5. Communicate information on the control and its implementation

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Unit DescriptorThis unit covers the application of risk management processes in resources and infrastructure industries. It includes identifying hazards; assessing and identifying unacceptable risk; identifying and recommending controls; contributing to the implementation of controls; and reviewing safety system documentation.

TopicsThe main topics covered in this Learning Guide are:

• Legislation

• Hazard identification

• Hazard sources and factors

• Risk management documentation

• Safety controls

• Safe operating procedures

• Control procedures

• Likelihood and consequences of risk

• Work instructions

• Control ranges

• Hierarchy of controls

• Assess risk

• Unacceptable risk

• Residual risk

• Implementation plan

• Risk management plans

• Operating Controls

• Job Hazard Analysis (JHA’s)

• Take 5’s

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Recognition of Prior Learning

If you think you can satisfactorily complete the assessment for this section, check your knowledge and skills as follows:

I can:

• access and interpret risk management documentations

• inspect a work area to identify potential hazards

• locate existing procedures to control hazards and how to interpret and apply them

• consider the likelihood of an event and determine the consequences associated with the event

• locate the criteria to determine accountability and unacceptability of risk

• carry out and amend work instructions as needed

• identify the controls needed to eliminate or minimise risk

• select the appropriate control when dealing with a situation

• develop a risk management plan in detail including the resources needed

• review the controls required for a job

• apply procedures to manage hazards and communicate to relevant parties the controls put in place

• communication residual risk associated with a task

• locate policies, procedures and safe operating procedures for a task.

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Learning activitiesAs you work through this Learning Guide you will complete the following activities:

• Understanding risks and hazards in your workplace

• Assessing risk and why

• Completing a Take 5

• Completing a JHA

• Using a risk matrix to prioritise risk

• Identify details to include in risk management plans

• When should a hazard register be used

• Communication of risk in a workplace

• Locating company policies and procedures for safe operating procedures

• Communication of residual risk in the

workplace

What workplace experience do I need?

If you are employed in the industry, complete the unit activities using your workplace as an example.

If you are not employed in the industry, your trainer can assist you to demonstrate the application of this unit of competency in a number of ways:

• you may undertake a work placement so you can experience a real work situation

• you can work through case studies or other examples, provided by your trainer

• you can visit as many worksites as possible

to further assist with your assessment

How will I be assessed for this unit?

Assessment for this unit will comprise of both

Learning Activities

practical and theory components. Details of the methods, location and times of these assessments will be provided to you by your assessor.

Throughout this Learner Guide you will see the term trainer. This is the person who will be guiding you through this unit of competency. It could be a workplace supervisor, mentor, trainer, instructor or tutor.

When the term assessor is used it refers to the person who will make the final judgement of your competency in this unit. Sometimes the trainer and assessor will be the same person. In some cases they will differ.

The assessor will collect a range of evidence which shows how you meet the outcomes of the unit of competency.

What resources will I need?You will need to have access to relevant legislation and worksite safety policies and procedures such as:

• Relevant Federal, State and Territory Acts and Regulations governing worksite activities in

- Civil construction

- Coal mining

- Drilling

- Extractive industries

- Metalliferous mining

• Relevant Australian Standards, particularly AS/NZS ISO 31000:2009 Risk management – Principles and guidelines

• Codes of practice

• Worksite safety management system, which includes policies and procedures, safe work instructions, and permits; and in particular

- Worksite risk management system documentation and procedures

- Worksite reporting procedures for hazards and risks

- Worksite written documentation required to be completed for risk control

• Manufacturer’s manuals/specifications


Definitions

Legislation

Legislation is law that occurs in the form of Acts and Regulations enacted by a state or federal government. It describes requirements that you are legally bound to comply with when working on the worksite. Generally legislation is backed up by Codes of Practice, Standards and Guidelines.

Act

The Act establishes broad objectives and duties.

Regulations

Spell out the specific requirements of the legislation.

May prescribe minimum standards or define specific requirements related to a particular hazard or particular type of work; or allow for licensing, approvals and certification.

Codes of Practice

Provide practical advice on acceptable ways of achieving compliance with the intent of the legislation. May also contain explanatory information.

Standards

Provide advice and guidance and set a benchmark or minimum standards that should be met in relation to a particular topic.

Guidelines / Guidance Notes

Explanatory documents providing detailed and practical information on how to achieve the requirements of the legislation.

Hazard

A source of potential harm or a situation with a potential to cause loss. Hazards may include equipment, methods/plans, people and the work environment.

In relation to a person, means anything that may result in:

• Injury to the person; or

• Harm to the health of the person.

Risk

The chance of something happening that will have an impact on objectives.

It is measured in terms of a combination of the consequences of an event and the likelihood of occurrence.

Event

The occurrence of a particular set of circumstances.

It can be a single occurrence or a series/range of occurrences.

Consequence

The outcome or impact of an event. There can be more than one consequence from one event. Can be expressed qualitatively or quantitatively, being loss, injury, disadvantage or gain.

Likelihood

Used as a general description of probability or frequency. Can be expressed qualitatively or quantitatively.

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Probability

A measure of the chance of occurrence. “Frequency” or “Likelihood” rather than probability may be used in describing risk.

Frequency

A measure of the number of occurrences per unit of time.

Risk Assessment

The overall process of risk identification, risk analysis and risk evaluation.

Risk Identification

The process of determining what, where, when, why and how something could happen.

Risk Analysis

Systematic process to understand the nature of, and to deduce the level of risk. Provides the basis for risk evaluation and decisions about risk control.

Risk Evaluation

Process of comparing the level of risk against risk criteria.

Risk Criteria

Terms of reference by which the significance of risk is assessed.

The criteria for the acceptability/unacceptability of the risk must be determined by worksite’s management systems, policies, procedures; in accordance with relevant legislation.

Risk Management

The culture, processes and structures that are directed towards realising potential opportunities whilst managing adverse effects.

Risk Management Process

The systematic application of management policies, procedures and practices to the tasks of communicating, establishing the context, identifying, analysing, evaluating, treating, monitoring and reviewing risk.

Risk Reduction

Actions taken to lessen the likelihood, negative consequences, or both, associated with a risk.

Learning Activities


LegislationNOTE: The term “Occupational Health and Safety (OHS)” is still in use. Workplace Health and Safety (WHS) should be taken to mean OHS in these instances. Additionally, it should be noted that, while WHS legislation has been harmonised, each state and territory has retained its own legislative framework for WHS. Learners should be aware of the specific Act and Regulation that applies in their state/territory.

WHS legislation imposes duties and requirements on organisations and individuals aimed at reducing the incidence of workplace injury and illness.

There are substantial fines for both employers and employees for non-compliance with the legislative requirements.

The overarching responsibility is to ensure that all reasonably practicable steps are taken to protect the safety and health of employees, contractors and visitors on the worksite.

The WHS Act requires companies to systematically assess and control risks on the worksite in consultation with those affected.

The WHS Regulations require that all hazards must be eliminated unless it is not reasonably practicable to do so, in which case hazards must be reduced to an acceptable level.

Every person on the worksite has a role to play in ensuring the safety and health of themselves and others. You need to understand your responsibilities under the WHS legislation, which is to cooperate with it in meeting its obligations, and include but not limited to:

• Cooperating and actively contributing to the safety and health of yourself and others on the worksite, who may be affected by your acts or omissions

• Wearing any PPE provided

• Following supervisor’s WHS instructions

• Identifying hazards on the worksite

• Reporting immediately any accidents, incidents or near misses

• Not wilfully damaging anything provided for the safety and health of yourself or others on the worksite

WHS offences are offences of strict liability.

This means that, if the law has been broken, excuses such as “it was an accident” or “I did not know that regulation existed” are no defence.

A breach of the WHS Act can result in criminal sanctions.

Your Organisation and you can be held liable for resultant injury or illness regardless of whether the act was unintentional or not – you are responsible for your acts and omissions under WHS legislation.

