Assessing Ohs Risk

Assessing WHS Risk
Guidelines for ANU

Table of Contents
OVERVIEW ....................................................................................................................... 1
AIM .................................................................................................................................. 1
WHAT IS ‘REASONABLY PRACTICABLE’ .............................................................................. 1
DEFINITIONS..................................................................................................................... 1
WHEN TO CONDUCT A RISK ASSESSMENT ......................................................................... 2
WHEN A RISK ASSESSMENT IS NOT NECESSARY................................................................. 3
HOW TO CONDUCT A RISK ASSESSMENT ........................................................................... 3
CONSULTING WORKERS.................................................................................................... 4
CONSULTING, CO-OPERATING AND CO-ORDINATING ACTIVITIES WITH OTHER DUTY
HOLDERS .......................................................................................................................... 4
CONDUCTING THE RISK ASSESSMENT ............................................................................... 5
IDENTIFYING WORKPLACE HAZARDS ..................................................................................................... 5
ASSESSING THE RISKS ........................................................................................................................... 6
CONTROLLING RISKS .............................................................................................................................. 8
The hierarchy of control ................................................................................................................................ 8
Level 1 control measures ............................................................................................................................... 9
Level 2 control measures ............................................................................................................................. 10
Level 3 control measures ............................................................................................................................. 10
HOW TO DEVELOP AND IMPLEMENT CONTROL OPTIONS ................................................................................... 11
Developing specific control measures ......................................................................................................... 11
Cost of control measures ............................................................................................................................. 11
Implementing controls ................................................................................................................................. 12
HOW TO ENSURE THAT CONTROLS REMAIN EFFECTIVE ...................................................................................... 12
MONITORING AND REVIEWING .................................................................................................................... 13
OUTCOMES OF THE RISK ASSESSMENT............................................................................ 15

COMMUNICATION ..................................................................................................................................... 15
SUPPORT.................................................................................................................................................. 15
REFERENCES ............................................................................................................. 15
APPENDIXES ................................................................................................................... 16
1 – DEFINITIONS ................................................................................................................................... 17
2 – CLASSIFYING HAZARDS ................................................................................................................. 18
3 – REGULATIONS ASSOCIATED WITH MANAGING RISK .................................................................... 19
4 – THE HIERARCHY OF CONTROL ...................................................................................................... 19
5 – ASSESSING RISK ............................................................................................................................ 22
Overview
The Australian National University (ANU) aims to be an influential leader in the fields of work health,
safety and injury management. The University strategic plan ANU by 2020 commits ANU to provide a
work environment where staff are respected, talent is nurtured and supported, and staff enjoy a safe
and engaging work environment.
ANU strives to fully integrate health and safety into all aspects of its activities through a process of
continual improvement through managing risk. In a WHS context risk management is identifying what
could go wrong in the workplace and what the consequences could be, then doing whatever is
reasonably practicable to eliminate or minimise health and safety risks arising from ANU operations.
Under the ANU Health and Safety Management Arrangements [1] each College Dean, Director or
Head of an ANU College, Faculty, Research School, University Centre or Administrative Unit is
responsible for providing a workplace is that it is, as far as reasonably practicable, safe and healthy
for staff, students, contractors and visitors, and without risk to the environment. Providing a safe and
healthy environment:
Demonstrates concern for the safety and health of all staff, students, contractors and visitors;
Makes good business sense and is cost effective;
Meets the university's duty of care staff, students, contractors and visitors; and
Ensures that ANU complies with statutory safety and health requirements.
Aim
The aim of this guide is to assist all ANU staff to achieve the University's objectives by planning and
acting locally to identify potential hazards and their associated risks, and eliminate or minimise them.
What is ‘reasonably practicable’
Deciding what is ‘reasonably practicable’ to protect the University’s people from harm requires taking
into account and weighing up all relevant matters, including:
the likelihood of the hazard or risk concerned occurring
the degree of harm that might result from the hazard or risk
knowledge about the hazard or risk, and ways of eliminating or minimising the risk
the availability and suitability of ways to eliminate or minimise the risk, and
after assessing the extent of the risk and the available ways of eliminating or minimising the
risk, the cost associated with available ways of eliminating or minimising the risk, including
whether the cost is grossly disproportionate to the risk.
The process of managing risk described in this document will help you decide what is reasonably
practicable in particular situations so that you can meet your duty of care under the WHS laws.
Definitions
Hazard
A situation or thing that has the potential to harm a person. Hazards at work may include:
a repetitive job
Assessing Risk Version 7: 2013 1

