OTHM Level 7 A/618/8238 Factors Affecting Risk and Strategic Risk Intervention Assignment Answers

OTHM Level 7 Diploma in Occupational Health and Safety Management

Overview of this unit A/618/8238

The unit also seeks to equip the learners with the concept of applying and sustaining a reasonable risk management programme.

The learners will also be informed on how to determine the health and safety risks in the organisation and how to devise suitable risk control measures.

Special note:

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LO1. Understand the principles of implementing and maintaining a sensible risk management programme.

AC1.1 Evaluate the term Sensible Risk Management in relation to risk management strategy.

Answer:

Sensible risk management is a realistic and moderate form of risk identification and control in an organisation. It aims at minimising the amount of risks to a reasonable level instead of attempting to eliminate risks. Regarding a risk management strategy, it is important to note that sensible risk management contributes to making sure that the decisions are realistic, effective, and proportional.

Proportionality is also one of the main elements of reasonable risk management. This implies that the degree of control measures should be relative to the degree of risk taken. As an example, high-risk tasks like construction work would have to be highly regulated in terms of safety, and low-risk, low-office jobs might only need simple precautions. This will ensure organisations do not waste time and resources on unnecessary controls and still be safe.

Effective risk management can also help in making better decisions of a strategic nature. It enables managers to rank the risks in terms of their impacts and possible occurrences to ensure that the severe ones are handled before others. This enhances the general performance of the risk management strategy and assists in accomplishing organisational intentions without unwarranted delays.

The other significant fact is that reasonable risk management promotes an excellent safety culture. It does not intimidate or overrule but encourages awareness, responsibility, and feasibility. When they are sensible and comprehensible, employees will tend to adhere more to the safety measures.

It is, however, also worth mentioning that when not employed properly, reasonable risk management can result in the underestimation of risks, particularly when judgment is used to make decisions without adequate analysis.

Finally, reasonable risk management represents an important component of a good risk management strategy because it provides a balanced, cost-effective, and realistic risk management methodology with a contribution to the performance of an organisation.

AC1.2 Critically assess the factors affecting the choice of sensible and proportionate control measures.

Answer:

One of the aspects of risk management is that it is necessary to select reasonable and adequate control measures. Such controls must minimise risk without causing unnecessary cost or difficulty. These choices, however, are affected by other factors.

1. Cost
   The biggest determinant in the choice of control measures is cost. Budgets require management of organisations; hence, very costly controls may not always be appropriate. Nevertheless, overemphasis on cost can be a dangerous situation because cheaper options will not offer adequate protection. Thus, a balance between the price and safety is required.
   
   
2. Particle Practicability and Applicability.
   The control measures should be sensible and workable. In case a control is so complex that it cannot be used, the employees might fail to make proper use of it. This minimises its efficacy. With that, the controls must be easy, realistic and easy to implement.
   
   
3. Effectiveness of Control
   The primary aim of any control is risk reduction. There are those measures which might appear good on paper, but they might fail in real life. The risk reduction should be as high as possible, and therefore the controls picked by organisations.
   
   
4. Proportionality
   Proportionality refers to the fact that the risk should be matched by the level of control. Strong controls are required in high-risk situations, whereas low-risk situations require less complex measures. Excessive control squanders resources, and excessive laxity causes greater risk.
   
   
5. Legal Standards and Requirements.
   Organisational standards and health and safety laws shall be adhered to. Rules have to be adhered to, and non-observance of rules might result in fines or lawsuits. Therefore, the control measures should comply with necessary regulations.
   describes how associated with the job a worker is required to perform. Describes the level to which a worker is related to the job required.
   The employees should be knowledgeable and skilled in the use of control measures. Even the best controls will fail without the necessary training. Thus, training is one of the important factors.
   
   
6. Measures (Short-term vs Long-term).
   There are those that are short-term controls and those that are long-term controls. A prospective risk management policy must consist of short-term and long-term measures.

AC1.3 Discuss the organisational arrangements for implementing and maintaining an effective risk assessment programme.