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Hazard IdentificationRisk is involved in everything you do in your everyday life but the potential of risk is generally greater when you are at work. You are continuously managing these risks, often without realising it. However to manage risk you need to be able to identify potential hazards.

Identifying hazards is the process of regularly and systematically investigating/inspecting any activity, situation, product, service, or thing, which could affect your safety and health, and that of any other person, at your work site.

WHS legislation requires your organisation to ensure that effective procedures have been implemented to identify hazards on the worksite.

Hazards should be identified (including but not limited to):

• Before introducing or commencing a work task, procedure, process or system of work

• Before changes to work systems are introduced on the worksite

• Before hazardous substances are introduced onto the worksite

• Before, during and after installation, erection, commissioning and alteration of plant and equipment

• While work is being carried out

• When new or additional safety and health information from an authoritative source becomes available

What is the difference between a hazard and a risk?

Hazard is a source or situation with the potential to cause harm, injury or ill health to you and other persons. A hazard may also cause damage and loss to property or the environment, or a combination of these; whereas

Risk is the chance that a hazard will result in an incident causing injury or damage.

Hazard Identification Methods

Effective hazard identification, assessment and control are central to a successful health and safety program and any due diligence defence. The involvement of all employees, management and WHS committees is critical in the identification, assessment and control of hazards.

Hazards are identified through a variety of techniques and the following descriptions, in no particular priority order, explain these in more detail.

Safety Audit:

This is a periodic systematic inspection of the worksite to evaluate the effectiveness of the organisations health and safety system. Safety consultants or workplace WHS professionals such as safety officers may conduct the audit. An audit usually contains a written report for management and is usually referred to the WHS committee for actioning any recommendations.

Site Inspections:

These are regular inspections of the worksite by managers, supervisors and safety committee members to determine, by observation, what hazards exist in the workplace. Inspections involve consultation with supervisors and employees and a report to management and the safety committee.

Equipment Checks:

These are regular, generally daily, inspections and checks of worksite equipment by operators to determine the equipment is in good working order. Equipment checks involve a standard set of procedures generally based on the equipment manufacturer’s operations manual.

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Consultation:

You and other employees are often more aware of hazards, and the possible ways of controlling them, than management. Consulting other employees and shift crews can improve the assessment process as well as improving cooperation with control measures that are eventually put in place.

Complaints:

Many worksite hazards are brought to the attention of a supervisor or manager through a complaint made by an employee. Complaints should be taken seriously and passed to the appropriate person for prompt action, not left to create a potential problem.

Monitoring:

As with the WHS audits, monitoring may be done by WHS consultants, or safety officers, to provide technical advice about suspected problems. Monitoring may show that a substance or process is a hazard and its severity. In this way, monitoring is associated with both hazard identification and risk assessment and evaluation.

Injury Records:

Your Organisation is required to keep records of injuries and illness and also generates reports and statistics based on workers’ compensation claims. These statistics can be analysed to identify hazards on the worksite.

Incident Investigations:

Company has a set of procedures for investigating and reporting on accidents/incidents to identify hazards that contributed to the accident/incident, and to put control measures in place to help to avoid the hazards in the future.

Observation:

A workplace hazard can also be brought to management’s notice outside the routine investigating and reporting systems. Whilst carrying out your normal duties, you and other employees should always be on the lookout for any potential workplace hazards and report them immediately.

It is essential that you continually monitor your work area for new hazards.

You and other employees often view potential hazards and the impact of the hazards differently.

However the management of risk cannot be left to individual perception or “luck”. Good risk management requires hazards, and associated risks, to be identified and controlled in a systematic proactive way.

The systematic approach is a risk assessment process whereby all employees, including managers, supervisors, and specifically you, identify, assess, and manage/control hazards, and associated risks, that may affect other persons on the worksite.

This risk assessment is a process consisting of defined steps that, when carried out in order, allow informed decision making by providing a greater insight into risks and their impact. It is as much about identifying risks as it is about avoiding them i.e. it is a proactive way of preventing an incident occurring and is also a practical tool in analysing an incident to prevent it reoccurring.

By adopting and following the risk assessment you can help improve safety on the worksite. However before the risks can be assessed you need to be able to know what hazards may exist on site.

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Potential Hazards

Hazard Classification

Generally hazards can be classified into five groups:

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1. Physical

Cause Examples Potential Disease or InjuryHeat Heatstroke, cramp, fatigue

Lighting Headaches, eyestrainNoise Hearing LossVibration White finger diseaseElectricity Heart failure, burns

Dust SilicosisPressure Decompression sickness (bends)

2. Chemical

Cause Examples Potential Disease or InjuryAcids, alkalis Dermatitis, eye injuryMetals Cadmium/lead/mercury poisoningNon-metal Arsenic/cyanide poisoningGases Carbon monoxide poisoningOrganic compounds Cancer, nerve damageDust Lead poisoningVapours Mercury poisoning

4. Mechanical

Cause Examples Potential Disease or InjuryManual handling – over exertion, lifting , pulling

Musculoskeletal injury – spinal injury, muscular strains & sprains

Unguarded machines / Hydraulic pressure

Acute physical injuries – severed/crushed limbs

Gravitational energy – falls of people or objects

Acute injury – crushed limbs, broken bones, brain damage

5. Psychosocial

Cause Examples Potential Disease or InjuryViolence, harassment or abuse

Physical harm, stress

Stress Psychosomatic disorders (eg stomach ulcers brought about by stress)

3. Biological

Cause Examples Potential Disease or InjuryAnimal-borne Anthrax, Q feverHuman-borne AIDSVegetable-borne Aspergillosis (farmers lung)


However for simplicity you can generally categorise these hazards into two main areas:

• Core

Core hazards can be considered common to most worksites and include:

- Fire and explosion

- Inundations / engulfment / entrapment

- Transport

- Manual handling

- Damaging energy sources

• Company / Site Specific

Site hazards are those specific to your worksite and may include for example:

- Equipment

- Methods /plans

- Unstable ground

- Wet haul roads

- Backing haul truck over face

Hazard Sources

Hazards can arise from the site environment; the use of plant, equipment and substances on site; poor work design; inappropriate management systems and procedures; and human behaviour.

Hazards can be identified at almost any location on the site and you must always be aware of potential hazards arising from:

• Site work practices, work systems and shift arrangements - including hazardous processes, and fatigue

• Site plant and equipment - including the transport, installation, erection, commissioning, use repair, maintenance, dismantling, storage or disposal

• The layout and condition of the site – including lighting conditions, working around conveyors and workstation design

Examples of site hazard sources that may exist on site• The physical working environment which includes the potential for any one or more of the following:

- Electrocution

- Drowning

- Fire and explosion

- People slipping, tripping or falling

- Contact with moving or stationary objects

- Exposure to noise, heat, cold vibration, static electricity or a contaminated atmosphere

The tasks you are carrying out which may include:

- Using hand tools

- Using welding and gas cutting equipment

- Manual handling - including the potential of overuse injuries

- Working on or in confined spaces

- Working with electricity

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- Working at height – including using ladders, stairs and platforms; Elevated Work Platforms (EWPs), etc

- Slinging and lifting loads

- Working with compressed air

- Working with hydraulics

- Working with process pumps

- Working with or around explosives

- Working outside

- Working in offices

• The presence of asbestos on the worksite or in buildings

• Dangerous goods and hazardous substances used/produced on site - including the handling, use, storage, transport or disposal

• Biological organisms, products or substances

• The potential for workplace violence

Hazard Factors

In simple terms a hazard is a source of potential harm or loss, however you and other employees will often have a different perception of potential hazards and the impact that they can cause; so there are a number of factors that you should consider:

• The same hazard can often affect one person more than another

• Different hazards will have different potential to cause injury/illness or damage/loss

• Not all hazards take the same time to cause injury/illness or damage/loss; the time duration and event frequency of hazards is often a major factor when assessing hazard potential

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Hazard Source Potential Hazard Potential Impact

Manual Handling

Using incorrect lifting procedures.

Lifting something too heavy or large.

Muscle strain or permanent damage. Dropping an item on yourself or a workmate

Using Hand ToolsUsing defective or damaged tools.

