CHAPTER 4 - SAFETY RISK MANAGEMENT PROGRAM

A INTRODUCTION .................................................................................................. 1

B. DEFINITIONS ....................................................................................................... 2

C. ROLES AND RESPONSIBILITIES ....................................................................... 2

D. REPORTING AND RECORDKEEPING. .............................................................. 4

Attachment 1 - Implementing an Effective Risk Management Program .......................... 5

Requirements of a Risk Management Program ........................................................... 6

Step 1 - Identify Hazards .......................................................................................... 8

Step 2 - Assess Hazards To Determine Risk ......................................................... 13
Step 3 - Develop Controls And Make Risk Decisions............................................. 16
Step 4 - Implement Controls .................................................................................. 17
Step 5 - Supervise And Evaluate ........................................................................... 17

Attachment 2 – Example of a Job Hazard Analysis ....................................................... 19

Attachment 3 - Blank Template - Job Hazard Analysis Blank Template.………………..20

Attachment 4 - Job Hazard Analysis - Welding Example………………………………….21

Attachment 5 - Operational Risk Management Worksheet - Exhibit Example………….24

Attachment 6 – Job Observation Form……………………………………………………...25

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 CHAPTER 4 - SAFETY RISK MANAGEMENT PROGRAM

A INTRODUCTION
1. SI policy (SD 419) is to “ensure that all alleged hazardous conditions are
investigated, that identified safety and health risks are properly assessed and
controlled….” Operating environments of the SI comprise a wide variety of
health and safety risks that can never be totally eliminated. However, through
the application of effective risk management principles and resources,
associated risks can be reduced to acceptable levels.
2. This Chapter describes the Risk Management decision-making process that
shall serve as the SI foundation of a strong and effective Safety, Health and
Environmental Management Program to accomplish these policy goals.
3. This Chapter (together with Chapter 5, “Safety Assessments, Log of
Deficiencies and Corrective Action Plan” of this Manual), contains tools and
techniques developed to enable Directors to accomplish all of the aspects of
this policy. Attachments to this Chapter provide spreadsheets, hazard
analyses and checklists that will aid Directors, supervisors, Safety
Coordinators and safety committees in performing the duties necessary to
comply with this policy.
4. The goal of risk management is to accomplish a balance between
performance at the height of one’s potential and still maintain a safe working
environment effectively controlling known hazards. Compliance with existing
codes and federal, state and local regulations is often viewed as being quite
expensive to implement. However, the cost of not complying is also great.
The Smithsonian’s 2006 costs owed the Office of Workers Compensation
Program of present and past injuries exceeded $3 million. Compliance with
standards, ensuring availability of sufficient resources for a strong and
effective safety program will save millions of dollars as well as keep our
workforce and environment healthy and safe. This systematic, decision-
making process is a proven highly effective method for reducing mishaps that
has been used extensively by organizations such as NASA and the
Department of Defense and now for reducing injuries to the Smithsonian’s
employees and visitors.

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B. DEFINITIONS
1. Deficiency is an uncontrolled hazard that poses risk of injury, property or
environmental damage and demonstrates non-compliance with SI Safety
Policy and/or consensus standards.
2. A hazard is a condition with the potential to cause injury, illness, or death of
personnel; damage to or loss of equipment, property or collections; or
curtailment of operations.
3. Risk is the probability that the hazard will actually cause injury or damage.
Many hazards are Inherent to the workplace or process or piece of equipment
used to accomplish our mission, but risk can be reduced by deciding on ways
to change or control the hazard (controlling the equipment, using safer
materials, doing the process in a safer manner) and still accomplish the
facility’s mission.
4. Risk Management (RM) is the process that guides management decisions to
a safer workplace.

C. ROLES AND RESPONSIBILITIES

1. Directors shall ensure implementation of a safety risk management program
that follows the Guiding Principles and the SI Risk Management Five-Step
Process that are fully addressed in Attachment 1 and Section C.2 below.
2. Safety Coordinators and Supervisors shall employ the SI Five-Step Risk
Management Process listed below and further defined in Attachment 1of this
Chapter and Chapter 5, “Safety Assessments, Log of Deficiencies and
Corrective Action Plan”, of this Manual.
a. Step 1- Identify hazards using the following tools and techniques
discussed in this Chapter and Chapter 5, and the requirements of this
Manual’s Operational Chapters.
(1) Employee reports of workplace hazards;
(2) Lessons learned from incidents and near misses; and
(3) Self-Assessments to include Management Evaluation and Technical
Reviews (METRs), Safety Coordinator Self-Assessments, Safety
Committee Inspections and IH assessments of hazardous exposures.
b. Step 2- Assess risks to life, property and the environment from those
hazards using the Risk Assessment Code, tools and techniques explained
in this Chapter. Consult with the Office of Safety, Health and
Environmental Management (OSHEM) for risk reduction techniques for
RAC 1 and 2 risk assessments.

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c. Step 3- Develop controls and make decisions on what risks are
acceptable
(1) Develop Job Hazard Analyses (JHA) and Workplace (WHA) (refer to
examples in Attachments 1, 2, 3 and 4 of this Chapter), to eliminate or
minimize the risks to an acceptable level to meet the requirements of
this Manual. Hazards that are judged to be immediately dangerous
to life and health must be controlled immediately (e.g., process or
equipment shut-down).
(2) Frequently interact with and observe the employee to ensure the
employee knows and understands the requirements of the job and
workplace hazard analysis and performs safely. Refer to Attachment 6,
Job Observation Form.
(3) Apply controls listed in the applicable Operational Chapters of this
Manual.
(4) Provide Safety Training, per the requirements of Chapter 6, “Training”,
of this Manual, to raise employee awareness of workplace hazards the
means to guard against being injured by those hazards.
(5) Develop Risk Management Worksheets (refer to example in
Attachment 5 of this Chapter) for specific operations that involve
multiple hazards; e.g. installing large objects in an exhibit, moving
collections for storage or because of renovation, etc.
d. Step 4- Implement controls and track corrective actions through
completion.
(1) Maintain a current and fully auditable Log of Deficiencies and
Corrective Action Plan, per tools and techniques presented in
Chapter 5, “Safety Assessments, Log of Deficiencies and Corrective
Action Plan”, of this Manual.
(2) Assign personnel to track deficiency abatement.
(3) Review JHAs and/or WHAs regularly and change whenever
personnel/processes change, or new hazards are introduced into the
workplace.
(4) Fellow employees should periodically use the Job Observation Form,
Attachment 6 to ensure safe behavior
e. Step 5- Periodically evaluate the effectiveness of this 5-step risk
management process. Drop controls that clearly do not work and continue
to develop controls that do work. When there are changes in the
environment, reassess the heightened risk that change usually causes.
Continue to evaluate the deficiency abatement process.

