1.1 Outline sources of information to identify hazards and assess risks.

Unit Reference Number

Y/617/7540

Unit Title

Risk and Incident Management

Unit Level

6

Number of Credits

8

Total Qualification Time (TQT)

80 hours

Guided Learning Hours (GLH)

30 hours

Mandatory / Optional

Mandatory

Unit Grading Structure

Pass / Fail

Learning Outcomes- The learner will:

Assessment Criteria- The learner can:

Indicative Content

1. Understand the processes and strategies for identifying hazards and evaluating risk levels when carrying out risk assessments in an organisation.

1.1 Outline sources of information to identify hazards and assess risks.

1.2 Explain techniques to identify hazards.

1.3 Explain how to implement a risk assessment system and to evaluate risk.

1.4 Explain how to measure, monitor and report hazards.

1.5 Explain how to maintain records of risk assessment to meet regulatory and statutory requirements.

1.6 Explain how to use calculations in the analysis and improvement of systems reliability and failure tracing.

• Sources of information to identify hazards and assess risk, external information sources: governmental agencies (OSHA/HSE), European Safety Agency, International Labour Organisation (ILO), World Health Organisation (WHO), professional and trade bodies, internal information sources: damage, injury and sickness data, near-miss information and maintenance records. The validity and usefulness of using external and internal information sources. Use of observation,  task analysis and failure tracing, e.g. hazard and operability studies, engagement of employees.
• ISO Risk Management Framework 31000, ISO Risk Control Measures- ISO 45001, Risk assessment methodologies and their limitations, types of health and safety incidents, techniques and methodologies to address incidents, statutory and regulatory requirements to address risks and incidents, record management

2. Understand the strategies and techniques of risk control.

2.1 Evaluate the use of common risk management strategies.

2.2 Justify when to use risk avoidance, risk reduction, risk transfer, risk analysis, risk evaluation and risk review strategies.

2.3 Explain the development and characteristics of safe systems of work and safe operating procedures.

• Risk assessment process: identify risks/hazards, identify those at risk, evaluate likelihood and severity, identify risk control standards, create action plan, prioritise actions, record assessment. Generic, specific and dynamic risk assessments, when to use, when not to, consideration of long-term hazards to health. Differences between qualitative, semi-quantitative and quantitative assessments, implementation of effective risk assessment system: procedures, recording protocols, training, skills, responsibilities, authorisation, monitoring actions, review, characteristics of safe systems of work and safe operating procedures, when to use a variety of risk strategies: avoidance, reduction, transfer, analysis, evaluation and review.

3. Understand the models of loss causation, analysis of loss data and the importance of incident investigation.

3.1 Outline a range of loss causation theories and techniques.

3.2 Justify the use of quantitative methods in analysing loss data.

3.3 Assess the needs and impacts of reporting of loss events.

3.4 Explain the importance and impact of incident investigations.

Loss causation theories and techniques:

• Benefits/limitations of accident/incident ratio studies
• Birds domino and multi-causality theories (immediate, underlying and root causes)
• Reason’s model of accident causation (swiss Cheese Model), fault tree, event tree and the Bowtie model
• Behavioural root cause analysis. Quantitative methods of calculating loss rates from raw data:
• Accident/incident frequency rate, accident incidence rate, accident
• severity rate, ill-health prevalence rate
• Interpretation of loss event data in graphical and numerical format, e.g. histograms, pie charts and line graphs
• Statistical variability, validity and the use of distributions (ie, importance of representative samples, sampling a population, data errors).

4. Understand processes and strategies to manage health and safety incidents in an organisation.

4.1 Outline the critical stages for managing incidents in the organisation.

4.2 Outline organisational policies to identify, investigate, report and record incidents.

4.3 Explain how to maintain records of incidents to meet regulatory and statutory requirements.

4.4 Evaluate an organisational process for managing health and safety incidents.

• Reporting practices: the ILO Code of Practice, Recording and Notification of Occupational Accidents and Diseases (1996), critical importance of internal reporting and recording systems.
• Importance of investigating incidents: le.g.al requirements, data gathering, root cause analysis, prevention of recurrence, staff morale
• ‘Investigating accidents and incidents – a workbook for employers, unions, safety representatives and safety professionals (HSG245)’ stages: preserve the scene, note people and equipment involved, report event, decide if further investigation needed, gather information, analyse information, identify control measures, produce and implement an action plan, share information and lessons learned to prevent recurrence.