Not being trained

Slippage or breakage causing bodily harm. Incorrect usage resulting in injury.

Mechanical Equipment

Getting caught in a conveyor ‘nip’ point.

Not following operating rules

Limbs caught in conveyor – amputation – possible death.Reversing over and killing a workmate

Hydraulic systems, compressed air systems, high pressure water supplies

Not checking all valves and oils leaking

Operating too near to workmates

Skin / tissue penetration, burns etc

Power suppliesUnsafe power supplies to electrical equipment

Shocks, burns, cardiac arrest

Ladders, Stairs and Platforms

Unstable or damaged rungs/steps Fall from heights, broken bones

Storage areasIncorrectly labelled chemicals

Incorrectly sealed or packed

Possible explosion from incorrect mixing of chemicals or leakage

Thermal SubstancesHot engine coolant. Hot mechanical components. Fire

Scalds, 1st, 2nd, 3rd degree burns

Chemical SubstancesAcids and Alkalies not handled properly

Skin / tissue damage – respiratory damage through flame inhalation

Working outdoors

Not wearing sun block or safety equipment

Not following warning signs

Sunburn, skin cancers, ‘arc eye’ tissue damage Falling down a hole and breaking limbs

Working in Offices Insufficient or too much lighting Eye damage or headaches

Plant and machinery noise Not wearing protective clothingLoss of hearing (permanent or temporary), disorientation, dizziness

Potential Hazard Impacts

The table below looks at various types of potential site hazard sources, hazards, and the impact that may be caused if they are not managed effectively.

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1.1. Briefly explain your understanding of the difference between a hazard and a risk.

1.2. Identify four (4) examples of physical hazards within your work area.

1.3. Identify two (2) chemicals that you may come in contact with while performing your work duties.

LEARNING ACTIVITY 1


Risk ManagementAll of the examples of hazards listed in the table above can be found in the resources and infrastructure industry environment. Once you understand that hazards do exist in your workplace the next stage is to use processes that assist with identification of hazards, determining the risks associated with the hazard and then implementing control procedures to remove the hazard or lower the risks associated with the hazard.

Risk management is a process by which an appropriate balance can be achieved between work productivity and potential losses. The flow chart below outlines a brief overview of the risk management process.

Risk Management

Process AS/NZS4360:2004

Risk Assessment Process

• The Internal Context• The External Context• The Risk Management Context• Develop Criteria• Define the Structure

• What can happen?• When and where• How and why

• Identify options• Assess options• Prepare and implement

treatment plans• Analyse and evaluate

residual risk

Evaluate Risks

Analyse RisksIdentify existing controls

Determine level of risk

Determine Likelihood

Determine Consequences

• Compare against criteria• Set priorities

Treat Risks

Identify Risks

Treat Risks

Establish the Context

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The management of risk is an integral part of good management and it is an interactive process of continuous improvement that is embedded into practices or processes.

The flow chart above outlines a complete Risk Management Process.

The Risk Management Process needs to include:-

Communicate and Consult – with both internal and external stakeholders (persons who are involved or have an interest in the process) as appropriate at each stage of the risk management process and about the process as a whole.

Establish the context – Establish the external, internal and risk management context in which the rest of the process will take place. The criteria against which risk will be evaluated needs to be established and the structure of the analysis defined.

Identify risks – Identify where, when, why and how events could prevent, degrade, delay or enhance the achievement of the identified objectives.

Analyse risks – Identify and evaluate existing controls. Determine consequences and likelihood and hence the level of risk. This analysis should consider the range of potential consequences and how these should occur

Evaluate risks – Compare estimated levels of risk against established and criteria and consider the balance between potential benefits and adverse outcomes. This enables decisions to be made about the extent and nature of controls required and about priorities.

Control risks – Develop and implement specific cost-effective strategies and action plans for reducing potential risks.

Monitor and review – It is necessary to monitor the effectiveness of all steps of the risk management process. This is important for continuous improvement. Also, risks and the effectiveness of control measures need to be monitored to ensure changing circumstances do not alter priorities

Risk management can be applied at many levels in an organisation. It can be applied at a strategic level and at tactical and operational levels. It might be applied to specific projects, to assist with specific decisions or to manage specific risk areas.

For each stage of the process records should be kept to enable decisions to be understood as part of a process of continual improvement.

This is the basis for risk management from a managerial point of view, however to become most effective it should become part of company’s culture, i.e. it should become part of the Company’s everyday practices so that everyone in the Company is involved in the management of risk.

So, from a local risk assessment point of view, risk management is assessing the risks posed by potential hazards and then eliminating or controlling them to a level that reduces the risk.

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Safety Procedures

To ensure your health and safety, a process needs to be implemented for identifying and assessing risks, and then developing measures to control these risks. Your Organisation is required to look at potential hazards and assess the risks of work processes.

Many hazards can be overcome or avoided by the use of Safe Operating Procedures (SOPs), which provide written work instructions and controls for tasks that are carried out on the site. These help to make sure that effective planning is done and that there are instructions on how to do the task safely.

These SOPs may have many different names such as Safe Work Procedures (SWPs) or Work Instructions (WINs), but whatever their name they should be set up for the operation of all plant, equipment and tasks that you, and other persons, operate or carry out on site.

When given a task on site the first thing you should do is look for any SOPs that are relevant to the task you are to undertake. If SOPs have been written for the job you are about to do, you must ensure that you obtain a copy and follow the instructions. Your supervisor will be able to provide you with a list of site SOPs and you should familiarise yourself with them.

If no SOPs, or only some, exist for the task, then you should develop these written safety procedures and work instructions, i.e. employees who do the tasks should help develop the procedures.

These written procedures should contain clear and easy-to-understand instructions. One process for developing SOPs for a task is to do a Job Hazard Analysis (JHA) - breaking down every job into small tasks. (The JHA process will be explained further later in this manual)

It is important to note that the development of SOPs is not a one off process. Systems, legislative requirements, equipment, etc. might change over time; therefore it is necessary to review and update the SOP as part of a continuous review process.

Even if an SOP exists for the task, you should review it to ensure that it is still relevant to the actual task you are undertaking.

Changes, even minor ones, to work tasks, equipment/tools, procedures, and schedules may create unforseen hazards.

On the following page is a simple example of a Safe Operating Procedure (SOP) for Operating a Forklift Truck.

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SAFE OPERATING PROCEDURE

Forklift Truck

PRE-OPERATIONAL SAFETY CHECKS

• Check brakes, lights and horn before use.

• Ensure seat belt/safety restraint is in good condition.

• Know the capacity of the forklift or lift truck before using it. Do not use a forklift without a load rating plate.

• Always remember the Safe Working Load of a forklift reduces as the mast is tilted forward.

• Ensure that the lifting forks are in sound condition and centred either side of the mast.

• Check tyre pressures. Never drive with a flat or under-inflated tyre.

• Faulty equipment must not be used. Report any faults immediately.

OPERATIONAL SAFETY CHECKS• Do not use engine-powered forklifts in poorly ventilated areas.

• Always be on the lookout for pedestrians.

• Do not allow any person to ride on the forks.

• Ensure that the lifting tines are secure into the pallet and the load is stable before lifting or driving off.

• Be careful of ceiling clearance or overhead obstructions when raising the mast.

• Do not lift a load with the mast tilted forward.

• Always put the heavy end of the load against the load backrest.

• Never travel with the load elevated as it restricts vision.

• When approaching a blind corner, use horn and drive slowly.

• Always have someone guide you if a load restricts your vision.

• Slow down when changing direction or on wet or greasy surfaces.

• Do not travel with forks raised or reach mechanism extended.

• Avoid harsh braking, especially when carrying a load.

• Do not attempt to turn on an incline or sloping surface.

• Do not leave forks elevated when forklift is unattended.

• Do not dismount from a forklift while the engine is running unless the transmission is in park position and the parking brake is effectively engaged.

• When stopping the forklift:

- Park on even ground and lower the forks to the ground.

