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Assessing Occupational Health and Safety Risk Control Strategies and the Hierarchy of Control
by Dr. Carl Marx of http://financialsupport.weebly.com
Introduction
One of the most critical steps of the risk management process is the instituting of appropriate measures that will be used to control the identified significant risks. There are a number of risk control strategies that can be followed. A comprehensive and effective control strategy often includes a combination of control measures and mechanisms. No hard and fast rules can be given here as the exact control measure mix will be determined by the situation prevailing at the time.
When implementing a control strategy the prescribed hierarchy of control should be followed. This just means that a set priority order of control measures should be followed.
Hierarchy of Control
The hierarchy or preferred order of selecting control measures is contained in the International Labor Organization Convention C176. This convention stipulates as follows:
The general guideline for critical controls is that the more dependent the controls are on human action the less effective they are when required. At least two effective controls, sometimes also called barriers are required for any critical risk to ensure an acceptable level of control.
Care should be taken not to just list standards and codes of practice as existing controls. Just having a standard or a code op practice for example, is no guarantee that the hazard is sufficiently controlled to bring the risk down to tolerable levels.
Where a decision has been made to implement a control measure, someone has to be responsible for this and for reviewing its effectiveness. Due to the level of responsibility and authority allocated to managers and supervisors, they should be responsible for the controls implemented in their workplaces.
Broadly defined, risk control techniques are designed to minimize, at the least possible costs, those risks to which the organization is exposed. Risk control methods, include risk avoidance and the various approaches to reducing risk through loss prevention and control efforts. The general guideline for developing controls is that the more dependent the controls are on human action the less effective they are when required. On the other hand, by redesigning equipment, processes or the work environment the more reliable the risk reduction will take place. By eliminating identified risks the required control measures should less.
Should it not be possible to eliminate the risk it is always more effective and reliable to control the risk at source. This implies that the risk is not eliminated but rather arrested before it can have any negative impact.
If it is not be possible to eliminate the risk or control the risk at source, the control measure developed and instituted should be aimed at minimizing the consequence of the risk. This implies that, in the event of the risk resulting in an undesirable consequence, the effect of the consequence should be minimised by the control measure implemented.
The hierarchy of control requires that, in so far as the risk remains after having eliminated, controlled at source and minimising the consequence of the risk, personal protective equipment should be issued. Should one issue all personnel with personal protective equipment without considering the residual risk, it implies that the first three steps in the control hierarchy have been ignored.
On of the more important aspects of utilising this hierarchy of control is to institute a programme to monitor the risk to which employees may be exposed. This monitoring programme should be so designed as to provide regular feedback to the risk management committee as to the appropriateness and effectiveness of the instituted risk control measures. This risk management committee should be sufficiently empowered to be able to direct the adaptation of new and more relevant risk control measures as this becomes necessary.
Despite the fact that training is always a good investment it should never be viewed as a method to control risks. No amount of training will be sufficient to avoid risks. The method utilised to avoid risks should be to redesign the process and remove the high risk portion form the process rather than training operators to avoid exposure.
Control Strategies
Some controls are more effective than others. In the list following, the types of control strategies for reducing risk are listed in descending order of effectiveness.
Terminate
One of the surest ways to control a risk from having a negative consequence id to terminate the activity that is associated with the risk. The risk manager should ask the question whether the high risk step on the process is really necessary for the successful completion of the task. Very often it is realised that these steps can be terminated.
Treat
In order to control risks a treatment strategy is often the only practical solution. A typical treatment strategy would be to install sound silencers over machinery that generates high levels of noise. The noise is still there but cannot have a negative consequence on employees as it is treated. The various methods of treating the risk includes instituting engineering controls
Transfer
It is a valid control to transfer the risk to another party. Other parties may be in a better position to deal with the consequences of the risk. A typical example of this is to be found in the insurance industry where the insured party cannot afford to have a loss of say $ 1 000 000-00 but the large underwriter can afford it as long as it is recovered over time in premiums paid.
Other parties may also be better positioned to prevent the risks from realising at all. This is particularly true in technically complex industries where the company can deliver the service as an expert to the general industry type company, examples are computer servers.
Tolerate
From time to time it may be necessary to tolerate a risk. This strategy is a very complex and complicated intricate decision as some consequences of risk will never be tolerable. Here one should typically look at the risk types that will cause disastrous consequences.
We all live with the fact that, for practical purposes, not all product, process or service will be risk-free. How do we describe this state? Our first approach was to use the term acceptable risk. But we quickly rejected this term from the philosophical point of view that no risk is acceptable, although the individual or society may choose to live with that level risk because of the perceived benefits.
In practice we are always seeking to reduce the risks and what would be acceptable to one generation becomes unacceptable to the next. In other words tolerable risk can be described as risk which is accepted in a given context based on the current values of society. The concept of tolerable risk has stimulated various methodologies on how the risks reduction process is achieved. This in turn led to a greater understanding of when a risk is tolerable in a safety context.
Conclusion
It may be necessary to use more than one control measure to manage exposure to risk in complex situations. Some control measure that is lower on the hierarchy of control may need to be used until a permanent solution can be achieved. If this option is taken it is extremely important to clearly communicate to all interested and affected parties that the solution is temporary. The communication should include a clear statement about the duration of the interim measures.
The primary problem with interim measures is that over time, they tend to turn into permanent solutions. Extra care should be taken to prevent this.