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 3. Employees shall provide input in their JHA and will adhere to the safe work
practices identified for each task and periodically review the JHA to either
improve it or change it to accommodate changes in procedures or
environment.
4. Office of Safety, Health and Environmental Management (OSHEM) shall:
a. Provide technical assistance and a “Train-the-Trainer” course, upon
request, to Directors and Safety Coordinators in all aspects of the Risk
Management process.
b. Conduct and manage all aspects of employee health exposure
assessments and medical surveillance to meet regulatory standards for
quality assurance, quality control, and legal liability.
c. Evaluate the facility or organization’s Safety Risk Management Program
annually for compliance with this Chapter.

D. REPORTING AND RECORDKEEPING. Documentation for the Risk

Management Program includes:
1. Job/Workplace Hazard Analyses periodically reviewed and changed
whenever personnel/processes change, or new hazards are introduced into
the workplace.
2. Safety Program Self Assessments and the Log of Deficiencies/Corrective
Action Plan as described in further detail in Chapter 5, “Safety Assessments,
Log of Deficiencies and Corrective Action Plan”, of this Manual.

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 Attachment 1

Implementing an Effective Risk Management Program

The Guiding Principles of Risk Management (RM)

A. Integrate RM into all phases of missions and operations. Effective RM requires
that the process be integrated into all phases of mission or operational planning,
preparation, execution, and recovery on a continuing basis. It is much more cost
effective to plan up front during building construction and renovation to imbed safety,
fire and environmental protection systems than to retro-fit after the fact.
B. Make risk decisions at the appropriate level. As a decision-making tool, RM is
only effective when the information is concentrated on the appropriate supervisory
level for decision. The higher the risk, the higher the management level of who
should make the decision to accept a risk or not. Often this will require the decision
to apply resources, whether manpower, dollars or both, to mitigate risks to an
acceptable level so the management decision-making level must be where the
purse strings are controlled.
C. Accept no unnecessary risk. Accept no level of risk unless the potential gain or
benefit outweighs the potential loss. RM is a decision-making tool to assist the
supervisor or individual in identifying, assessing, and controlling risks in order to
make informed decisions that balance risk costs (potential losses) against mission
benefits (potential gains). An unnecessary risk is one that if not taken, you can still
accomplish the mission. For example, an employee forgets or refuses to use eye
protection during grinding operations. The risk is painful damage to eyes, maybe
even loss of sight, yet the grinding can be successfully accomplished without risk of
eye injury, simply by using eye protection.
D. Apply the process cyclically and continuously. RM is a continuous process
applied across the full spectrum of museum and research operations, individual and
collective day-to-day activities and events, and facility operations. It is a cyclic
process that is used to continuously identify and assess hazards, develop and
implement controls, and evaluate outcomes particularly when changes occur in
operations or environment. To a certain extent RM is intuitive, but it has been
proven most effective when applied in the planning stages of an operation 30, 60, 90
even 120 days out, if possible. Refer to Attachment 5 to see an example of
formalized risk management. The process is continuous, and therefore synergistic.
Evaluation of the process helps continuously improve the process, dropping controls
that don’t work and incorporating new and better controls for future similar
operations. In essence, this process is demonstrated and accomplished when
Safety Coordinators and OSHEM review plans for renovation or new construction in
order to incorporate OSHA, EPA and NFPA mandated controls and requirements.
Fully compliant facilities are the product of early planning and involvement of fire,
health, environmental and safety experts throughout the planning stages of the new
or renovated facilities.

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 Attachment 1

Requirements of a Risk Management Program

Apply the 5 step risk management process to all SI organization safety programs. The
following provides a brief outline of the 5-step process requirements.

Step 1 – Identify hazards.

Step 2 – Assess hazards to determine risk.
Step 3 – Develop controls and make risk decisions.
Step 4 – Implement controls.
Step 5 – Supervise and evaluate.

Figure 4-1 illustrates how these five steps are cyclical, forming a continual improvement
process with the first two steps being part of the assessment phase and the last three
steps belonging to management to make decisions, delegate responsibilities and
continually supervise and evaluate to insure improvement.

Figure 4-1

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 Attachment 1

Table 4-1 Graphic display of the RM 5-step Process and identifies specific tools
and techniques for accomplishing the program requirements.