- Shift the gear selector to park position and apply the parking brake.

- Turn off the ignition and remove the keys.

REFUELLING & BATTERIES• Do not refuel an engine-powered forklift unless the motor is stopped and ignition turned off.

• For gas powered vehicles, change gas bottles in a well-ventilated area clear of a naked flame or source of ignition.

• In the case of electric vehicles wear protective eyewear and gloves when checking batteries and handling electrolyte.

Section 2


Hazard AnalysisThe next stage in the process is to implement some form of local risk management process. Local risk management is basically assessing how likely the hazard is to affect the safety, health and well-being of persons working on the worksite, and what degree of harm could occur.

Prior to starting any job, whether SOPs exist for it or not, it pays for you to spend time, ideally with a workmate, walking around your workplace and breaking down the assigned job into individual steps with a critical eye. Think about what could go wrong at each stage of the work. Identify and document all areas that may be hazardous and the type of hazards involved. If required discuss with your workmates any concerns they have and, if legitimate, add them to the list. A simple tool you can use to identify hazards is to ask the question “What if .... ? For example:

• What could happen if that machine was left unguarded?

• What could go wrong if you left the apprentice unsupervised?

• What if unauthorised persons entered the work area?

When looking for hazards consider:

• The systems of work comprising of: persons, plant & equipment, work methods & procedures, materials, and the work environment.

• Suitability of tools, equipment, materials, and systems for task.

• How persons use the tools, equipment and materials.

• The experience of the persons performing the task or process, or in the vicinity of the task or process, while it is being undertaken.

• If something goes wrong with any tools, equipment, materials, or work systems; how will it affect other persons?

• How persons may be affected by hazards such as noise, fumes, or work processes.

• How persons may be hurt by hazardous substances and energy sources in the workplace

To assist you with this, there is a formal process for the identification of hazards. This is called a Hazard Register and it allows for the recording of all the identified worksite hazards in a central area that is accessible to all persons on the site – see Section 7 and Appendix A of this manual for further detail.

However, the primary method of systematically managing on-the-job risk is through the use of different levels of local risk assessments.

The first, a “Take 5”, requires that you take time out before beginning your job to identify any hazards.

The second level, known as a Job Hazard Analysis (JHA), is at a higher level and may require a number of people to be involved.

If hazards are identified through the Take 5 process then a JHA may need to be conducted.

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Take 5

Take 5 is an example of a frontline risk management tool, which requires you to stop, spot hazards, assess risks and make appropriate changes to mitigate the risk before commencing any task.

Injuries or incidents can happen to you at work because:

• you are not trained or lack the skills to do the work.

• you are experienced in your work and tend to do things automatically without too much thought.

• of your desire to overcome a problem you sometimes jump in without thinking what hazards may be present i.e. your failure to consider the consequences of your actions.

• you attempt to take shortcuts.

• you are working with a “don’t-give-a-damn” or “know-it-all” or “it can’t-happen-to-me” attitude.

What do we mean by Take 5?

Taking time to stop and think about the safety aspects of the job before you start the job.

• Taking the time to consider the hazards and the associated precautions you need to take to prevent injury.

What is the Take 5 system?

• It’s a self-help tool

• It’s a hazard identification and control tool

• It’s an informal job hazard analysis (JHA)

• It’s to be used for jobs with or without work instructions

• It’s to be used for routine and non-routine jobs

Engage Your Brain Before You Engage Your Hands!

STOP AND THINKCAUTION

Section 2


Steps of a Take 5

• Stop and think before doing the task:

- Do you understand the job to be done?

- Are you, and other persons involved, trained in, and/or have the skills to undertake the task?

- Do you understand the steps required to do the task?

- Is there an alternative way of doing the job?

- Have you all the right information, procedures, permits, etc?

- Are the tools and equipment correct for the job and in good condition?

- Is your PPE correct and in good order?

- Is the job going to affect other people or systems?

- Is your work area orderly?

- Have you ensured safe access and exit?

• Spot the hazards:

- Can you be hurt or hurt persons above, below or to the side of the job?

- Are you performing the job without proper isolations?

- Are you going to be exposed to heat or cold?

- Are you going to be exposed to hazardous substances?

- Are you operating tools and equipment with guards removed?

- Are you at risk from movement of vehicles?

- Are you working at heights?

- Are you working in a confined space?

- Any other hazards that need controls?

- Can you harm the environment?

• Assess the risks:

- How likely is it to happen?

- What are the consequences?

• Make the changes:

- Remove, isolate or barricade the hazard.

- Put safe systems in place.

- Wear required PPE.

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Take 5 Form

The Take 5 procedure can be informal (i.e. not documented); however may also be provided in a pocket size booklet.

Whilst at work you should carry this booklet so that it is always at hand to remind you of the questions to ask whenever you are required to undertake a job. An example of a Take 5 sample form is shown below.

TAKE 5

Date:Task to be performed:

THINK Yes No

Do you understand the task? c c

Does a procedure exist? c c

Do you need to do a JHA? c c

Do you have correct PPE and is it in good order? c c

Do you have required permits? c c

Are tools & equipment correct for the task and in good order c c

HAZARDS c c

Can you hurt persons above, below or to the side of me? c c

Does the task involve hazardous substances? c c

Are you working in a confined space? c c

Are you working at heights? c c

Are you working with all energy sources isolated and isolations correctly tagged and locked? c c

Are you operating tools & equipment with guards removed? c c

Other hazards? c c

ASSESS RISKS c c

Have all the risks been assessed as to what can happen? c c

MAKE CHANGES c c

Have you removed, isolated or barricaded all the hazards? c c

Have you left any hazards uncontrolled? c c

Have you controlled all the hazards?

IF IN DOUBT, DO NOT START THE JOBCAUTION

Section 2


Job Hazard AnalysisSites use a Job Hazard Analysis (JHA) , which uses a systematic or logical approach, to identify and assess the risks involved in undertaking work on site.

A JHA is a detailed plan of how a specific job is to be done so that the safety of both those doing the work and others is assured. JHAs will exist for tasks that are carried out routinely or on a periodic basis. You should access these JHAs and review them prior to commencing.

However you should complete a JHA for any tasks that do not have a current JHA. It must be completed by those undertaking the job immediately before the work is started, and identifies hazards associated with each step of the job and the required control measures to be put in place.

Why do a JHA?• Reduces risks by identifying the way that hazards associated with the job are to be managed

• Enables a job to be done and done safely

• Is a planning tool as it organises the work, sets out the method(s) to be used and coordinates the job

• It is a way of providing information to everyone involved in a particular job and indicates each person’s responsibilities

• Ensures that everyone is following the steps to be taken to complete the job safely

• Gets the ideas and experience of all persons who are working on the job

• Provides a written record of the way a particular job should be done safely

What jobs need a JHA?

A JHA is required for jobs that:

• are new

• do not have an existing procedure

• have changed

• are not done on a routine basis

• are of a moderate or high risk

• have new personnel carrying it out

• have a history of, or potential for, injury or incidents

As a general principle, you must undertake a written JHA prior to the commencement of a job where a procedure does not exist (although it should be reviewed where one exists) or a job that is not done on a routine basis.

Steps of a JHA

All persons involved in the job should discuss and assess the job to be done by following the steps below.

• Break the job down into simple logical steps

• Identify the hazards for each step

• Determine control measures for each identified hazard – use the Hierarchy of Controls

• Nominate the persons responsible for ensuring that the risk controls are carried out on site

• All persons involved must then sign off on the JHA form

• Review the JHA after the job is completed

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The JHA should also be reviewed and updated when the job is carried out again, the method of doing the job changes, someone new undertakes the job, and/or an incident or near miss occurs; to reflect any changed hazards and associated risk control measures.

When completing a JHA you should also ask the following questions:

Where Location of job/task

Where is the job to be done? Conditions of the area/environmental/access

Inside/outside, remote, at height, confined space, etc

When Date/time of job /taskWhen is the job to be done?

