OH&S Risk Management Policy ACTPS.pdf - ACT Government

_________________________________________________________________________________
ACT Public Service
Injury Prevention Management Policy
____________________________________________________________________
Policy No
Date of Issue
Application
Contents
Attachments
Policy
Statement
OHS RISK MANAGEMENT
ACTPS-IPM-POL-008
Text
All ACTPS Agencies
1. Introduction
2. Purpose
3. Objectives
4. Scope
5. Definitions
6. Responsibilities
7. Risk Management Framework
8. Communicate and Consult
9. Establish the Context
10. Identify Hazards and Risks
11. Analyse and Evaluate Risks
12. Hazard Control
13. Documentation and Review
14. Common Pitfalls in Risk Management
15. References
16. Approving Authority and Review Date
A1. Sample Workplace Inspection Checklist
A2. Risk Report Form
A3. Risk Assessment Table
A4. Risk Treatment and Action Plan
A5. Common Pitfalls in Risk Assessment
The ACT Government recognises that employers have a
responsibility to provide a safe and healthy workplace for employees.
Agencies are required to be proactive in developing and
implementing a risk management framework to identify hazards and
assess risks with the aim of eliminating or reducing their impact in the
workplace.
Signed and authorised by ………………………………………………………………
Cheryl Vardon, Commissioner for Public Administration

Injury Prevention and Management Policy
RISK MANAGEMENT
1. INTRODUCTION
The ACT Government is committed to providing a safe and healthy working
environment for its employees, contractors and visitors. The ACT Government has a
commitment to a whole of Government Risk Management Framework that is detailed
at the ACT Insurance Agency Website at:
http://www.treasury.act.gov.au/actia/Risk.htm. The Australia/New Zealand Standard
for Risk Management (AS/NZS 4360:2004) informs this framework.
As part of the Safety Management System’s approach to Occupational Health and
Safety (OHS), agencies are also required to have a comprehensive risk management
framework to identify risks and to eliminate or reduce their impact in the workplace.
A suitable and thorough risk assessment that is adapted to suit the workplace and with
effective use of the findings, is considered to be an integral part of successful health
and safety management.
2. PURPOSE
The ACT Government and its employees are accountable under the Occupational
Health and Safety Act 1989 (OHS Act), as modified by the Public Sector
Management Act 1994 (PSM Act), for the provision of a safe working environment
including the elimination of hazards in the workplace and taking reasonable steps to
ensure that all employees are in a fit state to work. It is considered that the most
effective and efficient way to create and maintain a healthy and safe work
environment is for ACT Public Sector managers to integrate OHS Risk Management
into their daily business operations.
This policy provides advice and guidelines on the implementation of the Risk
Management framework to occupational health and safety in the work environment.
3. OBJECTIVES
This policy aims to provide guidance to employers and employees to:
• develop a framework for the identification of hazards, assessment of risks and
the reduction and/or elimination of risks
• implement processes to ensure that all reasonable steps are taken to safeguard
the health and safety at work
• implement a continuous review process as part of the Safety Management
System for their agency.
4. SCOPE
This policy shall apply to all Act Public Sector (ACTPS) employees and 3rd parties.
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5. DEFINITIONS
Risk management – the culture, processes and structures that are directed towards
realising potential opportunities whilst managing adverse effects. 1
Hazard – a source of potential harm. 2 . A source or a situation with a potential for
harm in terms of human injury or ill health, damage to property, damage to the
environment, or a combination of these. 3
Risk – the chance of something happening that will have an impact upon objectives.
Risk is often specified in terms of an event or circumstance and the consequences that
may flow from it. Risk is measured in terms of a combination of the consequences of
an event and their likelihood. Risk may have a positive or negative impact. 4
OHS Risk – (in relation to any potential injury or harm) the likelihood and
consequence of that injury or harm occurring. 5
Exposure occurs when a person comes into contact with a hazard.
Control Measures are actions that are taken to control hazards and reduce risks.
