Diplomo in Nauctical Science 2ND Semester Contingency

Preparedness Notes
BY- CAPT. SAGAYA KILARAT D CRUZ

Unit 2—RISK ASSESMENT

What is risk assessment?
A risk assessment is the process of identifying what
hazards exist, or may appear in the workplace, how they
may cause harm and evaluates how to reduce the
harm.

How it works
 Identify hazards: Identify potential hazards that could
negatively impact an organization
 Evaluate risks: Determine the likelihood, probability,
and severity of potential hazards
 Develop controls: Create measures, processes, and
controls to reduce the impact of risks

Benefits of risk assessments

 Help identify inherent business risks
 Prompt measures to reduce the impact of risks
 Provide a strategic framework for enhancing safety and
security
 Help prevent and prepare for potential threats
 Define health and safety at workplace
"Health and safety at the workplace" refers to the
proactive measures taken by an employer to protect the
physical and mental well-being of employees by
identifying, evaluating, and controlling potential hazards
in the work environment, aiming to prevent work-related
injuries, illnesses, and accidents through practices like
safety training, proper equipment maintenance, and
adherence to relevant regulations.
Examples of health and safety practices in the
workplace:
 Safety inspections: Regular checks of equipment and
work areas to identify potential hazards.
 Personal protective equipment (PPE): Providing
appropriate gear like safety glasses, gloves, and hearing
protection when needed.
 Ergonomic assessments: Analyzing workstations to
prevent musculoskeletal disorders.
 Emergency response plans: Establishing procedures
for handling accidents and evacuations.
 Training programs: Educating employees on safety
procedures, hazard recognition, and proper use of
equipment.

Describe the obligation of Employer and employee

An employer's primary obligations include providing a
safe working environment, paying agreed-upon wages
 and benefits, adhering to labor laws, respecting
employee rights, offering training and development
opportunities, and addressing employee grievances
fairly; while an employee's key obligations are to
perform assigned tasks competently, follow company
policies, maintain a positive attitude, uphold
confidentiality, and communicate effectively with their
employer.

Employer Obligations:
 Compensation:
Paying employees the agreed-upon salary and benefits,
including minimum wage and statutory benefits like
provident fund and employee state insurance, as per
labor laws.
 Safe Workplace:
Ensuring a safe and healthy working environment by
complying with safety regulations and providing
necessary protective equipment.
 Non-Discrimination:
Treating all employees fairly and without discrimination
based on factors like race, gender, religion, or age.
 Compliance with Laws:
Adhering to all applicable labor laws regarding working
hours, overtime, rest periods, and other employment
regulations.
 Training and Development:
Providing opportunities for employees to learn new skills
and develop their careers through training programs.
 Grievance Handling:
 Establishing a fair process for employees to raise
concerns and grievances without fear of retaliation.
 Communication:
Maintaining open communication with employees
regarding company policies, updates, and
expectations.

Employee Obligations:
 Job Performance: Completing assigned tasks
efficiently and to the required quality standards.
 Attendance: Maintaining regular and reliable
attendance at work.
 Following Policies: Adhering to company policies,
procedures, and safety guidelines.
 Confidentiality: Protecting confidential company
information.
 Professionalism: Maintaining a positive attitude,
respecting colleagues, and exhibiting professional
behavior in the workplace.
 Communication: Communicating openly and honestly
with supervisors regarding work-related issues.
 Loyalty: Acting in the best interests of the company and
upholding its reputation
Important Note: Specific employer and employee
obligations may vary depending on the location,
industry, employment contract, and applicable labor
laws.

What is the principle of Risk Assessment?