Day or night; Winter or summer; etc

What Resources for job/task

What exactly is the job that I am going to do? What resources am I going to need? (type of tools/equipment required, lighting etc What materials will

I be dealing with or handling? (hazardous, weight, size, etc)

Why Reason for jobWhy is the job required to be done?

Could there be a better way to complete the job/task?

WhoPersons required to conduct job/

taskWho is involved in the job?

Do specialised persons need to be contacted etc?

How Methods and effectHow will the job be done?

How does the job affect, or is affected by other activities?

Section 2


JHA Form A sample JHA form is shown below.

JOB HAZARD ANALYSIS (JHA) FORMTask: Job location:

Date: Job Number:

Work Team Members PPE

RequirementsPermits Equipment Isolations

Name Signature

Working at Heights

Confined Space

Hot Work

Chemical

High Voltage

Excavation

No.Job Step

Break the job down into steps

Hazard What could harm

someone?

Risk Control

What can be done to make the job safe?

Person

Responsible

Who will make sure it happens?

Completion

Date and Sign-off

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Hierarchy of ControlsOnce all the hazards and associated risks have been identified then they can be managed or controlled. If you discover a significant potential hazard, the next step is to decide the best method of reducing the risks associated with the hazard.

The law requires you to do all that is reasonably practicable to ensure that your place of work is safe, so if you cannot get rid of the hazard, you need to look at ways of controlling it.

You can manage any hazard/risk by using the Hierarchy of Controls and following Company procedures. The hierarchy of hazard controls is a list which emphasises controlling a hazard at its source.

When it comes to workplace safety – prevention is far better than cure.

The Hierarchy of Controls is used to implement control measures for risk management in order of effectiveness. This is done by giving preference to the use of the control measures outlined in priorities 1 to 5 below.

Remember it may be appropriate to use more than one control method for each hazard.

Whichever methods you use, remember that in each case their effectiveness should be monitored regularly.CAUTION

1st Priority

Elimination - Modify process, method or material to eliminate hazard completely OR; Do you really need to carry out the task?

The best way to eliminate the risk is to completely remove the hazard.

Example:- Remove the drums

2nd Priority

Substitution – Replacing a hazardous substance or work practice with a less hazardous one.

Is there another work method, with lower risks, that can be used?

Example:- Replace the step ladder with a work platform

3rd PriorityIsolation or Engineering – The provision of mechanical aids, barriers, machine guarding, ventilation or insulation to isolate a hazard from people, or the redesign of plant and/or work processes to reduce or eliminate risk.

4th Priority

Administration – Establishing policies, procedures and work practices designed to reduce your exposure to a risk OR; Change work methods. It can also include job rotation, specific training and supervision.

Relies on you, and other persons knowing and following such procedures.

5th & Last Priority

Personal Protective Equipment (PPE) – Covering/protecting your body from hazards. It can be used as a short term control measure until a “higher order” control has been provided, or in combination with one or more of the above.

PPE is a Last Resort!

CAUTION

CAUTION

Section 2


LEARNING ACTIVITY 2

2.1. Conduct a Take 5 for a simple task in your workplace.

2.2. Select a task that you may be required to carry out as part of your duties and complete a JHA form for the task.

TAKE 5

Date:Task to be performed:

THINK Yes No

Do you understand the task? c c

Does a procedure exist? c c

Do you need to do a JHA? c c

Do you have correct PPE and is it in good order? c c

Do you have required permits? c c

Are tools & equipment correct for the task and in good order c c

HAZARDS c c

Can you hurt persons above, below or to the side of me? c c

Does the task involve hazardous substances? c c

Are you working in a confined space? c c

Are you working at heights? c c

Are you working with all energy sources isolated and isolations correctly tagged and locked? c c

Are you operating tools & equipment with guards removed? c c

Other hazards? c c

ASSESS RISKS c c

Have all the risks been assessed as to what can happen? c c

MAKE CHANGES c c

Have you removed, isolated or barricaded all the hazards? c c

Have you left any hazards uncontrolled? c c


LEARNING ACTIVITY 2

JOB HAZARD ANALYSIS (JHA) FORMTask: Job location:

Date: Job Number:

Work Team Members PPE

RequirementsPermits Equipment Isolations

Name Signature

Working at Heights

Confined Space

Hot Work

Chemical

High Voltage

Excavation

No.Job Step

Break the job down into steps

Hazard What could harm

someone?

Risk Control

What can be done to make the job safe?

Person

Responsible

Who will make sure it happens?

Completion

Date and Sign-off


Assess riskOnce you have identified a hazard the next part of the process is to assess the level of risk the hazard might have in causing an accident or incident. Risk is defined as the chance of something happening that will have an impact upon objectives.

The level of risk is measured in terms of the “Consequences” resulting from an accident happening and the “Likelihood” of an incident happening. Analysis tools enable “Risk” to be expressed as a function of Consequence and Likelihood.

Likelihood of the Event

Likelihood is defined as the probability or frequency of an event/consequence happening – can be a qualitative or quantitative.

The question comes down to what would be the likelihood of an event if you were to perform the task knowing the hazards. ie is a measure of the chances of an event happening.

In the diagram shown it can be seen that there are many hazards that could cause an incident. Working in these conditions would be classed as a level of “Unacceptable Risk” as there is a high “Likelihood” that an accident would occur if nothing was done.

The descriptive table for the Likelihood of an event occurring when you are undertaking a task is shown below:

Likelihood of an Event

Level Descriptor Description Frequency Description

Safety Example Health Example

5

Almost Certain Consequence is expected to occur in most situations

High frequency of occurrence – occurs more than once per year

1 case per 100 person years

4

Likely Consequence will probably occur in most situations

Event does occur, has a history, occurs once every 1-10 years

1 case per 1,000 person years

3

Possible Consequence should occur at some time

Occurs once every 10-100 years

1 case per 10,000 person yrs

2

Unlikely but possible

Consequence could occur at some time

Occurs once every 100-1,000 years

1 case per 100,000 person years

1

Rare Consequence may occur under exceptional situations

Occurs once every 1000-10,000 years

1 case per 1,000,000 person years

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Consequence of the Event

Consequence is defined as the outcome of an event, expressed qualitatively or quantitatively; being a loss, injury, disadvantage or gain. With respect to risk assessment it is usually an injury to a person, or damage to plant/equipment. What might appear to be a small risk could end up with a severe consequence; for example:

Consequence of releasing chemicals from a mining operation into the groundwater

Consequence of parking or moving vehicles without notifying haul truck operators of your intention could have dire consequences.

Consequence of operating an excavator in an area without checking ground stability could cause a ground collapse that may result in death or damage.

Consequence of not wearing safety glasses and gloves

Contaminated drinking water

Equipment damage and/or personal injury/fatality

Personal injury

CAUTION

The magnitude of consequences of an event can vary greatly. This is why it is so important for you to identify any risks associated with a task you are undertaking.

Section 3


Often comprehensive tables are developed from historical data that categorise consequence types to levels that can be referred to within an organisation. The example shown below is of a simple qualitative consequence table used by an organisation with criteria related to health & safety, environment and financial success.

Consequence Types

Safe

ty

Lev

el

Profit

ReductionHealth and

SafetyNatural

Environment

Social/Cultural Heritage

Community Government Reputation

Media

Legal

V $10M – $100M

Multiple fatalities, or significant irreversible effects to >50 persons Very serious

long-term environmental impairment of ecosystem functions

Significant prosecution and fines. Very serious litigation including class actions

IV $1M – $10M

Single fatality and/or severe irreversible disability (>30%) to one or more persons

On-going serious social issues. Significant damage to structures/items of cultural significance

Serious public or media outcry (international coverage)

Major breach of regulation Major litigation

III $1000K – $1M

Moderate irreversible disability or impairment (<30%)

Serious medium term environmental effects

Significant adverse national media/public/NGO attention

Serious breach of regulation with investigation or report to authority with prosecution and/or moderate find possible

II $10K – $100K

Objective but reversible disability requiring Hospitalisation

Moderate, short-term effects but not affecting ecosystem functions

On-going social issues. Permanent damage to items of cultural significance

Attention from media and/or heightened concern by local community. Criticism by NGOs

Minor legal issues, non-compliance and breaches of regulations

I $10KNo medical treatment required

Minor effects on biological of physical environment

Minor medium – term social impacts on local population. Mostly repairable.