Hierarchy of Controls is the preferred order of control measures
Employee – means the employees of the ACTPS (as defined in the PSM Act), and
contractors, sub-contractors and consultants employed by ACTPS agencies, whilst
they are on ACT Government property or engaged on ACT Government business.
6. RESPONSIBILITIES
6.1 Senior Management
For an OHS Risk Management strategy to be successful in an agency, it must be
driven from senior management level, as this is the management level responsible for
making critical decisions in terms of future direction. Risk Management should be
integrated during the initial stages of business planning.
Within this context, human and financial resources should be made available for:
• training and education of staff and line managers in hazard identification, risk
assessment and risk management
• allocation of funds for purchase of appropriate safety equipment as required
• any workplace modifications, either physical or process changes, which are
required as a result of a risk assessment.
1 AS/NZS 4360
2 AS/NZS4360
3 AS/NZS 4804
4 AS/NZS 4360
5 AS/NZS 4804
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6.2 Line Managers
Line managers and supervisors have a responsibility and duty of care to their staff.
They are responsible for:
• implementing a comprehensive and regular inspection process for hazard
identification in the workplace
• ensuring that risk assessments are conducted for identified hazards
• implementing, monitoring and maintaining risk control measures as
recommended in the Risk Management Assessment
• maintaining good communication between management, staff and relevant
unions
• working co-operatively with Injury Prevention and Management personnel
and all stakeholders to develop strategies that improve workplace safety
culture
• reviewing the effectiveness of hazard control measures.
6.3 Employees
All employees have a responsibility to :
• assist line managers with the identification of hazards, the assessment of risks
and the implementation of risk control measures
• report the occurrence of any incident/accident or near miss to their
supervisor/line manager or the OHS Unit
• comply with all safety procedures and directions related to their workplace.
7. RISK MANAGEMENT FRAMEWORK
The Risk Management Framework is detailed on the ACT Insurance Agency
(ACTIA) Website at http://www.treasury.act.gov.au/actia/Risk.htm. This site
provides comprehensive guidance material on the development and implementation of
a risk management framework for your agency.
Reference should also be made to the Standards Australia OHS Risk Management
Handbook HB 205-2004. (A copy of this publication can be requested from the
Legislative Assembly Library.)
8. COMMUNICATE AND CONSULT
Staff experienced in the history of workplace incidents can provide valuable expertise
in hazard identification and the identification of potentially recurring risks.
An atmosphere should be established in which employees feel confident to bring
managers’ attention to any occupational health and safety concerns that they may
have. The response to reports of hazards should be positive and timely, with effective
follow-up.
Arrangements should be made to regularly consult with staff to find out what health
and safety issues they may have in their work and seek suggestions for improvements.
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The processes used to establish the context, identify, analyse, evaluate, treat and
monitor and review risks must be systematic and involve consultation with
employees, contractors and other stakeholders so that everyone has confidence in the
outcomes.
9. ESTABLISH THE CONTEXT
The first step in managing risk is to gather background information about the
organization as a whole. This includes identifying the external, internal and risk
management issues and establishes a context within which OHS risks are to be
managed as outlined in the following table.
External Context
Internal Context
Risk Management Context
Define the external environment in which the
organization operates. Determine the key business
drivers and the values of stakeholders.
It is important to understand the operations of the
organization. Key areas include: culture, internal
stakeholders, resource base, the goals and objectives
as well as the strategies in place to achieve them.
Identify the goals, objectives, strategies, scope and
parameters of the activity or part of the organization
to which the risk management process is to be
applied.
10. IDENTIFY HAZARDS AND RISKS
Hazard identification is the process of finding all items, activities and situations,
products and services, that could give rise to injury or illness. Hazards should be
recognised. This is an ongoing responsibility, as new processes and materials are
introduced to the workplace, the types of hazards to which employees are exposed,
may change.
Some hazards, such as unguarded power saw blades or toxic chemicals, may be
obvious. However there can be other hazards, such as manual handling practices,
violence/aggression and repetitive tasks that may not be so easily identified.