 The principles of risk assessment are to identify
hazards, evaluate risks, and control risks. The goal is to
understand the risks and develop strategies to manage
them.
Principles of risk assessment
 Identify hazards: Recognize potential threats, both
obvious and non-obvious
 Risk estimation: Determine who could be harmed and
how
 Risk evaluation: Assess the risks and decide on
precautions
 Risk control: Record findings and implement measures
to reduce the risks
 Monitoring and review: Continuously check and
update the assessment

How to perform a risk assessment

1. Look around and consider what could cause harm
2. Consider how people work and how equipment is used
3. Consider what chemicals and substances are used
4. Consider the general state of the premises
5. Evaluate the likelihood and potential impact of identified
risks
6. Prioritize mitigation efforts
7. Record your findings and implement them
8. Review your risk assessment and update if necessary
Risk assessment helps to make informed decisions and
develop effective risk management strategies.
 Explain risk assessmnet in practice such as tool box
meetings

A risk assessment in practice, like during a toolbox

meeting, involves a brief discussion among workers at
the start of a shift to identify potential hazards specific to
the current task, evaluate the likelihood and severity of
harm they could cause, and then collectively brainstorm
ways to mitigate those risks before starting
work; essentially, it's a quick "check-in" to proactively
address safety concerns on the job site by openly
communicating potential dangers and preventive
measures.
Key points about risk assessment in a toolbox meeting:
 Identifying hazards:
Workers actively look around their work area,
considering tools, equipment, materials, work
procedures, and environmental factors that could
potentially cause injury or harm.
 Assessing risk level:
The team discusses the likelihood of each identified
hazard occurring and the potential severity of the injury
if it did happen, often using a simple rating system.
 Control measures:
Based on the risk assessment, the group brainstorms
practical ways to minimize or eliminate the hazards,
such as using proper safety gear, following specific
procedures, or modifying the work environment.
 Open communication:
Everyone is encouraged to voice concerns or potential
risks they observe, ensuring all perspectives are
considered.
Example of a toolbox talk topic:
 Working at heights:
Discussing the hazards of working on ladders or
scaffolding, proper safety equipment usage, fall
prevention techniques, and checking for secure footing.
 Operating machinery:
Reviewing proper machine operation procedures,
identifying potential pinch points, and emphasizing the
importance of using safety guards.
 Chemical handling:
Identifying potential chemical hazards, proper handling
procedures, required personal protective equipment
(PPE), and emergency response protocols.
Benefits of using toolbox meetings for risk assessment:
 Proactive safety culture:
Encourages workers to actively think about safety and
identify hazards before they occur.
 Team involvement:
Promotes open communication and collaboration
among team members to address safety concerns.
 Immediate action:
Enables quick adjustments to work practices or
procedures if potential risks are identified.
Important considerations:
 Regularly scheduled:
 Toolbox meetings should be held frequently, ideally
before each shift or work task.
 Focused agenda:
Each meeting should focus on a specific safety topic
relevant to the current work being done.
 Documenting discussions:
Key points from the toolbox talk should be recorded to
track safety concerns and actions taken.

Explain the Main elements of Risk Assessment?

The main elements of risk assessment are identifying

risks, analyzing risks, evaluating risks, and controlling
risks.
Identify risks
 Identify potential hazards in the workplace
 Use risk selection, risk limits, risk drivers, and risk
scenario estimation
 Use a risk assessment matrix to identify high and low
risks
Analyze risks Determine the likelihood of risks occurring,
Determine the potential impact of risks, and Prioritize
mitigation efforts.
Evaluate risks
 Compare identified risks to acceptable risk levels
 Measure and report the results of the risk management
process
 Assess the strengths and weaknesses of the risk
management process


Control risks
 Implement control measures to mitigate identified risks
 Monitor and review the effectiveness of control
measures
 Adapt to changes in the work environment or processes


Risk assessment is a key component of risk

management. It helps organizations make informed
decisions about risk impact and ensure the safety of
their workplace.