Minor, adverse local public or medical attention or complaints

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However a simpler descriptive table that you chould use for determining the consequences relating to hazards arising from your given task(s) is shown below.

Risk Assessment Matrix

Whenever you take part in any task there is a chance that something might go wrong. A decision must be made whether the level of risk is acceptable or unacceptable.

To assist with the process of determining the level of risk relating to a task you can use a tool, called a Risk Assessment Matrix, that shows a relationship between the likelihood of an incident happening and the level of consequence.

From this simple table the level of risk that your task might have can be determined.

This risk matrix process determines if any risks associated with your identified hazards are likely to cause injury or illness, and/or property damage, or impact on objectives.

Consequence of an Event

Level Descriptor Description

1Insignificant/Negligible No injuries/incident

Negligible impact upon objectives

2Minor First-aid given no lost time from work

Minor effects that are easily remedied

3Moderate Medical treatment required- lost time injury/incident

Some objectives affected

4Major Extensive injuries- required extensive time off from work

Some important objectives cannot be achieved

5Extreme/Severe Fatality, inquiry, devastating effects for morale

Most objectives cannot be achieved

Risk Assessment Matrix

Risk Rating: L = Low riskM = Moderate

riskS = Significant risk

H = High risk

LIKELIHOODCONSEQUENCE

1- Insignificant 2 - Minor 3 - Moderate 4 - Major 5 - Extreme

5 - Almost certain

S S H H H

4 - Likely M S S H H

3 - Possible L M S H H

2 - Unlikely L L M S H

1 - Rare L L M S S

Section 3


How to use the Risk Matrix Tool

For your task and each of the identified hazards:

• Determine how likely (frequency/duration) it is that the identified hazard will occur

• Determine how severe the injury/illness, or impact, of the hazard would be

When assessing the likelihood and severity of potential hazards, you may find that the same hazard could lead to several different outcomes.

Assessing how likely or severe a hazard may be is often subjective and therefore you can only use your best judgement.

• Using the matrix identify the risk rating for each of the hazards

• Prioritise the risks in order of the severity of risk rating

You should use the Risk Register format, found in Appendix B of this manual, to document this process.

Determining Unacceptable Risk

It can be seen that a high risk task is one that has high probability of an incident happening and produces moderate to extreme consequences. Therefore something needs to be done to eliminate or reduce the level of risk to an acceptable limit before any work can proceed.

For the two sectors, significant and moderate risk there is still a need to stop and revaluate the situation before you commence the task.

Therefore the aim of the risk matrix process is to evaluate the risk level for your task and where possible implement actions that would place the task in the low risk area.

Where possible it is better to assess risks individually, but as part of your work team, and consult with members of the team and those persons exposed to the hazard(s).

If your work team all have different risk ratings for a particular hazard then it is safer to act on the highest risk rating OR one person is nominated to be responsible for deciding the risk rating priorities.

When assessing the degree of risk arising from a hazard, ask yourself the following questions:

• Does the nature of the hazard pose a risk?

• Do I need to look at a combination of hazards?

• What types of incidents are foreseeable?

• Will the rating increase with the duration of the exposure?

• Does the workplace/area pose hazards?

• Will the introduction of new work reduce/increase the hazard?

• What is the skill and experience level of the team?

• Will the existing control measures be adequate?

• What will be the work posture and position?

Sec

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Prioritising Hazards/Risks

When there is more than one hazard/risk you need to prioritise the hazards/risks so that you can act on or treat the highest risk first.

The criteria used for prioritising hazards/risks are:

• Level of risk to safety of personnel

• Environmental risk

• Hazards requiring elimination

• Hazards requiring engineering control

• Risk to machinery and equipment

• Threat to production

• Risk to product quality

• Hazards requiring administrative control

• Hazards requiring PPE

The level of likelihood, and in turn the consequences, of the hazard/risk will also assist you in prioritising hazards.

Whilst you must prioritise and act on risks in order of priority, in reality, you may be able to “fix” simple hazards/risks immediately, and so you should also be practical when prioritising.

Section 3


3.1. Select a task in your workplace and identify the hazards associated with the task. Using the risk matrix process and risk register determine the risk rating for each hazard and then prioritise them in the order of those requiring most action to reduce the risk, to those requiring least.

LEARNING ACTIVITY 3


Risk CriteriaThe acceptability/unacceptability of a risk is based on the level of likelihood and consequences. The higher the risk rating, the more unacceptable it is.

You then need to determine the criteria against which the risk(s) is to be evaluated. Risk evaluation involves comparing the risk rating found during the analysis with established risk criteria – being acceptable or unacceptable.

The criteria for acceptable/unacceptable risk depends on the procedures but can generally be found in:

• Legislation ie legal and regulatory requirements

• Site procedures

• WHS exposure limits

• Company objectives

The purpose of risk evaluation is for you to be able to make decisions, based on the outcomes of the risk analysis, about which risks need control and the control priorities.

In some circumstances the risk evaluation may lead you to a decision to undertake further analysis.

However, if you have determined that the level of risk is too high for a task to go ahead, but cannot find any existing criteria, then a decision has to be made on what actions are required.

Decisions might include:

• Whether the task needs control measures to reduce the level of risk; or

• Whether the task should be undertaken at all

• Priorities for control

A common approach to determining whether risk is acceptable or unacceptable is to divide risks involving significant health, safety or environmental consequences into three bands; known as the “As Low As Reasonably Practicable” (ALARP) concept.

• The upper band contains adverse risks that are unacceptable whatever benefits the activity may bring. Risk reduction measures are essential whatever their costs.

• The middle band is where costs and benefits are taken into account and opportunities balanced against adverse consequences.

• The lower band where positive or negative risks are negligible, or so small that generally no risk measures are required.

The width of the band reflects the level of risk involved.

Section 4


However you are required to make value judgements and these depend on your:

• Familiarity with the risk(s) involved

• Trust in the effectiveness of existing risk control measures or systems

• Perception of the risks and benefits of the task

All people make judgements about risk based on their own perceptions, which vary due to differences in their values, needs, assumptions, concepts and concerns. When assessing the risk(s) involved with a task you may see it as negligible whereas another person may see it as very high. Therefore the criteria for assessing the risk needs to represent an objective view taking into account the needs of all those persons affected as well as the people actually subjected to the risk.

Communication and consultation may address these points and are extremely important considerations at each step of a risk management process. You should undertake dialogue with all persons involved in the task, with all efforts focused on consultation rather than a one way flow of information.

It is also important that those persons responsible for implementing risk management and those with a vested interest understand why decisions are made and why particular actions are required.

The use of a consultative work team approach is useful by:-

• helping to define the task appropriately

• ensuring risks are identified effectively

• bringing different areas of expertise together to analyse risks

• ensuring that different views are appropriately considered in evaluating risks

• focusing on change management during the risk control

You should involve managers and supervisors in the consultative process as this allows them “ownership” of the risk(s) associated with the task to be undertaken.

It provides them with an appreciation of the benefits of the required control(s) and the need to endorse/support these risk control measures.

Negligible Risk

The ALARP Principle (Reference: Risk Management Guidelines)

Risk cannot be justified save in extraordinary circumstances

Drive risks towards the broadly Acceptable Region

Residual risk tolerable only if further risk reduction is impracticable

Risk reduction not likely to be required as resources likely to be grossly disproportionate to the reduction achieved

Generally Intolerable Region (Basic Safety Limit)

Incr

easi

ng in

div

idua

l Ris

ks a

nd S

oci

etal

Co

ncer

ns

Broadly Acceptable Region

ALARP or Tolerable Region (Basic Safety Objective)S

ectio

n 4


LEARNING ACTIVITY 4

4.1. Identify and list (or obtain) the various risk criteria, or risk criteria approach, used on the worksite to determine the acceptability or unacceptability of any identified risk.