working with chemicals or radiation
electricity
working at heights or in confined spaces
bullying and violence in the workplace
noisy machinery
a moving forklift..
Risk
The possibility that harm (death, injury or illness) might occur when exposed to a hazard. Risk is
measured in terms of:
Likelihood –the probability of something happening and the frequency with which it happens
and
Consequence – the outcome and impact of an event if it occurs.
Risk control
Taking action to eliminate health and safety risks so far as is reasonably practicable, and if that is not
possible, minimising the risks so far as is reasonably practicable. Eliminating a hazard will also
eliminate any risks associated with that hazard.
When to conduct a risk assessment
Managing work health and safety risks is an ongoing process that is triggered when any changes
affect your work activities. You should work through the steps in this document when:
starting new business
changing work practices, procedures or the work environment
purchasing new or used equipment or using new substances
planning to improve productivity or reduce costs
new information about workplace risks becomes available
responding to workplace incidents (even if they have caused no injury)
responding to concerns raised by workers, health and safety representatives or others at the
workplace
required by the WHS regulations for specific hazards.
It is also important to use the risk management approach when designing and planning products,
processes or places used for work, because it is often easier and more effective to eliminate hazards
before they are introduced into a workplace by incorporating safety features at the design stage.
You should do a risk assessment when:
there is uncertainty about how a hazard may result in injury or illness

the work activity involves a number of different hazards and there is a lack of understanding
about how the hazards may interact with each other to produce new or greater risks
changes at the workplace occur that may impact on the effectiveness of control measures.

A risk assessment is mandatory under the WHS Regulations for high risk activities, including:
live electrical work

working at heights
entry into confined spaces and
diving work.
Some hazards that have exposure standards, such as noise and airborne contaminants, may require
scientific testing or measurement by a competent person from Work Environment Group to accurately
assess the risk and to check that the relevant exposure standard is not being exceeded (for example,
by using noise meters to measure noise levels and using gas detectors to analyse oxygen levels in
confined spaces).
When a risk assessment is not necessary
A risk assessment is not necessary in the following situations:
Legislation requires some hazards or risks to be controlled in a specific way – these

requirements must be complied with.
A code of practice or other guidance sets out a way of controlling a hazard or risk that is
applicable to your situation and you choose to use the recommended controls. In these
instances, the guidance can be followed.
There are well-known and effective controls that are in use in the particular industry, that are
suited to the circumstances in your workplace. These controls can simply be implemented.
Conducting risk assessments will enable Colleges/ Schools/ Service Divisions to focus on significant
risks first. You can determine significance by identifying the level of risk to people, research and
educational outcomes, and reputation, based on the likelihood of the risk occurring and the
consequences if it does.
How to conduct a risk assessment
WHS risk assessment is based on the Code of Practice – How to Manage Work Health and Safety Risks
[3]. A safe and healthy workplace does not happen by chance or guesswork. You have to think about
what could go wrong at your workplace and what the consequences could be. Then you must do
whatever you can (in other words, whatever is ‘reasonably practicable’) to eliminate or minimise
health and safety risks arising from your operations.
This process is known as risk management and involves the four steps set out in this document (see
Figure 1 below):
identify hazards – find out what could cause harm
assess risks if necessary – understand the nature of the harm that could be caused by the
hazard, how serious the harm could be and the likelihood of it happening
control risks – implement the most effective control measure that is reasonably practicable
in the circumstances
review control measures to ensure they are working as planned.

Figure 1: The risk management process
Consulting workers
Section 47: The WHS Act requires that ANU consults, so far as is reasonably practicable, with
workers who carry out work who are (or are likely to be) directly affected by a work health and safety
matter.
Section 48: If the workers are represented by a HSR, the consultation must involve that HSR.
Consultation involves sharing of information, giving workers a reasonable opportunity to express

views and taking those views into account before making decisions on health and safety matters.
Consultation with workers and their HSRs is required at each step of the risk management process.
By drawing on the experience, knowledge and ideas of the University’s workers is more likely to
identify all hazards and choose effective control measures.
Managers and supervisors should:
encourage workers to report any hazards and health and safety problems immediately to
manage risks before an incident occurs and
engage their WHS committee in the risk management process as well.
Consulting, co-operating and co-ordinating activities with other duty holders
Section 46: The WHS Act requires that ANU consults, co-operates and co-ordinates activities with all
other persons who have a work health or safety duty in relation to the same matter, so far as is
reasonably practicable.

Sometimes ANU may share responsibility for a health and safety matter with other business operators
who are involved in the same activities or who share the same workplace. For example, if you engage
on-hire workers as part of your workforce there is a shared duty of care to these workers with the
business that provides them. In these situations, those hiring the workers must discuss the hazards
and risks associated with the work and what precautions will be taken with the on-hire firm.
Never assume that someone else is taking care of a health and safety matter. Find out who is doing
what and work together with other duty holders in a co-operative and co-ordinated way so that all
risks are eliminated or minimised as far as reasonably practicable.
When entering into contracts you should:
communicate your safety requirements and policies,
review the job to be undertaken and
discuss any safety issues that may arise and how they will be dealt with.
Remember that you cannot transfer your responsibilities to another person.
Further guidance on consultation is available in the Code of Practice: Work Health and Safety
Consultation Cooperation and Coordination.
Effective communication and consultation with all stakeholders is integral to every step of the risk
management process to ensure that staff, students, contractors and visitors understand and
contribute to the goal of creating and maintaining the safest university in Australia.
Conducting the Risk Assessment
Identifying workplace hazards
Identify all reasonably foreseeable hazards arising from work in fields such as research (including
fieldwork), teaching, and administration or support services. Be mindful that some hazards may be
obvious and readily identifiable while other hazards, such as exposure to noise, chemicals or
psychological injury, for example, may be less so.
A common way of describing hazards is contained in Appendix 2.
In carrying out hazard identification, consider the following sources of information:
Examination of injury and dangerous incident data;
Technical and scientific evaluation;
Visual inspection of the workplace in a direct way with walk-though inspection of plant and
equipment;
Quantitative or qualitative hazard analysis;
Test and audit reports from the workplace;
Consultation with workers, health and safety representatives and health and safety committee
members;
Workplace WHS documents, e.g. the ANU Health and Safety Management Arrangements [1],
and ANU WHS Strategic Plan 2011 – 2014 [5]; and

