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LEIGHTON BENNETT RESUM É

LEIGHTON BENNETT RESUM É. Qualifications : BSc, MDP dip,. Various SHE courses: NOSA, ILCI, IRCA, DNV, Insurance Institute of America, FPA, FAIS commercial insurance, Asset & Maintenance Management, Risk Management courses, etc. Experience : Engineering Geologist: 8 years

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LEIGHTON BENNETT RESUM É

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  1. LEIGHTON BENNETT RESUMÉ • Qualifications: • BSc, MDP dip,. • Various SHE courses: NOSA, ILCI, IRCA, DNV, Insurance Institute of America, FPA, • FAIS commercial insurance, Asset & Maintenance Management, Risk Management courses, etc. • Experience: • Engineering Geologist: 8 years • NOSA H&S Advisor & Trainer: 2,5 years • Loss Control Manager: 11 Years (10 years NOSA 5 Star, metal industry, 2000 staff) • Insurance Brokers’ Risk Consultant: 8 years • Benrisk Consulting: SHE & Risk Management Consultant: since 1999 • Professional & Affiliations: - ROSProf, FIoSM, AIRMSA, - Serves on OHSAP, SFA, IoSM Registration Lead Auditor, & has served on ASOSH, MQA (SQCG/SGG) • Minister of Labour appointed Safety Specialisthas served on the Advisory Council on Occupational Health & Safety established under OHSAct Sections 2 to 4, 2004-2008 • Author: • 2006 Risk Assessment booklet published by Safety First Association - • Volume 23, DEAT’s Environmental Management Information Series, 2006 publication on Risk Management. • Specialities: • Occupational Safety, Hygiene & Micro Environmental, Fire, Engineering, Insurance Underwriting Surveys ( with fire & machinery breakdown EML’s), Inspections, Audits, Legal Compliance, Risk Assessments, Risk Controls, Incident Investigations, Construction Work Specification and SHE Plans, etc, Benrisk Consulting CC

  2. DOING BASELINERISK ASSESSMENTS: Master Class Leighton Bennett SHE & Risk Management Consultant Benrisk Consulting 083 325 4182 benrisk@mweb.co.za BENRISK

  3. Overview • Why do Risk Assessments? • What is Risk? • Preparing for Risk Assessments: >Types of Risk Assessments > Risk Identification > Risk Analysis > Risk Evaluation > Risk Control • Doing A Baseline Risk Assessment > Practical BENRISK

  4. This Baseline Risk Assessment Process Format The baseline risk assessment format used during this master class is based on the Safety First Association’s 2006 Risk Assessment publication. Author - L Bennett

  5. Why do Risk Assessments? • To identify potential hazards. • To identify potential exposures. • To identify if more potential risks exist. • To establish the potential magnitude of these risks. • To consider if the measures applied are adequate & effective. • To establish if more measures need to be applied to reduce the risks. • To establish what controls need to be included into the safe working &/or process standards • To ensure legal compliance. BENRISK

  6. Why do Risk Assessments? LEGAL REQUIREMENT…… > OHSAct’s section 8, Employer’s duties (inferred) > OHSAct’s Hazardous Chemical Substances Reg 5 > OHSAct’s Major Hazardous Installation Reg 5 > OHSAct’s Construction Regulation 7 > OHSAct’s Lead Regulation 6 > OHSAct’s Asbestos Regulation 6 > OHSAct’s Noise Induced Hearing Loss Regs 6 & 7 > MHSAct’s Section No. 11 > BCoEAct’s Schedule: Code of Practice on Arranging Working Time How can we control or set control standards for any risk, if the risk has not been assessed? BENRISK

  7. Where Does Risk AssessmentFit In? Risk Assessment where Incident Investigation Proactive Risks Recognition Reactive ‘Risks’ Assessment Lack of control Incident Investigation Immediate Causes Basic causes Risk Assessment Losses Contact Incident Causation Model BENRISK