Risk ControlsOnce your risk evaluation has identified the priorities for risks requiring control associated with any potential hazards for the task then your next step in the process is to determine the most appropriate risk control(s). Risk control involves identifying a range of options for treating the risks, evaluating those options, preparing control plans and then implementing them.

The term normally used for this process is implementing Controls, or Control Measures, to remove or reduce the level of risk.

Identify Possible Risk Control Options

Your starting point for identifying options is often a review of existing guides that are in place for treating that particular type of risk.

For safety, environmental, construction and mining areas there are requirements already in place within legislation, standards, codes of practice, and guidelines; along with safe working policies and procedures.

Examples:-

Risk involving working at height: - Legislative Requirements must be adhered to: use of safety equipment such as safety harnesses, and appropriate training

Risk involving working within a confined space:

- Legislative Requirements must be adhered to: use of safety equipment such as breathing apparatus, and appropriate training

Risk involving the use of chemicals in the workplace:

- Legislative Requirements must be adhered to: use of Material Handling Data sheets, and approrpriate safety equipment

Risk involving the operation of equipment:

- Legislative Requirements must be adhered to: ensuring that individuals are deemed competent to operate equipment.

Sec

tion

5


Risk control can be as simple as reducing the potential consequences and/or likelihood of the identified hazard.

Ways of reducing the consequences may include:

• Design changes on equipment to minimise injury or damage

• Doing the task a different way eg removing an item requiring work from a confined space to a workshop, which is a safer environment

• Identifying and planning for possible contingencies

• Conducting emergency drills

• Use of additional PPE

• Having emergency equipment on standby at the work site and implementing emergency response procedures

Ways of reducing the likelihood may include:

• Regular inspections

• Preventative maintenance

• Structured training programs

• Improved supervision

• Testing of equipment and processes

• Auditing and compliance programs

• Reviews and engineering redesign

• Quality assurance systems

• Rotation of personnel through high risk tasks

• Changing the time when tasks are carried out ie earlier in shifts, or during day rather than night

• Contracting the task to better qualified and equipped organisations who specialise in the task

Risk controls, or control measures, need to be based on an understanding of how risks arise. This means that you should have an understanding of not only the immediate causes of an event but also the underlying factors (root causes) that might affect whether the proposed controls will be effective.

Identify and Consider Possible Risk Control Options

As previously advised, your first source of possible risk control options is from existing guides and safety policies and procedures. You would analyse and consider these options in relation to the particular task you are undertaking and then select the most appropriate.

However, for many risks, often guidelines do not exist and therefore, in order to consider effective control measures, you may need to develop risk control options from first principles.

As highlighted in the hazard control process, elimination is the best option. One control option could be to decide not to proceed with the task. This would remove possibilities of harm but would also not achieve the required task.

In most cases risk control involves changing either, or both, the likelihood or consequences of the risk.

Section 5


To determine this you need to understand how the risk(s) has occurred, which includes a process of understanding the immediate cause(s) of the event and also understanding the underlying factors that influence whether the proposed control will be effective.

It is particularly important for you to identify the causes of the risks so that those are treated and you don’t just treat the symptoms. Known as root causes these stem from underlying needs, beliefs or circumstances.

Root causes can include parts of Company’s culture, such as, attitudes, ingrained processes and practices that need to be changed to successfully prevent a risk from occurring/reoccurring.

The questions you should ask when analysing risk control options may include:-

• What current systems are in place that may prevent, detect or lower the consequences or likelihood of undesirable risks or events?

• What current systems may enhance or increase the consequences or likelihood of opportunities or beneficial events?

• What would be the range of consequences of the risks if they occur?

• What is the range of likelihoods of the risks happening?

• What factors might increase or decrease the likelihoods or the consequences?

• What other factors might have to be considered?

• How confident are you in your judgement

Normally a Job Hazard Analysis (JHA) requires that you list a number of options (Controls) relating to the identified Risk. The controls will relate to one or more of the hierarchy of control measures previously discussed.

Root Causes Source of Risk Root Causes

Root Causes Event Consequences

Pre-event consequences

(Modify likelihood consequences)

Post-event Treatment (Modify consequences)

General Scheme for Causing & Treating Risk (Reference: Risk Management Guidelines)

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tion

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Residual Risk

Residual risk is the risk that remains after you have identified the control options and control plans have been implemented.

You must ensure that all persons involved in the task or process are aware of the nature and extent of the residual risk. The residual risk should therefore be documented, and an ongoing monitoring and review process should be put in place.

Monitoring and Review

Organisations and employees must consider the WHS implications of all actions taken and/or control measures introduced that cause changes to plant and equipment, substances and materials, and processes.

One way to achieve this is through ongoing monitoring and review.

Monitoring provides routine observation of actual performance of risk control measures compared with expected performance.

Review involves periodic investigation of the control measures.

Ongoing monitoring and review ensures that the actions/controls have been effective in controlling the hazard/risk, and has the following benefits:

• Measures the effectiveness of the risk controls

• Identifies any new hazards that may have been introduced into the task/process through the actions/controls

• Validates any new actions/controls that have been introduced into the task/process

• Documented monitoring and review systems provide formal evidence of safety and health compliance

• Contributes to a safer workplace

• Involves you, and other employees on the worksite, in ongoing continual improvement to tasks/processes

Example of options to be considered for an identified risk:

If it was found that a piece of equipment was operating within a noise range that required hearing protection, as recommended by industry, then, realising that PPE is considered a short term or last resort, the possible options may be:

Option 1 – Shut down the equipment

Option 2 – Barricade the equipment and place signage up that ear protection must be worn

Option 3 – Implement engineering changes (sound protection) to reduce noise to a safe level

Section 5


Contribute to the Implementation of Controls

Prepare Implementation Plan

Before any risk control can be put in place it needs to be carefully planned. A course of action, or risk control plan, is a process of documenting how your chosen risk control options will be implemented.

The risk control plan should include:-

• Identified possible solutions – what already exists in policies and procedures, or SOPs; OR through analysing the hazard/risk using the hierarchy of controls

• The proposed appropriate course of action - selecting the most appropriate solution/option for dealing with the situation will involve balancing the costs of implementing each option against the benefits derived from it; not withstanding that your safety, and that of other workers, takes priority.

• How practically the chosen option(s) will be implemented

• Any required safety considerations – what needs to be considered to ensure everyone’s safety?

• A communication plan – who you must advise of any actions; how and when

• Resource requirements – the organisation of who is needed, and what equipment/materials/tools/ etc are required, to implement the actions necessary to control the risk.

• Policies and procedures – what work instructions need to be followed in implementing the controls?

• Timing – when is the risk control to be implemented? Is it going to impact on any other processes being carried out on the worksite?

• Performance measures – how are you going to know whether the risk control measure has been successful?

Reporting and monitoring requirements – what documentation is required to report on the changes or course of action taken. Is any monitoring required to ensure that the risk control is effective?

In the case of local risk assessments the JHA forms the basis for your risk control plan.

Site SOPs also form risk control plans, as these would have been developed, using the risk assessment process, for tasks that are carried out routinely or on a regular basis. As previously discussed though, you should always review the SOP in relation to the task you are about to undertake because circumstances may have changed, which could introduce other hazards or risks.

However, you can also use the Risk Control Plan Template to document your risk controls. A copy of this template is attached to this manual as an Appendix C.

Once the risk control plan has been completed and approved by responsible person then you can implement the course of action to control the risk. However, you must comply with this plan at all times. If any changes are required, the risk assessment process must be completed again to take into account any potential hazards arising from the change.

The risk control itself may introduce new risks that need to be identified, assessed, treated and monitored.

If, after control, there is residual risk, a decision should be taken about whether to retain this risk or repeat the risk analysis process.

Sec

tion

5


Why report and document hazards/risks?

Reporting and documenting workplace hazards/risks is a requirement of complying with OH&S legislation and so “paper trails” are important in demonstrating compliance.

