LESSON 3: ESTABLISH AND MAINTAIN PROCEDURES FOR IDENTIFYING HAZARDS AND ASSESSING AND CONTROLLING RISKS

LEGISLATION PREAMBLE

Note: The terms Occupational Health and Safety (OHS) and

Work(place) Health and Safety (WHS) are equivalent and generally

either can be used and referred to in the workplace.

After the Work Health and Safety Act was passed in 2011, WHS is the

term that is generally used by states that have adopted the

harmonised laws, that reflects the title of this legislation.

The terms OHS and WHS are used interchangeably in this

presentation and other resource materials for this unit.

Hazard identification is the process by which a

situation or event is identified that could bring

injury or illness to others.

Risks refer to the consequence that can arise from

hazards and usually involves damage (to

equipment, stock or the environment), and

accidents, injuries or illnesses (that could occur to

people).

KEY TERMS

STANDARD OPERATING PROCEDURES (SOP)SOPs are well developed instructional or guidance documents that allow you to logically and safety perform processes. SOPs for hazard identification and risk assessment are no different.

Example SOPs you might find in a workplace addressing hazards and risks may include;

• How to perform a risk assessment SOP• How to identify hazards SOP• Manual handling SOP• Use of PPE SOP• Receiving or despatching hazardous chemicals or dangerous goods

SOP• Using ladders SOP• Lock out Tag out SOP• Operation of High Risk Plant and Equipment SOP• Spill response SOP• Emergency evacuation SOP

A hazard is anything (e.g. condition, situation, practice, behaviour) that has the potential to cause harm, including injury, disease, death, environmental, property and equipment damage. A hazard can be a thing or a situation.

Hazard Potential harm

Manual tasks Overexertion or repetitive movement can cause muscular strain

Working at heightFalling objects, falls, slips and trips of people can cause fractures, bruises, lacerations, dislocations, concussion, permanent injuries or death

ElectricityPotential ignition source. Exposure to live electrical wires can cause shock, burns or death from electrocution,

Machinery and equipmentBeing hit by moving vehicles, or being caught by moving parts of machinery can cause fractures, bruises, lacerations, dislocations, permanent injuries or death

Hazardous chemicalsChemicals such as acids, hydrocarbons, heavy metals and dusts such as asbestos and silica can cause respiratory illnesses, cancers, dermatitis

Extreme temperaturesHeat can cause burns, heat stroke, fatigue

Cold can cause hypothermia, frost bite

Noise Exposure to loud noise can cause permanent hearing damage

IDENTIFYING HAZARDS

Hazard Identification, Risk Assessment and Control Procedures often involve the use of checklists and inspection forms. The contents of checklists and inspection forms are decided and updated through appropriate consultations with workers and other stakeholders

Records should be kept, outlining any issues and hazards that have occurred or are likely to occur. SWMS and incident reports should be managed and maintained accordingly.

HAZARD ASSESSMENT CHECKLIST

Templates of forms should be available for all staff to use to

document any accidents or incidents. Staff should be fully trained in

the correct interpretation of these forms to ensure they fill them out

as required from a legal perspective. It is also important to ensure

staff are aware how forms and documents are to be stored so that

documents can be easily found and referred to when reporting risks

and bringing risks and hazards to the attention of staff.

DOCUMENTATION

Forms and documents relating to WHS could include:• Inspection checklists• Safe work methods statements (SWMS)• Incident reports• Sickness absence records• Workers’ individual histories of exposure • Medical records • Results of workplace environmental monitoring

Rehabilitation information • Workers compensation records• Performance appraisal and training records

DOCUMENTATION

A risk assessment involves considering what could happen if someone is exposed to a hazard and the likelihood of it happening. A risk assessment can help you determine:

• how severe a risk is• whether any existing control measures are effective• what action you should take to control the risk• how urgently the action needs to be taken.

Risk assessments estimate the potential impact and likelihood of the risk occurring:

1) Likelihood – how likely is it that the risk may occur? How much chance is there that an injury can occur?2) Consequence – how severe would the consequences be if the risk occurred?

ASSESSING RISKS

Score Rating Description

5 Almost Certain

Frequent: (90 to 100% chance) Risk is expected to occur in many circumstances

4 Likely Probable: (50 to 90% chance) Risk will probably occur at some time

3 Possible Occasionally: (25 to 50% chance) Risk might occur at some time

2 Unlikely Remote: (10 to 25% chance) – Risk could occur at some time

1 Rare Improbable: (0 to 10% chance) - Risk could occur in exceptional circumstances only

LIKELIHOOD

RISK LEVEL DESCRIPTIONS AND ACTIONS

A risk matrix can help to rate risk severity by quantifying likelihood

and impact. It is an important tool used by organisations to assist

with evaluating and prioritising risks.

Consequence

Likelihood Insignificant Minor Moderate Major Critical

Almost Certain Medium Medium High Extreme Extreme

Likely Low Medium High High Extreme

Possible Low Medium High High High

Unlikely Low Low Medium Medium High

Rare Low Low Low Low Medium

RISK ASSESSMENT MATRIX

Risk Level Required actionCritical Action required immediately:

The proposed task or process activity must not proceed. Steps must be taken to lower the risk level to as low as reasonably practicable using the hierarchy of risk controls.

