Risk Manangement Sample Uap

8/6/2019 Risk Manangement Sample Uap

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UAP MT KANLA-ON CHAPTER

Continuous Learning Program By. Jorge M. Mission

RISK MANAGEMENT

An Overview of ISO 31000 Seminar Workshop



SAMP LE

RISK MANAGEMENT PLAN

Case Assumption:

With the context below, a group of government employees was called to form a Risk Management Team in order to formulate a Risk Management Plan for a new project ±

Corn Processing and Trading Center.

Name of Selected Project: Corn Post Harvest Processing a nd Trading Center

Location: Sagay City, Negros Occidental

Purpose

This document describes how Risk Management will be structured and performed

on this project. The risk management plan includes methodology, roles and

responsibilities, budgeting, timing, risk categories, definitions of risk probability and impact,

probability and impact matrix, reporting formats, and tracking.This Project Risk Management Plan will be utilized as primary reference and

guideline.

Note: The originator of this document would like to consider other informations However; informations

collected are only within the time, scope and resources acquired in a one ±day. Some informations are

assumed, but without compromising the principles, concepts and procedures of Risk Management in the

context of ISO 31000 .

A. The Context

1. The Context Established

The project is the subject of evaluation on Risk Management is the Corn Post

Harvest Processing and Trading Center of Sagay City .This project was created for the

benefit of the of the local corn producers in order to assist them in the marketing of their

products as well as those wholesalers, not only in the surrounding areas but in the regional

or national as well.

Being the first plant in the entire region, this plant has a corn plantation source of six

hectares. This has four (4) drying bins with a capacity of 50,000 kg capacity each, with a

total of 200,000 kg of corn with Moisture Content (MC) requirement of 30%. Corn isprocessed from 30% up to 14% moisture content within 36 hours.

There could be a lot of risks innate in the project as part of the project operations.

The risk aspects of this shall be given attention. The following are:



A. Technical Aspect

1. Site Development

2. Building Design

2.1. Building space Requirements

2.2. Building Layout

3. Machine and Equipment Layout3.1Equipment and Machine Maintenance

3.2. Qualification of Technicians

B.Legal Aspects

1. Environmental

2. Risk Assessment

2.1. Risk Identification

Possible sources of risks could be identified in the operation of the Corn

Processing Plant. This could be on the following points:

1. Site Security

2. Site Development and

3. Safety Measures

2.2. Risks Analysis

1. Site Security

1.1. No permanent perimeter fencing around the structure.

2. Site Development

2.1Unpaved and unleveled grounds

3. Safety Essentials

3.1. Unsafe components, insufficient safety measuresnoticed within the processing plant premises



2.3. Risks Description

1. Site Security

A.1.No permanent perimeter fencing around the structure

Temporary fencing may cause interested parties, and other unwanted

elements to intrude the area. Eventually, when unfavorable elements

get inside the premises, uncertain disturbances during plant operationmay be created and would affect the production target objective.

Intruding elements may be curious enough to observe the operations

and be exposed in restricted areas that may cause accidents.

Persons of unknown identity may enter the area and properties may

be exposed to theft when opportunity favors.

2 . Site Development

2.1 Unpaved and undeveloped soil grounds. Due to muddy and

slippery topsoil properties when wet, may cause unmanageable entryand maneuvering of trucks transporting for the delivery of raw

materials.

Dusty grounds during summertime may cause ill- breathing to

personnel and stakeholders.

3. Safety Essentials

3.1 Unsafe components, insufficient safety measures detected

within the processing plant premises accidents especially during

plant operations. A case of a discharge pit with low rails

(See Photo 1) is a risk for accidental fall

Another risk is much evident on the direct access of person

(See Photo2) to be exposed to a temperature of 80 degrees

Celsius emitted by corn bin dryers.