Answer:

Risk assessment programme needs proper organisation in order to identify, control risks and review regularly. Such arrangements contribute to the establishment of an orderly and systematic way of dealing with risk in the organisation.

• Clear Procedures: There should be proper procedures in the conduct of risk assessment in the organisation. This involves the step-by-step instructions on the methods of identifying hazards, assessment of risks and control measures. Clear-cut procedures would ensure uniformity, and confusion among employees would be minimised.
  
  
• Recording and Documentation: Risk assessments must be properly recorded. Any risks, control measures and activities that are undertaken must be documented. This assists in monitoring progress, accountability, and evidence of adherence to legal provisions.
  
  
• Roles and Responsibilities: It is essential to have explicit roles and duties. Risk assessment, controls and checking outcomes should be carried out by specific individuals. This will make sure there are no things that are overlooked or repeated.
  
  
• Training and Competence: The required skills and knowledge should be possessed by the employees who will engage in risk assessment. Regular training should be provided to organisations in order to make the staff know how to determine risks and implement control measures. Qualified employees enhance the general standard of the programme.
  
  
• Authorisation and decision-making: Some activities, particularly those that involve a major change or expenditure, must be approved by management. Effective authorisation of decisions restricts and coordinates them with organisational resources and policies.
  
  
• Follow-up Actions: One should also do a follow-up after the identification of risks and implementation of controls. This involves ensuring that it checks whether the actions that have been taken are effective. Risk management cannot be completed without follow-up.
  
  
• Monitoring and Review: Risk assessment cannot be done on a single occasion. Organisations have to periodically review and audit their risk assessments to keep them current. New risks may be brought about by changes that take place in the workplace, like new equipment or processes.

LO2. Be able to assess health and safety risks within the organisation.

AC2.1 Outline the strategy for risk management across the organisation. 

Answer:

Risk management strategy is an arranged approach that is planned and followed by an organisation attempting to deal with risks in an efficient manner. It will make sure that risks are detected, evaluated and managed in a uniform manner across the departments.

1. Setting Objectives and Framework.

The initial phase in the plan is to identify clear goals of risk management. This is in terms of employee protection, business continuity, and legal stipulations. Companies usually have a system of guidelines that they follow to ensure uniformity.

2. Risk Identification

The organisation is supposed to determine the potential risks that may influence its operations. Such risks may be internal, like the behaviour of the staff or system malfunctions and external, like economic or legal changes. Timely diagnosis can overcome serious problems.

3. Assessment and prioritisation of risks

The risks are then evaluated according to their probability and the extent of their impact. This aids in prioritisation of the risks such that those which are the most critical are dealt with first. A systematic strategy guarantees improved decision-making.

4. The Control Measures to be implemented

Plausible control strategies are then picked and put in place. Such controls must be reasonable, feasible and consistent with the magnitude of risk. The objective is to minimise the risks to a satisfactory degree without being unnecessarily costly or complicated.

5. Monitoring and Review

Risk management is an ongoing process. As a measure to ensure that control measures are effective, organisations should be able to monitor risks on a regular basis and review them. It can be indicated that workplace change might bring some risks, and it should be updated on a regular basis.

6. Communication and Training

This is because good communication is necessary in order to make all employees realise their responsibilities in risk management. The training must be in such a way that the staff can properly follow the safety procedures according to the training they receive.

AC 2.2 Identify and evaluate an organisation's current risk control measures.

Answer:

Risk control measures refer to the measures that an organisation undertakes to either minimise or avoid risks at the workplace. These measures can be identified and assessed to promote their effectiveness and suitability.

1.  Current Control Measures Identification.

There are various control measures that are applied by organisations in controlling risks. These may include:

• Elimination: This involves getting rid of the hazard altogether.
• Substitution: This involves replacing a risk with a less risky one.
• Engineering controls: This involves the reduction of risk using equipment or systems (e.g. machine guards).
• Administrative controls: Policies, procedures and safe working practices.
• Personal Protective Equipment (PPE): It includes masks, helmets, and gloves.