Discussions with designers, manufacturers, suppliers, importers, or any other relevant party
who may assist in the identification of a potential hazard or hazardous situation in the
workplace.
Assessing the risks
Once hazards have been identified, consider whether there are specific regulations or codes of
practice that deal with that hazard. Appendix 3 contains a list of hazards for which there are
regulations and codes of practice which deal specifically with managing risk.
When assessing risk:
Gather information about each identified hazard;

Consider the number of people exposed, or likely to be exposed to each hazard;
Consider the duration of the exposure; and
Use the information obtained to assess the likelihood and consequences of exposure to the
hazard.
A hazard may have the potential to cause a range of consequences from minor discomfort to a
serious disabling injury, illness or death. When determining the potential consequences of identified
hazards, consider:
The nature of the hazard posing the risk;

Any combinations of hazards such as heat and manual handling tasks;
The types of injuries or illnesses foreseeable from exposure;
The duration and level of exposure to the hazard; and
The existing control measures in place.
Once the consequences of a hazard have been determined, assess the likelihood of that hazard
causing harm. Factors which may affect the likelihood of an incident occurring are:
How often the hazard has the potential to harm;

The number of people exposed to the hazard;
The duration of exposure;
The quantities of materials or multiple exposure points involved;
The position of the hazard relative to employees and to other hazards;
The skills and experience level of persons exposed;
The special characteristics of persons exposed – for example colour blindness or hearing
impairment;
Other elements of the work environment such as distractions;
Environmental conditions – there may be conditions which increase the likelihood of an
incident occurring such as water in the vicinity of an electrical hazard;
The work organisation, such as rostering and shift arrangements or the pace at which work
should be performed;
The introduction of new work processes; and
The effectiveness of existing control measures.
The Table below provides questions to ask in determining likelihood and gives examples.
Questions to ask in
Explanation and examples
determining likelihood
How often are people A hazard may exist all of the time or it may only exist occasionally. The more
exposed to the often a hazard is present, the greater the likelihood it will result in harm.
hazard?
For example:
Meshing gears in an enclosed gearbox can cause crushing only if the
gearbox is open during maintenance, and therefore the potential for
harm will not occur very often.
Continuously lifting heavy boxes has the potential to cause harm
whenever the work is done.
How long might The longer that someone is exposed to a hazard, the greater the likelihood that
people be exposed to harm may result.
the hazard?
For example:
The longer a person is exposed to noisy work, the more likely it is that they will
suffer hearing loss.
How effective are In most cases the risks being assessed will already be subject to some control
current controls in measures. The likelihood of harm resulting from the risk will depend upon how
reducing risk? adequate and effective the current measures are.
For example:
Traffic management controls have been implemented in a warehouse to
separate moving forklifts from pedestrians by using signs and painted lines on
the floor. These controls may need to be upgraded to include physical barriers.
Could any changes in The demand for goods or services in many organisations varies throughout the
your organisation year. Changes in demand may be seasonal, depend on environmental
increase the conditions or be affected by market fluctuations that are driven by a range of
likelihood? events. Meeting increased demand may cause unusual loads on people, plant
and equipment and systems of work. Failures may be more likely.
For example:
Inner city restaurants and bistros are very busy in the period prior to Christmas,
placing extra demands on kitchen and serving staff. The increase in volume of
food to be prepared and serving a larger number of patrons increases the
potential for human error and the likelihood of harm.
Are hazards more Examples of situations where the risk of injury or illness may become more
likely to cause harm likely:
because of the
Environmental conditions change. For example, work performed in
working environment?
high temperatures in a confined space increases the potential for
mistakes because workers become fatigued more quickly; wet
conditions make walkways and other things slippery.
People are required to work quickly. The rate at which work is done
(e.g. number of repetitions) can over-stress a person’s body or make it
more likely that mistakes will be made.
There is insufficient light or poor ventilation.

