Identifying and Analysing Safety Risks - Louw

IDENTIFYING
A N D A N A LY S I N G
SAFETY RISKS
I D E N T I F Y I N G A N D A N A LY S I N G S A F E T Y R I S K S
IDENTIFYING
Unidentified safety risks could take an enterprise by surprise and really harm its financial
future. Identifying and Analysing Safety Risks maps out a path for business owners, entrepre-
A N D A N A LY S I N G
neurs and safety practitioners to accurately and systematically identify, assess and eliminate
these risks in their organisation. SAFETY RISKS
To create the context, the authors discuss the origins of safety risks and explain the legal
requirements that must be met to ensure a safe working environment. Most of the book is
dedicated to the analysis and assessment of safety risks: the process and scope of safety risk
assessments and the ultimate evaluation of safety risks. The role that cross-functional teams
play in safety risk assessment is explained in detail. The book concludes with practical guide-
lines on developing and implementing safety controls.
Identifying and Analysing Safety Risks includes:

• clearly defined learning outcomes and key terms at the start of each chapter to help
readers navigate the contents
• self-assessment questions at the end of each chapter to test the reader’s understanding
of the material
• definitions and practical examples to support explanations of important concepts
EDITOR: LEONIE LOUW

• practical guidelines on eliminating risks that can be used by all types of organisations in
South Africa and Africa.
Safety management students, safety officers and practitioners, managers and business
owners will find this book an informative and practical resource.
About the editor

Leonie Louw is a lecturer in Safety and Environmental Management at Unisa. She
holds a BCom in Business Management and a BCom Hons in General Management,
both from Unisa. Leonie has completed various postgraduate certificates in environmental
management and safety management and has co-authored several publications. She is
currently enrolled for an MCom degree at Unisa.
www.juta.co.za EDITOR: LEONIE LOUW
Identifying and Analysing Safety Risks_Cover.indd 14-16 2016/12/05 11:08 AM

Identifying and Analysing
Safety Risks
Editor
Leonie Louw
Contributors
Elriza Esterhuyzen
Leonie Louw
Dr Sarel Smit
Identify & Analy Safety Risks.indd 1 2016/12/09 6:14 AM

Identifying and Analysing Safety Risks
First published 2016
Juta and Company (Pty) Ltd

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© 2016 Juta and Company (Pty) Ltd
ISBN 978 1 48512 108 4 (Print)
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Contents
About the editor and contributors.............................................................................................. ix
Acronyms and abbreviations........................................................................................................... x
Chapter 1: Introduction to safety risks – Leonie Louw..................................................... 1
Learning outcomes.................................................................................................................... 1
Key terms....................................................................................................................................... 1
1.1 Introduction................................................................................................................................. 1
1.2 Nature of safety risks............................................................................................................... 2
1.3 Identification of safety risks.................................................................................................. 2
1.4 Purpose of safety risk assessments..................................................................................... 3
1.5 Types of safety risks.................................................................................................................. 3
1.5.1 Speculative loss (financial risks)..................................................................... 3
1.5.2 Pure safety risks.................................................................................................... 3
1.6 The relationship between different types of safety risks........................................... 6
1.7 Situational safety risks............................................................................................................. 7
1.8 Conclusion.................................................................................................................................... 7
Self-assessment questions..................................................................................................... 8
References..................................................................................................................................... 8
Chapter 2: Origins of safety risks – Elriza Esterhuyzen..................................................... 9
Key terms....................................................................................................................................... 9
2.1 Introduction................................................................................................................................. 9
2.2 Safety hazards and their characteristics.......................................................................... 9
2.3 Types of safety hazards........................................................................................................... 11
2.3.1 Single safety hazards.......................................................................................... 11
2.3.2 Compound safety hazards................................................................................ 12
2.3.3 Multiple safety hazards..................................................................................... 12
2.3.4 Potential safety hazards.................................................................................... 12
2.4 Beginning (origin) of safety risks........................................................................................ 13
2.5 Modes of safety hazard interaction................................................................................... 13
2.5.1 Dormant mode of safety hazard interaction............................................ 14
2.5.2 Armed mode of safety hazard interaction................................................ 14
2.5.3 Non-interactive mode of safety hazard interaction.............................. 14
2.5.4 Active mode of safety hazard interaction................................................. 15
2.5.5 Interactive mode of safety hazard interaction........................................ 15
2.5.6 Reactive mode of safety hazard interaction............................................. 15

2.5.7 Synergistic mode of safety hazard interaction........................................ 16
2.5.8 Antagonistic (opposing) mode of safety hazard interaction............. 16
2.6 Process of safety hazard interaction.................................................................................. 16
2.7 Contribution of safety hazard characteristics to safety risks.................................. 18
2.7.1 Contribution of structural characteristics of safety hazards............. 18
2.7.2 Contribution of functioning characteristics of safety hazards......... 21
2.8 Conclusion.................................................................................................................................... 23
References..................................................................................................................................... 23
Chapter 3: Legal requirements relating to safety risks – Leonie Louw.................... 25
Key terms ..................................................................................................................................... 25
3.1 Introduction................................................................................................................................. 25
3.2 Ensuring a safe working environment.............................................................................. 25
3.2.1 Humanitarian obligations................................................................................. 25
3.2.2 Financial considerations.................................................................................... 26
3.2.3 Legal requirements.............................................................................................. 26
3.3 Legislative safety risk directives........................................................................................... 26
3.3.1 Definition of risks................................................................................................. 27
3.3.2 Employer’s legal responsibilities concerning a safety risk
assessment.............................................................................................................. 27
3.3.3 Employee’s legal responsibilities concerning a safety risk
assessment.............................................................................................................. 29
3.4 Spectrum of safety risk assessment .................................................................................. 30
3.4.1 Ordinary pre-incident work activities.......................................................... 30
3.4.2 Post-incident safety risk assessment........................................................... 30
3.5 Purpose of safety risk assessment...................................................................................... 31
3.5.1 Safety risk assessment as a legal requirement........................................ 31
3.5.2 Safety risk assessment provides a framework for monitoring
safety risks.............................................................................................................. 31
3.5.3 Safety risk assessment assists employees to understand
safety risks ............................................................................................................. 31
3.5.4 Safety risk assessment provides a basis for innovation....................... 32
3.5.5 Safety risk assessment provides the basis of safety programmes....... 32
3.5.6 Safety risk assessment evaluates safety control measures................. 32
3.5.7 Safety risk assessment prevents re-occurrence of safety
incidents.................................................................................................................. 33
3.5.8 Safety risk assessment provides guidelines for safety training........ 33
iv