Photo 1 Photo 2

Low rail barriers at discharge pit Open access of person to Dry Bins



Risk Assessment Table

Corn Post Parvest Processing Plant and Trading Center

The

Risk

Consequences

of Event

Happening

Consequences of

Event

Happening

Adequacy

of Existing

Solution

****

Consequences

Rating

( Qualitative)

* Likelihood

Rating

** Level of

Risk

Impact

( Quantitative)

*** Risk

Priority

Project Threat Function

Conse- * Like-quence lihood

001 Site Unwanted

Security Encroachment

(Trespassing)

Theft

of Likely

Property Insigni-

ficant

Temporary

Fencing

Is not

enoughMedium(9)

3 3 3

002

Site Discomfort

Development of movements

due to

Unpaved

And Undeveloped

Soil

Grounds

Difficulty

of

Truck Likely

Delivery Serious

On rainy

Days/

Hazard-

ous

Breathing

On dry

Days

Slippage

Of Uses

On wet

Days

Clearing of

Grounds

Is

Insufficient High(16)

4 4 2

003 Safety

Essentials Accidental

Fall

Due to Low

Railing

Injury Very

Likely

Major

Height of

Railing is

deficient Extreme(20) 4 5 1

Rate Scale:

* Likelihood:_____1-Very Unlikely_____2-Unlikely_____3-Likely_____4-Very Likely (See Appendix 1)

** Risk Level: _____1-5_______1 is the Lowest _____5 is the Highest

*** Risk Priority:____1- High Priority_____2- Medium Priority_____3- Low Priority

**** Consequences Rating:_____High_____Medium _____Low

3.**Risk Evaluation - Refer to Risk Assessment Table



4.***Risk Decision ± Refer to Risk Assessment Table

5.Risk Treatment

1.Site Security

Construction of Perimeter Fence with permanent materials (Concrete

Hollow Blocks) is constructed around the functional space of the processing plant.

This Fence should have a height not lower than the requirement of the National

Building Code of 1.80 meters.

Fence shall provide a gate as a means of control .Access for delivery trucks

and of pedestrian shall be provided of functional and reasonable width .

Lightings be provided in strategic points of the perimeter fence as a means

to monitor trespassers especially during the night.

2.Site Development

Provision of Concrete Pavement could improve the mobility of delivery

trucks and keep the workers and other stakeholders of the project safe of

breathing from polluted air .

Concrete pavements can also help the mixing of soil dusts and the corn.

3.Safety Essentials

Raising the height of Railings at discharge pit could help prevent

anybody from accidental fall especially those workers in charge

Provide measures to limit or prevent stakeholders the possibility of coming

nearer to the corn bin during operation. This could make anybody be protected

and secured and be exposed from a damaging heat produced by the corn bins

Measures could be in terms of Safety signs, Safety instructions labels

distributed in the premises, Visual safety posters, and Physical Protective

Equipments for the personnel.

6.Risk Monitoring



1.Site Security

Once permanent fence is constructed ,regular inspection of the state of

existing walls especially on the outside face of the walls that are not visible from

the inside. A person shall be in charge to update the present condition of the wall.

Lightings shall be installed to make the area secure from unexpectedaggressions. Roving security personnel night and day shall be provided.

Permanent Security Guard shall be posted at the gate and be constructed

with guardhouse.

2.Site Development

As soon as the grounds are paved , a layout of truck movement shall be

marked with painted lines to facilitate truck positions especially on the parking or

delivery positions and entrance or exit traffic.

Regular cleaning of the pavement to avoid dusty or muddy surfaces. This

shall be done before and after daily operations as long as the plant exists.

3.Safety Essentials

Periodic assessment of safety aspect and physical condition of these railing

barriers installed. Possible tearing of structural elements could happen due to sack

loads of corn hitting the railing accidentally.

This railing shall always be in dry condition to avoid rusting of any part

especially joints of structural elements. Use stainless steel materials to lessen much

maintenance on painting and rust proofing.

There must be a checklist on safety procedures and safety measures

especially before plant operations.

B. Risk Management Strategy

1.Identification process

Every department shall present the functions and activities of the job to

perform. This could be done in writing down logical sequencing of activities or steps in the

accomplishment of objectives. Once these steps and activities are formulated, a list of all

the risks and their likelihood of occurrence shall be identified. List of risks could be taken

from the following sources:

1. Final project reports



2 . Risk Response Plan

3. Experiences of stakeholders or of others in the organization

4. Published information such as commercial databases or academics

studies.

The output for this process is a RISK LIST.