STEPS IN RM PROCESS TOOLS AND TECHNIQUES discussed in this

Safety Manual
Step 1 – Identify hazards.  Safety committee inspections,
 Employee identification of workplace and
environmental hazards
 Hazards identified while investigating mishaps
 Supervisors identifying hazards for workplace or
job hazard analyses
 Safety Coordinator inspections
Step 2 – Assess hazards to determine  Using the Risk Management Risk Assessment
risk. Matrix, assign a risk assessment code (RAC) to
identified hazards.
 An initial RAC is assigned to uncontrolled
hazards and a residual RAC is assigned to
controlled hazards.
 Safety Coordinator safety program evaluation
Step 3 – Develop controls and make risk  Operational Chapter requirements
decisions.
 Safety Training
 Risk Management Worksheet (Att 5)
 Job Hazard Analysis (JHA) and/or Workplace
Hazard Analysis (WHA)
Step 4 – Implement controls and track  Log of Deficiencies and Corrective Action Plan
corrective actions through completion
 Assign personnel to track deficiency abatement
 Review JHA/WHA weekly or whenever changes
occur
Step 5 – Supervise and evaluate the  Drop controls that clearly do not work
success of the control and the process.
 Add other controls that do work
 Add hazards missed during first ID process,
particularly when changes in environment,
equipment or personnel occur.
 Evaluate and track abatement of deficiencies
Table 4-1

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 Attachment 1

STEP 1 - IDENTIFY HAZARDS

Each job task or work area within a facility shall be assessed by the supervisor (with
assistance from the Safety Coordinator) to identify sources (e.g., locations, equipment,
processes, etc.) of safety hazards. Individual hazards are identified by answering the
questions: “What could go wrong, what could cause someone to be hurt or cause
damage to property or environment?” This determination may be made using:
• Brainstorming with staff, seeking staff input on unsafe aspects of their operations,
considering “what if” scenarios.
• Self assessments/inspections.
• Employee complaints of unsafe working conditions.
• Identifying past injuries or locations where injuries occur including review of
OSHA 300 Log information
• Injuries or incidents other similar organizations have experienced.
• Relying on professionals experienced in identifying hazards for specific jobs or
environments.
• Results of employee exposure monitoring (industrial hygiene surveys).
• Identifying locations or processes that could cause an environmental release or
environmental pollution.

What is a hazard? A hazard is a condition with the potential to cause injury, illness,
or death of personnel, damage to or loss of equipment, property or collections,
damage to the environment, or curtailment of operations. A hazard may also be a
situation or event that could cause a museum or research center to close or stop
vital operations. Hazards exist in all environments—laboratories, collection storage,
workshops, warehouses, greenhouses, landscaping areas, public display areas.

What are the sources of hazards? Hazards may arise from any number of areas.
Hazards can be associated with accident potential, weather or environmental
conditions, health, sanitation, behavior, material or equipment conditions or terrorist
activity. RM does not differentiate among the sources of the hazard. The loss of
personnel, equipment, or collections or damage to the environment due to any
hazard has the same disruptive impact on the Smithsonian mission no matter what
the source. The bottom-line is the effect of the hazard, not its source.

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 Attachment 1

STEP 1 (cont.)
• What factors should you consider in identifying hazards?
• Disrupters (Change, weather, legal issues)
• Activity
• Time
• Employees or Visitors
• Environmental Health Factors
Disrupters - A new process or piece of equipment introduced into the workplace,
weather conditions such as the flood we experienced in July 2006, equipment failure, or
legal issues such as a visitor who sues because an unsafe environment caused injury.
Activity - some activities involve higher risk and are inherently more dangerous than
others. Some things that make activities more dangerous would include job complexity,
tools or equipment requiring extra skill or training to use, or lack of clear procedural
guidance and training to perform the activity with no misunderstanding.
Time - Was there sufficient time to plan or perform an operation? This could also refer
to the length of time personnel are exposed to a hazard; the greater the length of the
exposure the greater the probability of injury.
Employees or Visitors - What is the condition of the employees or visitors? Are they
healthy? We may have no way of knowing the health status of a visitor, but we can
certainly anticipate and prepare for the unexpected, again, asking what could go wrong.
Are employees new and untrained or experienced and trained? It follows that an
untrained or less experienced employee is more likely to be injured. How many
personnel are exposed to a hazard? If a set of stairs does not have railings that meet
the OSHA requirements and the stair leads to the roof where only one person uses the
stair maybe once or twice a month, there will likely be fewer injuries than if the stairs are
in a public exhibit space used by employees and hundreds of visitors a day. Are there
sufficient trained personnel to safely perform an operation? Lifting heavy objects is less
likely to cause injury if the weight is shared with 2 or more employees.
Environmental Health Conditions - This category includes a variety of health-related
factors to include ergonomics, hearing conservation, radiation and chemical hazards,
etc. Generally, OSHEM approaches these subjects as a team or task force of several
disciplines such as Industrial Hygiene for measuring noise, air flow, exposure to
hazardous substances, etc., a health specialist who can assess health effects of
specific hazards to employees, and safety specialists who insure OSHA standards are
understood and met. All of these categories are covered in greater detail in the
operational Chapters of this Manual.

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 Attachment 1

Example #1: Hazard- Confined Spaces. Hazard is necessary and cannot be

eliminated.

WHO is exposed: Supervisors, personnel trained on Confined Space.

WHAT is the control: Ensure confined spaces are properly labeled, access is limited and
personnel who enter the spaces are trained to know the hazards and take the required and
proper precautions based on the hazards involved.
WHERE: Any confined space.
WHEN: Before entering the confined space.
HOW: Trained, qualified personnel identify and inventory confined spaces and all hazards
associated with the confined space, label appropriately, and follow all safety requirements of the
confined space program.

Example # 2: Heavy Lifting

WHO is exposed: Supervisors, leaders, employees.

WHAT is the control: Back Injury Prevention. General safety training on back injury prevention;
insure proper material handling equipment (forklifts, dollies, rolling racks) are available and
appropriate for the job; more to lift a heavy load is better; plan a lifting operation to avoid
twisting; heavy loads should be stored at chest high level to avoid bending or retrieving load
above the head; ladders and step stools are in good condition and easily available; good
housekeeping to avoid tripping hazards.
WHERE: During material handling and moving operations. Generally in warehouse operations,
loading docks, but can also occur in office or public spaces when heavy furniture or equipment
is being moved.
WHEN: Provide training before performing a lifting operation.
HOW: Delegate who does the training and how often. Identify what material handling
equipment is necessary and purchase; insure everyone is aware of back injury hazards and are
doing everything necessary to prevent them.

