Contextualised Learning Resource - Anytime

RIIRIS301E: APPLY RISK MANAGEMENT PROCESSES – Rio Tinto v1.3 Nov 2020

RIIRIS301E: APPLY RISK MANAGEMENT PROCESSES

Contextualised Learning Resource

(for exclusive use by Rio Tinto staff and contractors)

V1.3 November 2020


Why Is This Training Required?

Queensland Mining and Quarrying Safety and Health Regulations 2017

S91 - Induction training and assessment

The site senior executive must ensure each worker at the mine is given appropriate

induction training and periodically assessed to ensure that the worker has adequate

knowledge of the following, having regard to the work to be carried out, or carried

out, by the worker at the mine –

(a) The nature and layout of the mine’s operations;

(b) The mine’s organisational structure and communication procedures;

(c) The mine’s site procedures and practices;

(d) The risk management process;

(e) Emergency procedures and basic first aid;

(f) The Act and this regulation.

Learning Objectives

• To identify and prioritise potential risk events

• Help develop risk management strategies and risk management

plans

• Use established risk management methods, tools and techniques

assist in the analysis and reporting of identified risk events

• Find ways to identify and evaluate risks


Common thoughts regarding the management of risk

• You’ve carefully thought out all the angles. You’ve done it a thousand times. • It comes naturally to you. • You know what you’re doing, it’s what you’ve been trained to do your whole • life. • Nothing could possibly go wrong, right?

Control Hazards

We must use our ability to identify, assess and control hazards ALL the time EVERYDAY. Risk

assessment must be habitual, ie whenever we approach a task, we should automatically think of

what could go wrong and take the appropriate steps to prevent it or minimise the chance of it

happening. At RT Weipa we use many processes including Take 5 and JSEA’s.

Managing risk is a learned skill


The methods used to manage risk must become habitual and we must consider risks and controls in

every step of all tasks

At RT Weipa Operations we use many processes including Take 5 and JSEA’s to support you in

mitigating risks. We will provide more information on these processes as you progress through this

training

Risk Management – saves lives and is a vital part of our safety, health and environment management

system

Risk Management

Risk management is a framework that businesses use to manage risks to people, the environment and equipment. Risk management includes a number of different processes that tie together to reduce the likelihood of a person being injured, the environment or equipment being damaged as a result of work being undertaken. A workplace that is safe, healthy and environmentally responsible does not happen by chance or by using guesswork.

General processes used in a risk management framework include:

Obligations Q1

Risk Management is an obligation for all persons in the workplace.

Your risk management obligations or duties are detailed in the following Acts. These Acts are used to

support the training requirements needed at Rio Tinto Weipa?

• QLD Mining and Quarrying Health & Safety Act 1999

• QLD Mining and Quarrying Safety and Health Regulation 2017

Obligations of Rio Tinto Weipa Operations workers and contractors:

All workers and contractors have risk management obligations no matter their role.

• Perform pre-task hazard assessments and implement identified controls prior to

commencing a task. Stop and seek help if controls are not available.

• Participate in risk assessment sessions.

• Complete Risk management training as required

https://www.legislation.qld.gov.au/view/html/inforce/current/act-1999-040

https://www.legislation.qld.gov.au/view/html/inforce/current/sl-2017-0166


Rio Tinto Weipa have designed purpose made processes and tools to help you fulfil your risk

management obligations while on site.

Risk Management Essentials

Hazard = Something that has the potential to cause injury or illness to a person. A Great White shark in a tank Risk = An assessment of the consequence and likelihood of injury or illness through a given action. Swimming in a tank with the Great White shark Control = An action that prevents the hazard from causing injury or illness. Staying inside a steel cage while in the tank

Identify Hazards

How can I identify hazards?

Hazards are best identified by a variety of techniques. These may include:

• Discussion and/or brainstorming with other personnel

• Inspections, audits, surveys and checklists

• Analysis of hazard reports or risk registers

• Review of injury, illness and incident data

• Supplier, Manufacturer and/or Importer provided information

• Specialist Consultation

Types of Hazards

Here are some examples of hazards • Vehicles and Transportation • Gravity • Mechanical • Uneven surfaces • Hazardous chemicals • Waste • Electricity • Ergonomics • Noise • Work environment • Uneven floors


Note – Slips trips and falls is not a hazard – the loose bauxite on the floor is the hazard slipping over it is the outcome of

not controlling the hazard.

