NOTES ON HAZARD IDENTIFICATION AND RISK ASSESSMENT (HIRA) PROCESSES

Transcription

1 NOTES ON HAZARD IDENTIFICATION AND RISK ASSESSMENT (HIRA) PROCESSES FOREWORD At the inaugural Mine Health and Safety Summit in October 1998, the issue of the wide variation in content and quality of risk assessments being conducted at mines was raised. In the discussions that followed the summit it was agreed that it should be recommended to employers that mines should follow the principles contained in the booklet entitled: SIMRAC Practical Guide to Risk Assessment. This recommendation was included in a set of recommendations arising from the summit, which was forwarded to employers by the Mine Health and Safety Council. The SIMRAC Practical Guide to Risk Assessment was produced as a SIMRAC funded project in 1997, and a copy of the final document was distributed to each of the SIMRAC levy paying mines. On critically examining the SIMRAC Guide after the summit, employers felt that there was a need to produce this document in order to provide guidance to the mining industry for harmonisation in terms of: The use of common definitions and vocabulary; Providing a common understanding of the three types of hazard identification and risk assessments (HIRA) commonly being used in the mining industry; and Understanding the interrelationship of the three types of hazard identification and risk assessments (HIRA), within the broader risk management process. This document was drafted by a task group established by the Occupational Health and Safety Policy Committee, a policy committee of the Chamber of Mines of South Africa that serves as the employer caucus body for tripartite structures under the Mine Health and Safety Act.

2 CONTENTS Section 1 Background & Section 11 of the Act 2 Objective of this Document 3 Risk Management and the HIRA 4 Types of HIRA 4.1 Baseline HIRA 4.2 Issue-based HIRA 4.3 Continuous HIRA 5 Definitions / Common Vocabulary Page 1. BACKGROUND & SECTION 11 OF THE ACT In the past risk management in the mining industry was mainly focussed on financial risk. However, the Leon-Commission of Inquiry, in line with UK regulation and ILO conventions concluded that the mining industry should provide for risk management and mitigation in the management of occupational health and safety (OH&S). This recommendation was included as one of the corner-stones of the Mine Health and Safety Act No. 20 of 1996, in line with the thinking that OH&S is judged by the acceptability of OH&S residual risk and not by the absence thereof. In terms of section 11 of the Act an employer must assess and respond to risk. More specifically the employer must: Identify hazards Assess risks Record significant hazards and risks Make records available for inspection by employees And, after consulting the health and safety committee on the mine, the employer must: Determine all measures, including changing the organisation of work and the design of safe systems of work, necessary to: eliminate any recorded risk; control the risk at source; minimise the risk; and, insofar as the risk remains : provide for personal protective equipment; and institute a programme to monitor the risk to which employees may be exposed.

3 The identification, assessment and treatment of risk, outlined above, are all elements of a risk management process. 2. OBJECTIVE OF THIS DOCUMENT The objective of this document is to provide guidance to the mining industry for harmonisation in terms of: The use of common definitions and vocabulary. The guide uses and defines certain terms, which are also grouped together in Attachment 1 (Definitions). These are shown in bold capitals in the text, where they are first used. It is strongly recommended that these definitions be used in the South African mining industry, to prevent confusion and to ensure consistency. Providing a common understanding of the three types of hazard identification and risk assessments (HIRA) used. Understanding the interrelationship of the three types of hazard identification and risk assessments (HIRA), within the broader risk management process. This guide explains the principles of the HIRA process so that those developing their own approaches are aware of the key ingredients and some of the potential pitfalls. It is not intended to be a guide to experts and, in many cases, those who are conducting HIRA will need further training and advice on particular techniques and approaches. Some emphasis is placed on a broad explanation of the relationship between HIRA and risk management. Although this document does not extend to explaining the complete process of risk management (i.e. it excludes the sub-process of risk treatment), attachments are provided for the purpose of making some explanations available for reference. The notes take cognisance of international thinking. 3. RISK MANAGEMENT AND HIRA It is important to note that risk management and HIRA are not synonymous, but that the latter forms part of a bigger, more comprehensive management approach. Hazard identification and risk assessment are two of the first process steps in the risk management process in an organisation. Risk management, which includes risk treatment, results in various outcomes, including : existing codes of practice, standards, rules, procedures and work instructions are reviewed, and/or new practices are developed; an outcomes-based education and training philosophy to OH&S is developed;

4 the effectiveness of existing management systems is reviewed; and compliance and progress is monitored continuously. A primary objective of risk management is to assist the organisation to address foreseeable significant OH&S risks. The focus should be placed on ways and means to control the effect of identified OH&S hazards only when it becomes clear that it is practically impossible to eliminate the specific hazards. A process diagram that depicts the elements described in the Act is shown in Figure 1. General Observations HIRA is an ongoing process, and should not be regarded as a one-off exercise; HIRA should be undertaken systematically, in order to identify and record significant risks; It is important that complete records are kept for future reference; and Manufacturers and suppliers also have duties relating to HIRA (see section 21 of the Mine Health and Safety Act)..