Job and/or Workplace Hazard Analysis

The most valuable and necessary tool, or control, to be used in SI facilities is the job
and/or workplace hazard analysis. This tool/technique actually transcends several of
the risk management steps, because you must identify and assess hazards, but is best
considered a control used to manage the hazards that must remain in the workplace for
mission accomplishment.
These are valuable tools for the supervisor and Safety Coordinator to document either
the hazards of performing a particular job (Job Hazard Analysis-JHA) and/or identify
hazards in the workplace (Workplace Hazard Analysis- WHA) for everyone who works
in the location, regardless of their job requirements. The WHA would also take into
account visitors or delivery personnel.

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 Attachment 1

Generally, you need to do a JHA for the more complex jobs with several steps that
require written instructions and have several hazards associated with the job. All
employees performing these jobs would be covered by the JHA.

A WHA is appropriate for offices or public spaces and locations that have general
hazards rather than job performance hazards.

It is entirely possible that a work location, such as large woodworking or machine shop,
would require both a JHA and a WHA because there may be hazards within the
workplace that are not necessarily associated with a particular job, such as dust
accumulation, hazardous chemical storage, fire prevention concerns, ancillary
employees who deliver wood or stock, etc.

Additional JHA Guidance:

The JHA is a tool that focuses on job tasks as a way to identify hazards that are
necessary to the workplace but, uncontrolled, could cause injury. It focuses on the
relationship between the worker, the task, the tools, and the work environment. For this
to be an effective tool, a supervisor should develop the JHA with the employees who
perform the job, getting their input and buy-in. Also, it must be a living document. It
must not be developed then put in a drawer and forgotten. The less often an employee
performs a particular job, the more often that employee should review the JHA. When a
supervisor periodically observes job performance, safe job performance, in accordance
with the JHA, should also be observed and enforced. The JHA is a valuable safety
training tool as well, particularly for new employees. The JHA should identify the
appropriate training for the job task(s). Don’t forget the definitions of “competent” and
“qualified.” Review the JHA and alter as appropriate whenever a process or piece of
equipment changes.

Additional WHA Guidance:

The WHA can be as simple as a floor plan for a specific area. Onsite surveys should
include inside and outside areas, compiling information as to the presence and
concentration of chemicals, the location of entries and exits, the availability of
emergency equipment, and potential trouble spots – just to name a few items. An
effective WHA includes provisions for the systematic identification, evaluation, and
prevention or control of general workplace hazards and those potential hazards which
may arise from foreseeable conditions.
The scope of your workplace hazard analysis should include every area within and
outside the facility to include exhibit spaces, exhibit storage, libraries, shops,
warehouses, loading docks, etc. In addition, as a minimum, include the following:
• Emergency Action Plans. 09-11-01 is a very good reason for this requirement.
• Fire Prevention Plans.

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 Attachment 1

• Processing, Receiving, Shipping and Storage – potential back injuries, incidental

delivery personnel exposed to hazards.
• Building and Grounds Conditions.
• Housekeeping Program. Prevention of slips, trips and falls.
• Electricity, including your written Lockout/Tagout Plan.
• Lighting.
• Heating and Ventilation.
• Machinery. Pay attention to machine guarding, lack of, or improper guarding
which is normally in the top 5 OSHA violations for general industry. Be certain to
identify and mark machinery or equipment that were inspected and found to have
shortcomings that could cause injury (NOT lock-out/tag-out. When equipment is
placed in an “out of service” status for business or production purposes, e.g. poor
efficiency, recycled, etc., and not related to servicing or maintenance then lock-
out/tag-out does not apply.)
• Hand and Power Tools, Ladders.
• Chemicals. Don’t forget that 3 of the top 5 most common OSHA violations for
general industry fall under the scope of hazard communication.
• Maintenance. Maintenance and servicing of machines and equipment is the
reason for lockout-tagout.
• Personal Protective Equipment.
• Required Safety Training.
• Storage that is appropriate, with proper clearance for sprinklers, clear aisles,
ladders and stepstools appropriate to the storage task, etc.

This [Link] link is the OSHA Booklet,

3071, which provides guidance on performing JHAs. This website provides some
excellent examples and forms for JHAs:
[Link] Attachment 2 provides an
example of a JHA.

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 Attachment 1

STEP 2 - ASSESS HAZARDS TO DETERMINE RISK

The risk of a hazard actually causing environmental damage or injury severe enough for
someone to miss a day of work or cause a museum or research center to close or stop
a vital operation is a function of the severity of the hazard and the likelihood the incident
will occur. In almost all cases, applicable codes and regulations were written because
groups or specific types of injuries occurred with such frequency that a code or
regulation was required to prevent future injuries or property damage. It follows that
code violations are indicators that increase the probability an injury will occur.
Risk Assessment Codes (RAC)
• Almost all deficiencies are hazards that pose a risk of injury, property damage or
mission or environmental impairment.
• Hazards are assessed and risk is assigned in terms of probability and severity of
adverse impact of an event/occurrence.
• This step considers the risk or likelihood of an event or incident adversely
impacting mission, capabilities, people, environment, equipment or property.
• “What are the odds (probability) of something going wrong and what is the effect
(severity) of the incident if it does occur?”

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 Attachment 1

Tables 4-2 and 4-3 define the levels of severity and probability while Tables 4-4 and
4-5 defines the level of risk in the matrix combining severity and probability.