Substandard Conditions

INADEQUATE GUARDING OR CONTROL

• DEFECTIVE TOOLS/EQUIPMENT • DEFECTIVE MATERIALS

• INADEQUATE WARNING SYSTEMS

• FIRE & EXPLOSION HAZARDS

• POOR HOUSEKEEPING

• HAZARDOUS ATMOSPHERIC CONDITIONS (GASES, DUSTS, FUMES, VAPOURS) • EXCESSIVE NOISE AND/OR VIBRATION

• POOR ILLUMINATION

• POOR VENTILATION

• RADIATION EXPOSURE

Substandard Practices

• OPERATING EQUIPMENT AT IMPROPER SPEEDS

• OPERATING EQUIPMENT WITHOUT AUTHORITY

• USING EQUIPMENT INCORRECTLY

• USING DEFECTIVE EQUIPMENT

• MAKING SAFETY DEVICES INOPERABLE

• FAILURE TO WARN CO-WORKERS

• TO SECURE EQUIPMENT/TOOLS

• POOR LOADING OR PLACEMENT OF MATERIAL/EQUIPMENT

• TAKING A POOR WORKING POSITION

• POOR LIFTING TECHNIQUES

• SERVICING EQUIPMENT IN MOTION

• HORSEPLAY

• FAILURE TO USE CORRECT PERSONAL PROTECTIVE EQUIPMENT (PPE)


Assessing Risk

TASKS - HAZARDS - RISK

Asking leading questions……

• What are the hazards?

• What could happen?

• How could it happen?

• What is the chance of it happening?

• Have I ever heard of this happening before?

• Is there a known control for this hazard?

Q2

Information regarding controls to be used for hazards when undertaking routine work can typically be found from:

• Standard procedures for the work• Ask your supervisor or manager• Refer to previous take 5’s• Refer to previous JSEA’s

What Is A HSE Risk Matrix?

Q3

The Classic Risk Matrix uses two factors to determine

the level of risk:

Consequence: What is the maximum reasonable consequence from a risk if it occurs

Likelihood: What is the maximum reasonable likelihood of the identified consequence occurring

The combination of these two factors on the risk matrix will allow you to determine the Risk Score


Determine – Consequence

Q4

Consequence is defined as: The maximum reasonable consequences or outcome of a risk if it occurs

What is the maximum reasonable consequence from a risk if it occurs Look at the descriptions and choose the most suitable CONSEQUENCE

At different times in the process you will need to identify the consequence based on either the controlled

implemented or not yet implemented. Ensure you know which assessment you are completing.

Determine - Likelihood

Q5

Likelihood is defined as: The maximum reasonable likelihood of the identified consequence occurring

What is the likelihood of the consequences identified? Consider this without new or interim controls

in place.

Look at the descriptions and choose the most suitable LIKELIHOOD


Calculate the Risk Rating

The combination of Consequence and Likelihood on the risk matrix will allow you

to determine the Risk Rating

Control the Risks

When controlling the risks, we use the Hierarchy of Control to determine which is the

best option to use in order for us to:

• Eliminate the hazard for the surrounding community and workforce

• Control the hazard

• Not cause undue discomfort or stress

• Not create new hazards

• Protect every person


Q6

Hierarchy of Controls

Understanding the Hierarchy of Controls

HARD

Controls

SOFT

Controls

Risk Reduction

Because risk depends upon consequences and likelihood, it may be reduced by

the reduction of either or both. Consequences may be reduced through good

design, adoption of good management practices or the development and

implementation of effective emergency and disaster recovery plans. Likelihood

may be reduced through activities such as quality assurance, testing, training,


revised design, etc.

Risk Acceptance & Retention

Because it is not possible to eliminate risk totally from any organisation, risk acceptance

and retention becomes a common risk treatment strategy. It is important that risks are

treated until they are reduced to an acceptably low level and that acceptance and

retention of risks is done with full knowledge. Any risk, which is accepted and retained

by your organisation, must be financed.

Competing with Other Projects

Implementing your controls may require competition with other projects based on:

• Availability

• Usefulness

• Suitability

• Cost effectiveness

Resources Required Q7

You will need to consider a range of resources (other than money) when making

recommendations for your treatments, e.g.