Some methods of hazard identification include:
• consultation with employees
• specific health and safety issues raised by employees/unions
• workplace inspections
• material safety data sheets and chemical labels
• investigating accidents and near misses
• examining accident, leave and workers’ compensation records to identify
trends.
Consideration should be given to:
a) the type of injury or illness that is possible
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) the situations or events, or combination of circumstances, that could
give rise to injury or incident
c) the way work is organized and managed.
It is important to identify both the hazards and how the hazards represent a risk to
health and safety.
10.1 Workplace Inspections
The local manager and health and safety representatives must arrange a program of
regular inspections of the work area with the aim of identifying hazards that may be
overlooked in the general course of day to day events.
The physical inspection of the work area should include the following aspects:
• workplace environment and design
• systems of work
• employee behaviour
• management commitment to health and safety
• identification of unsafe conditions and practices
• checking of new facilities, equipment, or processes
• adherence to safety procedures and standards
• customer demand and external pressures.
An Inspection Checklist is to be developed for the local work area to facilitate the
inspection. A sample generic checklist is at Attachment 1.
Please note that an inspection that only identifies visible hazards is not sufficient
to meet the guidelines for effective risk management.
10.2 Frequency of Inspections
It is a requirement that all work areas conduct regular hazard inspections. The level of
risk in the workplace must determine the frequency of these inspections. In some
areas, such as an office environment, it may be sufficient to conduct a hazard
inspection every 3 to 6 months unless there have been changes to the work area. In
other environments it may be necessary to conduct hazard checks daily. Management
of individual ACT Public Sector agencies must ensure that their hazard identification
systems meet the requirements of local work areas. Directors/Managers may
designate that a particular work area, task or procedure can be subject to a more
regular assessment. (eg. areas working with hazardous substances or tasks requiring
work in confined spaces.)
10.3 Record Review
Under the OHS Act (as modified) each agency is required to monitor employee health
and safety, keep records and provide appropriate medical and first aid services. An
examination of these records may show trends and indicate areas of concern. Other
sources of information can include such records as: health surveys; monitoring the
level or concentration of a hazard (such as noise, temperature, lighting, fumes, dust or
radiation); advice from expert consultants; codes of practice and material safety data
sheets.
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11. ANALYSE AND EVALUATE RISKS
Risk analysis is about developing an understanding of the risk. It provides an input to
decisions on whether risks need to be treated and the most appropriate and costeffective
risk treatment strategies. Risk analysis involves consideration of the hazards
and sources of risk, their positive and negative consequences and the likelihood that
those consequences may occur. Factors which affect consequences and likelihood
may be identified. 6
OHS risk analysis assists in the understanding of hazards and risks so that decisions
can be made about whether further treatment or controls are required. The analysis
may be used to assist with a ranking process to decide priorities and draw attention to
high risks.
In determining the level (or severity) of risk, a consideration of the following is
required:
CONSEQUENCE – for each hazard, ask what is the worst likely outcome from
exposure to the hazard (eg catastrophic, major, moderate, minor or insignificant).
EXPOSURE – how many people are exposed to the hazard and for how long This
needs to be considered when setting priorities for implementing controls.
LIKELIHOOD – what is the likelihood of harm occurring if the person is exposed to
the hazard This could range from almost certain to rare.
All hazards should be reported in a Risk Assessment Report (Attachment 2) and the
level of risk evaluated.
One method of evaluating risks is to use a Risk Assessment Table. (Attachment 3)
Record the risk rating for each identified hazard. Risks with EXTREME and HIGH
ratings must be addressed first.
The purpose of risk evaluation is to make decisions, based on the outcomes of risk
analysis, about which risks need treatment and treatment priorities. Once risks have
been identified and assessed, action must be taken to control them.
12. HAZARD CONTROL
There is a preferred order in which risks should be controlled. This is called the
hierarchy of controls:
1. Eliminating the hazard from the workplace entirely is the best way to control
it. However this may not always be possible and other strategies may be
necessary.