However you should not look on this compliance requirement as being onerous and something that “you have to do”. By reporting hazards/risks, or keeping record sheets, or entering data into a hazard/risk register, you are showing that you are systematically identifying hazards/risks on your worksite and interested in working towards improving the overall safety of your workplace for everyone.

Once the process is documented, action plans can be formulated and responsibilities allocated for the implementation of control measures to eliminate or reduce the risks of those hazards.

Reporting

Apart from undertaking risk assessments on tasks that you are assigned there may be instances, whilst undertaking your normal duties that you see or come across a hazard/risk on the worksite.

When you identify a hazard/risk you have a duty of care to report that hazard/risk through some formal process. It could be directly to your line supervisor, or through a written form, or through a computer database.

A priority will then be allocated to the report and a course of action will be determined.

Legislative requirements may also require you to report hazards/risks to external authorities such as utility (power, water, etc) authorities, or Worksafe in the case of WHS issues, or Department of Environmental Protection in the case of environmental spills.

Section 5


LEARNING ACTIVITY 5

5.1. Using the risk that you selected in Learning Activity 4 and referring to the Risk Register (Appendix B);

a) Identify a potential root cause of the risk;

b) describe two (2) potential risk control options.

5.2. Identify any residual risk remaining if the identified control options were applied and briefly explain the further actions you would undertake with respect to this risk.


Review safety system documentation

Documenting

Documenting each step within the risk management process is important as an appropriate level and standard of documentation may be required to satisfy an independent auditing process.

Reasons for this may include:-

• Demonstrate that the process has been conducted properly;

• To provide evidence of a systematic approach to risk identification and analysis;

• Enable decisions or processes to be reviewed;

• Provide a record of identified risks so that a data base can be developed;

• Provide decision makers with a risk management plan for approval and subsequent implementation;

• Provide an accountability mechanism and tool;

• Facilitate continuing monitoring and review;

• To provide and audit trail; and

• To share and communicate information

Although your work sheet can be kept as the record of risk analysis, you should enter the relevant information into a Hazard and/or Risk Register. In this way the identified hazards/risks can be centralised into one area.

By grouping hazards/risks into one register you can get a feel for the types of hazards/risks continually arising on the worksite and the controls used to manage them.

It also ensures that the hazard/risk is brought to the attention of management, safety committees and/or relevant work groups.

Hazard Register

You should record each identified hazard in a Hazard Register. This should include:

• Date hazard identified

• A brief description of the hazard and its location

• Its priority risk rating

• Suggested controls

• Responsible position or person for implementing the controls

• Date by when the controls are to be implemented

• A date for reviewing the controls that were implemented

A review should be undertaken to identify whether the actions taken and/or controls implemented, have eliminated or reduced the risk to an acceptable level; or if any further hazards have arisen from implementing the actions/controls.

See example of Hazard Register in Appendix A.

Section 6


Risk Register

For each identified risk you should record it in the Risk Register. The risk may be recorded as follows:-

• A description of the risk

• Its causes and its impacts

• An outline of the existing controls and their effectiveness

• An assessment of the consequences of the risk should it occur and the likelihood of the consequence occurring, given the existing controls

• A risk rating

• An overall priority for the risk

• Description of further action required

See copy of Risk Register in Appendix B.

Monitoring Documents

Monitoring and audit records should document:

• Details of the mechanism and frequency of review of risks and the risk management process as a whole

• The outcomes of audits and other monitoring procedures

• Details of how previous review recommendations have been followed up and implemented

Incident Database

Incidents on the worksite provide an indication of the success, or not, of risk control measures.

Organisations have a database of incidents that details the incident along with associated issues, which allows for detection of patterns or causes. These can provide you with invaluable information when evaluating risk control measures.

Therefore it is important that you ensure that all accidents, incidents and near misses are reported using the Incident reporting system of the organisation you work for.

Other Documentation

Other hazard recording and reporting mechanisms that you and/or supervisors should complete as required include but are not limited to:

• Shift reports

• Plant, equipment and vehicle inspection checklists

• Supervisor reports

Documentation Process

For the reporting and recording process to be effective it must be:

• easily accessed (either electronic or hardcopy)

• easy to follow and use

• must be followed up with a corrective action

Sec

tion

6


LEARNING ACTIVITY 6

6.1. Identify all the documentation associated with carrying out local risk assessments for the organisation you work for.


Check your understandingOnce the Learning Activities from all sections have been completed, the following Knowledge questions and Practical activities are provided for you to check your understanding of this unit prior to undertaking the assessment.

Once these questions and activities are completed, contact your Trainer / Supervisor to discuss the completion of your assessment.

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KNOWLEDGE QUESTIONS

1. What is the difference between a hazard and a risk?

2. What are the hazard identification methods available when assessing risk?

3. What are the five (5) groups hazards can be classified into?

4. List five (5) potential site hazards that may exist within your work site.


5. Why is it important to assess the consequences of a hazard and the likelihood it will occur?

6. What questions should you ask when assessing risk?

7. What should happen if unacceptable risk is found?

8. Why is it essential that Work Instructions are reviewed regularly within the work environment?

9. What steps should be taken when processing an approval on changes to a work instruction.


10. What factors need to be considered when selecting an appropriate control for a risk?

11. What details should a risk management plan include?

12. What resources would you use to develop the risk management plan?

13. When should a hazard register be reviewed and used?


14. Hazards and risks can be triggered when there is any change to a work activity. List times when these hazards and risks can be triggered on site.

15. It is important that everyone in your organization understands the importance of risk management. List below ways that risk management is developed and implemented at sites.


PRACTICAL ACTIVITIES

1. Select a task that you have to undertake in your work area and identify the potential hazards and their potential impact.

2. Locate your company’s policies, procedures and safe operating procedures that relate to a specific task you do on site. Identify all the safety procedures/instructions required to complete the task.

3. Using the task that you selected in Learning Activity 4 and the information from the associated risk register, complete a Risk Control Plan for the task.

4. Identify any residual risk and briefly explain the actions you would undertake with respect to this risk.


Answers to Learning activities

Learning activity 1

1.1. Briefly explain your understanding of the difference between a hazard and a risk.

Answer:A hazard is the source of the potential harm.

The risk is the chance the hazard will result in an injury.

1.2. Identify 4 examples of physical hazards within your work area.

Answer:Participant’s answers will vary depending on the work area, but could include:

Heat, lighting, noise, vibration, electricity, dust, pressure

1.3. Identify two chemicals that you may come in contact with while performing your work duties.

Answer:Participant’s answers will vary depending on the work area, but could include:

Acid, alkali, metal/non-metal, gas, organic compounds, vapours

Learning activity 2

2.1. Conduct a Take 5 for a simple task in your workplace.

Answer:Participant’s answers will vary depending on the task selected and site procedures and instructions

2.2. Select a task that you may be required to carry out as part of your duties and complete a JHA form for the task.


Learning activity 3

3.1. Select a task in your workplace and identify the hazards associated with the task.

Using the risk matrix process and risk register determine the risk rating for each hazard and then prioritise them in the order of those requiring most action to reduce the risk, to those requiring least.


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Learning activity 3

3.1. Select a task in your workplace and identify the hazards associated with the task.Using the risk matrix process and risk register determine the risk rating for each hazard and then prioritise them in the order of those requiring most action to reduce the risk, to those requiring least.


Learning activity 4

4.1. Identify and list (or obtain) the various risk criteria, or risk criteria approach, used on the worksite to determine the acceptability or unacceptability of any identified risk.


Learning activity 5

5.1. Using the risk that you selected in Learning Activity 4 and referring to the Risk Register (Appendix B);

a) Identify a potential root cause of the risk;

b) Describe two (2) potential risk control options


5.2. Identify any residual risk and briefly explain the further actions you would undertake with respect to this risk.


Learning activity 6

6.1. Identify all the Company documentation associated with carrying out local risk assessments

Answer:Participant’s answers will vary depending on the site procedures and instructions, but could include:

• Hazard Register

• Risk Register

• Audit procedures

• Monitoring and reporting

• Plant and equipment safety checks


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