These controls are normally determined by risk assessment, inspection of the workplace and safety audit.

2.  Evaluation of Effectiveness

The effectiveness will be assessed through the lenses of effectiveness, quality of life, and cost-effectiveness measures.
Once the control measures have been identified, consideration should be made of the effectiveness of such measures. Probably, there can be controls in place, but they might not eliminate the risk. As an illustration, PPE relies on the appropriate use of the employees and, therefore, could be less trusted than engineering controls.

3.  Strengths of the Existing Measures

Proper control measures are useful in diminishing accidents, enhancing employee safety, and avoiding legal actions. The engineering controls and elimination are normally more effective since the risk is mitigated at the source.

4.  Limitations and Gaps

Not all of the control measures can be dwelt on. Human behaviour is a source of administrative controls, and thus, it is susceptible to error. PPE is ineffective unless it is used properly. The controls can be old-fashioned or may not be able to meet the present working conditions.

5.  Need for Improvement

Organisations need to constantly revise their control mechanisms to identify loopholes and areas to be improved. This can be the modernisation of the equipment, better training, or better safety practices.

AC 2.3 Determine the tolerability and/or acceptability of risks using appropriate methods to identify potential exposure of employees and other people who may be affected.

Answer:

Risk management involves the process of determining whether a risk is acceptable or tolerable. It assists organisations in determining whether the amount of risk being experienced can be tolerated or whether additional controls are needed to save the lives of employees and other people.

• Knowing Tolerability and Acceptability: A tolerable risk can be undertaken in the short term, provided it is controlled and monitored. Low-level risk is an acceptable risk that does not need any further action. The choice will be made based on the severity of the damage that the risk will inflict and the probability of its occurrence.
  
  
• Use of Risk Assessment Methods: Risk assessment tools, like a risk matrix, are used in organisations to determine the probability and intensity of risks. Through the use of scores, risks may be rated as low, medium, and high. Risks that are high are unacceptable and should be taken care of immediately, whereas low risks can be accepted.
  
  

Exposure of Employees and Other Identification: One should find out who can be affected by the risk. This includes:
o    Workers dealing with hazards.
o    Contractors and visitors
o    Members of the public

The dangers to people may be identified through workplace checks, safety audits that are done, and the feedback of the employees, which is used to identify the ways in which people can be exposed to the dangers.

• Level of Exposure Evaluation: The exposure hinges on the following factors:
  o    Exposure frequency to the risk.
  o    Duration of exposure
  o    Number of people affected

When the exposure is high, the risk level is high, and therefore, less acceptable.

• Organisational and Legal Standards: The legal requirements are also important when it comes to risk acceptability. The organisations should make sure that the risks are minimised to the margins that are in line with health and safety regulations. The internal policies and industry standards are also adhered to in many organisations.
  
  
• Taking Action based on Evaluation: In case a risk is discovered as being unacceptable, then more controls need to be taken. In case it is bearable, then it must be constantly checked and checked to see that it does not escalate.

AC 2.4 Review the effectiveness of risk control measures.

Answer: 

Risk management is a key procedure that involves reviewing the effectiveness of the risk control measures. It makes sure that the controls implemented are actually performing and minimising risks to a level that is acceptable.

• Reason for Reviewing Control Measures: The key idea of auditing control measures is to verify that the measures that are put in place are effective in averting accidents and ensuring the safety of workers. It assists in recognising the weaknesses/ gaps of the present system, too.
  
  
• Monitoring and Inspection: Control measures are reviewed with the assistance of regular monitoring and checking of workplaces. This can involve inspection of equipment, work practices and that safety procedures are being performed appropriately.
  
  
• Use of Incident Data: Accident reports, near-miss records and incident investigations are all documents that organisations can review to determine whether they are effective. When the same incidents still occur, then it proves that the control measures are not functioning properly.
  
  
• Employee Feedback: The employees also have a significant role in reviewing control measures. They are able to give feedback on the ease of use and practicality of the controls. Their work experience assists in determining actual problems in the workplace.
  