2. Substituting or modifying the hazard by replacing it with something less
dangerous. (eg using different, safer equipment)
3. Isolating the hazard by physically removing it from the workplace or by
cordoning off the area in which a machine is used.
4. Engineering methods can be introduced to control the hazard at its source,
tools and equipment can be redesigned, enclosures built, guards or local
exhaust ventilation systems can be installed.
6 AS/NZS 4360
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Backup Controls
5. Administrative controls are the management strategies, which can be
introduced to ensure the health and safety of employees. Administrative
procedures can reduce exposure to hazardous equipment and processes by
limiting the time of exposure (eg job rotation) or varying the time when a
particular process is carried out. The way in which processes are carried out
can also be redesigned or re-organised. Administrative controls rely on
appropriate human behaviour to be effective so staff training and safe working
procedures are important.
6. Personal protective equipment (PPE) may also be used to reduce exposure to
a hazard.
Back-up controls should underpin the other control measures and can also be
implemented as an initial response while assessing the risks in the workplace and
developing a Risk Treatment and Action Plan (Attachment 4).
It may be necessary to implement a combination of controls in order to reduce the
level of risk.
12.1 Monitoring Controls.
Control measures must be monitored to ensure the effectiveness of the corrective
action. For each control decide:
• How do you know whether it is effective in preventing harm
• How can this be checked and tested
• How often should this testing be done
• Who is best qualified to do the checking
13. DOCUMENTATION AND REVIEW
The hazard identification, risk assessment and the control measures must be
documented for action by management and all staff. The report must also include a
mechanism to ensure that the findings are acted upon and that there is a system for
regular review of the assessment.
Risk assessment should not be a one off activity, but should be ongoing and be part of
the process of continuous improvement. Risk assessments should be reviewed as part
of standard safety management practice. They should also be reviewed if there is a
reason to suspect that the findings are no longer appropriate or valid. (For example,
after an accident, incident or near miss or when there is a change in the work process
or significant new information or techniques become available)
All OH & S Risk Management Reports are to be :
• referred to area managers for action
• tabled at workplace OH & S Committee meetings as part of an effective Safety
Management System
• available to all staff who work in the relevant area
• regularly reviewed and modified as necessary.
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14. COMMON PITFALLS IN RISK ASSESSMENT
Staff engaged in assessing risks should be aware of the common mistakes that can be
made in the process, which may lead to incorrect assessments. A list of the more
common pitfalls has been outlined in Attachment 5.
15. REFERENCES
• ACT Occupational Health and Safety Act 1989 (OHS Act), as modified by the
PSM Act
• Public Sector Management Act 1994 (PSM Act)
• Australian/ New Zealand Standard (AS/NZS 4804:2001) Management Systems
–General Guidelines on Principles, Systems, and Supporting Techniques
• Standards Australia OHS Risk Management Handbook HB 205-2004
• Australian Standard (AS 4801-2000) Management Systems – Specifications
and Guidance
• Australian/New Zealand Standard (AS/NZS 4360:2004) – Risk Management
and accompanying guidelines HB436:2004
• ACTPS agency Certified Agreement(s) 2004-2007
• Safety Management System Policy – (draft)
• Safety, Rehabilitation and Compensation (SRC) Commission Risk
Management Model.
• Risk Management Guide and Toolkit developed by ACT Insurance Authority
16. APPROVING AUTHORITY AND REVIEW DATE
This policy will be reviewed within 3 years from the date of approval, being on
…./ …. / …..
………………………………………….
