2/11/2018

Risk Assessment Workshop

Pam Walaski, CSP, CHMM
Director, Health and Safety
GAI Consultants, Inc.
Pittsburgh, PA

Today’s Plan of Action

Benefits of Risk Assessment

Risk Assessment Definitions

Identifying Your Organization's Top Five Risks

Risk Management Framework

Conducting a Risk Assessment – Risk Identification, Risk
Analysis, Risk Evaluation

Customizing a Risk Matrix

A new appreciation for the Hierarchy of Controls

Quantifying risk reduction

1
 2/11/2018

Risk Management – ANSI/ASSE Z690

Benefits, Framework, Definitions

OSH (R)evolution

OSH Professionals rethinking the tenets that
determine how we practice and lead

Compliance-based approaches running out of steam

Managing risks of the workplace required a risk-
based approach embedded in a OSH management
system

Mistakes or evolution?

2
 2/11/2018

Benefits of Risk Management

Proactive Approach

Incident Prevention

Risk Profile Reduced

Operating
Efficiency/Costs Reduced

Better Management of
Resources

Employee Engagement

Risk Management Framework

Establishing the
Establishing the context
context
Risk Assessment
Risk identification

Communication
Monitoring and
and Risk analysis
Review
Consultation

Risk evaluation

Risk treatment

ANSI/ASSE Z690

3
 2/11/2018

The Language of Risk

ANSI/ASSE Z690

Risk

Hazard

Exposure

Consequences/outcome

Probability/Likelihood

Trigger event

Risk Management – ANSI/ASSE Z690

Definitions

4
 2/11/2018

The Language of Risk

Risk –

Hazard –

Exposure –

The Language of Risk

Likelihood/probability –

Consequences -

5
 2/11/2018

The Language of Risk

Risk Acceptance –

Risk Appetite –

Risk Attitude –

Risk Management – ANSI/ASSE Z690

Communicating Your Top 5 Risks - Video

12

6
 2/11/2018

Risk Management – ANSI/ASSE Z690

Risk Assessment – Three Steps

13

Risk Assessment – Risk Identification

7
 2/11/2018

Risk Assessment
Step 1: Risk Identification

Review tasks by department,
Establishing the context
Establishing the context process, project, etc.

During Incident/Near Miss
Risk Assessment

Risk identification

Investigations
Communication and Monitoring and

Identify the hazards and the

Consultation Risk analysis
Review

Risk evaluation
additional aspects that
Risk treatment
characterize risk – sources,
energy, trigger event(s),
consequences

15

Risk Identification Techniques

Evidence Based Methods - information gathered by
employees or outside resources to identify hazards

Examples:

8
 2/11/2018

Risk Identification Techniques

Systematic Team Approaches – information is gathered
in groups of internal/external stakeholders to identify
hazards.

Examples:

Risk Identification Techniques

Inductive Reasoning Techniques – technique used to provide
evidence for identifying hazards

Examples:

9
 2/11/2018

Hazard and Energy – Key Connection

All risks derive from hazards

For OSH, injuries/illnesses derive from hazards

No hazard - no injury/illness

Energy (risk source) is intertwined with OSH hazards
o Energy is the source of harm for OSH hazards
o Hazard with no energy - no injury/illness
o Exposure to energy from hazard creates outcome

Hazards, Energy and Trigger Events

Trigger event(s) are also intertwined with hazard:

Trigger event is the actual cause of the injury –
how energy from hazard impacts the individual,
piece of property, environment, etc.

Hazard + Energy + Trigger Event = Injury/Illness

No Energy + Trigger Event = No Injury/Illness

10
 2/11/2018

Risk Identification
The fundamental goal then -
• Eliminate the hazard - energy doesn’t matter
• Can’t eliminate the hazard - control the energy

Risk Identification
Activity Hazard (How Energy Trigger Consequence
(Task being can harm (Risk Events (Harm/Severity)
performed) occur?) Source) (Scenarios)

Risk Identification
Risk Identification

Activity – Lifting Hazard - Energy – Weight Trigger Event – Consequence –

40# boxes 8 Overexertion of the boxes Lifting, bending Back strain with lost
hours/day twisting time or restricted duty
Working on a
ladder
Using a bench
grinder