  
• Performance Indicators: Effectiveness could be measured by key performance indicators (KPIs), including an accident reduction or higher safety compliance. Positive trends reflect the fact that controls are effective.
  
  
• Findings: Areas of Improvement: Organisations should take corrective measures in case the control measures are found to be ineffective. This can be in the form of the enhancement of processes, the issuance of new training or the development of more vigorous controls.
  
  
• Regular Review and Updates: The measures used to control risks must be checked on a routine basis, especially when work environment changes like the use of new machines, processes or employees. Constant review is important so that controls are appropriate and efficient.

AC 2.5 Present an evaluation of both effective and less effective control measures, along with performance improvements to selected levels of management.

Answer:

Evaluating control measures becomes important for understanding what is benefiting us and what areas require improvement. Once this information is collected, it can be presented in front of higher management, where they can use this information for more effective decision-making, which will eventually improve safety performance.

• Effective Controls Measures
  
  There are some control measures which can be very effective when it comes to reducing risk at the source. For example:
  
  o  Engineering controls are one of the best control measures, which include ventilation systems and machine guards. They both are reliable as there is no dependency of human behaviour on these two.
  
  o  Other than that, elimination and substitution are other effective control measures, as they are capable of replacing and removing any kind of hazards completely. 

Both of these controls are considered strong as they not only reduce the chances of any kind of accidents but also provide solutions for the long term.

• Less Effective Control Measures
  
  There are also such control measures which are not that effective for various reasons, as they rely on individuals. For example:
  o  Administrative controls include warning signs and procedures for doing work; these controls depend on workers following rules correctly. 
  o  Personal Protective Equipment (PPE): It completely depends on individuals as to whether they wear it properly or not. 
  These control measures are important but considered weak as compared to others that do not rely on Individuals.

These measures are still important but are weaker compared to higher-level controls.

• Evaluation Summary
  
  From the time of evaluation, it has been clear that higher-level controls that include engineering controls and elimination controls are considered to be more reliable and dependent. While the other control measures, which are considered weak or lower-level, like PPE and administrative controls that are more dependent on individuals, are less consistent.
  
  
• Performance Improvement
  
  For improving performance in the organisation, they can do the following things: 
  o    Remove lower-level control measures with higher-levels
  o    Focus more on supervision and training for better behavioural controls
  o    Keep a check on control measures, and update whenever required
  o    Invest more in equipment that is better and safer in terms of technology
  
  
• Communication to management
  
  Proper communication must be kept with higher management, and time-to-time evaluation must be presented to them in meetings or with regular reports. If the communication is better, it will help the management in handling risks and allocating resources in a better way. They will also be able to make better decisions for improving overall safety. 

LO3. Understand how to develop risk control measures.

AC 3.1 Explain the general principles of prevention in the Management of Health and Safety at Work Regulations.

Answer:

The general principles of prevention can be defined as a collection of rules that organisations apply to manage the risks and enhance workplace safety. These standards are included in health and safety standards and present an organised strategy of avoiding accidents and injuries instead of responding to them.

• Avoiding Risks: The initial principle is the avoidance of risks. This will entail the removal of hazards. An example is that by getting rid of a machine that is dangerous or halting a risky process, the possibility of harm is reduced.
  
  
• Assessment of Unavoidable Risks: In case risks are not avoidable, they have to be well evaluated. The likelihood and severity of harm should be identified by organisations so as to make decisions on the degree of control needed.
  
  
• Controlling Risks at Source: This principle is concerned with addressing risks at their origin, but not the personal behaviour. As an illustration, putting machine guards in place would be better than merely instructing workers to be cautious.
  
  
• Improving the Work for the Person: Work should also be employee-friendly. This involves taking into account physical capacities and eliminating stress, e.g. ergonomic equipment should be offered to avoid injuries.
  
  
• Accommodating Technical Change: New technology should be utilised to enhance safety in the organisation. As an illustration, dangerous tasks can be minimised by automation, where human beings are not engaged in hazardous jobs.
  