3.6 Conclusion ................................................................................................................................... 33
References..................................................................................................................................... 34
Chapter 4: Analysing and assessing safety risks – Elriza Esterhuyzen...................... 35
Key terms....................................................................................................................................... 35
4.1 Introduction................................................................................................................................. 35
4.2 Definition of safety risk assessment.................................................................................. 35
4.3 Process of safety risk assessment........................................................................................ 36
4.3.1 Developing a safety risk assessment plan.................................................. 37
4.3.2 Identifying and understanding the safety hazards involved............. 37
4.3.3 Analysing safety hazard interaction and energy exchange .............. 38
4.3.4 Determining the origins of safety risks ..................................................... 39
4.3.5 Analysing the contribution of safety hazard characteristics............. 40
4.3.6 Analysing the effectiveness of current safety control measures..... 40
4.3.7 Evaluating the levels of safety risks ............................................................ 41
4.3.8 Setting guidelines to control unacceptable safety risks...................... 41
4.3.9 Keeping a record of the safety risk assessment process...................... 42
4.4 Criteria for a safety risk assessment.................................................................................. 42
4.4.1 Safety risks are caused by successive factors........................................... 42
4.4.2 Safety risks do not result from a single root cause............................... 43
4.4.3 Accidents progress through three successive phases........................... 43
4.4.4 Role of active and latent failures.................................................................. 44
4.4.5 Rigorous analysis of safety hazards............................................................. 44
4.4.6 Benchmarking for interdependent learning............................................. 45
4.4.7 Consistent reviewing to keep on track........................................................ 45
4.4.8 Involving relevant stakeholders .................................................................... 45
4.5 Conclusion.................................................................................................................................... 45
References..................................................................................................................................... 46
Chapter 5: Different forms of safety risk assessment – Leonie Louw...................... 47
Learning outcomes .................................................................................................................. 47
Key terms....................................................................................................................................... 47
5.1 Introduction................................................................................................................................. 47
5.2 Different forms of safety risk assessment....................................................................... 47
5.2.1 Baseline safety risk assessment...................................................................... 47
5.2.2 Issue-based safety risk assessment............................................................... 48

5.2.3 Continuous safety risk assessment............................................................... 50
5.3 Contexts of a safety risk assessment................................................................................. 51
5.3.1 Suitable safety risk assessment...................................................................... 51
5.3.2 Sufficient safety risk assessment................................................................... 52
5.3.3 Multidisciplinary safety risk assessment.................................................... 52
5.4 Scope of a safety risk assessment....................................................................................... 52
5.4.1 Machinery operations........................................................................................ 53
5.4.2 Transportation operations................................................................................ 53
5.4.3 Lifting operations................................................................................................. 53
5.4.4 Chemical operations........................................................................................... 53
5.4.5 Electrical operations........................................................................................... 53
5.4.6 Heat operations.................................................................................................... 53
5.4.7 Explosive operations........................................................................................... 54
5.4.8 Office situations................................................................................................... 54
5.4.9 Feeding operations.............................................................................................. 54
5.4.10 Building facilities.................................................................................................. 54
5.4.11 Ablution facilities................................................................................................. 54
5.4.12 Environmental elements .................................................................................. 54
5.4.13 Recreational facilities......................................................................................... 55
5.4.14 Childminding operations.................................................................................. 55
5.4.15 Product qualities and by-products............................................................... 55
5.5 General considerations in a safety risk assessment..................................................... 55
5.6 Conclusion.................................................................................................................................... 56
References..................................................................................................................................... 57
Chapter 6: Role of cross-functional teams in safety risk assessments –
Elriza Esterhuyzen...................................................................................................................... 59
Key terms....................................................................................................................................... 59
6.1 Introduction................................................................................................................................. 59
6.2 A multidisciplinary approach in safety risk assessment............................................. 60
6.3 Selection of a multidisciplinary team .............................................................................. 61
6.4 Members of a cross-functional team................................................................................ 61
6.4.1 Safety managers and safety practitioners................................................. 61
6.4.2 Engineers................................................................................................................. 62
6.4.3 Health professional............................................................................................. 65
6.4.4 Industrial hygienist.............................................................................................. 65
vi

6.4.5 Ergonomist.............................................................................................................. 65
6.4.6 Human resources specialist............................................................................. 65
6.4.7 Health and safety representative.................................................................. 65
6.4.8 Members of staff.................................................................................................. 66
6.4.9 Colleagues or peers (benchmarking)............................................................ 66
6.5 Conclusion.................................................................................................................................... 66
References..................................................................................................................................... 67
Chapter 7: Evaluating safety risks – Sarel Smit.................................................................... 69
Key terms....................................................................................................................................... 69
7.1 Introduction................................................................................................................................. 69
7.2 Evaluating safety risks............................................................................................................. 69
7.3 Importance of evaluating safety risks............................................................................... 71
7.4 Process of evaluating safety risks....................................................................................... 71
7.4.1 Likelihood of occurrence................................................................................... 71
7.4.2 Potential severity.................................................................................................. 72
7.4.3 Ranking the safety risk levels in a situation............................................. 73
7.4.4 Evaluating safety risk levels and corrective action................................ 75
7.5 Focus of safety risk management....................................................................................... 76
7.6 Responsibility for managing safety risks......................................................................... 77
7.7 Hierarchy for developing and implementing safety controls.................................. 77
7.7.1 Eliminate safety hazards................................................................................... 78
7.7.2 Substitute safety hazards................................................................................. 78
7.7.3 Design for safety.................................................................................................. 79
7.7.4 Separate or enclose safety hazards.............................................................. 80
7.7.5 Administrative safety control measures..................................................... 80
7.7.6 Personal guarding by using personal protective equipment.................. 81
7.7.7 Safe behaviour...................................................................................................... 82
7.7.8 An integrated holistic safety approach....................................................... 82
7.8 Conclusion.................................................................................................................................... 83
References..................................................................................................................................... 84
vii

