This presentation covered hazard identification and risk management. The key objectives were to develop procedures for ongoing hazard identification and risk assessment, include hazard identification when planning workplace changes, develop and follow procedures for selecting and implementing risk controls according to the hierarchy of control and WHS requirements, identify inadequacies in existing risk controls and provide resources for improvement, and identify when expert WHS advice is required.

1. PRESENTATION OBJECTIVES
At the close of this presentation you will be able to:
3.1 Develop procedures for ongoing hazard identification, and
assessment and control of associated risks
3.2 Include hazard identification at the planning, design and evaluation
stages of any change in the workplace to ensure that new hazards are
not created by the proposed changes and existing hazards are controlled.
3.3 Develop and maintain procedures for selecting and implementing risk
controls according to the hierarchy of control and WHS legislative
requirements.
3.4 Identify inadequacies in existing risk controls according to the
hierarchy of control and WHS legislative requirements, and promptly
provide resources to enable implementation of new measures
3.5 Identify requirements for expert WHS advice, and request this advice
as required.

2. 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

3. 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 SOP
• Operation of High Risk Plant and Equipment SOP
• Spill response SOP
• Emergency evacuation SOP

4. 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 height
Falling objects, falls, slips and trips of people can cause fractures, bruises,
lacerations, dislocations, concussion, permanent injuries or death
Electricity
Potential ignition source. Exposure to live electrical wires can cause shock,
burns or death from electrocution,
Machinery and equipment
Being hit by moving vehicles, or being caught by moving parts of
machinery can cause fractures, bruises, lacerations, dislocations,
permanent injuries or death
Hazardous chemicals
Chemicals such as acids, hydrocarbons, heavy metals and dusts such as
asbestos and silica can cause respiratory illnesses, cancers, dermatitis
Extreme temperatures
Heat can cause burns, heat stroke, fatigue
Cold can cause hypothermia, frost bite
Noise Exposure to loud noise can cause permanent hearing damage
IDENTIFYING HAZARDS

5. 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
Date of Inspection: Inspection Result
(Tick one Box)
Person Inspecting:
Checklist Item Pass Fail Action Required (if fail is ticked)
Fire Safety
Extinguishers in place, correctly positioned & clearly
marked for type of fire, kept clear of obstructions and
recently serviced
Exits signposted & clear
Exit doors able to be opened from inside
Exits unblocked
Fire or Smoke alarm system installed and operating
Emergency plan displayed & discussed with employees
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

6. 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

7. 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

8. 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

9. 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

10. RISK LEVEL DESCRIPTIONS AND ACTIONS

11. 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

12. Risk Level Required action
Critical 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

13. 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 OF CHANGE
IN THE WORKPLACE

14. 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

15. Other methods for identifying change requirements are quality tools
such as:
OTHER CHANGE REQUIREMENT
IDENTIFICATION METHODS

16. 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

17. 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?

18. 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:
HIERARCHY OF CONTROL

19. Eliminate the Risk
It 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 hazard
There are times when you must use a certain process to complete a task.
Isolate the risk
This 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

20. 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 Controls
Administrative 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

21. 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

22. 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

23. 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

24. EXPERT WHS ADVICE
Intervention and assistance from an expert may be required when:
• There is a lack of skill
• There is a lack of time
• There is a question that needs answering
• There are facts that need to be clarified.

25. WHEN YOU CHOOSE AN EXPERT, ASK THE FOLLOWING
QUESTIONS:
• Does the expert have the skills, knowledge and experience
to give you the best advice?
• Does the expert have the required qualifications?
• Are their skills up to date?
• Have they done similar work for similar organisations?
• Are they members of a professional association?

26. PRESENTATION SUMMARY
Now that you have completed this presentation you will be able to:
3.1 Develop procedures for ongoing hazard identification, and
assessment and control of associated risks
3.2 include hazard identification at the planning, design and evaluation
stages of any change in the workplace to ensure that new hazards are
not created by the proposed changes and existing hazards are controlled.
3.3 Develop and maintain procedures for selecting and implementing risk
controls according to the hierarchy of control and WHS legislative
requirements.
3.4 Identify inadequacies in existing risk controls according to the
hierarchy of control and WHS legislative requirements, and promptly
provide resources to enable implementation of new measures
3.5 Identify requirements for expert WHS advice, and request this advice
as required.