Commissioner for Public Administration
…………………
Date
Feedback and advice on policy directions can be forwarded to
IPM.Policyfeedback@act.gov.au
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ATTACHMENT 1
SAMPLE WORKPLACE INSPECTION CHECKLIST
Area ………………………………………………………………………………….…………
Date of Inspection:…………………
Inspected by:………………………………
Floors/Stairs/Passageways
Floors/stairs have an even
surface
Stable non-slip floor coverings
Walkways adequately lit
Electrical leads crossing
walkways
Entry/egress points kept clear
Handrails in good repair
Changes of level obvious
General Lighting
Adequate illumination levels
Good natural lighting
Good light reflection from walls
and ceiling
Any direct or reflected glare
Light fittings clean and in good
repair
Emergency lighting operable
Hazard
Y/N
Risk
Reference
Comments
Additional Comments:
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ATTACHMENT 1
SAMPLE WORKPLACE INSPECTION CHECKLIST
Area ………………………………………………………………………………….…………
Office Furniture/Equipment
Any sharp edges to tables & desks
Chairs stable and in good repair
Filing cabinets secure and stable
Steps/ladders in good condition
Photocopy machines in well
ventilated space
Photocopier and surrounding areas
clean & free from toner dust
Fire
Correct type of extinguishers in
place
Extinguishers clearly marked
Extinguishers recently serviced
Adequate signs for exits
Exit doors easily opened from the
inside
Exits clear of obstructions
Evacuation procedures available
and displayed
Regular fire drills conducted
Chemicals
(where applicable)
MSDS for all chemicals
Containers clearly labelled
Hazard
Y/N
Risk
Reference
Comments
Additional Comments
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ATTACHMENT 1
SAMPLE WORKPLACE INSPECTION CHECKLIST
Area …………………………………………………………………………………………….
Electrical
Electrical equipment has been
regularly tested and tagged as per
AS 3760:2003
Any broken plugs, sockets or
switches
Any frayed or damaged leads
Any temporary leads on floor
Any strained leads
Use of powerboards & extension
cords minimised
Storage
Materials stored on shelves, or in
racks, boxes and bins wherever
possible
Storage systems designed to
minimise lifting problems (ie loads
between mid-thigh & shoulder)
Floors around shelving clear of
obstructions
Shelving in good condition
Compactus units stable & easy to
operate
First Aid
(as per ACTPS-IPM-POL-006 First
Aid in the Workplace Policy)
First aid kits clean & well stocked
Easy access to first aid kits
Employees aware of location of
first aid kits
First aid kits clearly labelled
Hazard
Y/N
Risk
Reference
Comments
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ATTACHMENT 1
SAMPLE WORKPLACE INSPECTION CHECKLIST
Area ………………………………………………………………………………….…………
First Aid (continued)
Emergency phone numbers
displayed
Names & location of appointed First
Aid Officers prominently displayed
Workstations
Is there sufficient space at the
workstation for documents to be
spread out within easy reach
Is there adequate and safe height
adjustability of work surfaces
Hazard
Y/N
Risk
Reference
Comments
Are workstations and equipment set
up to reduce awkward postures
Are the desks suitable for the tasks
to be performed
Are the chairs stable in access and
egress
Are the chairs adjustable in height
and backrest angle from a seated
position
Is there a need for footrests
Are document holders required /
provided
General Comments
…………………………………………………………………………………………………
…………………………………………………………………………………………………
Responses
…………………………………………………………………………………………………
…………………………………………………………………………………………………
IDENTIFIED HAZARDS MUST BE ASSIGNED A REFERENCE NUMBER
AND INCLUDED IN THE RISK ASSESSMENT REPORT.
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SAMPLE FOR USE
ATTACHMENT 2
Introduction
RISK ASSESSMENT REPORT FORM
Managers, supervisors and Injury Prevention Management representatives are
responsible for implementing the OHS risk management process in their respective
agencies. Appropriate records of all risk assessments must also be kept and reviewed
regularly.
There are four main steps to effective OHS risk management:
1. identify possible workplace hazards
2. analyse the risks that those hazards pose (based on the likelihood that the
hazard will cause injury or illness, and the potential consequences of the injury
or illness)
3. develop and implement measures to control the hazards and reduce the risks
4. document, monitor and evaluate the effectiveness of the control measures.
The attached Report Form has been designed to assist relevant personnel to conduct
risk assessments in their workplace and to satisfy record-keeping requirements.