High Action required today:The proposed activity can only proceed, provided that: the risk level has been reduced to as low as reasonably practicable using the hierarchy of risk

controls; the risk controls must include those identified in legislation, Australian Standards, Codes of

Practice etc. the risk assessment has been reviewed and approved by the Supervisor and a Safe Working Procedure or Safe Work Method has been prepared. The supervisor must review and document the effectiveness of the implemented risk

controls.Medium Action required this week:

The proposed task or process can proceed, provided that: the risk level has been reduced to as low as reasonably practicable using the hierarchy of risk

controls; the risk assessment has been reviewed and approved by the Supervisor and (iii) a Safe Working Procedure or Safe Work Method has been prepared

Low/Very Low Action required this month:Managed by local documented routine procedures which must include application of the hierarchy of control

ACTIONS REQUIRED

As changes are implemented in the workplace, it is important to be aware of the repercussions of the change.

When you introduce any form of change you need to consider the effect that it will have on the staff that will be impacted by the change.

For example:

• if you change a procedure at one point, it may have a positive impact on that area.

• however, in the next step of the process, that change may cause problems that will have a negative impact on productivity.

HAZARD IDENTIFICATION AT THE PLANNING, DESIGN AND EVALUATION STAGE

When changes are planned for the workplace, it is important to plan for change effectively. John Kotter’s model can assist with this process:

1. Increase urgency: inspire people to move, make objectives real and relevant. Build the guiding team - get the right people in place with the right emotional commitment, and the right mix of skills and levels.

2. Get the vision right: get the team to establish a simple vision and strategy focus on emotional and creative aspects necessary to drive service and efficiency.

3. Communicate for buy-in: Involve as many people as possible, communicate the essentials, simply, and to appeal and respond to people's needs. De-clutter communications - make technology work for you rather than against.

4. Empower actions: Remove obstacles, enable constructive feedback and lots of support from leaders - reward and recognise progress and achievements.

5. Create short-term wins: Set aims that are easy to achieve - in bite-size chunks. Manageable numbers of initiatives. Finish current stages before starting new ones.

6. Don't let up: Foster and encourage determination and persistence - ongoing change - encourage ongoing progress reporting - highlight achieved and future milestones.

7. Make change stick: Reinforce the value of successful change via recruitment, promotion, and new change leaders. Weave change into culture.

JOHN KOTTER’S MODEL FOR CHANGE

Other methods for identifying change requirements are quality tools

such as:

OTHER CHANGE REQUIREMENT IDENTIFICATION METHODS

It is important that you also

consider the risk involved in

planning, designing and

evaluating risks. Potential

hazards should be identified, not

only by the team, but also by:

• Supervisors

• Audits, such as

independent, external,

internal and job safety

audits.

• Operational processes;

and

• Trials of new ideas.

RISK ASSESSMENT PROCESS

RISK CONTROL PLAN

When managers begin developing a risk control plan, they need to

ensure the following questions will be addressed:

• Have all relevant stakeholders been consulted?

• Is there a realistic timeframe for delivery of the plan?

• How can the consequences be assessed in a realistic manner?

• What are the contingency plans if anything does go wrong?

The Hierarchy of Control is used as a way of prioritising solutions to risks. It can be used to develop solutions to remove or manage identified risks in stages/priorities:

Eliminate the RiskIt is always preferable to develop a solution where the risk of harm is completely eliminated. Risk elimination can also occur in the project planning stage. If possible, avoid introducing hazards into the workplace. If it is possible to design the hazard out of the project, you will find that WHS related costs will be lower.

Substitute the hazardThere are times when you must use a certain process to complete a task.

Isolate the riskThis can be done by completely separating the people from the risk. When isolating risks, it is essential access is limited in the area and a procedure is in place for when personnel need to access an area that has been isolated (e.g. for maintenance) due to the risks present.

HIERARCHY OF CONTROL

Change equipment, workplace and work process (engineering controls)Where possible, safety features should be engineered into plant and machinery. Safe Work Australia’s Managing Risks of Plant in the Workplace Code of Practice (2013) provides guidelines on how this should be done.

Administrative ControlsAdministrative controls refer to changing procedures, implementing policies and training those who will work with a hazard. Administration controls should only be implemented if other options are not available, or in addition to other options. If you have no other chemical that can perform a processing task for instance, and you do not have the funds to isolate the risk or use of another product to perform the process, policies and training would need to be enacted for those staff members handling the chemical.

Use PPE (Personal Protective Clothing)Using protective clothing is the final resort and is usually used in addition to other controls. If an employer issues an employee with PPE, both parties are accepting the fact that they are working in a risky environment, and PPE should draw the users attention to such risks.

HIERARCHY OF CONTROL

Once a course of action has been developed, both

contingency plans and crisis/ emergency plans should be

created. A contingency plan helps to identify what should be

done to minimise the impact of a barrier or issue that occurs

with the original management strategy.

If something goes wrong, then other options or back up plans

should also be available to resolve the issue should this occur.

Crisis or emergency planning is put into place on the chance

that there is a major catastrophe such as a fire, an earthquake

or other physical threat that could impact on the objectives.

CONTINGENCY AND EMERGENCY PLANS

Once a risk rating is determined, each hazard should have its existing

risk control measures evaluated using an Evaluation of Control

Effectiveness Table. This allows for determination of any additional

requirement necessary.

Evaluation of Control Effectiveness Table

Well Designed Control? Effectively Implemented?

3 Needs improvement

3 Deficient

2 Adequate 2 Marginal

1 Strong 1 Effective

IDENTIFYING INADEQUACIES IN EXISTING RISK CONTROLS

Evaluation using the Evaluation of Control Effectiveness Table should

assist in determining that controls;

Are effective

Safe to follow

Are introduced safely

Are reviewed to ensure that all hazards are identified

IDENTIFYING INADEQUACIES IN EXISTING RISK CONTROLS