• People • Environment • Online comments and discussions • Case Studies • Technology • Equipment


Risk Treatment Process

Review Control Measures Q8

Are your controls working?

When do you review your control measures?

• In every task step

• Each time they are used

• Annually

• If they become in affective

• At the commencement of the task

• Whenever there is a change

• Tasks relocated

• New team member

These are not set rules – Risk management and the control of risks need to happen habitually.

eliminate/control

Implement Treatment

Plans

Prepare Treatment

Plans

Evaluate Treatment

Options

Identify

Treatment Options


Levels of Risk Management at Rio Tinto Weipa Operations Q9 Q10

Pre-Task Risk Assessments – Level 1

The process of analysing a task or set of tasks within a job that is about to be performed. It includes identifying the related hazards, determining their consequence and appropriate method of control. (Q9)

Pre-task risk assessments include both Take 5 and JSEA.

Take 5 & JSEA forms are available on the intranet /kiosk and in work areas

(Q10)

Qualitative Risk Analysis – Level 2

A numerical analysis of risk exposure based on likelihood and consequences which predicts possible outcomes. Involves the calculation of risk using real numbers generally drawn from statistical data sets.

Semi / Quantitative Risk Analysis – Level 3

Risk assessments involving the calculation of likelihood based on data frequency and consequence, similar to quantitative analysis, with the data drawn generally from personal experience, historical data (i.e. incident records) and judgement.

While working on site you are expected to be capable of completing Level 1 assessments. Level 1 risk assessment documents are available or can be accessed from the RT Kiosk, RT intranet or from work areas. You may also be asked to participate in level 2 and 3 analyse.


Take 5

Conduct Pre-Task Risk Assessments – Level 1

A Take 5 must be completed Under the following circumstances: Q11

• Prior to tasks being performed (the definition of a task is above in the definitions section of this document),

• When there is a change in the work scope or work environment, including changes to people, equipment or controls and,

• When new hazards with potential to impact the outcome of the task are identified.

The 4 steps to be followed when completing a Take 5 in the correct order must include: Q12

• Think through the task and the associated work conditions,

• Identify the potential hazards and consequences,

• Apply appropriate controls and,

• Identify if the hazards are adequately controlled and commence the task if so.

If a group of people are completing a Take 5, a group Take 5 can be completed. Each

person must be present and involved and must sign the take 5 to indicate their

understanding of the risks and controls. Additions / changes during the course of the

work require that all personnel must again sign that they accept and understand the

additions.


Q13

Note: A “Take 5” risk assessment must stay with the person(s) performing the work

Q14

Circumstances that will lead to a JSEA needing to be completed?

• If the hazard identified needs more detail or specific controls after completing the Take 5, a JSEA is required to be completed

• Additional permits are required to complete the task (eg: confined space permit)

• If work activities deviate from standard work practices or documented procedures or instructions

Using the Take 5 Assessment

The first 2 page are questions to guide you through getting started on your assessment

Completing a Take 5

Define a brief sentence what the task is that is going to be completed. The questions 1-9 are focusing questions, they are intended to focus this person on this task at this time. If a tick is placed into a red box then the ‘how can I get hurt’ and ‘controls’ are required to be filled out.


Completing a Take 5

Critical risk management (CRM) is a program implemented at Weipa Operations intended to provide a way of focusing on eliminating potentially fatal situations. Across the Weipa Operations, 16 critical risks have been identified. Specific controls relating to these risks have also been developed (shown in Critical Control Checklists) and are required to be implemented prior to work if one of the critical risks have been identified with your task. You will have received more information on CRM in your Site Induction. If, when completing a Take 5, you tick Yes to having a critical risk associated with it, you will need to have access to a CCC to continue. This can be found on the intranet or printed on your pre-start board.

this section, you are expected to review your performance mode (this is a real time assessment of you, for this task at this time). Performance Modes section includes key words to help individuals determine what performance mode they may be in during the task. Skill Based: Working in autopilot with little or no conscious thought. Rule Based: Following a rule using conscious thought. Knowledge based: Lack of knowledge, Stop and Seek Help Circle the performance mode you believe you are in at the time. If circling knowledge based, do not proceed: stop and seek help.