Chapter 8: Report writing on assessing and evaluating safety risks –
Sarel Smit...................................................................................................................................... 85
Key terms....................................................................................................................................... 85
8.1 Introduction................................................................................................................................. 85
8.2 Content of the safety risk assessment report................................................................ 85
8.3 Purpose of the safety risk assessment report................................................................ 86
8.4 Context of the safety risk assessment report................................................................. 87
8.5 Plan of the safety risk assessment report........................................................................ 87
8.6 Scope of the safety risk assessment report..................................................................... 87
8.6.1 Forms of safety risk assessment in the report......................................... 87
8.6.2 Focus of the safety risk assessment report............................................... 88
8.6.3 Extensiveness of the safety risk assessment report............................... 88
8.7 Procedures of the safety risk assessment report.......................................................... 89
8.8 Outcomes of the safety risk assessment report............................................................ 89
8.9 Compliance with regulatory requirements..................................................................... 90
8.10 Recommendations of the safety risk assessment report........................................... 90
8.11 People involved in the safety risk assessment report................................................. 91
8.12 Application of the safety risk assessment report.......................................................... 92
8.13 Presenting the safety risk assessment report................................................................. 92
8.14 Conclusion.................................................................................................................................... 93
References..................................................................................................................................... 93
viii

About the editor and contributors
Elriza Esterhuyzen is currently employed as a senior lecturer in Safety Management in
the Department of Operations Management at the University of South Africa (Unisa).
She was previously employed as a part-time lecturer in Basic Financial Calculations, Basic
Business Skills, Personnel Management and Management of Training at Tshwane University
of Technology. Her tertiary qualifications include a BA degree (University of Pretoria [UP]),
a BCom degree with specialisation in Law (Unisa), an MPhil degree in Small-business
Management and Entrepreneurship (UP, with distinction), an MSc in Safety Management at
Columbia Southern University (CSU), and various certificates in Environmental Management
and Environmental Law from North-West University and the Unisa Centre for Business
Management. Before joining the academic community, Elriza owned and managed her
own business for 12 years. She is registered with the South African Qualifications Authority
(SAQA) as an assessor and moderator, and is a member of the Golden Key International
Honour Society. Elriza is currently completing her DCom degree in Business Management
(with a focus on Safety Management) at Unisa. She has authored and co-authored a number
of publications and has delivered several conference papers.
Leonie Louw is a lecturer in Safety and Environmental Management at Unisa and is working
towards completing an MCom degree. She obtained her BCom in Business Management
and BCom Honours in General Management from the University of South Africa in 2007
and 2010. Before joining Unisa, she worked in the private sector for eight years as a
small-business consultant and strategist. Leonie’s involvement in the non-governmental
organisation (NGO) sector over the years includes serving on the management board of
two NGOs as well as community engagement and community upliftment projects. She is
a registered skills development facilitator, assessor and moderator with SAQA. Leonie has
completed various postgraduate certificates in environmental management and safety
management and has co-authored several publications.
Dr Sarel Smit is the owner of a safety consultancy business, with continuous involvement
in the facilitation of training in safety management in the workplace, the monitoring of
implementation of behaviour-based safety programmes and the assessment of managers
and safety practitioners at assessment centres. His tertiary qualifications include a PhD
in Social Science (University of the Free State [UFS]), a BEd in Tertiary Education (UFS)
and a Diploma in Teaching (Johannesburg College of Education). He also did an MSc in
Industrial Safety Management at the Central Missouri State University in the USA, where
he received an award for the best research dissertation and the best graduate. Before
joining the private sector, Sarel held the position of professor and director at the Centre
for Traffic Safety Education at North-West University (NWU). From 1993 to 1996 he was
General Manager: Training and Research at the National Occupational Safety Association
(NOSA). Sarel is currently an e-tutor for undergraduate students in Safety Management
at Unisa and also assists with the development of new study material. He is a registered
South African Qualifications Authority (SAQA) assessor, has authored and co-authored
a number of publications and has delivered papers at various national and international
conferences. From 2005 to 2008 he held the position of lecturer in Safety Management in
the Department of Business Management at Unisa.

Acronyms and abbreviations
CEO chief executive officer
CFT cross-functional team
CSU Columbia Southern University
MHS Act Mine Health and Safety Act 29 of 1996
NGO non-governmental organisation
NOSA National Occupational Safety Association
NWU North-West University
OHS Act Occupational Health and Safety Act 85 of 1993
PPE personal protective equipment
SAQA South African Qualifications Authority
UFS University of the Free State
Unisa University of South Africa
UP University of Pretoria

Chapter 1
Introduction to safety risks
Leonie Louw
Learning outcomes
After studying this chapter, you should be able to:
• be conversant with the nature of safety risks
• list different types of safety risks
• clarify the nature of different types of safety risks
• provide the requirements to deal with unacceptable safety risks
• explain the relationship between the different types of safety risks.
Key terms
Acceptable safety risk Safety risk
Add-on safety risk Situational safety risk
Inherent safety risk Speculative safety risk
Pure safety risk Tolerable safety risk
Residual safety risk Unacceptable safety risk
1.1 Introduction
Everybody wants to be and feel safe. They do not want to be involved in situations
that threaten their life or bring harm to their body and health or damage to their
belongings or property. In order to feel in control of one’s safety, one has to be
able to identify and assess the threat a situation in life poses to one’s safety. This
applies to all situations in life, especially in the working environment. The threats a
situation offers can be regarded as risks that can jeopardise the safety of the people
involved and the surroundings of the situation.
This chapter provides an understanding of the nature and different types of
safety risks that can apply in any working environment.