  8. Where Does Risk AssessmentFit In? The new “Domino” is the Lack of Risk Assessment Lack of Risk Assessment Basic causes Contact Immediate causes Lack of control Losses Incident Investigation Risk Assessment Updated Incident Causation Model BENRISK

  9. Where Does Risk AssessmentFit In? The first step of the Risk Management Process: • RISK ASSESSMENT <<<<<<<<^^ = Identifying the Risks (ie. hazards & exposures) = Analysis or Evaluation of the Risks = Value Judging or Appraising the found Risks • RISK CONTROL = Putting Control Measures in place (eg. the 4T’s) • RISK FINANCING = Providing financing to pay & recover from losses • Then, REVIEWING, MONITORING & REVISING>>>^^ BENRISK

  10. RISK ASSESSMENT THE IDENTIFICATION OF UNDESIRED EVENTS, THEIR CAUSES & ANALYSING THEIR LIKELIHOOD & POTENTIAL CONSEQUENCES - CONSIDERING EXISTING CONTROL MEASURES - IN ORDER TO MAKE AN EVALUATION AS TO THE RISK EVENT’S ACCEPTABILITY BENRISK

  11. WHAT IS A RISK? The term ‘RISK’ has different meanings depending on the context of use: • As SITUATION ELEMENTS meaning: • Hazard = A condition or practice with the potential for causing harm &/or • Exposure = A condition of being unprotected against potential harm or subjected to a risk BENRISK

  12. WHAT IS A RISK? 2. AsEVALUATION PARAMETERS meaning: • Likelihood or Frequency (3x /year) or Probability(1 in 50) AND • Consequence or Severity(in R/$/£/€) 3. As an INSURANCE RISK meaning: The Insured or the Insured’s property 4. As a TERM of UNCERTAINITY meaning: Is a variation of the actual outcome from the expected outcome (measured in std deviation) BENRISK

  13. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  14. Identifying the Context Issues What is the business & risk relationship? What are the business objectives? What are the likely business risks & their causes? Who are the stakeholders? What are the stakeholder perceptions & interests that need consideration? What risk/s criteria needs to be established? What are the internal & external context issues?

  15. Objective of the Risk Assessment To Identify the Risks related to: • Regulatory compliance • Worker safety • Process and design safety • Public safety & Major Hazardous Installations • Decision support for system modifications • Economic loss elimination • Environmental impact • Due diligence for a business transaction BENRISK

  16. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  17. Risk Subjectivity vs Objectivity • Our “Gut Feel” risk perceptions are subjective, so our individual risk assessment could be seen as biased. • By risk assessing in a group, the consensus approach is more objective, giving a more balanced assessment outcome. • Consequently wherever possible use a team assessment approach when performing risk assessments. BENRISK

  18. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  19. What Type of Risk Assessment? • BASELINE: to determine the wide range & current status of risks associated with a company, a business or a project, with a set of risk profiles being obtained • ISSUE-BASED: to distinctly & clearly delineate & quantity risks associated with particular aspects of an activity, a process, a hazard, job-task or an area? • CONTINUOUS: the ongoing assessment or schedule of periodic reviews, by supervision, to verify good practice compliance & to monitor the extent to which the static or dynamic changes of risk, impacts on the workplace conditions, processes or activities. Any new or changed risk noted is then to be re-assessed BENRISK

  20. Assessment Types: Baseline Issue Based Continuous Type Examples: New plant or construction project General operation H&S analysis Project impact on the public Machinery safeguards Operation process change Chemicals handling & use Confined space working Planned inspections Critical task analysis Planned job observations Toolbox talk compliance RISK ASSESSMENT EXAMPLES BENRISK

  21. Gathering Information To have info available for assessment input: • Previous risk assessments • Site, equipment & process (P&ID) drawings • Operational manuals &/or work procedures • Previous inspection records • Incident investigation records Having knowledgeable assessment participants BENRISK