Could the way people The possibility that people may make mistakes, misuse items, become
act and behave affect distracted or panic in particular situations needs to be taken into account. The
the likelihood of a effects of fatigue or stress may make it more likely that harm will occur.
hazard causing harm?
Do the differences People with disabilities may be more likely to suffer harm if the workplace or
between individuals in process is not designed for their needs.
the workplace make it
New or young workers may be more likely to suffer harm because of
more likely for harm to
inexperience.
occur?
People who do not normally work at the workplace will have less knowledge
than employees who normally work there, and may be more likely to suffer
harm. These people include contractors, visitors or members of the public.
Estimate the likelihood and consequences using qualitative or quantitative analysis. ANU measures
Likelihood and Consequence on a 5-point scale, with an associated risk assessment matrix (see
Appendix 1). AS/NZS ISO 31000:2009 Risk management – Principles and guidelines [3] has more
detailed information on risk assessment options.
Controlling risks
The most important step in managing risks involves eliminating them so far as is reasonably
practicable, or if that is not possible, minimising the risks so far as is reasonably practicable.
In deciding how to control risks you must consult your workers and their representatives who will be
directly affected by this decision. Their experience will help you choose appropriate control measures
and their involvement will increase the level of acceptance of any changes that may be needed to the
way they do their job.
There are many ways to control risks. Some control measures are more effective than others.
You must consider various control options and choose the control that most effectively eliminates the
hazard or minimises the risk in the circumstances. This may involve a single control measure or a
combination of different controls that together provide the highest level of protection that is reasonably
practicable.
Some problems can be fixed easily and should be done straight away, while others will need more
effort and planning to resolve. Of those requiring more effort, you should prioritise areas for action,
focusing first on those hazards with the highest level of risk.
The hierarchy of control
The ways of controlling risks are ranked from the highest level of protection and reliability to the
lowest as shown in Figure 2. This ranking is known as the hierarchy of risk control. The WHS
Regulations require duty holders to work through this hierarchy when managing risk under the WHS
Regulations.
You must always aim to eliminate a hazard, which is the most effective control. If this is not
reasonably practicable, you must minimise the risk by working through the other alternatives in the
hierarchy.

Level 1 control measures
The most effective control measure involves eliminating the hazard and associated risk. The best way
to do this is by, firstly, not introducing the hazard into the workplace. For example, you can eliminate
the risk of a fall from height by doing the work at ground level.
Eliminating hazards is often cheaper and more practical to achieve at the design or planning stage of
a product, process or place used for work. In these early phases, there is greater scope to design out
hazards or incorporate risk control measures that are compatible with the original design and
functional requirements. For example, a noisy machine could be designed and built to produce as
little noise as possible, which is more effective than providing workers with personal hearing
protectors.
Figure 2: The hierarchy of risk control
You can also eliminate risks by removing the hazard completely, for example, by removing trip
hazards on the floor or disposing of unwanted chemicals.
It may not be possible to eliminate a hazard if doing so means that you cannot make the end product
or deliver the service. If you cannot eliminate the hazard, then eliminate as many of the risks
associated with the hazard as possible.

If it is not reasonably practicable to eliminate the hazards and associated risks, you should minimise
the risks using one or more of the following approaches:
Substitute the hazard with something safer
For instance, replace solvent-based paints with water-based ones.
Isolate the hazard from people
This involves physically separating the source of harm from people by distance or using barriers. For
instance, install guard rails around exposed edges and holes in floors; use remote control systems to
operate machinery; store chemicals in a fume cabinet.
Use engineering controls
An engineering control is a control measure that is physical in nature, including a mechanical device
or process. For instance, use mechanical devices such as trolleys or hoists to move heavy loads;
place guards around moving parts of machinery; install residual current devices (electrical safety
switches); set work rates on a production line to reduce fatigue.
These control measures do not control the hazard at the source. They rely on human behaviour and
supervision, and used on their own, tend to be least effective in minimising risks. Two approaches to
reduce risk in this way are:
Use administrative controls
Administrative controls are work methods or procedures that are designed to minimise exposure to a
hazard. For instance, develop procedures on how to operate machinery safely, limit exposure time to
a hazardous task, use signs to warn people of a hazard.
Use personal protective equipment (PPE)
Examples of PPE include ear muffs, respirators, face masks, hard hats, gloves, aprons and protective
eyewear. PPE limits exposure to the harmful effects of a hazard but only if workers wear and use the
PPE correctly.
Administrative controls and PPE should only be used:
when there are no other practical control measures available (as a last resort)
as an interim measure until a more effective way of controlling the risk can be used
to supplement higher level control measures (as a back-up).

Regulation 44-47: The WHS Regulations include specific requirements if PPE is to be used at
the workplace, including that the equipment is:
selected to minimise risk to health and safety

suitable for the nature of the work and any hazard associated with the work
a suitable size and fit and reasonably comfortable for the person wearing it
maintained, repaired or replaced so it continues to minimise the risk
used or worn by the worker, so far as is reasonably practicable.
A worker must, so far as reasonably able, wear the PPE in accordance with any information,
training or reasonable instruction.
How to develop and implement control options
Information about suitable controls for many common hazards and risks can be obtained from:
regulations, codes of practice and guidance material