1.2 Nature of safety risks
Definition
Safety risk means an outcome we want to achieve is threatened by a condition in a
situation in life (Fischhoff & Kadvany 2011:22). Safety risk means the involvement
of a person in a situation to achieve one or more objectives presents the possibility
or chance that the person could instead end up with harm to their health or damage
to their property (assets) or the environment (Blunden & Thirlwell 2013:7).
Safety in the workplace always has to do with achieving work (service or production)
objectives without experiencing any loss. Safety risk can refer to a high certainty
of loss that can be very bad or severe (Stephenson 1991:9). Safety risk can produce
extremely bad, unwanted effects (Geller 1998:52). Safety risk refers to ‘a chance of
bad consequences’ (Stranks 2010:97). According to Fuller & Vassie (2004:5), safety
risk shows the possible consequences of loss, while Manuele (1993:115) states that
safety risk always relates to possible loss.
Actually, safety risk is always associated with a specific situation in life and
relates to harm to people and damage to property and the environment (Manuele
1993:115). A safety risk indicates that no certainty exists that the conditions in a
situation will achieve the desired outcome (Smit & Esterhuyzen 2014:141).
1.3 Identification of safety risks

Safety risk always relates to a specific condition in a situation (Manuele 1993:115).
It is extremely rare that a similar safety risk applies to two or more situations.
Situationally related conditions are the determining factors for the existence and
nature of safety risks (Grose 1987:32). Safety risk is always directly related to the
unique conditions present in a specific situation. The safety risk in a situation
cannot be separated from the conditions in this situation. Safety risk identification
can be seen as a process during which situations and events that may present
possible loss are identified or observed (Fuller & Vassie 2004:7).
The safety risk in a situation can be identified by observing any possibility or
potential that occurrences in this situation will or may not result in the foreseen
objectives or planned outcomes. This observation may result from calculating,
measuring and so on. Occurrences in situations refer to the interaction and energy
exchange between substances, which will be dealt with in Chapter 2. In this regard,
it is essential to remember that the safety risk in any situation is directly related to
the objects in this situation (Smit & Esterhuyzen 2014:116).
Identifying safety risk means that a basic conclusion can be formed about
the potential or actual threat or threats with regard to harm and damage that a
particular situation offers.

Chapter 1: Introduction to safety risks
1.4 Purpose of safety risk assessments

The identification of safety risk in a situation does not give any indication for
the prevention of adverse results. Prevention requires more action than mere
identification. Identifying safety risk only is not enough. It is important to know the
possible seriousness of the safety risk in a given situation (Glendon et al 2006:332).
This seriousness can only be seen through the thorough assessment of the particular
safety risk in a given situation. Safety risks in situations in the workplace must be
thoroughly assessed.
Definition
The purpose of safety risk assessment in the workplace is to understand how
serious the safety risk is that will or could harm people, or cause damage to assets
or the environment. Safety risk assessment provides the necessary basis to plan and
implement safety measures to make it safe in the workplace. Without a safety risk
assessment, a good plan cannot be made to prevent loss in the workplace.
1.5 Types of safety risks

Safety risks can be divided into different types. It is important to understand
these types of safety risks, because they influence our work in different ways. The
different types of safety risks are the following:
1.5.1 Speculative loss (financial risks)

Speculative loss refers to the possibility of losing or gaining something as a result
of one’s input. Safety risk in the workplace refers to threats that equipment,
machinery or work processes can have on the safety of people or property. Safety
risk has no direct relation to speculative loss (financial risks) because speculative
loss mainly involves money. Speculative loss is related to fluctuations in financial
markets and product costs (Valsamakis et al 1992:28).
1.5.2 Pure safety risks

Pure safety risk directly involves safety in the workplace (Fuller & Vassie 2004:10).
The safety risk found in workplace situations that offers a threat to the safety of
people, property and the environment is known as a pure safety risk. It occurs in the
workplace where employees must handle pure safety risks. All safety risks that apply
to the workplace are called pure safety risks. Pure safety can be divided into different
types of safety risks. The different types of pure safety risks are the following:
Acceptable safety risks

The safety risk in a situation in the workplace is safe when the employee or
employees who are involved in the situation are able to handle the safety risk
successfully. The safety risk in a situation is acceptable if the safety risk is judged

to be acceptable. As an example, it can be stated that an employee with a valid

permit can operate a forklift. The forklift offers safety risk that is acceptable to
the operator who has a valid operator permit. The operator can handle the safety
risk that goes with driving the machine successfully. Acceptable safety risk is a
risk that the business and employee accepts because they can handle the safety
risk effectively. This acceptance is based on the fact that the employee has the
necessary competence to perform the task. An acceptable safety risk is always
based on how people, including employees, see the conditions in a specific situation
(Grose 1987:31). Acceptable safety risk may be the result of efforts to reduce an
unacceptable safety risk to an acceptable level (Germain et al 2011:541). Safety risk
in a particular situation can change as a result of a change in the conditions in the
situation (Tolbert 2005:28). What is judged to be safe at a specific moment may be
unacceptable at another moment.
Safety risk in a given situation that will not harm the person or people or damage
property, assets, infrastructures or the environment is regarded as an acceptable
safety risk. When the circumstances in a situation do not offer an unmanageable
safety risk, this safety risk can be deemed an acceptable safety risk. Grimaldi &
Simonds (1989:164) state that safety risk is acceptable when the loss the safety risk
will bring is so little that it is acceptable.
Unacceptable safety risks