Classify work Activities-identify hazards-identify risk

controls
To classify work activities, identify hazards, and identify
risk controls, first categorize the work activities based on
their type (e.g., manual labor, machine operation,
chemical handling), then systematically examine each
activity to pinpoint potential hazards like slips, falls,
electrical exposure, chemical exposure, and ergonomic
stressors; finally, determine appropriate risk controls
such as engineering modifications, administrative
procedures, personal protective equipment (PPE), and
training to mitigate those hazards.
Steps to Classify Work Activities, Identify Hazards, and
Risk Controls:
1. Classify Work Activities:
 By Task Type:
o Material handling
o Machine operation
o Assembly
o Inspection
o Cleaning
o Maintenance
o Administrative tasks

 By Work Environment:
o Indoor
o Outdoor
o Confined space
o Elevated work
o Wet or slippery surfaces
2. Identify Hazards:
 Physical Hazards:
o Slips, trips, falls
o Falling objects
o Heavy lifting
o Overexertion
o Noise exposure
o Vibration
o Extreme temperatures
 Chemical Hazards:
o Toxic chemicals
o Corrosive substances
o Irritants
 o Flammable liquids
o Aerosols
 Biological Hazards:
o Bloodborne pathogens
o Mold
o Bacteria


 Electrical Hazards:
o Exposed electrical wires
o Damaged cords
o Improper grounding
o

3. Identify Risk Controls:

 Elimination:
Remove the hazard completely (e.g., redesigning a
machine to eliminate pinch points)
 Substitution:
Replace a hazardous material with a safer alternative
(e.g., using water-based cleaning solutions instead of
solvent-based)
 Engineering Controls:
Modify equipment or work processes to reduce
exposure to hazards (e.g., installing safety guards on
machinery)
 Administrative Controls:
Change work practices or procedures to minimize risk
(e.g., rotating tasks to reduce repetitive motion)
 Personal Protective Equipment (PPE):
 Provide employees with appropriate protective gear to
minimize exposure to hazards (e.g., safety glasses,
gloves, hearing protection)

Important Considerations:
 Risk Assessment: Conduct a thorough risk
assessment to prioritize hazards based on their severity
and likelihood of occurrence.
 Employee Involvement: Consult with employees to
identify hazards and develop effective controls.
 Training and Communication: Train employees on
identified hazards and proper control measures.
 Monitoring and Review: Regularly monitor the
effectiveness of implemented controls and update the
risk assessment as needed.

Classify estimate risk

Risk estimates can be classified as qualitative or
quantitative. Qualitative risk analysis uses subjective
judgment to build a model of risk, while quantitative risk
analysis uses mathematical models to assign numerical
values to risk.
Risk can also be classified by type, such as financial,
operational, strategic, or compliance risk.
Risk can be measured by its likelihood and impact. Risk
= Likelihood × Impact.
Risk severity can be classified as negligible, low,
medium, or high.
How do you classify a risk?
 Risks are normally classified as time (schedule), cost
(budget), and scope but they could also include client
transformation relationship risks, contractual risks,
technological risks, scope and complexity risks,
environmental (corporate) risks, personnel risks, and
client acceptance risks.
What is risk and different types of risk?

Risk is the possibility of an adverse outcome, and there

are many different types of risk.
Types of risk
 Financial risk: The chance of losing money on an
investment or business. Examples include credit risk,
liquidity risk, and operational risk.
 Liquidity risk: The risk of not being able to pay debts on
time.
 Interest rate risk: The risk that interest rate changes will
reduce the value of an investment.
 Operational risk: The risk of loss due to ineffective
systems, processes, or people.
 Market risk: The risk of losing money on investments due
to price changes.
 Strategic risk: The risk that a company won't be able to
meet its business goals.
 Compliance risk: The risk of damaging a company's
reputation or finances by breaking laws or regulations.
Other types of risk Business risk, Non-business risk, and
Corporate risk.
 Determine the tolerability of the risks
Risk tolerance refers to the amount of loss an investor
is prepared to handle while making an investment
decision. Several factors determine the level of risk.
It refers to a willingness to live with a risk so as to
secure certain benefits and in the confidence that it is
being properly controlled.
How to determine risk tolerance?