2.Evaluation and Prioritization

Once these risks are identified, they shall be evaluated in order to qualify

their impact to the objectives or the operations of the organization. Evaluation or

assessment shall be determined according to the degree of impact to the objectives of the

project. Degree of impact is determined as High, Medium, and High. Finally Risks shall be

rank according to the degree of impact level .Each level shall be given corresponding

value . High Impact shall be equated with the highest priority equivalent to rank 1 and

followed by a lower impact as 2, and so forth.

3.Risks mitigation options

Risk Mitigation shall be depending on the urgency and impact to the

objective of the business organization. It shall also depend on the availability of resources

and the priority of risk identified.

However, readiness of the mitigation shall always involve cost. An amount

shall be allocated as Risk Fund in order to spend for whatever mitigations applicable or

appropriate for the risk that shall trigger in the future.

4.Risk Plan Maintenance

The following are the approaches or methods in order to maintain the Risk

plan.

1.Risk plan maintenance shall be included in regular meetings of the

organization. Every risk owner or person in charge shall give report or give updates on the

status of the implementation.

2.as need arises, risk plan shall be reviewed according to the log updatessubmitted by the person in charge.

3.A Risk register shall be created as a checklist and review document for

whatever updates and precautions in line with the risks identified.

5.Risk Management Responsibilities



Individual Responsibility

Safety officer

1.Identify continuous potential risks every plant operation.

2.Implement Risk prevention strategy according to the Risk Management plan

formulated by the Risk Management Team

3.Monitor current implementation of the Risk Management plan

4.Generate report on the above responsibilities and submit these reports during

the regular meeting for documentation and update of the risk register.

5.Submit Incident , Injuries, Near Miss reports. ( See Appendix 2)

Buildings and

Grounds

Administrator

1.Identify continuous potential risk within the Buildings and grounds of the

processing plant.

2. Implement Risk prevention strategy according to the Risk Management plan

and develop means of other mitigations applicable.

3.Monitor current implementation of the Risk Management plan

4.Generate report on the above responsibilities and submit these reports during

the regular meeting for documentation and update of the risk register.

5.Submit Incident , Injuries, Near Miss reports. ( See Appendix 2)

Security

Officer

1.Identify continuous potential risks in all security aspects of the whole activities

of the plant for 24 hours round the clock.

2.Implement Risk prevention strategy according to the Risk Management plan

and develop means of other mitigations applicable.

3.Monitor current implementation of the Risk Management plan.

4.Generate report on the above responsibilities and submit these reports duringthe regular meeting for documentation and update of the risk register.

5.Submit Incident , Injuries, Near Miss reports.( See Appendix 2)

C. Risk Analysis Summary



Risk No. Risk Area Risk Name

Probability

Occurrence

Impact

Level

Impact

Description

Time Frame

001 Site Security Trespassing/

Theft

3 3 Loss of

Property

3 Months

002

Site

Development

Discomfort

of movements

due to

undeveloped/

unpaved

grounds

4 4 Loss of time,

Expenditures

Of

Resources

3 Months

003

Safety

Essentials

Accidental

Fall due to

Low Railings

Of Discharge

Pit ,

Uninformed of

safety

due to

Insufficient

safety

instructions

4 5

Physical

Injuries,

3 Months

Note: 1.Probability of Occurrence is the percentage of likelihood that the risk will occur

2.Impact level is a score of 1 to 5. 1 is the least impact and 5 is the highest.3.Prove time frame in fiscal years and quarters if known.

D. Risk Response Summary



Risk Priority Risk No Risk Name Responsible

Person

Mitigating

Action(s)

Response

Trigger

Priority 1 003 Safety

Essentials

(Accidental

Fall due to

Low Railings

Of Discharge

Pit , )

(Uninformed of

safety

due to

Insufficient

safety

instructions)

Safety Officer

Raising the

height of

Railings

Safety signs,

Safety

instructions

labels

distributed in

the premises,

Visual safety

posters, and

PhysicalProtective

Equipments

First Aid

Priority 2 002 Site

Development

(Driving

Difficulty and

stucking up)

(Mixing of Dirt

And Corn))

Buildings and

Grounds

Administrator

Provision of

Concrete

Pavement

People

Assistance

Priority 3 001 Site Security

(Encroachment)