© Carl Marx
One of the most critical steps of the risk management process is the instituting of appropriate measures that will be used to control the identified significant risks. There are a number of risk control strategies that can be followed. A comprehensive and effective control strategy often includes a combination of control measures and mechanisms. No hard and fast rules can be given here as the exact control measure mix will be determined by the situation prevailing at the time.
When implementing a control strategy the prescribed hierarchy of control should be followed. This just means that a set priority order of control measures should be followed.
Hierarchy of Control
The hierarchy or preferred order of selecting control measures is contained in the International Labor Organization Convention C176. This convention stipulates as follows:
- Eliminate any recorded risk;
- Control the risk at source;
- Minimise the risk; and
- In so far as the risk remains--
- Provide for personal protective equipment; and
- Institute a programme to monitor the risk to which employees may be exposed.
The general guideline for critical controls is that the more dependent the controls are on human action the less effective they are when required. At least two effective controls, sometimes also called barriers are required for any critical risk to ensure an acceptable level of control.
Care should be taken not to just list standards and codes of practice as existing controls. Just having a standard or a code op practice for example, is no guarantee that the hazard is sufficiently controlled to bring the risk down to tolerable levels.
Where a decision has been made to implement a control measure, someone has to be responsible for this and for reviewing its effectiveness. Due to the level of responsibility and authority allocated to managers and supervisors, they should be responsible for the controls implemented in their workplaces.
Broadly defined, risk control techniques are designed to minimize, at the least possible costs, those risks to which the organization is exposed. Risk control methods, include risk avoidance and the various approaches to reducing risk through loss prevention and control efforts. The general guideline for developing controls is that the more dependent the controls are on human action the less effective they are when required. On the other hand, by redesigning equipment, processes or the work environment the more reliable the risk reduction will take place. By eliminating identified risks the required control measures should less.
Should it not be possible to eliminate the risk it is always more effective and reliable to control the risk at source. This implies that the risk is not eliminated but rather arrested before it can have any negative impact.
If it is not be possible to eliminate the risk or control the risk at source, the control measure developed and instituted should be aimed at minimizing the consequence of the risk. This implies that, in the event of the risk resulting in an undesirable consequence, the effect of the consequence should be minimised by the control measure implemented.
The hierarchy of control requires that, in so far as the risk remains after having eliminated, controlled at source and minimising the consequence of the risk, personal protective equipment should be issued. Should one issue all personnel with personal protective equipment without considering the residual risk, it implies that the first three steps in the control hierarchy have been ignored.
On of the more important aspects of utilising this hierarchy of control is to institute a programme to monitor the risk to which employees may be exposed. This monitoring programme should be so designed as to provide regular feedback to the risk management committee as to the appropriateness and effectiveness of the instituted risk control measures. This risk management committee should be sufficiently empowered to be able to direct the adaptation of new and more relevant risk control measures as this becomes necessary.
Despite the fact that training is always a good investment it should never be viewed as a method to control risks. No amount of training will be sufficient to avoid risks. The method utilised to avoid risks should be to redesign the process and remove the high risk portion form the process rather than training operators to avoid exposure.
Control Strategies
Some controls are more effective than others. In the list following, the types of control strategies for reducing risk are listed in descending order of effectiveness.
Terminate
One of the surest ways to control a risk from having a negative consequence id to terminate the activity that is associated with the risk. The risk manager should ask the question whether the high risk step on the process is really necessary for the successful completion of the task. Very often it is realised that these steps can be terminated.
Treat
In order to control risks a treatment strategy is often the only practical solution. A typical treatment strategy would be to install sound silencers over machinery that generates high levels of noise. The noise is still there but cannot have a negative consequence on employees as it is treated. The various methods of treating the risk includes instituting engineering controls
Transfer
It is a valid control to transfer the risk to another party. Other parties may be in a better position to deal with the consequences of the risk. A typical example of this is to be found in the insurance industry where the insured party cannot afford to have a loss of say $ 1 000 000-00 but the large underwriter can afford it as long as it is recovered over time in premiums paid.
Other parties may also be better positioned to prevent the risks from realising at all. This is particularly true in technically complex industries where the company can deliver the service as an expert to the general industry type company, examples are computer servers.
Tolerate
From time to time it may be necessary to tolerate a risk. This strategy is a very complex and complicated intricate decision as some consequences of risk will never be tolerable. Here one should typically look at the risk types that will cause disastrous consequences.
We all live with the fact that, for practical purposes, not all product, process or service will be risk-free. How do we describe this state? Our first approach was to use the term acceptable risk. But we quickly rejected this term from the philosophical point of view that no risk is acceptable, although the individual or society may choose to live with that level risk because of the perceived benefits.
In practice we are always seeking to reduce the risks and what would be acceptable to one generation becomes unacceptable to the next. In other words tolerable risk can be described as risk which is accepted in a given context based on the current values of society. The concept of tolerable risk has stimulated various methodologies on how the risks reduction process is achieved. This in turn led to a greater understanding of when a risk is tolerable in a safety context.
Conclusion
It may be necessary to use more than one control measure to manage exposure to risk in complex situations. Some control measure that is lower on the hierarchy of control may need to be used until a permanent solution can be achieved. If this option is taken it is extremely important to clearly communicate to all interested and affected parties that the solution is temporary. The communication should include a clear statement about the duration of the interim measures.
The primary problem with interim measures is that over time, they tend to turn into permanent solutions. Extra care should be taken to prevent this.
© Carl Marx