The question is: When is safety risk unacceptable? Safety risk is unacceptable
when the person cannot handle the safety risk. This means the person does not
have the ability, knowledge or skill required to handle the safety risk. The person
will be harmed if they try to handle the safety risk. Safety risk is also unacceptable
when objects in the situation cannot withstand the safety risk. This type of risk is
too tough or difficult to handle. It means property and assets or the environment
will or could be damaged.
In order to handle safety risks successfully in the workplace, employees in the
workplace must meet particular requirements:
• Knowledge, experience and skills: Employees need to understand all
the machines and equipment they use for their job. They must have the
experience and skill to operate these machines and to handle the equipment.
Knowledge about legal requirements in their tasks is also important.
• Positive attitude to safety: It is important to maintain a positive attitude
towards working safely at all times. This attitude must be demonstrated in
the employees’ behaviour (Geller 1998:37).
• Necessary strength: It is important that employees are healthy and have
the necessary strength to do their job well. Some work requires particular
strength, for example, handling objects manually.
• Necessary fitness: Performing tasks during day shifts for five or more days
a week requires particular fitness. This goes for all types of work, such as

manual work, office work, driving, operating and so on. Working night shifts
sets other tough requirements, such as keeping awake.
• Correct mindset: Employees have to be aware of safety risks in all situations
they have to handle during their shifts. Employees must as far as possible
think: ‘Safety’. This will help them to be prepared for any safety risk they
have to deal with during their shift.
• Know how to work in a team: Employees need to know how to work in
a team. They must be able to work together with their team members. Not
being able to work together may put the employees and their team members
in situations with unacceptable safety risks. This could end up with bad
results, such as an accident, injury or damage to property.
Whenever employees miss out on any of the above-mentioned requirements, the
safety risks will be unacceptable for them and can lead to bad results. Unacceptable
safety risks also apply to all objects or substances and the environment. Objects such
as machines, buildings, structures, equipment and many more items can be damaged
by unacceptable risks. When the safety risk in a situation will damage any one or
more objects in the situation, the safety risk is unacceptable. Unacceptable safety risks
also apply to the environment. Whenever safety risks in a given situation will damage
any element of the ecosystem in the environment, the safety risk is unacceptable.
Tolerable safety risks

The safety risk in a situation is tolerable when the safety risk is judged to be ‘as
low as reasonably practicable’ (Fuller & Vassie 2004:20). Although tolerable safety
risk may possibly result in loss, this type of risk is regarded as tolerable because the
person or people involved have the capability or competence to handle the safety
risk successfully.
Inherent safety risks

All objects or substances have an inherent risk. For example, when a person puts
their hand in boiling water, they will get burned. The heat of the boiling water offers
an inherent safety risk because of the heat energy that is in the water. Inherent
safety risk relates to the energy or energies in objects or substances. Inherent safety
risk can also be in the process of interaction between two objects or substances. For
example, electricity makes an angle grinder disk turn. The turning object can cut an
employee’s hand as a result of the inherent safety risk that goes with the turning
process. The inherent safety risk of the solidness of the disk also plays a role. The
inherent safety risk cannot be separated from the object or substances it belongs to.
All objects or substances are sources of energy or energies. The energy or
energies of objects or substances create safety risks. Grimaldi & Simonds (1989:81)
states that objects that are sources of energy or energies are safety hazards. This
means all objects or substances are safety hazards. Therefore, the safety hazards in
a situation bring inherent safety hazards into the situation.

Add-on safety risks

People contribute to safety risks in situations. This includes employees. Employees
are inclined not to follow instructions on safe working procedures when doing their
jobs. For example, some employees do not wear dust masks or safety goggles when
they are expected to. The purpose of personal protective equipment (PPE) is to
protect people from safety risks that are present in the work situation. If they follow
the instructions, they will not be exposed to the safety risk in working situations.
When they do not wear the prescribed PPE, they add safety risk to the situation.
The safety risk people contribute to a situation is called an add-on safety risk. Add-
on safety risks have their origin with people who do not follow instructions that
apply to work procedures in the workplace. There are many reasons why and under
what conditions employees bring add-on safety risks to the work situation (Smit
& Esterhuyzen 2014:146–147). Employees add safety risks to a work situation that
should not be part of the original situation. They bring in new conditions that add
safety risks to the situation. If employees follow instructions for working safely,
they will not bring add-on safety risks to the work situation.
In general, it is necessary to understand the nature of the different types of
risks when performing the process of safety risk assessment. Specific attention
needs to be given to identify and understand the role add-on safety risks play in
creating safety risks in given situations in the workplace.
Residual safety risks

Safety risks are always related to safety hazards. There are always safety hazards
in every situation in life. There is no situation in life that goes without safety risk.
This means that, even after reducing or minimising the safety risk in any situation,
there still remains safety risk in the situation because there are still safety hazards
in the situation. Tolbert (2005:26) states that no matter what safety risk controls are
put in place in a specific situation, some safety risk always remains in the situation.
There is no situation in life in which safety risk is not present. Finally, it is clear
that safety risks are always present in every situation in life, even if the safety risks
are very small. Residual safety risk can be seen as a safety risk that is left over in
a situation after all efforts have been made to reduce or minimise the safety risk in
this situation. The quantity of a safety risk in any situation in life can never be zero
(Tolbert 2005:27). Zero safety risk in a situation is only possible if all safety hazards
have been removed from this situation. It is impossible to remove all safety hazards
from a situation without removing the total situation. If a situation exists, there
must be safety hazards in the situation. Safety hazards make situations. Safety
hazards and safety risks always go together.
1.6 The relationship between different types of safety risks

Safety risk always forms one single whole. Although different types of safety risks
are theoretically listed, the nature of a safety risk stays the same. The safety risk

basically indicates the possibilities that the conditions in a specific situation can
cause losses. These losses can mean harm to the person and people, and damage to
property, assets or infrastructure in the situation or the environment. The type of
safety risk does not matter when it comes to eliminating or minimising the safety
risk. The different types of safety risks require different ways of making the safety
risks safe and preventing loss in the workplace. There exists a difference between
acceptable and unacceptable safety risks. The difference lies in the fact that
acceptable safety risk in a situation does not require any action to make a situation
safe. On the other hand, unacceptable safety risk in a situation needs action to make
it safe for employees, property or the environment. Residual safety risk represents
the final safety risk that cannot be eliminated in a particular situation.
1.7 Situational safety risks