manufacturers and suppliers of plant, substances and equipment used in your workplace
industry associations and unions.
In some cases, published information will provide guidance on the whole work process. In other
cases, the guidance may relate to individual items of plant or how to safely use specific substances.
You may use the recommended control options if they suit your situation and eliminate or minimise
the risk.
Developing specific control measures
You may need to develop specific control measures if the available information is not relevant to the
hazards and risks or circumstances at your workplace. You can do this by referring to the chain of
events that were recorded during the risk assessment.
For each of the events in the sequence, ask: “What can be done to stop or change the event
occurring?”
Working through the events in the sequence will give you ideas about all possible ways to eliminate or
minimise the risk. There may be more than one solution for each of the events. The control option you
choose should be:
one that provides the highest level of protection for people and is the most reliable – that is,
controls located towards the top of the hierarchy in Figure 2.
available – that is, it can be purchased, made to suit or be put in place.
suitable for the circumstance in your workplace – that is, it will work properly given the
workplace conditions, work process and your workers.
Where the hazard or risk has the potential to cause death, serious injury or illness, more emphasis
should be given to those controls that eliminate or reduce the level of harm, than those that reduce
the likelihood of harm occurring.
Make sure that your chosen solution does not introduce new hazards.
Cost of control measures
All risks can be controlled and it is always possible to do something, such as stopping the activity or
providing instructions to those exposed to the risk. There will normally be a number of different
options between these two extremes. Cost (in terms of time and effort as well as money) is just one
factor to consider when determining the best control option.
The cost of controlling a risk may be taken into account in determining what is reasonably practicable,
but cannot be used as a reason for doing nothing.
Note. The greater the likelihood of a hazard occurring and/or the greater the harm that would result if
the hazard or risk did occur, the less weight should be given to the cost of controlling the
hazard or risk.
If two control measures provide the same levels of protection and are equally reliable, you can adopt
the least expensive option.
Cost cannot be used as a reason for adopting controls that rely exclusively on changing people’s
behaviour or actions when there are more effective controls available that can change the risk through
substitution, engineering or isolation.
Implementing controls
The control measures that you put into operation will usually require changes to the way work is
carried out because of new or modified equipment or processes, new or different chemicals or new
personal protective equipment. In these situations, it is usually necessary to support the control
measures with:
Work procedures
Develop a safe work procedure that describes the task, identifies the hazards and documents
how the task is to be performed to minimise the risks.
Training, instruction and information

Train your workers in the work procedure to ensure that they are able to perform the task
safely. Training should require workers to demonstrate that they are competent in performing
the task according to the procedure. It is insufficient to simply give a worker the procedure
and ask them to acknowledge that they understand and are able to perform it. Training,
instruction and information must be provided in a form that can be understood by all workers.
Information and instruction may also need to be provided to others who enter the workplace,
such as customers or visitors.
Supervision
The level of supervision required will depend on the level of risk and the experience of the
workers involved. High levels of supervision are necessary where inexperienced workers are
expected to follow new procedures or carry out difficult and critical tasks.
You may prepare a risk register that identifies the hazards, what action needs to be taken, who will be
responsible for taking the action and by when. An example is provided at Appendix B.
How to ensure that controls remain effective
The following actions may help you monitor the control measures you have implemented and ensure
that they remain effective:
Accountability for health and safety – Accountability should be clearly allocated to ensure
procedures are followed and maintained. Managers and supervisors should be provided with
the authority and resources to implement and maintain control measures effectively.
Maintenance of plant and equipment – This will involve regular inspection and testing, repair
or replacement of damaged or worn plant and equipment. It includes checking that any
control measures are suitable for the nature and duration of work, are set up and used
correctly.
Up-to-date training and competency – Control measures, particularly lower level controls,
depend on all workers and supervisors having the appropriate competencies to do the job
safely. Training should be provided to maintain competencies and to ensure new workers are
capable of working safely.
Up-to-date hazard information – Information about hazards, such as plant and substances,
may be updated by manufacturers and suppliers and should be checked to make sure
controls are still relevant. New technology may provide more effective solutions than were
previously available. Changes to operating conditions or the way activities are carried out may
also mean that control measures need to be updated.
Regular review and consultation – Control measures are more effective where there is regular
review of work procedures and consultation with your workers and their representatives.
Monitoring and reviewing
Monitoring and review should be cyclical and form part of the risk management process. This requires
forward planning with regular evaluation points over a set period to review the hazards, risks and
control measures.
There are certain situations where you must review your control measures under the WHS
Regulations and, if necessary, revise them. A review is required:
when the control measure is not effective in controlling the risk

