Auckland Transport

Hazard and risk management procedure

PRO-HS10-HAZ

  1. Background and purpose

The purpose of this procedure is to set out Auckland Transport’s (AT) process for effective management of hazards and their associated risks. AT recognises that the systematic identification of hazards and the management of related risks arising from our operations is vital to the health and safety of our personnel, suppliers and the public.

The New Zealand Health and Safety in Employment Act 1992 states that all organisations are required to:

  • Identify hazards,
  • assess the risks if necessary,
  • control risks; and,
  • review control measures regularly.

In addition to meeting these obligations, AT believes that the proactive management of hazards and risks is the first step in incident and injury prevention.

  1. Scope

This procedure applies to all AT employees, members of the public, visitors, and suplliers who may be affected by AT’s activities or who undertake activities on behalf of AT.  It has been completed to align with Auckland Transport’s health and safety framework.

This procedure is to be read in conjunction with the relevant AT Health and Safety Risk Management Standard and AT’s Audit and Risk Policy.

  1. Responsibilities

Chief Executive

  • Accountable for the organisation’s compliance with AT’s Health and Safety Policies and Standards.
  • Ensuring allocation of competent resources and accountabilities across the organisation to meet the requirements set out in this procedure.
  • Ensure there is a process in place to identify, assess, manage and review hazards and risks. Ensure all risks have strategies in place to eliminate or minimise them so far as is reasonably practicable.
  • Review the risk registers on a regular basis, in particular Class A and B health and safety risks.
  • Ensure there is a process in place to report all hazards and risks, and that they are entered into the company risk register.

Divisional Managers

  • Accountable for implementing and maintaining the H&S Hazard and Risk Management procedure requirements.
  • Ensure there are sufficient competent resources within their area of responsibility to undertake hazard and risk assessments as per the requirements in this procedure.
  • Ensure all hazards and risks are reported and investigated in line with the requirements set out in this procedure.
  • Undertake monthly reviews of non-conformance inspections/audit trends including a review of new and current hazards and risks. This will be done in consultation with the H&S Manager.
  • Put plans in place to mitigate risks for their area of responsibility.
  • Ensure all risk assessment mitigation strategies and corrective actions are implemented and closed out in a timely manner.
  • Communicate Lessons Learnt and Safety Alerts relevant to all risk assessments.

Health and Safety Manager

  • Ensure that AT’s Health and Safety Management System provides effective processes and procedures with tools to support management in meeting their H&S responsibilities.
  • Support management with establishing a monitoring and review process to ensure this hazard and risk management procedure is continually improved.
  • Ensure that all information gathered from hazard and risk assessments across Auckland Transport is analysed and reported to management.
  • Review hazard and risk assessment outcomes to share Safety Alerts/Lessons Learnt across Auckland Transport and with other stakeholders as appropriate.
  • Support management in establishing governance systems to assess compliance with H&S legislation, policies and procedures.
  • Provide health and safety risk management training for all Risk Management Champions, Health and Safety Champions and other personnel responsible for hazard and risk management.

Line Managers

  • Assist the Divisional Managers with identifying, assessing, and managing hazards and risks.
  • Ensure safe systems of work are implemented to ensure hazards and risks are effectively managed, and that all persons are trained, competent and fit for the tasks they will undertake.
  • Ensure hazards and their risks are effectively managed with prioritised corrective or mitigative action aimed at preventing incidents and injuries.
  • Ensure all hazards and risks are reported, and that systems are in place to notify key internal and external stakeholders within specified timeframes set out in this procedure.
  • Ensure self-assessments and declarations of compliance are undertaken annually.

Employees

  • Comply with the H&S Hazard and Risk Management procedure.
  • Comply with H&S risk management controls for all work activities undertaken.
  • Only undertake tasks for which they have been trained and are competent and authorised to undertake.
  • Report all hazards and risks involving themselves or others that they are aware of in accordance with this procedure and the Risk Management Standard.
  1. Process

The process below sets out the steps to identifying, assessing and managing health and safety hazards and risks. 