  22. Assessment Conditions • Decide if the “worst case” or “other” conditions are to be considered when assessing the risks. • Worst Case: reduces conditions assumptions: eg. >>Scaffold defective as not built to SANS standard – vs – ` >> Scaffold compliant, so assumed safe? but are all the risk requirements fully applied? .... Generally unlikely!! • Assuming the worst case allows for existing risk controls to be evaluated & new controls suggested BENRISK

  23. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  24. Risk Analysis Risk Analysis is the process of evaluating the FREQUENCIES (& EXPOSURES) & CONSEQUENCES of risk occurrences of a hazardous nature, activity or exposure BENRISK

  25. ANALYSING THE RISK • Each risk identified should have an estimate made of the risk potential foreach risk found. • The Risk is determined using a Risk Formula: >Like 2 elements & a 3x3 to 5x5 Risk Level Matrix format, Risk = Frequency x Consequence, >Like3 elements & a 3x3x3 to 5x5x5 Risk Level format, Risk = Likelihood x Exposure x Consequence, ie. 3x3, low (1), medium (2) & high (3) to a 5x5, very low (1) to very high (5) format scale, • Each element of the risk formula is described in risk descriptor value terms giving a risk rating value • The risk rating values can be risk ranked to provide a risk value magnitude prioritized risk profile BENRISK

  26. Risk Levels Matrix (3 elements, 5x5x5 format) BENRISK

  27. Risk Rating (5x5x5 format) BENRISK

  28. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  29. Risk Evaluation Evaluationis the decision if the risk ranking value is an acceptable level of risk in terms of the: • Operation’s Risk or Loss Bearing Capacity or Risk Appetite, • Legal or liability, • Social, • Moral, • Environmental, • Reputational &/or • Financial criteria, etc & King III: triple bottom line requirements? BENRISK

  30. Risk Evaluation Decision Outcomes Deciding if the risk evaluated is acceptable or not in terms of: • The risk is negligable & so is acceptable • The risk is tolerable at current level • The control measures are controlling risk at ALARP (As Low As Reasonably Practicable) • The company’s loss bearing capacity • Management’s risk aversion • The risk is unacceptably high & so is not tolerable BENRISK

  31. Risk Evaluation Matrix BENRISK

  32. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  33. Risk Control Techniques There are 4 main techniques, named differently: • Risk Avoidance - Terminate - Decline Taking action so as to not incur the risk in the first place • Risk Elimination - Tolerate - Accept Doing away with or changing the risks to an acceptable level • Risk Transfer - Transfer - Transfer Non-insurance contractual transfer of the consequence of risk • Risk Reduction - Treat - Mitigate Reducing the risk by controlling its frequency & severity BENRISK

  34. RISK CONTROLS BENRISK

  35. Risk Control Treatments (8E’s) • Evaluating procedures (practices & standards) • Engineering redesign or improvements • Education and training (induction and job) • Employment practices (selection, placement) • Example setting (leadership & motivation) • Enthusiasm (encouragement & acknowledgement) • Enforcement (warning, counseling, discipline) • Establish a further risk assessment BENRISK

  36. Preparing for Risk Assessments There is a need to: • Identify the context issues • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not Decide on the analysis criteria: risk functions & levels • Decide the evaluation approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  37. Recording the Risk Assessment Process Why? Record for assessment proof & future reviews Single Assessor (eg. Appointed risk assessor): • Tabular format • Hard copy or soft copy? Group Assessment: • Tabular format • Soft copy, with all participating (eg. PC & projector) • Easy to amend, update & distribute, etc BENRISK

  38. The 3 Element 3 Risk Level Assessment Worksheet (3x3x3 format) BENRISK

  39. Risk Rating Example (5x5x5) BENRISK

  40. Preparing for Risk Assessments 10 There is a need to: • Establish the objectiveand anticipated desired results • Select a knowledgeable & experienced team • Decide what type of risk assessment • Gather information: drawings, manuals, records, RA’s, etc • Decide on the conditions: worst case (no safeguards) or not • Decide on the evaluation criteria: risk functions & levels • Decide the value judgement approach • Decide if risk control suggestions are to be made or not • Have a means to record the process and findings • Decide the venue, time, capacity and budget demands BENRISK