Severity
Catastrophic Worst case scenario, exposure to this hazard will cause one or
more deaths, permanent total disability or hospitalization of 3 or
more personnel, destroy a major facility or process, a toxic or
dangerous chemical release causing irreparable environmental
damage or death, or force a curtailment of a major institutional
mission for more than 3 months.
Severe Worst case scenario, exposure to this hazard will cause a
permanent partial disability or serious injury causing more than 3
months of lost work days; a chemical release causing irreparable
illness or long term damage to the environment, impair an
important process or major institutional mission for more than 3
days and less than 3 months.
Marginal Worst case scenario, exposure to this hazard will cause days away
from work or restricted work activity other than the day of injury; a
reparable but reportable chemical release or it will impair an
important process or major institutional mission for 1 to 3 days.
Negligible Worst case scenario, exposure to this hazard may require medical
treatment but will result in no lost time other than the day of injury,
or there is little or no property or environmental damage or the
hazard may not cause injury but is a minor violation of consensus
standards.
Table 4-2

Probability
How Often/How long Description
Frequent The exposure is daily Every day many personnel or major missions or
for short periods or facilities are exposed to the hazard often or for
weekly for long periods long periods of time and chance of injury or
of time. mission impairment is high. Or the history of
injuries indicates that this hazard causes injury
often.
Likely Exposure is weekly for Occurs several times, a common occurrence.
short periods or less Examples include periodic use of a hazardous
often but for longer substance or operation, egress blocked or
periods of time restricted several times a week, etc.
Occasional Exposure is sporadic Occurs sometimes, but not a common
occurrence.
Seldom Remotely possible, An example might be exposure to confined space
could occur at some entry hazards.
time.

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 Attachment 1

Table 4-3 Risk Assessment Matrix

Hazard Probability
Frequent Likely Occasional Seldom
A B C D
S
1 1 1 2
E Catastrophic I
V
1 2 2 3
E Severe II
R
2 3 3 4
I Marginal III
T
3 4 4 4
Y Negligible IV
Table 4-4

RAC LEVEL OF RISK ACTION REQUIRED

1 Critical risk to health safety. environment IMMEDIATELY CORRECT
(High severity / High probability of HAZARDOUS CONDITION (or reduce
occurrence). Also think in terms of how to LOW risk) WHEN IDENTIFIED.
many are exposed for what period of Report immediately interim risk
time. The level of risk is very high when reduction measures taken and in 30
many are exposed for long periods of day report describe actions taken and
time. For example, tripping injuries on program measures in place to prevent
steps may be high in our facilities recurrence.
because so many are exposed to the
hazard everyday.
2 Significant risk to health and safety Immediate action to mitigate completely
(High-to-moderate severity / High-to- or reduce risk to LOW. In 30 day
moderate probability of occurrence) In report, describe actions taken, interim
terms of exposure, one individual may plans for completion, and program
be exposed only occasionally, but worst measures in place to prevent
case of exposure to hazard is death. recurrence.
3 Moderate risk to health and safety Within 60 days, action taken to mitigate
(moderate-to-low severity/moderate-low completely or reduce risk to LOW. In
probability of occurrence) 120 day progress report, describe
actions taken, interim plans for
completion, and program measures in
place to prevent recurrence.
4 Low risk to health and safety Within 120 days, complete mitigation.
(Low severity / low probability of In 120 day progress report, describe
occurrence); could include actions taken and plans to prevent
administrative deficiencies with minimal recurrence.
risk but high probability of regulatory
citation.
Table 4-5

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 Attachment 1

STEP 3 - DEVELOP CONTROLS AND MAKE RISK DECISIONS

After assessing each hazard, supervisors develop one or more controls that either
eliminate the hazard or reduce the risk (probability and/or severity) of a hazardous
incident occurring. In developing controls, supervisors must consider the reason for the
hazard, not just the hazard itself. The decision must be made at this point as to whether
the hazard can be eliminated or must remain in the workplace in order to accomplish
the mission. If they must remain, then in most cases there are consensus standards
that require controls or countermeasures be put in place to insure employee and
environmental safety. The hazard is reassessed to determine a residual risk once
controls are in place. Risk decisions are always based on the residual risk. The process
of developing and applying controls and reassessing risk continues, and may require
assistance from OSHEM personnel, until an acceptable level of risk is achieved or until
all risks are reduced to a level where benefits outweigh the potential cost. That is the
point to which a decision can be made to take the risk or not.
Controls can take many forms, but normally fall into one of three basic categories:
• Elimination/Avoidance Controls. This is your best option if it is possible. These
controls include positive action to prevent contact with an identified hazard or the
total elimination of the hazard. For example, substitute a non-hazardous
chemical for a hazardous one.
• Engineering/Physical Controls. These take the form of barriers and guards, PPE,
or signs to warn or protect individuals, units, or organizations of existing hazards.
Other examples include ventilation hoods, sound-proofing or attenuation,
improving lighting, ergonomic chairs and computer stations, etc.
• Educational (awareness) Controls. These controls are based on the knowledge
and skills of units, organizations, or individuals. It includes their awareness of the
hazard and control. Effective educational control is implemented through
individual and collective training.
To be effective, each control developed must meet the following criteria:
• Suitability. It must remove the hazard or mitigate (reduce) the residual risk to an
acceptable level.
• Feasibility. The organization must have the capability to implement the control.
• Acceptability. The benefit gained by implementing the control must justify the
cost in resources and time. The assessment of acceptability is largely subjective.
Sources such as personal experience, lessons learned from previous accidents or from
similar past operations can provide or identify possible control measures for specific
events or operations. The key to effective control measures is that they reduce the
effect of or eliminate the identified hazard. Effective control measures must specify
who, what, where, when, and how.

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 Attachment 1

STEP 4 - IMPLEMENT CONTROLS

Arguably, this is the most important step, where “rubber meets the road”. Many are
good at coming up with ideas, controls and solutions, but when it comes to
implementing those controls, often there is a budgetary or personnel void or finger
pointing that it is someone else’s job. Once controls have been agreed upon, personnel
should be assigned to put the controls in place and supervisors must resource the
controls with budgeting, personnel and time. Sometimes the controls require work
tickets to accomplish, in which case make certain someone is assigned the
responsibility to follow up and track the work ticket to completion. If the hazard is RAC
1 or 2 then the Safety Coordinator should ensure implementation of interim controls to
secure the safety of employees or visitors until a permanent solution can be put in
place. For example, a piece of equipment may need to be locked out, or an outlet
marked as out of order until a qualified electrician can bring the equipment or outlet into
compliance.