Security

Officer

Construction

of Perimeter

Fence

Call for

Assistance

E. Mitigation Cost



Risk Priority No : 1

Risk No : 003

Risk Name : Safety Essentials

Risk Treatment: : 1.Raising the height of railings

2: Safety signs, Safety instructions labels, etc

**LIN ITEM DESCRIPTION DurationCost

(Pesos) Remarks

1.0 Internal staff Buildings and Grounds

Administrator

1 year *109,200.00

Total

Annual

Salary

2.0 Development

Tools

Monitor sheets, computers,

Seminars on Safety

As

required

35,000.00 Package

3.0 Materials and

Supply

Visual aids, safety labels,

Poster prints

Annual 30,000.00 Package

4.0 Construction of Pavement

Materials and Labor

Co -

existentwith plant

operations

5,000.00 Lumpsum

5.0 Contingency 10,000.00

Total

Cost 179,200.00

For

Approval

* Assumption :

Rate /day 350.00

No. of days per month: 26 Total Annual salary: 350 x 26 x 12 = 109,2 00.00

** Line Item Number


Risk No : 002

Risk Name : Site Development



Risk Treatment: : Provision of Concrete Pavement

**LIN ITEM DESCRIPTION Duration

Cost

(Pesos) Remarks

1.0 Internal staff Buildings and Grounds Administrator

1 year *109,200.00

Total

AnnualSalary

2.0 Development

Tools

Monitor sheets, computers,

Seminars on Safety

As

required

35,000.00 Package

3.0 Materials and

Supply

Visual aids, safety labels,

Poster prints

Annual 30,000.00 Package

4.0 Construction of

Pavement

Materials and Labor

Co -

existent

with plant

operations

100,000.00

Lump

sum

5.0 Contingency 10,000.00Total

Cost 274,000.00

For

Approval

* Assumption :

Rate /day 350.00

No. of days per month: 26

Total Annual salary: 350 x 26 x 12 = 109,2 00.00


Risk No : 001

Risk Name : Site Security



Risk Treatment: : Provision of Permanent Fence

**LlN ITEM DESCRIPTION Duration

Cost

(Pesos) Remarks

1.0 Internal staff Security Officer 1 year *109,200.00

Total

AnnualSalary

2.0 Development

Tools

As

required 35,000.00 Package

3.0 Materials and

Supply

Security Paraphernalias

1 Year 10,000.00 Package

4.0Provision

Of Permanent

Fence

Materials and Labor

Co -

existent

with plant

operations

150,000.00 Lump

sum

5.0 Contingency 15,000.00Total

Cost 319,200.00

For

Approval

* Assumption :

Rate /day 350.00

No. of days per month: 26

Total Annual salary: 350 x 26 x 12 = 109,2 00.00

Appendix 1

Risk Assessment Matrix

Likelihood, Impact, Risk Level



Appendix 2

Proposed Incident Report Form



Adapted from Risk Management Manual

Association of Bay Area Government

Corn Post Harvest Processing Plant and Trading Center

To: The Risk Manager From:

_____________________ ________________

_____________________ ________________

Date and Time of Accident:______________________________________________________

Department:__________________________________________________________________

Location:_____________________________________________________________________

I njured Party:

Name : ________________________________________________________

Address: _______________________________________________________

Phone:_________________________________________________________

Description of Incident:

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

Date:____________________ Submitted by:_____________________ Phone:___________

Appendix 2A

Accident Investigation Format Adapted from Risk Management Manual




Fact Finding

1.Emphasis is placed on gathering facts, not placing blame or determining the cause

Of the accident.

2.Inspect the accident site before any changes to it occur.

3.Preserve essential and critical evidence.

4.Take photographs or make sketches of the accident scene.

5.Interview the injured party and witnesses as soon as possible after an accident.

Record pre-accident conditions, the accidents sequence of events, and post- accident conditions.

6.Document the location of the injured party, witnesses, machinery, equipment,

Energy sources, and hazardous materials.

7.Ask who, what, when, where, why, and how during interviews.

8.Re-interview the injured party and witnesses to resolve any conflicting accounts.

9.Remain completely objective during interviews and in documentation.

10.Keep complete and accurate notes.