Human Error Traps Q15

Stress – each day we all find ourselves under some sort of pressure, it can be work related or non- work related. What is important to note is that when we are under too much pressure and our pressure bucket overflows, our pressure turns to stress and no one works well under stress. Symptoms of stress include high blood pressure, increased heart rate, stiff neck, loss of dexterity (shaky hands) but most importantly, we make poor decisions, leading to an increase in our error rate. High workload – High workload means we are trying to juggle a number of tasks at the same time, also known as multi-tasking. Multi-tasking is defined as having two conscious thoughts at the same time, something only 2% of the population can do. If we attempt to multi-task, our error rate will increase. Time Pressure – Time pressure is either internal pressure (pressure you put on yourself) or external pressure (pressure put on you by an external source, e.g. your leader). Time pressures make you want to speed up, when in fact we need to slow down, ‘slow is smooth and smooth is fast’. The faster you try to go, the more mistakes you will make. Poor Communication – refers to verbal communication and hand signals. Poor communication can occur before a task, for example when being assigned a task, or during a task, hand signals with a crane operator. If we have poor communication, individuals are more likely to problem solve and fill in the blanks themselves, leading to a higher error rate. Vague or Poor Work Guidance – refers to our written documents such as JSEAs, Standard Procedures, CLASSIC Standards etc. Just like poor communication, vague or poor work guidance means individuals will fill in the blanks and problem solve.


Overconfidence – Overconfidence makes it very difficult to realise an error trap is present. It gives individuals tunnel vision, so they are less likely to identify hazards that need controlling. Verbal triggers in recognising this error trap include a person saying “I’ve got this” or “I could do this with my eyes closed”. Overconfidence is a killer. Infrequent or first time task – You don’t know what you don’t know, so if you haven’t completed this task before or in the last 6 months, treat it as a first time/infrequent task. To reduce your error rate, pair up with another trained person or seek clarification of requirements from your leader. Distractions – Distractions try to split your brain into having two conscious thoughts at the same time. As with the high workload error traps, having two conscious thoughts at the same time increases your error rate. Try and eliminate as many distractions as you can and put controls in place for the distractions that you can’t eliminate. First day back after more than 4 days off – Being fit for work, in the right frame of mind, physically ready and you are familiar with your work environment are all ways to reduce your error traps. Be sure to look for any changes that may have occurred while you were away. End of Shift or Work Cycle – At the end of your shift or work cycle, other error traps are more likely to be present, for example distractions, high workload, stress and time pressure.

Stop and Seek Out Help – any time you are unsure (OOPPPS – outside of procedures, parameters, processes or expected situation), you have a gut feeling that something isn’t right, you have vague or incorrect guidance, poor communication, if you haven’t done the task before or for more than 6 months, you lose track of where you are in a sequence of events we want you to stop and seek out help. VPT (verbalise point and touch) is a self-check tool to review the activity to be performed, ensure proper identification of equipment to be manipulated and verification of desired results. When using this tool say the action out loud, point to where you will complete the action and do (touch). 3 Part Communications – also known as positive communication at Weipa Operations creates understanding during communication, verifies the understanding of the task and is a great tool to help eliminate the poor communication error trap. This is person 1 verbally communicating the requirement, person 2 repeating the requirement and affirming it, person 1 acknowledging person 2s response. Step by step – By following the standard procedure or written instruction step by step ensures no steps are missed during the task. It also helps to identify if the procedure or written instruction have any errors in them that need fixing before they are used again. Show and tell – is a tool used by the supervisor or peer to show and tell an individual the answer to a question rather than simply telling them. For example, if you cannot find a procedure, you may seek help from your leader. Instead of the leader telling you that the procedure is on the intranet, they can show you where exactly the procedure is on the intranet.


Completing a Take 5

If you have ticked a red box in the focusing questions on the first page, add details into this section of how you could be hurt? Not just what can hurt you, but what could hurt anyone affected by this Take 5 Add controls that you will and must physically put into place to counteract the detail in the corresponding “How could I be hurt?” Section. Number 1 corresponds to number 1 and number 2 to number 2 and so on

If completing a Take 5 as part of a Standard Procedure this section must be completed if a critical risk is identified. Write the step/s at which the critical risk is highest and be sure to review it prior to completing the specific step/s. If you are not using a Standard Procedure, this section is not mandatory however you can use it to highlight an important process step that may be worth noting to ensure the work is completed smoothly.