5 After consulting the Occupational Health and Safety Committee on mine, follow the Risk Treatment strategy of the MHSA IDENTIFY HAZARDS EVALUATE RISKS RECORD SIGNIFICANT HAZARDS & RISKS ELIMINATE RECORDED RISKS ACCEPTANCE ACCEPTANCE Residual Risk ACCEPTANCE MAKE RECORDS AVAILABLE FOR INSPECTION 4 6 CONTROL THE RISKS ACCEPTANCE ACCEPTANCE Residual Risk MINIMISE RISKS AT SOURCE ACCEPTANCE 7 Residual Risk PPE & MONITORING PROGRAMME 8 HAZARD IDENTIFICATION RISK ASSESSMENT RISK TREATMENT HAZARD IDENTIFICATION AND RISK ASSESSMENT (HIRA) RISK MANAGEMENT Figure 1 - The Risk Management Process (Section 11 of the MHSA) 4. TYPES OF HIRA There are three types of hazard identification and risk assessments: Baseline HIRA; Issue-based HIRA; and Continuous HIRA. They are all inter-related, and form an integral part of a management system. A brief description of each of the three types of HIRA is given below, followed by a schematic depiction of the relationships between them that should lead to a process of continuous improvement in OH&S performance. Each of the three types of HIRA are depicted schematically in attachments to this guide.

6 4.1 Baseline HIRA Purpose The purpose of conducting a baseline HIRA is to establish a risk profile or a set of risk profiles. It is used to prioritise action programmes for issue-based risk assessments. Output The output of a baseline risk assessment is : (a) a risk profile or set of risk profiles; and (b) a clear description of the methodology, system, terminology etc. used in the scoping exercise, and what may be required for the improvement of the baseline HIRA in the future. Xx heading? Each mine or operation should decide on the risk profile areas that are most appropriate (eg. risks associated with geographical areas, occupations and tasks, processes etc.).

7 Risk Profile all the Geographical Areas Risk Index Milling section Mining Services Recovery section Chemical laboratory Crusher section Treatment section Ore disposal Business Services Stores Shaft Sinking Surface Transport Vertical Transporting Horizontal Transporting Developing Stoping Figure 2 - Example of a risk profile. The risks should be listed in order of significance. An example of a risk profile is shown in Figure 2, and a schematic depiction of a possible process to arrive at such a risk profile is shown in Attachment 1. The baseline HIRA is normally reviewed on an annual basis, to support business planning and budgeting, or when circumstances could significantly change a risk profile. 4.2 Issue-based HIRA Purpose The purpose of conducting an issue-based HIRA is to conduct a detailed assessment study that will result in the development of action plans for the treatment of significant risk. Output The output of an issue-based HIRA is clear recommendations to management for further action in terms of Section 11(2) of the MHSA.

8 Xx heading? Risk profiles from the baseline HIRA form the basis for establishing issue-based HIRA programmes. The issue-based HIRA programme can be modified when necessary due to, for example: accidents or "dangerous occurrences"; new designs, layouts, equipment, or processes, etc; findings that come to the fore during continuous HIRA; requests from employees; a change in the risk profile; and new knowledge and information becoming available on the level of risk to employees. A schematic depiction of a possible process to conduct an issue-based HIRA is shown in Attachment 2. On occasion, more formal techniques (such as HAZOP, etc) can be used. 4.3 Continuous HIRA Purpose The purpose of conducting continuous HIRA is to: identify OH&S hazards with the purpose of immediately treating significant risks; gather information to feed back to issue-based HIRA; and gather information to feed back to baseline HIRA. Output? Xx heading? Continuous HIRA should take place continually, as an integral part of day to day operations management. It may not use the more sophisticated HIRA techniques which are deployed in baseline and issue-based HIRA but, in terms of ensuring safety and absence of health risks in the workplace, this form of HIRA is possibly the most powerful and important. It is predominantly conducted by first-line supervisors. Formal training should be provided to enable this process to be efficient. The following could form part of continuous HIRA: inspections and observations; medical surveillance;