Safety risk is always directly related to a specific situation. This also applies to
the workplace and working environment. For example, the changing room of a
plant offers specific safety risks. The kitchen of the canteen of a business offers
particular safety risks. The safety risks of the changing room and the kitchen of the
canteen differ greatly. The difference in safety risks is based on the difference in the
conditions of the different situations. Safety risk is always bound to the situation
in which it exists. This means that the determination or assessment of safety risk
always applies to a specific situation. The same safety risk assessment cannot serve
for all the situations in a business. Each situation needs to be assessed on its own.
The nature of safety risk depends on the condition. Tolbert (2005:27) says that
safety risk is always situationally specific, because the particular conditions in each
situation differ from those in other situations. This implies that safety risk is always
related to specific situations in the workplace and in life in general. As safety risk is
always situationally related, no two situations can present similar safety risks. The
conditions in no two situations are the same. The nature, magnitude and severity of
safety risks in any situation are directly related to the nature of the safety hazards
and their interaction in this situation. Magnitude refers to how extensive or big the
safety risk in a situation is. Severity refers to how dangerous or serious the effect
of the harm or damage of the safety risk in a situation is. The interaction between
safety hazards in a situation points to what they do, either on their own or all
together while being in the situation.
1.8 Conclusion
Safety risks are a natural part of all business operations. Safety risks are classified
into different types. Understanding each type of safety risk is important in order
to identify each one correctly. Understanding the nature and type of safety risks as
well as putting safety first requires having a good understanding of where safety
risks come from.

Self-assessment questions
1. Explain what the term ‘safety risk’ means.
2. What is your understanding of acceptable safety risks and unacceptable safety
risks?
3. Discuss the requirements for handling safety risks successfully.
4. Explain the difference between inherent safety risks and add-on safety risks.
5. Why are safety risks always situationally bound? Explain.
6. Explain residual safety risks and their relation to other types of safety risks.
References
Blunden T & Thirlwell J. 2013. Mastering Operational Risk. 2nd ed. Harlow: Pearson.
Fischhoff B & Kadvany J. 2011. Risk: A Very Short Introduction. Cape Town: Oxford University
Press.
Fuller CW & Vassie LH. 2004. Health and Safety Management. London: Prentice Hall.
Geller ES. 1998. Working Safe: How to Help People Actively Care for Health and Safety.
Boca Raton: CRC Press.
Germain GL, Bird DJ & Labuschagne CJ. 2011. Safety, Health, Environment and Quality.
Georgia: International Risk Control America and IRCA Global.
Glendon AI, Clarke SG & McKenna EF. 2006. Human Safety and Risk Management. 2nd ed.
Boca Raton: Taylor & Francis Group.
Grimaldi JV & Simonds RH. 1989. Safety Management. 5th ed. Homewood: Irwin.
Grose VL. 1987. Managing Risk: Systematic Loss Prevention for Executives. Englewood
Cliffs: Prentice Hall.
Manuele FA. 1993. On the Practice of Safety. New York: Van Nostrand Reinhold.
Smit SJ & Esterhuyzen E. 2014. The Basics of Safety Hazards and the Origins of Safety Risk.
Pretoria: Business Print.
Stephenson J. 1991. System Safety 2000: A Practical Guide for Planning, Managing, and
Conducting System Safety Programs. New York: Van Nostrand Reinhold.
Stranks J. 2010. Health and Safety at Work: An Essential Guide for Managers. 9th ed.
London: Kogan Page.
Tolbert GD. 2005. Residual risk reduction. Professional Safety, 50(11): 25–33.
Valsamakis AC, Vivian RW & Du Toit GS. 1992. The Theory and Principles of Risk
Management. Durban: Butterworths.
Van Fleet E. 2000. Debunking safety myths. In GS Swartz (ed). Safety Culture. Chicago:
National Safety Council.

Chapter 2
Origins of safety risks
Elriza Esterhuyzen
Learning outcomes
• describe the nature of safety hazards
• explain the different common characteristics of safety hazards
• introduce the modes of safety hazard interaction
• clarify the origins of safety risks
• elicit the contribution of safety hazard characteristics to safety risks.
Key terms
Compound safety hazard Origin of safety risk
Consistent Potential safety risk
Density Shape
Energy exchange Size
Inconsistent Symmetry
Interaction/interface Tangibility
Mingle safety hazard Texture
Modes of interaction Weight
Multiple safety hazard
2.1 Introduction
The analysis of safety risks in a business needs to take notice of where safety
risks originate. The understanding of the origins of safety risks provides a clear
understanding of what safety control measures need to be put into place and
how they should operate or function. It is necessary to determine the origin of
a safety risk in a situation thoroughly and scientifically. This means that careful
and thorough reasoning must take place about where and how a safety risk in a
situation started. Once the origin of safety risk has been determined, then decisions
about the magnitude and severity can be made. This chapter explains where, when
and how safety risks originate in a situation.
2.2 Safety hazards and their characteristics

Safety hazards are things (objects or substances) that can make contact with humans
and with one another. Contact can be made with all things that are tangible. The