Hazard Wheel

Health and safety risk management process required

The steps in this procedure (refer to Section 5) should be followed when designing and planning products, processes or places used for work and in the following situations:

  • Changing work practices, procedures or the work environment;
  • Purchasing new or used equipment or using new substances;
  • Planning to improve productivity or reduce costs;
  • Prior to the start of an activity, project, design, contract or product or transport launch;
  • If new information about workplace risks becomes available;
  • Responding to workplace incidents (including “near miss” incidents); and
  • Responding to concerns raised by employees, H&S representatives or others in the workplace.

Health and safety risk management process not required

If hazards and their associated risks are well known and have well established and accepted control measures by the AT H&S Manager, then formally assessing their risk may be unnecessary. If an identified hazard has a known risk and control measure then ensuring the controls are implemented may be all that is required.

In these situations, approval by an AT’s H&S Manager will be required prior to determining that the risk management process is not required. The details, the decision, and the reasons are to be recorded in AT’s H&S Hazard/Risk Register. 

  1. Procedure

Consultation and co-operation

Consultation with workers and their H&S representatives is required at each step of the hazard and risk management process. The collective knowledge, experience and ideas of the ‘worker’ will significantly assist with the identification hazards and implementation of effective control measures. 

If the responsibility for a H&S matter is shared with other business operators who are involved in the same activities or share the same workplace, discussions on the hazards and risks associated with the work must be undertaken and plans developed to manage those risks prior to work commencing.

Step 1: Identify Health and Safety Hazards 

Hazard identification involves finding situations and things that could potentially cause harm to people. They generally arise from the one of the following aspects of work and their interaction:

  • Physical work environment
  • Equipment, materials and substances used
  • Work tasks and how they are performed
  • Work design and management.

Hazard Categories

Hazards will generally fit into one of the categories below and these can be used to consider all the hazards in the workplace or when designing/planning work.

  • Physical: vibration, noise, temperature, lighting, radiation, mechanical, electrical.
  • Chemical: fumes, vapours, gases, explosives, acids, flammable substances, oxidising agents.
  • Biological: viruses, bacteria, fungi, pollen, insect, contaminated body fluids, contaminated air.
  • Psychosocial: workload, stress, harassment, discrimination, shift work, inappropriate work assignments.
  • Ergonomic: poor design or tools, equipment, task, environment. Ergonomics has both Safety and Efficiency components. If poor design of tools and equipment is improved and the work environment is well designed, this will contribute to a reduction in incidents and probably improve efficiency.

The interaction between people, tasks, and the work environment also needs to be kept in mind when considering each hazard.

Method of Hazard Identification

Hazards or situations with potential risk can be identified in a number of ways, generally by using a combination of the following:

  • Talk to staff or others who are or have been involved in the process;
  • Do physical inspections or assessments of workplaces and work activities;
  • Do a Job Safety Analysis;
  • Review existing AT records e.g. incident data/incidents;
  • Use your own experiences/knowledge;
  • Consult with employees, external suppliers or specialist consultants;
  • Make use of information/advice provided by Government authorities/agencies;
  • Look at experiences in other similar organisations/industries;
  • Seek expert opinion (internally or externally);
  • Review supplier and manufacturer data;
  • Refer to legislative standards, guides and codes;
  • Perform health surveillance as appropriate.

Once hazards have been identified they must be reported through the online Health and Safety Information Management System (“Synergi Life”). All hazards will require reporting into this system as soon as reasonably practicable.

Step 2: Assess the Health and Safety Risks.

Assessing the Hazard for Risk

The first step in analysing hazards is assessing the risk. The risk assessment will determine what level of risk a hazard has and determine what priority it should take when determining management controls. 