Interviews

1.Get preliminary statements from injured party and witnesses as soo n as possible.

2.Explain the purpose of the investigation (accident prevention) and put the witness

At ease.

3.Let the witness speak freely and take notes without distracting the witness.

4.Record the exact words used by the witness to describe each observation.

5.be sure that the witness understands each question.

6.Identify the witness completely (name, occupation, years of experience, phone number).

7.Supply each witness with a copy of his or her statement (signed statements are desirable).

Investigation Reporting

1.Provide complete, thorough information about the accident.



2.Describe the accident. Document the sequence of events and identify the extent of

the injury or property damage.

3.Identify hazardous conditions and/or unsafe work practices for each event of the

accident.

4.Identify the root cause of each hazardous condition or unsafe work practice.

5.Provide short-term and long-term corrective actions that prevent or eliminate the

identified hazardous conditions, unsafe work practices, and root causes.

6.Describe the corrective actions recommended, the persons accountable for each

corrective action, and the approximate timeframe for completion of each corrective action.

Corrective Actions

1.Recommend immediate corrective actions to eliminate or reduce hazardous

conditions and/or unsafe work practices.

2.Recommend long-term corrective actions that correct policies, programs, plans,

processes, and/or procedures.

3.Recommend engineering controls, administrative controls, or personal protective

equipment.

4.Estimate the cost to implement each immediate and long -term corrective action.

5.Develop an action plan for each corrective action.

6.Monitor implementation of the action plan to ensure appropriate corrective action

is taken.

Appendix 2bSupervisor's Report Format Sample

Adapted from Risk Management Manual




Supervisor¶s Report of Employee Injury, Illness, or Near Miss .

This form should be completed by supervisory/management staff to report all incidents, injuries, or illnesses

sustained by agency staff. This form should also be completed to document any ³near miss´ situations.

Company Name: ________________________________________

Employee Name: ________________________________________

Age: __________ Department:_____________________________ Job Title: _______________

Current Position: ______________________ Date of Hire: ________________________

Employee Status:

Full Time :_____________Part Time ____________Seasonal__________ Volunteer ____________

Date of Incident: ________________________Time of Incident: _____________________________

Supervisor¶s Name: ____________________________________

Telephone Number: ____________________________________

Was the employee injured? Yes___________No _________

Did the employee leave work? Yes __________ No__________

Was this a ³first aid only´ incident? Yes________ No _________

What type of Illness/Injury was sustained by the employee and what body part was involved?

(cut to left index finger, low back strain, burn to right leg, etc.)

Names of Witnesses:______________________________________________________

Name ____________________________ Telephone Number__________________

1. Describe fully and as with as much detail as possible, where the incident occurred (facility,

department, office, workstation, if outdoors). Was equipment or property damaged? Use

additional sheets of paper if needed.

2. Describe fully and as with as much detail as possible, what events led up to the incident

(condition of the work area, weather conditions). Use additional sheets of paper if needed.

3. Was equipment being used at the time of the incident? Yes____ No___

If YES, was equipment in proper working order? Yes _____ No ____

If NO, what problems were occurring? Use additional sheets of paper if needed.

4. Describe as fully and as with as much detail as possible what the employee was doing at

the time the incident occurred. (What specifically caused the injury; i.e. cut, burn, struck

by object.) Use additional sheets of paper if needed.



5. Does this job require use of personal protective equipment (PPE)? Is there a relationship

between the severity of the injury and using PPE?

6. Have similar incidents occurred? Yes No If YES, list dates and locations.

7. What can management do to prevent recurrence of this type of incident?

8. What immediate actions have been taken to prevent recurrence? By whom?

9. What long-term actions are needed? By Whom? Target date for completion?

10. What post-loss actions should be taken (Early Return-to-Work program, other actions to

mitigate overall severity of loss?)

11. Additional Comments:

Name of Supervisor/Manager Completing Report:

Date:

Investigated By: ___________________________________________

Date:___________________________________________________

Person(s) Accountable for __________________________________

Target Completion Date: ____________________________________

Corrective Action: _________________________________________

Reviewed By: ____________________________________________ Comments: _____________________________________________

Sr. Mgmt.________________________________________________

Review Date: ____________________________________________

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