  
• Swapping Dangerous with Safer Alternatives: Whenever it is possible, hazardous materials or processes must be substituted with safer ones. This can be used to minimise the degree of risk.
  
  
• Preventing Coherence through a Prevention Policy: There ought to be a clear health and safety policy that will address all aspects of work. This will help in consistency and the plans of risk management.
  
  
• Prioritising Collective Measures: Personal protective equipment should not be given more priority than control measures that protect everybody, like ventilation systems.
  
  
• Supplying Information and Training: Proper instructions, training, and supervision of the employees should be provided so that they can work safely and appreciate risks.

AC 3.2 Evaluate common risk management strategies.

Answer:

Organisations manage risks in a timely and efficient manner through risk management strategies. The most prevalent ones are risk avoidance, risk reduction, risk transfer, and risk retention. All strategies are characterised by their benefits and constraints.

A. Risk Avoidance

Risk avoidance refers to the total elimination of the risk that involves stopping the activity or altering the process. This is the best approach since it would avoid the possibility of injury. Indicatively, redesigning a task to eliminate a risk. Nonetheless, it is not necessarily always feasible, because it can influence productivity or business practices.

B.  Risk Reduction

Reducing risk aims at minimising the probability or the effects of a risk. This may be achieved by control measures like training, safety equipment or automation. It is also popular and handy in the majority of cases. It, however, does not eliminate the risk; thus, there is still some degree of risk.

C.  Risk Transfer

Transfer of risk can be done by passing the risk to a third party, e.g. insuring or outsourcing construction to expert contractors. This assists in bringing down the financial effect on the organisation. It never gets rid of the risk, though, and the organisation can still be at fault in certain cases.

D.  Risk Retention

Risk retention refers to the acceptance of the risk, normally in cases where the risk is low or unavoidable. This may prove to be a cost-efficient measure, particularly where the cost of control is higher than the risk. Nevertheless, it may cause unforeseen losses in case the risk is not correctly comprehended.

E.  Overall Evaluation

All the strategies have their own advantages and disadvantages, and none of them applies to every situation. The combination of strategies to use varies widely in organisations depending on the level and type of risk.

AC 3.3 Develop relevant technical, procedural and behavioural control measures required using the general hierarchy of control in a chosen organisation.

Answer:

The hazards that are prone to be faced by the workers in a manufacturing company include moving machines, noise, and dangerous substances. The hierarchy of control will assist in developing effective technical, procedural and behavioural controls to deal with these risks.

Divestiture (Technical Control): The removal of the hazard is the best control. In such behaviours, e.g., manual handling can be done away with through automated systems, and this will prevent injuries. This is very effective and could be expensive in the beginning.

Substitution (Technical / Procedural Control): In instances where there is no way to eliminate hazards, they can be substituted with less dangerous ones. As an illustration, one can use less harmful chemicals in place of toxic chemicals. This will minimise risk but not eliminate it.

Technical / Behavioural Engineering Controls: Engineering controls entail physical modifications to the workplace. This may take the form of machine guards, ventilation systems and noise-suppressing barriers in a manufacturing company. These controls work due to the minimisation of risk at their origin and are not largely dependent on human behaviour.

Administrative Controls (Procedural / Behavioural): Administrative measures emphasise safe systems of work. Examples include:

• Safe operating procedures
• Permit-to-work systems
• Frequent maintenance schedules.
• Weather warning signs and directions.

Such controls are not as difficult as overtime to implement, but they rely on the ability of the workers to adhere to rules.

Training and awareness:

• Behavioural Controls: Employees should be trained to be aware of risks and safety measures. This consists of the safety inductions, regular training, and supervision. Other measures are supported by behavioural controls, which are not as reliable.
• Training: Personal Protective Equipment (Technical / Behavioural): PPE in the form of helmets, ear protection and gloves are applied as the final defence measure. It aids in minimising the effects of hazards, and it is reliant on the appropriate use of workers.