STEP 5 - SUPERVISE AND EVALUATE

The exceptional value of this step in the process is the ability to continuously improve
for a safer and safer environment. This step assigns responsibility and accountability to
managers, supervisors, Safety Coordinators, safety committee members and OSHEM
personnel to continuously evaluate the 5-step process for effectiveness in lowering
injury rates. We continue with what works and eliminate controls that do not work. If an
injury occurs, we gather lessons learned and incorporate new countermeasures into our
plan. If elements or components in the work environment or operations change, then
this step must evaluate elevated risk and continue the 5-step process to accommodate
the changes.
An important part of this step is the MANAGEMENT OF CHANGE
Change is always with us and will always raise the level of risk in any environment or
operation where change occurs.
Each facility and organization director must institute a planned approach to identifying
and addressing changes that impact operations and the Safety Program. These
changes can include:
• New or modified equipment
• New or changed operating conditions
• Facility renovations or remodeling
• Relocation to a new facility
• Introduction of a new chemical
• New or re-assigned employees
• New or changed regulations or SI standards
• Emergencies such as weather-related floods, winds, extreme temperatures, or
terrorist related activities

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 Attachment 1

These changes can introduce new or increase existing heath and safety hazards and
environmental impacts. Changes can be both expected (planned) or encountered
(unplanned). The change management process should address both types of changes
in a way that ensures the Safety Program is current.
Change management can be either 'reactive', in which case management is responding
to external changes, or proactive, in which case management is initiating the change in
order to achieve a desired goal, evaluates the elevated risk, identifies extra hazards and
develops a plan to reduce the risks prior to the change. With a reactive process, the
Safety Program is modified once the change has occurred. This process is typically
utilized for unplanned events, but still requires a system to be in place to identify the
changes that have occurred. A proactive process is more effective by identifying the
changes before they occur and with time to react and plan for the change.
Change management can be conducted on a continuous basis, on a regular schedule
(such as an annual review), or when deemed necessary on a program-by-program
basis or within work environments anticipating changes. Staff members that have been
assigned the responsibility of maintaining the Safety Program (Safety Coordinators,
safety committee members, supervisors) should ensure that they participate in or are
kept abreast of all organizational activities that are likely to result in operational changes
and those unplanned events that can cause operational changes. Complex changes
may require the use of a systematic process of analysis such as adjusting the Job
Hazard Analysis (JHA) to adapt to the change(s). Most of the tools and techniques
listed in this Chapter, to include the JHA/WHA, Risk Management Worksheet (App. A),
Log of Deficiencies/Corrective Action Plan, can be used to anticipate and plan for
environmental or operational changes.

In conclusion, the Risk Management Five-Step Process is the very foundation of a

facility/organization safety program. RM processes are applicable to all aspects
of our professional and personal experiences. Using it can even make safer
something as simple as planning a vacation. The more we use it, the more aware
we become of where the hazards are and how we can avoid, manage or eliminate
them. Take advantage of the Chapter attachments and carefully review Chapter 5
to further understand how fundamental and valuable and yet how simple and
sustaining this process becomes once the tools and techniques have been
developed and become second nature. Without question, effective risk
management can change the safety culture of an organization and risk
management will be the most effective tool in achieving the “Zero Injury” goal of
the Smithsonian Institution.

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 Attachment 2

Example of a Job Hazard Analysis

Job Hazard Analysis Form
JOB TITLE: Grinding Operator Date of Analysis:
OPERATION: Cleaning Plastics Grinder
JOB LOCATION: Plastics Extrusions

NEW PROCEDURE OR
PROCEDURAL STEP HAZARD PROTECTION
1. Shut off grinder,
lockout and tag-out None Follow unit's LO/TO Program
Contact with cutting knives, Wear cotton gloves and
2. Open clean-out door airborne plastic dust particulate and dust mask
3. Open cutting chamber
and take clamp off Door is heavy,
blower pipe overexertion Use caution, 2 person job
4. Remove screen Heavy, could fall and Should be removed by 2
chamber cause damage persons
5. Remove screen Contact with cutting knives Wear cotton gloves
Wear cotton gloves and
6. Clean all parts Cutting knives, plastic dust particulate dust mask
7. Clean cyclone and Falling parts and plastic Use cage attached to forks of
filter dust forklift, use particulate mask
8. Install screen and Cutting knives, cradle is Wear cotton gloves, install
cradle heavy cradle by 2 persons
9. Install chamber and Could fall and cause Should be installed by 2
clamp on blower pipe. damage persons
10. Install clean out door
and clean floor area Cutting knives Wear cotton gloves

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 SMITHSONIAN INSTITUTION ATTACHMENT 3
JOB TITLE: Created: Revise Date: JHA Creator: Title:

6.2008
JOB HAZARD ANALYSIS
WORK LOCATION (ROOM NO.): DEPARTMENT: TOOL/MACHINE MAKE AND MODEL:
Define Activities/Equipment Used (note
Task(s) frequency/duration) POTENTIAL HAZARDS REQUIRED CONTROLS/WORK PRACTICES REQUIRED PPE
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 SMITHSONIAN INSTITUTION ATTACHMENT 4
JOB TITLE: Created: Revise Date: JHA Creator: Title:

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JOB HAZARD ANALYSIS OxyAcetylene Welder 5/15/2007 Beverly Maki OSHEM Saf Spec
WORK LOCATION (ROOM NO.): DEPARTMENT: TOOL/MACHINE MAKE AND MODEL:
Welding Operations
Most welding shops Oxy-Acetylene welding machine, model xxx
Define Activities/Equipment Used (note
Task(s) frequency/duration) POTENTIAL HAZARDS REQUIRED CONTROLS/WORK PRACTICES REQUIRED PPE
Oxy-Acetylene welding, used on average X
times a day, X days a week by X # of welders.
Spilling water could cause slip/trip. Not cleaning Slowly apply small amount of water to cloth and wipe
1. Turn torch 1a. Wipe down work area with damp cloth area could leave dust particles/combustibles that down work area. Ensure fire extinguishers are available N/A
(water)
on could flare and charged.
Ensure uncoiled hoses will not be a tripping hazard.
1b. Uncoil and straighten hoses from Loose hose on floor could cause slip/trip. Ensure there are no kinks, cracks or damage to hoses. N/A
cylinders. Damaged hose could cause leak/fire Ensure all torch valves are closed and inspect for
possible leaks.
1c. Adjust screws on regulators so they are
Gas leak could cause fire Ensure adjustment screws on regulators are backed off N/A
backed off.
so no tension is present for both acetylene and oxygen.
1d. Open cyclinder valve slowly by turning
None None N/A
counterclockwise.
1e. Turn adjustment screw clockwise to
None Know the correct pressure for type equipment
desired pressure
Safety glasses, work
1f. Crack open acetylene valve on torch body. Potential gas accumulation if not prepared to light Have striker available
gloves
Quickly, so not to let gas accumulate, hold torch facing
Potential gas accumulation away from face, body and portable unit. Using other Safety glasses, work
1g. Use striker to ignite torch
Spark production (could ignite other material) hand, strike flint approximately 2 inches from tip of gloves
torch.
Incorrect adjustment could cause flame out, Safety glasses, work
1h. Adjust acetylene torch body valve Adjust acetylene torch body valve to desired flame
undesirable magnitude gloves
Incorrect adjustment could cause flame out, Slowly open oxygen valve on torch body to achieve Safety glasses, work
1i. Open axygen valve on torch body
undesirable magnitude desired flame. gloves
Welding training should cover when and how to use
2. Perform 2a. Have flux and welding rods appropriate for Improper weld due to improper selection of flux
different fluxes and welding rods. Adhere to the
type weld and material being welded and welding rods
weld trianing.
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 SMITHSONIAN INSTITUTION ATTACHMENT 4
Define Activities/Equipment Used (note

6.2008
Task(s) frequency/duration) POTENTIAL HAZARDS REQUIRED CONTROLS/WORK PRACTICES REQUIRED PPE
1. Updated (annual) Welding shop burn permit
required.
2. If welding outside shop, Burn Permit from
Authorized Person required.
3. Do not weld near flammable material. Move
2b. Perform weld 2b1. Fire or Explosion
flammables at least 35 feet away or protect them with
flame-proof covers.
4. Do not weld on drums, tanks or any closed
containers unless a qualified person has tested it and
declared it or prepared it to be safe.
1. Use enough forced ventilation or local exhaust
Welder's cap; safety
(forced suction) at the arc to remove fumes from
glasses, oxygen fed
breathing area.
respirator, if required;
2b2. Breathing welding fumes 2. Use portable smoke eater when out on a job.
Welder's face shield;
3. Use welding helmet that has fresh air supply.
welder's gloves; welder's
4. Keep your head out of the fumes and do not breathe
apron
fumes.
1. Wear welder's cap, eye protection, face shield,
Welder's cap, eye
gloves, apron
2b3. Sparks could burn eyes, hands, clothes protection, face shield,
2. If welding outside with breeze, use wind break and
gloves, apron
line of sight barrier to protect passers-by.
1. Use welding helmet with correct shade of filter. Welder's cap, eye
3c. Perform weld with arc welder 2b4. Arc rays can burn eyes 2. Use welding curtain to shield other employees and protection, face shield,
visitors from arc rays. gloves, apron
Follow procedures/protocols listed in Chapter XX, Fire Welder's cap, eye
2b5. Smoke may set off smoke alarm or sprinkler
Protection Impairment Permit whenever working closer protection, face shield,
system
than 35 feet from a sprinkler head or smoke detector. gloves, apron
Drain piping at welding area, wearing insulated gloves, Welder's cap, eye
2c. Weld heating, AC, water, steam,
2c1.. Contents of piping could cause burns eye protection or whatever other PPE based on pipe protection, face shield,
condensate return lines.
contents. gloves, apron
Welder's cap, eye
2d. Perform weld on or near electrical devices 2d1. Electical shock, cuts and burns Use lock-oout/tag-out procedures. protection, face shield,
gloves, apron
Position fingers on acetylene valve ensuring they do Welder's cap, eye
3. Turn off 3a. Close acetylene valve on torch body Valve and stem (pinch points) not come in contact with the valve stem. Turn valve protection, face shield,
torch clockwise. gloves, apron
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 SMITHSONIAN INSTITUTION ATTACHMENT 4
Define Activities/Equipment Used (note

6.2008
Task(s) frequency/duration) POTENTIAL HAZARDS REQUIRED CONTROLS/WORK PRACTICES REQUIRED PPE
Position fingers on oxygen valve ensuring they do not Welder's cap, eye
3b. Close oxygen valve on torch body Valve and stem (pinch points) come in contact with the valve stem. Turn valve protection, face shield,
clockwise. gloves, apron
Position fingers on acetylene valve ensuring they do Welder's cap, eye
3c. Turn the acetylene valve clockwise Valve and stem (pinch points) not come in contact with the valve stem. Turn valve protection, face shield,
clockwise. gloves, apron
Position fingers on acetylene valve ensuring they do Welder's cap, eye
3d. Turn the oxygen valve clockwise Valve and stem (pinch points) not come in contact with the valve stem. Turn valve protection, face shield,
clockwise. gloves, apron
3e. Close adjustment screws on acetylene
None N/A None
regulator
3f. Close adjustment screws on oxygen
None N/A None
regulator
3g. Slowly open Acetylene valve on the torch Position torch nozzle away from personnel and any
Gas (potential inhalation, explosion) None
body to bleed lines. heat source. Open valve on torch body.
3h. Slowly open oxygen valve on the torch Position torch nozzle away from personnel and any
Gas (potential explosion) None
body to bleed lines. heat source. Open valve on torch body.
Position fingers on acetylene valve ensuring they do
3i. Close acetylen valve on torch body Valve and stem (pinch points) not come in contact with the valve stem. Turn valve None
clockwise.
Position fingers on acetylene valve ensuring they do
3j. Close oxygen valve on torch body Valve and stem (pinch points) not come in contact with the valve stem. Turn valve None
clockwise.
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 Operational Risk Management Worksheet ATTACHMENT 5
Operation: Plan Exhibit of very large