This section is as the title implies. Examples include:

• Anytime you are in an OOPPPS moment • You have a gut feeling that something

isn’t right • You are in knowledge-based

performance mode • Bad weather • Incorrect tooling • Not enough people to complete the task

step • Someone enters your working area that

doesn’t have permission to be there etc.

• These are conditions that may be specific to this person, this task and at this time, in this environment.


JSEA Template

JSEA

When do I need a JSEA?

• If the hazards identified need more detail or specific controls after completing the Take 5

• If additional permits are required to complete the task (e.g. confined space permit)

• Involves multiple work parties (i.e. shutdown maintenance)

• Is going to continue over several shifts

• If work activities deviate from standard work practices or documented procedures or

instructions.

Q16

Note: The triggers that will require work to stop and your JSEA reviewed and amended can be new hazards are identified and need to be controlled, conditions change, a control ceases to be effective creating an increase to risk or the task changes.

Where do I find the JSEA? Q17

The JSEA requirements are located in appendix B in the Hazard Identification and Risk Management

Standard and JSEA Template is available in the CLASSIC system on the intranet.

How do I complete a JSEA?

• Review of relevant documentation (e.g. operating manuals,

instructions, previous risk assessments or work permits).

• Describe task steps with enough detail for

understanding by the newest


competent person,

• Determine hazards and human performance error traps

related to all steps in the task.

• Assess the risk of the hazard occurring not considering control measures

using CLASSIC Risk Matrix (included in JSEA template).

• Complete the control measures and human performance tools for each hazard and human performance error trap identified. Use the associated Critical Control Checklist/s (CCC) and incorporate all applicable controls into control measures section for relevant task step/s.

• Re-assess the risk of the hazard occurring considering control measures being implemented.

• Identify the performance mode you / the team will be in at each task step,

• Gain sign off from a suitably qualified leader.

• Sign on by all personnel to perform the task.

• Perform the task ensuring all controls are implemented effectively.

Note: A HSE Risk Matrix and the Classic Risk Matrix can be used to assess the risk level of identified hazards

Q18

Human Performance Error Traps and Human Performance Tools

• The self-check tools for each of these have already been covered in the Take 5 slides.

Under what conditions should I/we STOP this task?

• Anytime you are in an OOPPPS moment.

• You have a gut feeling that something isn't right

• You are in a knowledge-based performance mode

• Bad weather

• Incorrect tooling

• Not enough people to complete the task step

• Someone enters your working area that doesn’t have permission to be there etc.


Critical Risk Management Q19

Critical risk management (CRM) is a program implemented at Weipa Operations intended

to provide a way of focusing on eliminating potentially fatal situations on site. Across the

Weipa Operations, 16 critical risks have been identified. Specific controls relating to these

risks have also been developed (shown in Critical Control Checklists) and are required to be

implemented prior to work if one of the critical risks have been identified with your task.

If you have any questions or to access the Critical Control Checklists (CCC) for critical risks

identified with your task,

please ask your business unit representative or the Rio Tinto health and safety team.

Content

This is the main body of the JSEA. List the task steps and potential hazards. Rate the hazards before

controls. List controls and re-rate the hazards with the controls in place. Ensure you put into practice

all controls listed on the JSEA.


Residual Risk

Once controls are selected you must re-assess the risk. For remaining risk that falls into the categories of Low, Moderate, High or Critical the table below must be observed.

Q20

Risk Level (considering controls)

Sign off Level Required

Critical Task not to commence, complete a level 2 risk assessment to

further assess the risk. Approval to proceed by Manager.

High Task may commence with risk approved by Superintendent

Moderate and Low

Task may commence with risk approved by Supervisor/ Business Unit Representative

Developing a JSEA – Final Steps

The post task review is to be completed once the task is finished. This is an improvement

opportunity and is to be returned to your Supervisor if required.

Note: Once the JSEA is approved, all involved persons are to review and sign the JSEA before

commencing work!