9 occupational hygiene measurements; planned maintenance systems; pre-work assessments; and OH&S audits. In continuous HIRA, the emphasis is on day to day hazard awareness, through HIRA, and immediate risk treatment. In developing hazard awareness, memory joggers such as inspection checklists, pre-use checklists, and critical part and paths checklists, can be produced from management controls that are a product of issue-based HIRA. Planned Task Observations could also be conducted on an ongoing basis. 4.4 The Inter-relationship between Types of HIRA Figure 2, below, illustrates the relationship between the different types of HIRA. 1. Risk profiles are used for planning the issue-based HIRA action programme. 2. Provides clear guiding principles (terminology, requirements, etc) for compatibility, so that the issue-based HIRA and continuous HIRA are more effective, enabling continuous improvement. 3. Codes of practice, standard procedures and management instructions etc and new information from issue-based HIRA can be used to improve on the continuous HIRA, and update the baseline HIRA so that it remains comprehensive. 4. The issue-based HIRA and baseline HIRA draw from the data captured by the continuous HIRA process to be effective. 5. The risk management process serves (informs??) management. Continuous Risk Assessment 4 2 Baseline Risk Assessment Management Issue-Based Risk Assessment Figure 2 The inter-relationship between different types of HIRA.

10 The following principles are important: Keep the process simple, realistic and practical Steer away from difficult probabilistic statistical techniques during risk estimation. Rather use subjective techniques. Ensure and demonstrate total transparency Focus on the significant OH&S risks first Follow the risk management strategy prescribed by the Mine Health and Safety Act Ensure participation of as many employees as practical possible Never underestimate the contribution of even the lowest level of employee Be systematic in your approach while recording the steps taken and motivation for recommendations and decisions.

11 5. DEFINITIONS / COMMON VOCABULARY It is preferable to use definitions that are contained in: the Mine Health and Safety Act; the ISO/IEC Guide 51 : Safety Aspects -Guidelines for their inclusion in standards; and the soon-to-be-finalised ISO guide on risk management terminology (see SABS TC 178). For example, the terms hazard and risk are defined in section 102 of the Mine Health and Safety Act as follows: Hazard - Means a source of or exposure to danger. (Alternatively, a HAZARD is something that has the potential to cause HARM. This includes substances, machines, methods of work or other aspects of work Organisation; (The term danger is not defined in the Act)) Risk - Means the likelihood that occupational injury or harm to persons will occur. (Alternatively, RISK is the LIKELIHOOD that the harm from a particular hazard will occur; The extent of the risk depends on not only the severity of the harm to a person but also the number of people who will be harmed. Risk therefore reflects both the likelihood that the harm will occur and its severity in terms of the degree of harm and the number of people harmed). Explanation of other terms A suitable and sufficient risk assessment: a) means considering those risks which are likely to arise because of work and work activities; b) should enable development and implementation of action, where appropriate, of systems to manage the risk; c) should be appropriate to the nature of the work so that it remains valid for a reasonable period of time. (Alternatively, Suitable and Sufficient also means that you have done equal to or better than your colleages in your industry on the following aspects: 1. Knowledgeability of the Hazard and it s associated Risk 2. Application of Engineering designs to manage it 3. Application of Supervision and Training skills to manage it 4. Sufficient PPE)

12 Note : For members information the section on definitions of ISO/IEC Guide 51 is reproduced below : 3 Definitions For the purposes of this Guide, the following definitions apply. 3.1 harm: physical injury or damage to the health of people either directly or indirectly as a result of damage to property or to the environment 3.2 hazard: a potential source of harm NOTE The term hazard is generally qualified in order to define its origin or the nature of the expected harm (e.g. electric shock hazard, crushing hazard, cutting hazard. toxic hazard, fire hazard. drowning hazard). 3.3 hazardous situation: a circumstance in which a person is exposed to a hazard(s) 3.4 hazardous event: a hazardous situation which results in harm 3.5 risk: a combination of the probability of occurrence of harm and the severity of that harm 3.6 residual risk: risk remaining after protective measures have been taken (See figure 1.1) 3.7 protective measure: the combination of risk reduction strategies taken to achieve at least the tolerable risk NOTE Protective measures include risk reduction by inherent safety, protective devices, personal protective equipment, information for use and installation, and training. 3.8 tolerable risk: risk which is accepted in a given context based on the current values of society (See Figure 1 and also paragraph 3 of clause 6.] 3.9 safety: freedom from unacceptable risk (Based on ISO/IEC Guide 2: 1996, definition 2.5.) 3.10 intended use: the use of a product, process or service in accordance with specifications, instructions and information provided by the supplier 3.11 reasonably foreseeable misuse: the use of a product, process or service under conditions or for purposes not intended by the supplier, but which can happen, induced by the product, process or service in combination with, or as a result of, common human behaviour 3.12 risk analysis: the use of available information to identify hazardous events and to estimate the risk 3.13 risk evaluation: the process in which on the basis of risk analysis and taking into account factors such as social, economic and environmental aspects, judgements are made on acceptability of the risk 3.14 risk assessment: the process of risk analysis and risk evaluation NOTES: 1) Tolerable risk may vary depending upon the current values of society applied to the hazardous Situation 2) Although risk without protective measures is normally greater than the tolerable risk, it may be equal to tolerable risk. (See clause 6.) 3) Residual risk is the risk which is left after the risk reduction process. It is less than or equal to the tolerable risk.