  41. The Baseline Risk Assessment Process - by a team • Decide what is to be risk assessed? eg. a project or a job task? • Decide what type of risk assessment (baseline or issue based) is to be done? Assume a Baseline risk assessment • On what is this assessment to be focused? Apply the PEPMELF approach to cover the various resource aspects. • Make the observations or brainstorm the scenario, looking for resources at risk that will impact on each PEPMELF element • Identify the hazards &/or exposures that could cause harm or loss, etc related to each PEPMELF element in turn. • Evaluate the consequences of each risk identified & establish the risk ranking values. • Consider the mitigating precautions in place & what else may have to be done to reduce the risk. • Record your findings for later review or revision BENRISK

  42. Doing Baseline Risk Assessments • Record all the issues established & suggested • Identify the Resources at Risk • Identify the potential risks per each Resource • Evaluate the magnitude of the each risk identified • Evaluate what risk controls are in place • Judge if the risk controls applied are adequate • If no, suggest new or upgraded risk controls BENRISK

  43. IDENTIFYING RISKS:Hazards & Exposures Various methods can be use to identify risks: • Standardized surveys or questionnaires (eg. insurance) • Personal inspections (eg. fire, safety, maintenance, etc) • Records and files (eg. minutes, incident & audit reports) • Financial statements (eg. close loop, division of labour) • Flowcharts and drawings (eg. flow bottlenecks, P&ID) • Brainstorming (eg. issues and scenarios) using PEPMELF • Knowledgeable people (eg. employees & experts) • Hazard Analysis Techniques (eg. HAZOP, What-if, FTA) BENRISK

  44. PERFORMING RISK IDENTIFICATION INSPECTIONS SEARCH FOR:hazards, exposures, potential accidents / incidents, near misses (hits) and damage, produced by: • The work activities or job tasks being performed • The machines or equipment used • The materials handled, used or being disposed of • The operating processes, procedures, methods,etc • The working environment areas (eg. at height - off ladders, scaffolds, / in excavations, pits, / environmental impairment & pollution, etc) • Repeating observations to identify more/all risks BENRISK

  45. Risk AssessmentPhysical vs Brainstormed Situations Low hanging toilet lighting Confined space entry BENRISK

  46. WHAT RESOURCES AT RISK? P = People E = Equipment P = Process/ Procedures/ Practices M = Materials E = Environment - macro & micro L = Legal & Liability F = Finances Good for risk identification brainstorming BENRISK

  47. Brainstorm the PEPMELF Risks Identify the who, what, where, when, which, why … that could impact on the PEPMELF resources at risk? • People • Equipment • Process, Practices or Procedures: • Materials • Environment • Legal &/or Liability • Finances BENRISK

  48. People at Risk?- example • Employees (permanent &/or casuals) • Supervision / Management • Customers / Public • Maintenance • Operators / Drivers • Service Providers / Suppliers • Contractors • Others?… Visitors , Public? BENRISK

  49. Possible People Hazards & Exposures from: • Struck by or against something • Fall from height or on same level • Caught in, on or by something • Caught against, between or under something • Contact with heat, electrical, chemicals, cold, etc • Subject to noise, dust, vapours, radiation, etc • Overstressed by overexertion, overload, ergonomics • Manual stressed by lifting, pulling, pushing, bending • In an unsafe or unprotected position • Doing something wrong or unsafe, etc, etc BENRISK

  50. Possible Plant, Machinery & Equipment Hazards & Exposures from: • Inadequate or dysfunctional controls • Poor or inadequate maintenance • Inadequate lubrication, cooling, ventilation, lighting • Excessive wear & tear or running to failure • Defects, wrong application or unfit for purpose • Operational or sequence malfunction or failures • Poor design, modification or change management • Inadequate protection – guards, trips, sensors, reliefs, etc • Inadequate capacity or output • Fire, explosion, flood condition or ignition potential • Spillage, contamination release or high wastage rates BENRISK

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