Conclusion Q21

Risk Management is a Team Effort! Risk Management must not be done to achieve a predetermined outcome but rather the safest outcome. Effective risk management to ensure all workers at RTW go home safe requires everyone to

do their part. The obligations imposed upon workers & contractors in regards to risk

management at RTW are:

• Do not perform any task until a pre task hazard assessment has been completed • Participate in risk assessment session • Complete risk management training G1 • Stop & seek help if controls are not available

Using the available risk identification tools (Take 5 & JSEA’s), communicating hazards to your workmates and crew leaders and reviewing controls periodically to ensure ongoing effectiveness are simple ways to ensure a safe workplace is maintained.

Q22

You can determine whether risk assessed for a work task was acceptable or unacceptable by the following resources: Risk matrix guide RTW guidelines & policy standards HSE advisor & managers Relevant industry guidelines or codes of practice

Work health and safety laws

Work health and safety laws aim to protect the health, safety and welfare of all workers. The laws also protect the health and safety of all other people who might be affected by the work.

Queensland’s work health and safety legal framework includes:

Q23

• the Work Health and Safety Act 2011 • the Work Health and Safety Regulation 2011 • codes of practice

Work Health and Safety Act 2011

The Work Health and Safety Act 2011 (Qld) sets out requirements and standards for building healthy

and safe workplaces. It outlines what you must do to protect the health, safety and welfare of

workers and other people in a place of work.

It also puts legal obligations, or duties, on you and your workers.


Purpose

The WHS Act aims to:

Q24

• reduce risks in a place of work • make sure work health and safety issues are dealt with and resolved fairly • help businesses and workers achieve a healthier and safer working

environment • promote work health and safety advice, information, education and training • have effective ways for this law to be followed and enforced • improve health and safety standards. • Who's responsible?

The Act places the primary health and safety duty on the business owner or employer—referred to

in the Act as a person conducting a business or undertaking (PCBU).

The business owner must ensure, so far as is reasonably practicable, the health and safety of

workers at the workplace.

This means doing what you are reasonably able to do to ensure the health and safety of workers and

others like volunteers and visitors.

Duties, or responsibilities, are also placed on managers, supervisors and, workers at a workplace.

Who's covered?

All workers are protected by the Act including:

Q25

• employees • contractors • subcontractors • outworkers • apprentices and trainees • work experience students • volunteers • employers who perform work

The general public is also protected, so that their health and safety isn’t put at risk by work activities.

What's included?

The WHS Act covers work health and safety definitions and duties.

It also sets out the requirements for:

• incidents and notifications • licensing and registrations • consulting with workers • compliance and enforcement • dispute resolution. •

Link to the Work Health and Safety Act 2011

Work Health and Safety Act 2011 explainer video

https://www.legislation.gov.au/Details/C2018C00293

https://www.youtube.com/watch?v=6KevaelBFiY&t=64s


Work Health and Safety Regulation 2011

The Work Health and Safety Regulation 2011 provides detailed information on how to prevent or

minimise risks in your place of work.

Managing risks

Q26

If you’re doing business in Queensland, you must take reasonable steps to eliminate or minimise risks and put in place an effective risk management process.

Provisions in the Work Health and Safety Regulation 2011 (like the Act) are legally enforceable.

Exemptions to the regulation

Q27

The WHS Regulation allows the regulator to grant an exemption from compliance with any provision of the WHS Regulation. When considering granting an exemption, the regulator will consider whether the alternative agreed course of action would provide at least an equivalent level of health and safety to that achieved by complying with the WHS Regulation.

Link to the Work Health and Safety Regulation 2011

Work Health and Safety Regulation 2011 explainer video Pt. 1

Work Health and Safety Regulation 2011 explainer video Pt. 2

Codes of Practice

The Act and the Regulation are supported by codes of practice that give practical advice on how to

meet your work health and safety responsibilities.

If you are conducting a business in Queensland, you must comply with an approved code of practice

under the Work Health and Safety Act 2011.

Q28

You can use another method, such as a technical or an industry standard, to manage hazards and risks—as long as it provides an equivalent or higher standard of work health and safety to the standard required in the code.

https://www.legislation.qld.gov.au/view/pdf/inforce/current/sl-2011-0240

https://www.youtube.com/watch?v=EGzWxCHGWs0

https://www.youtube.com/watch?v=56vgTBsnLEo&t=7s

Documents

Contextualised Learning Resource - Anytime