before a change at the workplace that is likely to give rise to a new or different health and
safety risk that the control measure may not effectively control
if a new hazard or risk is identified
if the results of consultation indicate that a review is necessary
if a health and safety representative requests a review.
You may use the same methods as in the initial hazard identification step to check controls. Consult
your workers and their health and safety representatives and consider the following questions:
Are the control measures working effectively in both their design and operation?
Have the control measures introduced new problems?
Have all hazards been identified?
Have new work methods, new equipment or chemicals made the job safer?
Are safety procedures being followed?
Has instruction and training provided to workers on how to work safely been successful?
Are workers actively involved in identifying hazards and possible control measures? Are they
openly raising health and safety concerns and reporting problems promptly?
Is the frequency and severity of health and safety incidents reducing over time?
If new legislation or new information becomes available, does it indicate current controls may
no longer be the most effective?
If you find problems, go back through the risk management steps, review your information and make
further decisions about risk control. Priority for review should be based on the seriousness of the risk.
Control measures for serious risks should be reviewed more frequently.
Quality assurance processes may be used if you design, manufacture or supply products used for
work to check that the product effectively minimises health and safety risks. Obtain feedback from
users of the product to determine whether any improvements can be made to make it safer.
Ensuring that hazards and risks are effectively controlled requires ongoing monitoring and review to
check that control measures are implemented, are working effectively and are maintained. Factors
that affect a risk assessment and change the level of risk include the financial and human resource
input involved in implementing and maintaining control measures.
Ensure that the monitoring and review of the risk management program captures information such as:
Whether control measures are being implemented and used correctly;
Whether solutions to workplace hazards are achieving the desired results;
Whether risk management processes and initiatives are working;
What has been done to control risks and what remains to be done;
Whether there are any new problems which have resulted from the introduction of risk control
measures; and
Whether new risk control measures are required.
Conduct systematic monitoring and review of the workplace to ensure that no new hazards are
introduced. New hazards may arise through:
The use of new technology, equipment or substances;
The introduction of new work practices or procedures;
A change in work environment (new workplace); or
The introduction of new staff with different skills or knowledge levels.
The monitoring and review process is also assisted by effective record keeping. Records help to
identify hazards and review the effectiveness of risk control measures. Records should be kept that
show:
Details of workplace inspections and audits;

Methods used to assess risks;
Control measures implemented;
Reviews of systems of work;
Any action that has been taken to address particular hazards;
Instruction, education or training provided;
Any atmospheric monitoring and health surveillance results; and
The maintenance schedules for plant and equipment.

Outcomes of the risk assessment
Communication
It is important to communicate the results of the risk assessments to staff, students, contractors and
visitors. The form of communication will vary but at the least should result in the development and
implementation of safe work procedures, if they have not already been developed. These will be an
outcome of the risk registers in which the results of the risk assessments should be recorded.
The University WHS Policy Committee will expect to see that risk assessments have been conducted
and that progress is being made against outcomes of the risk assessments. Outcomes that lead to
strategic improvements can add significantly to the WHS culture of the university, so consider
developing at least one expected outcome that:
Indicates a plan/strategy/project/local idea that backs up a value you wish to see instilled in
the workplace culture; and
Improves communication of WHS issues across the College/School/Service Division.
The expected outcome of this process is continual improvement against the ANU 2014 WHS targets.
Support
It is important to provide support through:
Senior leaders’ and managers’ commitment and communication

Clearly assigning actions and responsibilities and
Providing sufficient resources to achieve risk reduction to ALARP within your
College/School/Service Division.
Additional support is available through Work Environment Group. There are also numerous web
resources through Comcare [6] and Safe Work Australia [7].
References
[1] ANU Health and Safety Management Arrangements

[2] ANU Risk Management Procedure
[3] How to Manage Work Health and Safety Risks
[3] AS/NZ S ISO 31000:2009 Risk Management – Principles and guidelines
[4] Work Health and Safety Consultation Cooperation and Coordination
[5] ANU OHS Strategic Plan – 2011-2014
[6] Comcare Work Health and Safety
[7] Safe Work Australia

Appendixes

1 – Definitions
The following definitions will be useful in implementing the risk management approach.
Hazard Identification
The process of examining each work area and work task to identify all inherent hazards.
This means identifying all possible ways in which people may be harmed through work-
related activities. Work areas include but are not limited to laboratories, lecture theatres
and teaching spaces, field trips, office areas, workshops, stores and transport,
reprographics, maintenance and grounds, and accommodation areas.
Risk Assessment
The overall process of risk identification, risk analysis and risk evaluation.
Risk Identification - the process of determining what, where, when, why and how
something could happen.
Risk Analysis - the systematic process of understanding the nature of and deducing the
level of risk.
Risk Evaluation - the process of comparing the level of risk against risk criteria.
Risk Control - the process of selecting and implementing measures to eliminate or

reduce risk.
Monitoring and Reviewing
The process of regularly checking the implemented measures to ensure they are working
effectively to eliminate or reduce the level of risk.
Assessing Risk Version 7:2013 17

2 – Classifying Hazards
The following table demonstrates a common way of classifying hazards.
Hazard Class Examples

Gravitational Includes, but is not limited to, activities where a person can fall or an
object can fall on to a person.
Body stressing or impact Activities that cause stress to muscles and/or skeleton including manual
handling, occupational overuse and slips, trips or falls on the same
level.
Mechanical Includes, but is not limited to, plant, equipment and items that have the
potential to cut, tear, rip, abrade, crush, penetrate, produce projectiles
or cause sudden impact.
Source of energy Includes, but is not limited to, electricity, heat, cold, noise, radioactive
sources and high powered light.
Chemical and Biological Includes, but is not limited to, chemical compounds, acids and poisons,
powders, dusts, vapours, bacteria, viruses, mould and mildew from
various processes which have the potential to impair health, have
adverse effects on human reproduction, cause diseases or may have
explosive, flammable, toxic or corrosive properties.
Psychosocial environment Includes workplace stressors, which arise from a variety or combination
of sources, and includes, but is not limited to, bullying and harassment.