The technique used is the combination of likelihood and consequence on a 25 point scale moving from a very low to very high risk category. Refer to the below table to assess health and safety hazards for risk.

In order to assess the magnitude of the risk, a risk class is determined.

 

Very Low

May occur but only in exceptional circumstances

1 in 100000

Low

Could occur but doubtful

1 in 10000

Medium

Might occur sometime in the future

1 in 1000

High

Will probably occur

1 in 100

Very High

Is expected to occur in most circumstances

1 in 10

Likelihood X Consequence

Consequesnce Rating

5

VERY HIGH

Fatality or multiple life threatening injuries.

HIGH

Class B

(5)

HIGH

Class B

(10)

VERY HIGH

Class A

(15)

VERY HIGH

Class A

(20)

VERY HIGH

Class A

(25)

4

HIGH

Life threatening injuries or multiple person injuries. All notifiable injuries.

MEDIUM

Class C

(4)

MEDIUM

Class C

(8)

HIGH

Class B

(12)

VERY HIGH

Class A

(16)

VERY HIGH

Class A

(20)

3

MEDIUM

Injuries requiring medical attention or hospitalisation.

LOW

Class D

(3)

MEDIUM

Class C

(6)

MEDIUM

Class C

(9)

HIGH

Class B

(12)

VERY HIGH

Class A

(15)

2

LOW

Minor injuries or first aid treatment.

LOW

Class D

(2)

LOW

Class D

(4)

LOW

Class D

(6)

MEDIUM

Class C

(8)

MEDIUM

Class C

(10)

1

VERY LOW

Minor injuries not requiring treatment and near misses.

VERY LOW

Class E
(1)

VERY LOW

Class E

(2)

VERY LOW

Class E

(3)

LOW

Class D

(4)

MEDIUM

Class C

(5)

Likelihood Risk Rating

The higher the risk class (representing the level of risk), the higher its management needs to be prioritised.

Scaling mechanisms are arbitrary and should only be used to identify which hazards require priority attention.  All hazards will still require some form of control and management as specified in Step 3.

Health and Safety Risk Classes and Priority

The table below is intended to provide a statement of the general approach at each class level, noting that each risk must still be assessed for treatment individually.

By plotting the risk likelihood and consequence on a risk classification matrix the risks are appropriately represented.

Treatments in respect of Class A and B risks are expected to be addressed immediately.

 

H&S Risk Class

 

Significance

 

Consequence Rating

 

Priority For H&S Risk Treatment

 

 

Class A

 

 

 

Very High

 

  • Fatality or life threatening
  • Catastrophic loss to business >$1,000,000 damage
  • Toxic environmental damage

 

  • Immediate notification to H&S Manager
  • Cease work until assessment performed and control measures in place
  • Monthly review by Board

 

Class B

 

High

 

  • Life threatening injuries or multiple person injuries. All notifiable injuries.
  • Critical loss of property < $1,000,000 damage
  • High environmental damage

 

 

  • Immediate notification to H&S Manager
  • Short, medium and long term actions developed and implemented
  • Monthly review by Board

 

 

Class C

 

Medium

 

  • Injuries requiring medical attention or hospitalisation
  • Moderate property damage <$100,000 damage
  • Medium environmental damage

 

 

  • Monthly notification to H&S Manager
  • Actions are developed and implemented within a month
  • Changes regularly monitored, requirements for action reviewed
  • Quarterly review by Board

 

 

Class D

 

Low

 

  • Minor injuries or first aid treatment
  • Slight damage to property <$10,000 damage
  • Low environmental damage

 

 

  • Quarterly notification to H&S Manager
  • Actions are developed and implemented in line with H&S Hazard & Risk Management Procedure
  • Changes regularly monitored
  • Quarterly review by Board

 

 

Class E

 

Very Low

 

  • Minor injuries not requiring treatment and near misses
  • Insignificant damage to property <$1,000 damage
  • No significant environmental damage (near miss)

 

 

  • Quarterly notification to H&S Manager
  • Monitor for significant changes in risk class
  • Annual review by Board

 

 

Step 3: Control Health and Safety Risks

Controlling risks should be ranked from the highest level of protection and reliability to the lowest. This will ensure there is a hierarchy of risk control. The hierarchy shall be used when determining what controls are necessary for each risk.