When must a Risk Assessment be conducted
It is a requirement that all work areas conduct regular hazard inspections. The level of
risk in the workplace must determine the frequency of these inspections. In some
areas, such as an office environment, it may be sufficient to conduct a hazard
inspection every 3 to 6 months. In other environments it may be necessary to conduct
hazard checks daily. Management of individual ACT Public Sector agencies must
ensure that their hazard identification systems meet the requirements of local work
areas. Directors/Managers may designate that a particular work area, task or
procedure can be subject to a more regular assessment.
Risk analysis should be applied to all hazards identified in this process.
Additionally identification of hazards and the assessment of risks must be undertaken:
• following a workplace injury, accident or near miss
• before moving to new or renovated premises
• before the introduction of any plant or a substance
• before the introduction of new work practices or procedures
• before changing a workplace work practice, or an activity or process, where
the change may give rise to a risk to health and safety.
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August 2005
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SAMPLE FOR USE
ATTACHMENT 2
ADVICE FOR COMPLETING A RISK ASSESSMENT REPORT.
STEP 1
Tick the appropriate box.
STEP 2
STEP 3
Identify why the Risk
Assessment is being carried
out.
Identify all the actual and
potential hazards in the
workplace.
Identify the measures that are
already in place to control
risks.
Use a suitable checklist to help identify possible hazards. A sample
checklist is available as an Attachment to the Risk Management
Policy document. An appropriate checklist may need to be
developed for your specific work environment.
Other helpful activities:
• conduct a walk-through or inspection of the workplace or
plant
• analyse work processes
• consult with employees or others such as the Health and
Safety Representative or OHS coordinator
• review past OHS incidents
• observe what is going on in the workplace
• conduct benchmarking or studies in similar workplaces.
Consider the following in assessing risk:
Are the measures in place sufficient to control the risk
Are the measures clearly identified and known by all relevant
personnel
Is there residual risk
What is the likely outcome if the risk control measure fails:
STEP 4
STEP 5
Assess and rate the risk for
each hazard using the Risk
Management Table and give
them a priority of EXTREME
HIGH, MEDIUM OR LOW.
Address extreme risks first,
followed by high risks,
medium risks and finally low
risks.
Identify the measures that you
will use to control the hazard.
You can use one, or a
combination of controls.
Consider:
• The likelihood of accidents or illness – refer to the Risk
Assessment Table (Attachment 3) taking into account the
effectiveness of current controls
• The consequences of an injury or illness - refer to Risk
Assessment Table to determine the consequences of the
incident occurring
• The number of people exposed to the hazard.
Controls must be applied according to the hierarchy of control,
starting at 1.
1. eliminate the hazard from the workplace
2. substitute the hazard for something less risky
3. isolate the hazard
4. use design or engineering controls to reduce the risk
5. use administrative controls (eg training, signs and work
procedures)
6. use Personal protective equipment.
STEP 5 Add any comments Consider any comments that
• clarify or explain the risk rating or controls proposed
• outline any special monitoring or other arrangements that
will accompany any of the control measures
• highlight any special feature or characteristic of the
hazard, or
• aid the implementation of the controls.
STEP 6 Sign the form off. Person completing the assessment must sign and date the report and
submit to a manager for endorsement of the recommendations.
STEP 7 Select a suitable review date. Select a realistic and achievable review date, reflecting the level of
risk inherent in the hazards.