3 – Legislation Associated with Managing Risk
Within the Work Health and Safety Regulations 2011 (Cth) there are regulations which deal
specifically with managing risk associated with:
General Risk and Workplace Management

Managing risks to health and safety
General Workplace Management
Hazardous Work
Noise
Hazardous Manual Tasks
Confined Spaces
Falls
High Risk Work
Demolition work
General Electrical Safety in Workplaces and Energised Electrical Work
Diving Work
Plant and structures
Construction Work
Hazardous Chemicals
Lead
Asbestos
Major Hazard Facilities
Mines
The following model Codes of Practice have been approved by Safe Work Australia members and the
Ministerial Council and contain information on managing risk.
A
How to Safely Remove Asbestos
How to Manage and Control Asbestos in the Workplace
Abrasive Blasting
C
Managing Cash-in-transit Security Risks
Confined Spaces
Construction Work
Work Health and Safety Consultation Co-operation and Co-ordination

D
Demolition Work
E
Managing Electrical Risks at the Workplace
Excavation Work
See ‘F’ for Managing the Work Environment and Facilities
F
Managing the risk of Falls at Workplaces
Preventing Falls in Housing Construction
Managing the Work Environment and Facilities
First Aid in the Workplace
H
Labelling of Workplace Hazardous Chemicals
Preparation of Safety Data Sheets for Hazardous Chemicals
Managing Risks of Hazardous Chemicals in the Workplace
See ‘F’ for Preventing Falls in Housing Construction
See ‘M’ for Hazardous Manual Tasks
See ‘N’ for Managing Noise and Preventing Hearing Loss at Work
M
Hazardous Manual Tasks
N
Managing Noise and Preventing Hearing Loss at Work
P
Managing Risks of Plant in the Workplace
See ‘S’ for Spray Painting and Powder Coating
R
How to Manage Work Health and Safety Risks
See ‘A’ for How to Safely Remove Asbestos
S
Safe Design of Structures
Spray Painting and Powder Coating
See ‘H’ for the Preparation of Safety Data Sheets for Hazardous Chemicals
W
Welding Processes
See ‘F’ for Managing the Work Environment and Facilities
See ‘C’ for Work Health and Safety Consultation, Cooperation and Coordination

4 – The Hierarchy of Control
The following table demonstrates how the hierarchy of control works.
If the risk cannot be … Then …
Eliminated substitute the hazard with something with a lesser risk that still performs
the same task in a satisfactory manner.
Substituted isolate the hazard from staff, students, contractors and visitors or separate
them from the hazard.
Isolated consider engineering controls.
Engineered out apply administrative controls such as policies, procedures and safe work
practices.
Warning. Administrative controls should not be the first option to control
the risk but can be used if controls higher on the hierarchy of
control pyramid cannot be applied or, having been applied, do
not adequately control the risk.
Minimised through provide appropriate PPE to staff, students, contractors and visitors.
administrative controls Note. PPE should only be used when higher order controls are not
practicable or adequately effective.
The following table provides examples of controlling risk at the appropriate level.
Control Examples
Removing trip hazards that clutter corridors.

Disposing of unwanted chemicals.
Removing hazardous plant or substances.
Elimination Promptly repairing damaged equipment.
Increasing the use of e-mail to reduce excessive photocopying and collation.
Ceasing a dangerous work practice.
Ensuring new equipment meets the ergonomic needs of users.
A hazardous substance with a less hazardous substance.
Substitution Telephone handsets with headsets where there is frequent use of the telephone.
Smaller packages or containers to reduce the risk of manual handling injuries.
Use of a fume cupboard to isolate and store chemicals.
Isolation Use of remote handling equipment for hazardous substances or procedures.
Modification to plant.
Engineering Installation of appropriate guarding on machinery.
Use of a ventilation system to remove chemical fumes or dust.
Regular maintenance programs for plant and equipment;
Written work procedures for all hazardous tasks and equipment; and
Administrative
A training, education and supervision program for staff/students/contractors/
visitors, which includes preventative maintenance and housekeeping procedures.
Handling of chemicals – gloves, safety glasses, aprons.
PPE Protecting eyes from flying particles.
Protecting feet – safety boots.