13 CONCLUSION??? Summary of the Attachments Attachment 1 Baseline HIRA - A schematic depiction of a possible process 2 Issue-based HIRA - A schematic depiction of a possible process 3 Continuous HIRA - A schematic depiction of a possible process Page Note : The marked-up changes to the Attachments have been enclosed. These will be presented in a final form after the meeting.

14 Attachment 1 Baseline HIRA Process Scan the complete business process and identify the hazards and determine the respective risks under the following headings i.e. Geographical Areas, Activities, Occupations and Tasks. Definition Description Workplace / Area i.e. Plant milling section / Stope stope face - gulley / Haulage cross cut / Shaft station bottom etc. Geographical Areas Determine all the geographical areas of the business. Determine the risk (HIRA) within each of these geographical areas (brainstorming and techniques) using data from reactive info (accidents & incidents) and proactive (inspections & observations) continuous HIRA process. I.e. drilling, loading, lashing, cleaning, preparing, driving all those with the suffix ing. Activities List all the activities within each of the geographical areas and determine their respective risks (HIRA) through brainstorming, reactive and proactive information. I.e. driller, loader, lasher, cleaner, driver etc. I.e. drill a hole, load with a loader, lash with a shovel, prepare a face, clean with a hose, etc,. Occupations Tasks List all the occupations involved within each geographical area involved in the respective activities and determine the significant ones, brainstorming, reactive List all the tasks that are performed by each occupation within each geographical area in the respective activities and determine the significant ones. Compile Risk Profiles i.e 48 Risk Profile of Geographical Areas Risk Profile of Geographical Areas Risk Profile of TOP 15 Occupations Risk Profile of TOP 15 Occupations Risk Index 36 Risk Index Risk Index Risk Index Stoping Stoping Developing Developing Transporting Horizontal Transporting Horizontal Transporting Transporting Vertical Surface Transport Surface Transport Vertical Shaft Sinking Shaft Sinking Stores Stores Services Services Business Business Ore disposal Ore disposal section Treatment section Treatment section section Crusher Crusher Chemical laboratory Chemical laboratory Recovery section Recovery section Services Services Mining Mining Milling section Milling section Machine Driller Machine Driller Leader Leader Mining Team Mining Team Winch Operator Winch Operator Stope Team Stope Team Stoper Stoper Developer Developer Team Team Development Operator Development Operator U/g Loco U/g Loco Miners Assisstant Miners Assisstant Shiftboss Shiftboss General Miner General Miner Loader Operator Loader Operator Operator Operator Water Jet Water Jet Haulage Team Haulage Team Diamond Driller Diamond Driller Issue Based HIRA Programmes

15 Attachment 2 Issue Based HIRA Process Reactive Info Accidents & Incidents Proactive Info Inspections & Observations Change Management Baseline Risk Profiles Health & Safety Committee Determine Significance Mandate & Scope Establish Team Facilitator & Experts Vertical slice of team Employee Involvement Thinking, Techniques, History, Baseline Info occupations activities tasks, Probabilities, Consequence, Frequency, Upstream, Downstream, Etc. Competent Person i.e. Project Leader In Depth Study Recommendations Health & Safety Remedial Measures Monitor & Review

16 Attachment 3 Continuous HIRA Process Inspections, Measurements, Observations All Working Areas Safety Functionary, Supervisor & H & S Rep s WHO Supervisors, Employees & H & S Rep s O P Monthly to Quarterly or as prescribed WHE N Day to Day E R A Planned Inspections Observations Audits HOW Hazard Identifications Planned Inspections Checklists T I Identify Hazard Assess Risk Advise WHA T Identify Hazard Prioritise A, B, C O N A Remedial Measures Remedial Actions L Residual Risk Acceptable Residual Risk Unacceptable Monitor Database Issue Based Baseline Significant Areas M A N A G E R I

17 H & S Committee Remedial Measures Monitor Attachment

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