Wading in
stream taking
depth
measurements

11
 2/11/2018

Risk Identification
Using the last two incidents that resulted in lost
time/restricted duty or a significant near miss at
your organization, complete the table below.
Risk Identification
Activity Hazard Energy Trigger Event Consequence

Risk Assessment – Risk Analysis

12
 2/11/2018

Risk Assessment
Establishing the context
Establishing the context

Step 2: Risk Analysis Risk Assessment

Risk identification

Initial/Inherent risk - no controls

Communication Monitoring and

Existing Risk – current controls

and Consultation Risk analysis
Review

Residual Risk
Risk evaluation

Risk Factors – defined by Risk treatment

organization

Risk Levels – actions defined by
organization

Risk Analysis Tools

Make sure the tool selected:

Identifies hazards and risks

Assesses risk based upon
existing controls

Evaluates need for
additional controls to obtain
acceptable risk

13
2/11/2018

14
 2/11/2018

- ISO 73 / 31000 / 31010

- ANSI Z 690 Series

ASSE Sells Standards

You can purchase one or all of the ANSI/ASSE Z690
series here -
http://www.asse.org/ansi/asse-z690-3-2011-risk-
assessment-techniques-national-adoption-of-iec/iso-
31010-2009-/

Price per Standard

• $110.00 – PDF
• $154.00 - Print

Qualitative vs. Semi-quantitative

SEVERITY Catastrophic Critical Marginal Negligible
PROBABILITY I II III IV

Qualitative F= Frequent 1 3 7 13
2 5 9 16
ISO 31010/Z690 P = Probable

O= Occasional 4 6 11 18

R= Remote 8 10 14 19

I= Improbable 12 15 17 20

Semi-Quantitative – MIL
STD 882

Also

ANSI Z10

ANSI B11.0

15
 2/11/2018

- ISO 73 / 31000 / 31010

- ANSI Z 690 Series

Risk Factors

Consequence/Severity) - Outcome of event or
exposure

Likelihood/Probability) - Chance that it will happen

Frequency of exposure (number of events per unit time)

Frequency of occurrence (number of times before event)

What else?

Risk Matrix – Defining Risk Factors

Terms are defined differently by each organization
and type of business/risk
Outcome/Injury or Illness
Like lih o o d o f Oc c u rre n c e a n d / o r

Catastrophic Significant Moderate Minor

4 3 2 1
High High Serious Medium
Like ly
Ve ry

4 16 12 8 4
Exp o s u re

High Serious Medium Low

Unlike ly Like ly

3 12 9 6 3

Serious Medium Low Very Low

2 8 6 4 2

Medium Low Very Low Very Low

Ra re

1 4 3 2 1

16
 2/11/2018

Risk Factor – Consequence/Severity

Consequence or ANSI Z10 ANSI B11.0
Severity
(CAT) Catastrophic Death or permanent total disability Unable to return to work

(C) Critical Disability in excess of 3 months, Able to return to work at

hospitalization of > 3 people per some point
event

(M) Marginal Minor injury, lost workday incident Able to return to same job

(N) Negligible First aid or minor medical Little or no lost work time
treatment

Risk Factor – Consequence/Severity

From B11.0 (Table C.1) - Severity of Harm by Injury Type

17
 2/11/2018

- MIL STD 882D

Risk Factor - Likelihood

MIL STD 882E Suggested Probability Levels
Description Category Environmental, Safety, and Health Result Criteria
Frequent A Likely to occur often in the life of an item, with a probability of occurrence
greater than 10-1 in that life. Continuously experienced.
Probable B Will occur several times in the life of an item, with a probability of
occurrence less than 10-1 but greater than 10-2 in that life. Will occur
frequently.
Occasional C Likely to occur some time in the life of an item, with a probability of
occurrence less than 10-2 but greater than 10-3 in that life. Will occur
several times.
Remote D Unlikely but possible to occur in the life of an item, with a probability of
occurrence less than 10-3 but greater than 10-6 in that life. Unlikely, but
can reasonably be expected to occur.
Improbable E So unlikely, it can be assumed occurrence may not be experienced, with
a probability of occurrence less than 10-6 in that life. Unlikely to occur,
but possible.