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and heavy collections Date of Operation: 7/10/2006 Worksheet developed by: Safety Coordinator's name
Operation Description: An exhibit is scheduled that includes canvases that are 12' x 18' and other large sizes coated in massive amount of lead so they weigh
hundreds of pounds, and one sculptural piece that weighs 10,000 lb.
Step 2 Step 4 Step 5
Step 1 Assess Step 3 Residual How/Who to Supervise/
Identify Hazard Hazard Develop Controls Risk Implement Evaluate
Lifting heavy objects causes Back injury prevention training; Purchase, rent or borrow WHE. Director or designate/SC note if
back injury or other body sufficient weight handling equipment; Contract movers; SC arranges for effective, other possible
trauma RAC 2 sufficient personnel to share load. RAC 3 training; countermeasures
Supervisors ensure personnel have
Dropped heavy objects could Safety Shoes; safety awareness and wear safety shoes; use
cause foot injury RAC 3 training RAC 4 contracted workers SC/supervisor enforce PPE
Sharp objects or wood Supervisors ensure personnel have
splinters on crates could Leather gloves to prevent splinters, and wear gloves; use contracted
cause hand injury RAC 3 cuts RAC 4 workers SC/supervisor enforce PPE
In planning stage determine weight/ Director determines limitations and
lift/space requirements. Limit exhibit to resource capabilities and assigns Director or designate/SC note if
Weight exceeds forklift meet present capacities, or contract personnel capable of determining effective, other possible
capacity RAC 2 for necessary equipment RAC 4 weight and size restrictions. countermeasures
Weight exceeds elevator In planning stage determine weight/
capacity RAC 2 lift/space requirements (see 8 above) RAC 4 Same as 8 above Same as 8 above
Pieces are too large to fit in In planning stage determine weight/
the elevator RAC 2 lift/space requirements (see 8 above) RAC 4 Same as 8 above Same as 8 above
In planning stage determine weight/
Mounting challenges to lift/space/mounting requirements;
prevent pieces from falling check with previous museum showing Employees are trained and provided Supervisor/SC insures safe
from wall RAC 1 exhibit for lessons learned RAC 3 necessary equipment to install safely installation operations
Unbalanced pieces could
topple RAC 1 Same as 11 above RAC 3 Same as 11 above Same as 11 above
Thorough planning and involvement of
Insufficient space for full OSHEM fire and safety personnel to
exhibit and visitor viewing insure sufficient space for exhibit, Exhibit planners use scale drawings Supervisor/SC insures safe
space RAC 2 employees and visitors RAC 4 and coordinate with OSHEM installation operations
Sharp protrusions could
injure visitors RAC 2 Same as 13 above RAC 4 Same as 13 above Same as 13 above
Coordinate with qualified OSHEM Once provided factual exposure
personnel to evaluate exposure hazard assessments, Director
Exposure to lead dust RAC 2 hazard. RAC 4 determines exhibit limitations. Same as 13 above
Highest residual risk level: LOW MEDIUM HIGH EXTREMELY HIGH Accepted by: Date:
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 Attachment 6
Job Observation / Task Analysis

Date/Time: ___________________ Supervisor Name: __________________________________________

Observer Name ___________________ Facility Name: __________________________________________
Person on Job: ___________________ Department: __________________________________________
Job Title: ___________________ Area/Location: __________________________________________

Identify Potential Hazards

Chemical Burn Electric Shock Inhalation Hazard Thermal Burn Loud Noise
Fire Pinch Point Overexertion Cave-In Particles in Eye
Elevated Work Heat Stress Inadequate Guards Overhead Work Slips, Trips and Falls
Spills Abrasions Laceration Falling Hazards Sprains and Strains
Rotating Equipment Inadequate Lighting _________________ _________________ ________________
Identify Hazard Elimination/Correction
Rubber Gloves/Face Shield/Rain Suit Face Shield/Mono Toe Boards/Netting Erect Barricades
Personal Protective Equipment Fire Hose/Extinguisher Hearing Protection Use Respirator
Scaffolds/Safety Harness/Fall Protection Proper Sloping/Shoring Contain Sparks Proper Tools
Electrical Gloves/Flash Suit Proper Body Leather Gloves Get Help
Spill Containment Supplies Improve Housekeeping Temporary Lighting ________________
Job Preparation, Set-up and Review Yes No N/A
Supervisor job scope discussion performed?
Job scope understood?
Special Requirements/Checklist?
Permit/work clearance
Hot work
Confined Space
Excavation
Hoisting/Rigging
Other: ____________________________________________
Proper safety equipment available at the job site?
Fire watch understands responsibility?
Confined space procedure/rescue plan reviewed?
Excavation checklist completed properly?
All required equipment isolated and locked out?
Test starts performed (local and remote)?
Lines drained and purged?
Proper tools available/used for the job?
MSDS reviewed with work group?
Job Completion Review Yes No N/A
Work area cleaned? Tools/parts/materials removed?
All guards replaced and secured properly?
All locks removed and permits signed completely?
Permit/work clearance permit turned in?
Job status communicated to affected personnel?
Deficiencies

Recommendations

Reviewed by (Name/Title):
Job Observation Form OSHEM JO 001 Creation Date: 30 August 2007
Revision # _____ and Date: ______________
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