Hierarchy of Control

Level 1
The first level of control and most effective is eliminating the hazard and, therefore, the risk. The best way to achieve this is to not introduce it into the workplace altogether. An assessment of the supply chain for each business operation, process and/or piece of equipment used is the best way to identify hazards and risks before they are introduced.

Level 2
If it is not reasonably practicable to eliminate a hazard and the associated risks, it must be minimised using the following approaches (controlling the hazards and risks at the source):

  • Isolate the hazard from people (separate people from the source of harm);
  • Substitute the hazard with something safer; or
  • Apply engineering controls, i.e. using machinery instead of manual handling.

Level 3
These control measures do not control the hazard at source but rely on supervision and behaviour management to minimize the risk and are less effective than Level 2 controls. Level 3 controls must only be used as a last resort.  Level 3 controls include:

  • Administrative controls such as safe work methods or procedures/processes to minimise exposure to a hazard;
  • Personal Protective Equipment (PPE) such as hard hats, hearing protection, gloves, fall arrest and fall restraint systems etc.

Management Controls

In addition to the above hierarchy of controls, management controls must also be considered when managing hazards and risks. There are a number of basic management control activities that are common to all hazards, although some hazards may require more. These include:

  • Involvement of employees in the development of health and safety procedures;
  • Information systems to ensure employees are informed and understand the risks from hazards they work with;
  • An incident reporting and investigation system;
  • Regular inspections of the workplace;
  • Responsibilities assigned to ensure hazard controls are implemented and remain effective;
  • An audit system to ensure that controls for specific hazards are in place and working;
  • An adequate training programme and adequate supervision for all staff;
  • Implementing emergency procedures, perhaps in conjunction with local emergency services, to limit the consequences of an emergency;
  • Responsibilities assigned to ensure that the existence of each hazard is made known to all those exposed to it, and that they are instructed in the correct procedures when exposed to the hazard.

All hazards and risks must be identified and have management controls in place to ensure they are comprehensively assessed and all steps are taken to reduce the potential risk of injury.

Step 4: Review Control Measures

All control measures must be reviewed regularly to ensure they are still relevant and are working. A review will be required under the following situations:

  • when the control measure is no longer effective in controlling the risk (usually triggered by a near miss or incident);
  • before a change in the workplace takes place that may give rise to new or different risks;
  • when a new hazard or risk is identified;
  • when an inspection or audit of the workplace or work activities highlights the need to review hazards and risks;
  • if a health and safety representative requests a review and this has been agreed through the local Health and Safety Forum; and
  • annually as part of the overall Health and Safety systems review to support continuous improvement.

Health and Safety Hazard/Risk Register

Once the hazards and risks have been identified, assessed and controls put in place, they are required to be listed on AT’s H&S Hazard/Risk Register.

The minimum requirements contained within a Hazard/Risk Register are:

  • a list of all generic and specific hazards;
  • the control measures hierarchy for each hazard, i.e. eliminate, minimize;
  • a risk rating for each hazard;
  • control measures or mitigation strategy for each identified hazard/risk;
  • monitoring methods for each control measure;
  • person responsible for controlling the hazard; and
  • review dates for each hazard and risk.

The Hazard/Risk Register must be available and communicated to all employees and suppliers, and reviewed at least annually. The annual review of the Hazard/Risk Register must detail:

  • how and when the control measures were implemented, monitored, and reviewed;
  • who was consulted as part of the review;
  • any relevant training records associated with the review; and
  • any plans for changes
  1. Definitions

Related Standard