main reason is because all things are made of matter (material). All matter is tangible.
This means that safety hazards are things and that they are tangible (touchable or
‘contactable’). Because of their tangibility, safety hazards can create circumstances
that can cause harm or damage. The circumstances that can cause harm or damage
relate to safety risks. The ability to create circumstances for loss relates to the
different characteristics of safety hazards (Smit & Esterhuyzen 2014:45–48). All
safety hazards have the same characteristics. The nature of safety hazards and their
characteristics differ in many respects. The difference mainly has to do with the
nature of their structure and the way they work (function). All things (which are
also safety hazards) come in three different forms. The forms are solids, fluids and
gases. Solids are hard. Liquids flow and are soft. Gases are like wind; they are mostly
unseeable and intangible (untouchable). Remember: All things (solids, liquids and
gases) are safety hazards because they can cause harm and damage.
The different characteristics of safety hazards appear in Table 2.1. The table
indicates six characteristics that have to do with the structure or build of safety
hazards. Additionally, the table also shows three functioning (working) characters of
safety hazards. Safety hazards create safety risks in all situations in life. The safety
risks that safety hazards create are directly related to the structure and functioning
of safety hazards. The characteristics of safety hazards create and contribute to
safety hazards in a situation. When the safety risks in a particular situation are
analysed, the safety hazards in the situation also need to be analysed. This analysis
helps to identify and understand the contribution of the characteristics of safety
hazards to the safety risks in the situation. Humans are safety hazards too. They
have all the common nine characteristics that all other objects as safety hazards
have. Humans have one additional safety hazard, namely inconsistency. This
characteristic of inconsistency is unique to humans, because it belongs to humans
only. No other safety hazard has such a characteristic.
Table 2.1: Characteristics of safety hazards
No. Structural characteristic Explanation
1. Tangibility All matter-based seeable/unseeable substances

are tangible
2. Density Thickness (solid, liquid or gas) based on volume and

solidness of matter in a specific volume
3. Size Compactness, volume and contour of matter in a

given format
4. Weight Strength of gravitational pull towards the centre

of the earth based on volume and compactness
of matter
➠
10

Chapter 2: Origins of safety risks
No. Structural characteristic Explanation
5. Shape Contour related to volume and compactness of

matter in a specific format
6. Surface/texture Points or areas of contact related to the volume,

compactness and contour of matter in a
particular format
Functioning Explanation
characteristic
7. Energy Capacity to do work through different

configurations of energies
8. Consistency Undeniable regular functioning as determined by

laws of nature, for example, when heating water
adequately it will boil
9. Interaction Making contact and exchanging energies with

other substances
Additional human Explanation

characteristic
10. Inconsistency Freedom to interact with substances based on

own choices
Source: Smit & Esterhuyzen 2014:45-48
2.3 Types of safety hazards

Safety hazards come in three different types. Types are single, compound and
multiple safety hazards.
2.3.1 Single safety hazards

Single safety hazards are pure safety hazards. They are not mixed or combined with
other hazards. Examples of pure single hazards are clean oxygen, clean iron, clean
copper, clean gold, and so on. Science has produced a long list of pure single ele
ments (Zumdahl & Zumdahl 2007:56). Examples on this list of natural single elements
appear in Table 2.2. Each element is represented with a particular unique symbol.
Table 2.2: Periodic table – a short example list of natural elements
Symbol Au Cu AL O N Pb
Element Gold Copper Aluminium Oxygen Nitrogen Lead
All of these elements are tangible objects (substances) because they are made of matter
(Crowell 2006:86). These pure elements with their tangible material base means
that they can cause loss. Therefore, these pure elements are single safety hazards.
11

As single safety hazards, all of these elements have the common characteristics of a
safety hazard. Although single safety hazards have common characteristics, single
safety hazards may differ greatly in their structure and functioning. Oxygen (a gas)
and copper (a solid) differ in structure and in functioning.
2.3.2 Compound safety hazards

Many things (substances) are formed by combining with other things (substances)
(Zumdahl & Zumdahl 2007:25). Single safety hazards form different combinations
with one another to become compound safety hazards. A very well-known
compound safety hazard is water, which combines helium and oxygen (H2O).
Compound hazards appear or come in the form of a single substance and they
have all nine characteristics that safety hazards possess. Compound safety hazards
are different from single safety hazards. The structure or build of compound safety
hazards is different from single safety hazards. The same applies to the functioning
characteristics of compound and single safety hazards. The structure of water is not
the same as helium or oxygen. Water functions differently from helium or oxygen.
Water is a fluid while the others are gases.
2.3.3 Multiple safety hazards

Multiple safety hazards are formed in four ways. Different compound safety
hazards can combine to form a multiple safety hazard. Any number of single safety
hazards can form a multiple safety hazard. Compound and single safety hazards
can form a multiple safety hazard. A multiple safety hazard can also be formed by
a number of multiple safety hazards. Although multiple safety hazards are formed
by different numbers and types of compound, single and multiple safety hazards,
multiple safety hazards usually exist in the form of one thing or entity. A bunch or
ring of keys that form one thing or object is a multiple safety hazard, although it is
made up of a number of different keys that are compound safety hazards. A vehicle
that represents numerous compound safety hazards forms only one multiple safety
hazard. Each of the compound or single safety hazards that form a multiple safety
hazard has its own characteristics that play a role in creating safety risks.
A human is a multiple safety hazard. A number of compound and single safety
hazards make up the total of the structure and functioning of the human body.
Each of the different safety hazards that make up the human has the different
characteristics of safety hazards. When humans work together in performing a
task, the group also becomes a multiple safety hazard made of different humans
and each human is a multiple safety hazard with their own characteristics of a
safety hazard.
2.3.4 Potential safety hazards

All things or substances on earth are made of a specific material called matter.
Matter makes all things tangible. Only things that are tangible can cause harm or
damage. Therefore, all things that are tangible are safety hazards. The conclusion
12

is that because all things or substances are already safety hazards, there is no room
for potential safety hazards. A potential safety hazard does not exist, not anywhere.
2.4 Beginning (origin) of safety risks