5 – Assessing Risk
Risk Type Related to This Document
Specialist – Relates to areas of risk that are often externally regulated and require specialist expertise but relate to the whole of the university. Examples
would include WHS, security and fraud.
Suggested Measures of Likelihood
Operational (WHS)
Unlikely Could occur at some time At least once in 3 years
Possible Might occur at some time At least once per year
Likely Will probably occur in most circumstances At least once per month
Almost Expected to occur in most circumstances At least once per week

Certain

Suggested Measures of Consequences
Enterprise
Reputation & Image 1
Safety and Injury Operation loss Legislative compliance
Financial Loss
A$500k-A$50k or Minor damage. Loss of

News item with low impact or is Minor injuries/first aid Minor breach of statute/
Minor <10% of operating operation no more than one
unsubstantiated required regulation.
budget day.
A$10m-A$500k or First aid and ongoing Significant damage to

Substantiated news item, moderate Formal warning from
Moderate 10-30% of medical treatment. assets. Loss of operation 1
news profile with embarrassment regulator
operating budget Probable lost time day to 1 week
Substantiated news item, high A$100m-A$10m

or Extensive Major damage to assets. Suspension of activity
impact news profile with
Major injuries/possible multiple Loss of operation 1 week to and prosecution/financial
embarrassment, possible 2nd or 30-50% of injuries or single fatality 1 month penalty.
3rd part involvement operating budget
Substantiated widespread news
item, significant reputation >A$100m or Significant loss of assets. Prosecution, financial
Catastrophic damage, third party actions, impact >50% of operating Multiple fatality Loss of operations >1 penalty, cessation of
on ability to achieve research and budget month activity
education strategic objectives
1. Financial loss needs to be related to the capacity of the particular part of the organisation to take that loss. You will need to update the “Enterprise
Financial Loss” above, according to the size and scope of your project or organisation.

Risk Matrix
Consequence
Minor Moderate Major Catastrophic
Unlikely 1 2 3 4
Likelihood
Possible 2 4 6 8
Likely 3 6 9 12
Almost Certain 4 8 12 16
Risk Rating
Likelihood x Consequence
Risks that have the potential to cause multiple fatalities, and/or catastrophic
financial loss, and/or cessation of activity with prosecution and financial penalty,
Extreme and/or have a very high negative impact on the university’s reputation and image.
>9 Warning. Work is not to commence. Senior management must be notified.
Leaders/managers/supervisors must reassess the risks and implement controls that
reduce the level of risk exposure before work can recommence.
Risks that have the potential to cause multiple injuries or a single fatality, and/or
cause major financial loss, and/or cause an activity to be suspended with
High prosecution or financial penalty, and/or have a high negative impact on the
university’s reputation and image.
7–9 Warning. Senior management must be notified. Work is able to proceed but the
leader/manager/supervisor must reassess the risks and implement controls that
reduce the level of risk exposure.
Risks that have the potential to cause injury requiring first aid and ongoing medical
Moderate treatment, and/or cause moderate financial loss, and/or a minor breach of statutes or
regulations, and/or news with low impact or is unsubstantiated.
3–6 Work is able to proceed and leaders/managers/supervisors should monitor work to
ensure that changed conditions do not raise risk exposure.
Risks that are likely to cause minor injury requiring first aid treatment, the University
Low
is compliant and there is no risk to the University’s reputation.
Work is able to proceed without undue monitoring. If there are substantial changes
<3
to conditions and/or the situation, the risk level needs to be reviewed.

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Assessing WHS Risk

Guidelines for ANU

OUTCOMES OF THE RISK ASSESSMENT............................................................................ 15

What is ‘reasonably practicable’

Assessing Risk Version 7: 2013 1

When to conduct a risk assessment

there is uncertainty about how a hazard may result in injury or illness

Assessing Risk Version 7: 2013 2

live electrical work

When a risk assessment is not necessary

A risk assessment is not necessary in the following situations:

Legislation requires some hazards or risks to be controlled in a specific way – these

How to conduct a risk assessment

Assessing Risk Version 7: 2013 3

Consultation involves sharing of information, giving workers a reasonable opportunity to express

Managers and supervisors should:

Consulting, co-operating and co-ordinating activities with other duty holders

Assessing Risk Version 7: 2013 4

Remember that you cannot transfer your responsibilities to another person.

Conducting the Risk Assessment

Identifying workplace hazards

A common way of describing hazards is contained in Appendix 2.

In carrying out hazard identification, consider the following sources of information:

Examination of injury and dangerous incident data;

Technical and scientific evaluation;

Quantitative or qualitative hazard analysis;

Test and audit reports from the workplace;

Assessing Risk Version 7: 2013 5

Assessing the risks

When assessing risk:

Gather information about each identified hazard;

The nature of the hazard posing the risk;

How often the hazard has the potential to harm;

Assessing Risk Version 7: 2013 7

The hierarchy of control

Assessing Risk Version 7: 2013 8

Figure 2: The hierarchy of risk control

Assessing Risk Version 7: 2013 9

Substitute the hazard with something safer

For instance, replace solvent-based paints with water-based ones.

Isolate the hazard from people

Use engineering controls

Level 3 control measures

Use administrative controls

Use personal protective equipment (PPE)

Administrative controls and PPE should only be used:

Assessing Risk Version 7: 2013 10

selected to minimise risk to health and safety

How to develop and implement control options

regulations, codes of practice and guidance material

Developing specific control measures

Cost of control measures

Training, instruction and information

How to ensure that controls remain effective

Monitoring and reviewing

when the control measure is not effective in controlling the risk

Whether control measures are being implemented and used correctly;

Whether solutions to workplace hazards are achieving the desired results;

Whether risk management processes and initiatives are working;