Final Draft OHS Risk Management Policy
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SAMPLE FOR USE
ATTACHMENT 2
RISK ASSESSMENT REPORT FORM
Why is this risk assessment being conducted
[ ] Following workplace injury/accident or near miss
[ ] Introduction of new plant or substance
[ ] Regular Hazard Inspection
[ ] Introduction of a new work practice or procedure
[ ] Change in accommodation arrangements
[ ] Change to an existing work practice or procedure
Describe any changes in workplace : _______________________________________________________________
RISK REFERENCE
THE RISK
WHAT CAN HAPPEN
SOURCE
HOW CAN THIS HAPPEN
IMPACT
FROM EVENT HAPPENING
CURRENT CONTROL
STRATEGIES
AND THEIR EFFECTIVENESS
(A) –Adequate
(M) – Moderate
(I) – Indadequate
CURRENT
RISK LEVEL
LIKELIHOOD
CONSEQUENCE
CURRENT RISK
LEVEL
ACCEPTABILITY (A/U)
Final Draft OHS Risk Management Policy
November 2005
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SAMPLE FOR USE
ATTACHMENT 2
RISK REFERENCE
THE RISK
WHAT CAN HAPPEN
SOURCE
HOW CAN THIS HAPPEN
IMPACT
FROM EVENT HAPPENING
CURRENT CONTROL
STRATEGIES
AND THEIR EFFECTIVENESS
(A) –Adequate
(M) – Moderate
(I) – Indadequate
CURRENT
RISK LEVEL
LIKELIHOOD
CONSEQUENCE
CURRENT RISK
LEVEL
ACCEPTABILITY (A/U)
RISK ASSESSMENT CONDUCTED BY: ___________________
DATE:____________ SIGNATURE : __________________
MANAGER ENDORSEMENT: _______________________DATE:___________ NEXT REVIEW DATE: _______________
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November 2005
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ATTACHMENT 3
Risk Assessment Table
Likelihood
People
Injuries or ailments not
requiring medical
treatment.
Minor injury or First Aid
Treatment Case.
Consequence
Serious injury causing
hospitalisation or multiple
medical treatment cases.
Life threatening injury or
multiple serious injuries
causing hospitalisation.
Death or multiple life
threatening injuries.
Insignificant Minor Moderate Major Catastrophic
Numerical: Historical:
1 2 3 4 5
>1 in 10
Is expected to occur
in most
circumstances
5 Almost Certain H 6 H 7 H 8 E 9 E 10
1 in 10 - 100
Will probably occur
4 Likely M 5 H 6 H 7 H 8 E 9
Might occur at some
time in the future 3 Possible L 4 M 5 H 6 H 7 E 8
Could occur but
doubtful 2 Unlikely L 3 L 4 M 5 H 6 H 7
1 Rare L 2 L 3 L 4 M 5 H 6
1 in 100 – 1,000
1 in 1,000 – 10,000
1 in 10,000 – 100,000
May occur but only
in exceptional
circumstances
Adapted from Standards Australia Risk Management AS/NZS 4360: 2004
E (> 7) = Extreme risk – detailed action plan required
H (6 or 7) = High risk – needs senior management attention
M (5) = Medium risk – specify management responsibility
L (< 5) = Low risk – manage by routine procedures
High or Extreme risks must be reported to Senior Management and
require detailed treatment plans to reduce the risk to Low or
To use the matrix, first find the consequence column that best describes the outcome of
risk. Then follow the likelihood row to find the description that best suits the likelihood
that the consequence will occur. The risk level is given in the box where the row and
column meet.
When considering the likelihood of injury or disease, the number of people exposed, the
extent of the exposure to the hazard and the likelihood that exposure will result in harm all
need to be taken into account. For this purpose, the numerical legend may be useful.
Medium. The estimate of likelihood will also depend on the effectiveness of the controls in place.
It is important to indicate what assumptions are being made about the controls in place.
Final Draft OHS Risk Management Policy
November 2005
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SAMPLE FOR USE
ATTACHMENT 4
RISK TREATMENT AND ACTION PLAN
Date of Review ………………………….
Name of Organisation ……………………………………… Compiled by …………………………..
Function Activity ……………………………………… Reviewed by …………………………..