Risk Factor - Likelihood

18
 2/11/2018

Risk Factor - Exposure

Likelihood Frequency of Hazard

Frequent Hazard(s) likely exists throughout the duration of the task.

Probable Hazard(s) will occasionally exist throughout the duration of the

tasks.
Occasional Hazard will sometimes exist throughout the duration of the tasks.

Remote Hazard will seldom exist throughout the duration of the tasks.

Improbable Hazards will not likely exist during this tasks.

Exposure to hazards rather than tasks

Risk Factor - Exposure

Frequent Task is performed several times an hour and/or duration may
approach at least 4 hours a day.
Probable
Sample
Task is performed several times a day and/or duration
approaches 1 hour a day.
Occasional Task is performed several times a day, and/or in typical
durations under one hour.
Remote Task is performed less than one or two times a day, or duration
may be under a few hours a month.
Improbable Task may occur only under exceptional circumstances and be
completed in just a few minutes.

19
 2/11/2018

Risk Management – ANSI/ASSE Z690

Risk Analysis: Choosing a Risk Matrix

and Risk Factors - Video

39

Customizing a Risk Matrix

Outcome/Injury or Illness
Like lih o o d o f Oc c u rre n c e a n d / o r

Catastrophic Significant Moderate Minor

4 3 2 1
High High Serious Medium
Like ly
Ve ry

4 16 12 8 4
Exp o s u re

High Serious Medium Low

Like ly

3 12 9 6 3
Unlike l

Serious Medium Low Very Low

2 8 6 4 2
y

Medium Low Very Low Very Low

Ra re

1 4 3 2 1

Work in your groups to define “acceptable risk”

– color, score, other?

20
 2/11/2018

Cause and Effect Analysis

Also known as fishbone

In use since 1960s

Works well for incident
analysis

Six elements reviewed to
determine cause

Each element has multiple
aspects

Cause and Effect Elements

Man (People)

Anyone involved with the process
Methods

How the process is performed, requirements for
performing → policies, procedures, rules, regulations,
laws and other methods
Machines

Equipment, machines, and tools required to complete
the task

21
 2/11/2018

Cause and Effect Elements

Materials

Parts, raw materials, supplies, etc. used in the
process or to produce the product
Management/Measurements

Data generated to manage/motivate conformance
Environment

Conditions (location, time, temperature, and culture)
in which the process operates

Fishbone Diagram - Brainstorming

Effect:
1. Back strain with lost
time or restricted duty
2. Concussion, broken
bones
3. Eye injury/ blindness
4. Torn rotator cuff

*Each cause
requires
evaluation for
possible control.

22
 2/11/2018

Risk Assessment - Risk Evaluation

Risk Assessment

Step 3: Risk Evaluation Establishing the context

Establishing the context

Evaluate controls to determine if Risk Assessment

Risk identification

the risk is acceptable

Communication Monitoring and

Consider additional controls for

and Consultation Risk analysis
Review

unacceptable risks Risk evaluation

Create data to make decisions Risk treatment

and monitor future actions

ANSI/ASSE Z590.3-2011, Prevention through Design

46

23
 2/11/2018

Risk Reduction

Can we use the hierarchy

to quantify risk reduction?

By points, by percentage?

Risk Management – ANSI/ASSE Z690

Quantifying Risk Reduction

48

24
 2/11/2018

Risk Reduction
Inherent Risk (no controls) =
Outcome X Likelihood

Residual Risk =
Inherent Risk - Control Reduction

Acceptable risk? Continue to

evaluate controls.

Risk Reduction - Example

Outcome X Likelihood = Inherent Risk 4 X 3 = 12
• Risk is not acceptable

Residual Risk = Inherent Risk - Control Reduction

Controls in place? Training
Reduction obtained? 20% (0.2)

Inherent Risk X Control Reduction = Risk Reduction 12 X .2 = 2.4

Inherent Risk – Risk Reduction = Residual Risk 12 – 2.4 = 9.6

Acceptable?
50

25
 2/11/2018

Risk Management – ANSI/ASSE Z690

Moving Forward - Applications at Your

Organization

51

Risk Assessment Workshop

• Questions – Comments - Closing
•Questions
•Comments
•Closingommen Closing
Questions – Comments - Closing

26