Assessing your risk tolerance

1. What are your goals for your investments? ...
2. Assuming normal market conditions, what would you
expect from your investments over time? ...
3. Suppose the stock market performs unusually poorly
over the next decade, what would you expect from your
investments?
Prepare risk

Preparing for risk involves identifying potential risks,

assessing them, and developing a plan to manage
them. This process is called risk management.
Risk identification
 Recognize and document potential risks
 Analyze your operations, industry, and external
environment
Risk assessment
  Estimate the likelihood and potential severity of each
risk
 Prioritize risks based on the assessment

Understand control action plan to improve risk controls

as necessary
A risk action plan is the course of action which an
organisation agrees upon to help them to address
potential risks, reduce the likelihood of these risks
occurring and to lessen the impact of these risks if they
do occur. A plan is created to ensure that the right
actions are carried out in a timely manner.

Key elements of a control action plan to improve risk

controls:
o Risk Assessment:
Conducting a thorough risk assessment to identify
potential hazards, analyze their likelihood of occurrence
and potential severity, and prioritize the most critical
risks to address first.
o Control Identification:
Identifying existing controls that are in place to mitigate
the identified risks, as well as any gaps or areas where
controls are inadequate.
o

Benefits of a control action plan:

 Reduced risk exposure:
 Proactively addressing potential risks can minimize the
likelihood of negative impacts on the organization.
 Improved compliance:
Ensuring adherence to regulatory requirements by
implementing necessary controls.
 Enhanced operational efficiency:
Streamlining processes and minimizing disruptions
caused by risks.
 Increased stakeholder confidence:
Demonstrating a commitment to risk management and
proactive mitigation strategies.

Ensure risk assesment and controls are effective and

up-to-date

How would you ensure risk controls remain effective in

the workplace?
Fix the problem
1. 1 Eliminate the hazard. Remove it completely from your
workplace. ...
2. 2 Substitute the hazard. Replace it with a safer
alternative. ...
3. 3 Isolate the hazard. Keep it away from workers as
much as possible. ...
4. 4 Use engineering controls. ...
5. 5 Use administrative controls. ...
6. 6 Use personal protective equipment (PPE)
 Risk assesment exercise
Root cause, immediate action, corrective action,
preventive action
A risk assessment exercise is a process that identifies
potential hazards, evaluates risks, and determines how
to control them.
What is the root cause of an incident?
The root cause(s) of most incidents can ultimately
be categorized as either:
 Poor management/supervision.
 Company culture.
 Work environment.
 Improper training.

 What is an immediate action?

 Immediate action. Immediate action refers
to intervention that must take place immediately in
order to respond to an emergency and lead to
stabilisation. This usually occurs directly after the
impact phase of an emergency (period of cyclone,
onset of genocide, etc.)
What is corrective action ?
Corrective action: Action taken to eliminate the causes
of non-conformities or other undesirable situations, so
as to prevent recurrence

What is preventive Action ?

 Preventive actions are proactive measures that are
taken to prevent nonconformities from occurring in the
future.
Corrective and preventive action consists of
improvements to an organization's processes taken to
eliminate causes of non-conformities or other
undesirable situations.
Steps for a risk assessment exercise:
1. Identify hazards: Find and list potential sources of
harm, such as noise, heat, vibrations, or chemicals
2. Determine who could be harmed: Consider how and
who might be affected by the hazards
3. Evaluate the risk: Consider the likelihood and severity
of the potential harm
4. Decide on controls: Determine what measures can be
taken to reduce the risk
5. Record findings: Document the hazards, the risks, and
the controls in a risk assessment plan
6. Review and update: Reassess the risk and update the
plan as needed

Risk assessments help identify areas where

improvements can be made to reduce the likelihood of
harm. They can also help ensure that policies and
procedures are up to date.