RISK REFERENCE
POTENTIAL TREATMENT OPTIONS
COSTS &
BENEFITS
IS THE
TREATMENT TO
BE
IMPLEMENTED
(Y/N)
TARGET
RISK LEVEL
LIKELIHOOD
CONSEQUENCE
TARGET LEVEL
RESPONSIBLE
PERSON
TIMETABLE
For
implementation
MONITORING
strategies to
measure
effectiveness of
Risk Treatments
Final Draft OHS Risk Management Policy
November 2005
Page 19 of 22

SAMPLE FOR USE
ATTACHMENT 4
RISK REFERENCE
POTENTIAL TREATMENT OPTIONS
COSTS &
BENEFITS
IS THE
TREATMENT TO
BE
IMPLEMENTED
(Y/N)
TARGET
RISK LEVEL
LIKELIHOOD
CONSEQUENCE
TARGET LEVEL
RESPONSIBLE
PERSON
TIMETABLE
For
implementation
MONITORING
strategies to
measure
effectiveness of
Risk Treatments
Final Draft OHS Risk Management Policy
November 2005
Page 20 of 22

ATTACHMENT 5
COMMON PITFALLS IN RISK ASSESSMENT
The following is a list of some common mistakes that can be made when conducting a
Risk Assessment. It is best to be aware how easily the process of assessing risks can
be subverted or incorrectly applied, giving false or misleading results.
Carrying out a risk assessment to support a decision that has already been made.
The findings from Risk Assessments should be used to inform decision making, not to
justify decisions that have already been made.
Using a generic hazard checklist when a site-specific assessment is needed.
For any particular work activity, area of the workplace, or site, it is necessary to
consider whether all hazards are included in the generic checklist. It may be
necessary to develop an activity or site-specific checklist.
Only considering the risk from one activity.
It is important to consider all the tasks that are undertaken by a worker when
considering their risk exposure. It is not appropriate to consider the risk from what
appears to be the most hazardous activity. All the hazards to which a worker is
exposed must be taken into account when estimating the overall individual risk. The
overall exposure time should also be considered to estimate the risk over a typical
working week.
Dividing the time spent on the hazardous activity between several individuals.
It is not appropriate to divide the time spent on the hazardous activity between several
individuals and estimate the risk on this basis. For example, if any one person is
exposed to a hazard for a short time, but someone is always exposed, it would give a
misleading picture of the risk if the assessment were only made on individual
exposure time.
Failing to involve a team of people in the assessment or not including workers with
practical knowledge of the process/activity being assessed.
The individuals or working group involved with the risk assessment process should be
familiar with the assessment methods used, have a thorough knowledge of the subject
under consideration and other specialised knowledge should be provided and
integrated into the assessment as required (eg relevant Best Practice Standards,
Material safety data sheets and chemical labels). That is, the people undertaking the
risk assessment should be competent to undertake the task.
Ineffective use of consultants.
The use of consultants to carry out risk assessment should be treated with caution.
Over-reliance on consultants can mean that those responsible for the activity or
process lose some of the value of the risk assessment process, as their own
understanding of the issues is not developed to the same depth. In addition, if the
consultant does not have adequate knowledge or understanding of the
process/operation, the result could lead to unrealistic or inappropriate conclusions.
Final Draft OHS Risk Management Policy
November 2005
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ATTACHMENT 5
Failure to identify all hazards associated with a particular activity.
There are often transient states within an activity, such as start-up and shut down of
plant, which in varying ways can mean that safety measures used in normal operations
need to be modified, or new measures applied during this time. By omitting
consideration of these states, the risks during them are not assessed and may become
dominant.
Failure to fully consider all possible outcomes.
Once the hazards have been identified, the possible consequences of an incident must
be considered. This involves an estimation of the magnitude of the physical effects
and the severity of the harm that could result.
Care must be taken in determining priorities when the effects may be delayed, such as
exposure to a chemical or noise, or cumulative back injury. Consequences that are
delayed tend to be perceived in a different way than consequences that are immediate
and the likelihood of the consequences also needs to be considered differently when
considering chronic and acute injury and disease.
Not doing anything with the results of the assessment.
It is essential that action be taken as a result of the findings of a risk assessment. The
Risk Assessment Process should never be a “paper exercise” where the findings are
merely noted, but no action taken as a result.
Final Draft OHS Risk Management Policy
November 2005
Page 22 of 22