Safety risks start somewhere. Table 2.1 indicates that all safety hazards have the
characteristic to interact with other safety hazards. All safety hazards also have
some form of energy (Smit & Esterhuyzen 2014:61). Safety hazards constantly
interact with one another. Such interaction is also called interface. This also applies
to humans (Glendon et al 2006:136). Humans interact with other safety hazards
that are human or non-human (objects or substances). Human interaction with
non-human safety hazards is called man–machine–interface (Stranks 2006:136).
When safety hazards interact with one another, the safety hazards exchange
some of their energy or all of their energies. When safety hazards do not come into
contact with other safety hazards, there is no interaction or interface and no energy
exchange can or does take place. The interaction and energy exchange between
safety hazards generates circumstances that can cause harm or damage. Think
about a stove with a flame that heats a container filled with water. The flame heats
the stove and the container. The container heats the water. The water eventually
boils. The interaction between the flame, stove, container and water produces
threats that can cause harm and damage. The human interaction (interface) with
the flame, stove, container or boiling water could result in harm or damage.
Thus, the following conclusions can be made:
• When safety hazards interact and exchange energies, they create safety risks.
• When safety hazards do not interact, no energy exchange takes place.
• When safety hazards do not exchange energies, no safety risks are created.
When analysing and assessing safety risks in a particular situation, it is necessary
to identify and understand the interaction and energy exchange between all the
safety hazards in this particular situation. It is important to remember that all
safety hazards that could interact and exchange energies in a particular situation
do not have to be physically present in the situation. Think about a situation in
which the sun is distantly present, but can still create the safety risk of sunburn
when interacting and exchanging energies with a human.
2.5 Modes of safety hazard interaction

Safety hazards interact and exchange energies with other safety hazards in different
ways or modes (Smit & Esterhuyzen 2014:73–80). The modes of safety hazard
interaction are the following:
13

2.5.1 Dormant mode of safety hazard interaction

Safety hazards can be in a dormant mode of interaction. This means that they are
not interacting at a particular moment. However, these safety hazards may have the
potential to interact when the opportunity arises.
Example
A human’s or an animal’s stomach is a safety hazard. When the stomach is empty, it
is in the dormant mode of safety hazard interaction. However, it has the potential
to interact and exchange energy with other safety hazards. Food is a safety
hazard. When food arrives in the stomach, the safety hazards start to interact and
exchange energies.
2.5.2 Armed mode of safety hazard interaction

Safety hazards may be in the armed mode of interaction. In the armed mode, safety
hazards have the potential and are ready to interact with other safety hazards when
the opportunity arises. Not all the energies of a safety hazard may be involved in
safety hazard interaction and energy exchange at a particular time in a particular
situation. The safety hazard is armed because it has one or more uninvolved
energies that can get involved when the opportunity arises.
Example
A piece of electrical wire or cord is a compound safety hazard. It is lying on the floor.
The floor is a safety hazard. The two safety hazards are interacting and exchanging
gravitational energy. The wire is in dormant mode of safety hazard interaction
because it has the potential to interact with electrical current should it be coupled
to a source of electrical energy.
2.5.3 Non-interactive mode of safety hazard interaction

When in the non-interactive mode, safety hazards do not interact and exchange
energies. This applies even when safety hazards are in direct contact with one
another. These safety hazards may be in the armed or dormant mode of safety
hazard interaction. However, they are not interacting and therefore no energy
exchange takes place.
Example
An electrical heater is a safety hazard. It is coupled to a source of electrical power
not providing any heat. The source of electrical power is a safety hazard. The source
is not switched on. This means that the source and heater are dormant and armed
but in the non-interactive mode of safety hazard interaction.
14

2.5.4 Active mode of safety hazard interaction

Safety hazards are in the active mode of safety hazard interaction when they are
exchanging energies. They are no longer dormant, armed or non-interactive. Being
actively engaged in safety hazard interaction and energy exchange does not mean
a specific safety hazard is completely involved in the process. One or more energies
may not be involved. The potential exists that these energies will get involved
when the opportunity arises. Thus, a safety hazard may only be partially involved
in the process of safety hazard interaction and energy exchange.
Example
The wheel of a vehicle is a safety hazard. The brake disk, brake pad and road are
safety hazards. When the vehicle is moving, the wheel is running on the road. The
wheel and road are interacting and exchanging energies. The road and wheel are
both in the active mode of safety hazard interaction. However, the brake disk and
brake pad are in the non-interactive mode of safety hazard interaction. They will
become active the moment the driver steps on the brake pedal.
2.5.5 Interactive mode of safety hazard interaction

Safety hazards are in the interactive mode of safety hazard interaction when their
interaction and energy exchange have an effect upon one another. This means that
the results of their interaction influence all or some of the safety hazards involved
in the process. Two single safety hazards may become a compound safety hazard
or a compound safety hazard may be broken up into two single safety hazards. The
interaction and energy exchange of safety hazards may also only influence some
of the safety hazards involved.
Example
A human’s body, hands and clothes are safety hazards. When clapping hands harshly
together, the safety hazard interaction and energy exchange stings both hands and
heats both hands. The safety hazard interaction and energy exchange of wearing
clothes result in heating the clothes and heating the body.
2.5.6 Reactive mode of safety hazard interaction

Safety hazards are inclined to react to the approach or ‘invitation’ of other safety
hazards and focus on the leads that other safety hazards give to safety interaction
and energy exchange. Many safety hazards become reactive as a result of the
active mode of interaction of other safety hazards. This reactive mode may also
only apply to one or some energies of the safety hazard or hazards involved in a
specific situation.
15

Example
Magnets are safety hazards. Two magnets will be drawn to one another when the
south pole of one of the magnets (safety hazard) are pointed towards the north
pole of the other magnet (safety hazard) over a short distance. Both safety hazards
are in the reactive mode of safety hazard interaction.
2.5.7 Synergistic mode of safety hazard interaction

Safety hazard interaction is synergistic when one or more new or different safety
hazards are formed by their energy exchange. Synergistic means the energy
contribution and exchange of all the safety hazards involved bring something more
than any one safety hazard can achieve by itself. It means the combined results are
different and better than what one safety hazard can be on its own.
Example
Two metal plates, an electrical welding machine, a welding rod and a human are
safety hazards. When welding the two metal plates together, the human, electrical
welding machine, welding rod and two metal plates interact and exchange energies.
The synergistic interaction between all these safety hazards results in a metal strip
that holds the two plates together.
2.5.8 Antagonistic (opposing) mode of safety hazard interaction

Safety hazards that interact in the antagonistic mode of safety hazard interaction
oppose the influence of other safety hazards in a particular situation. In the antagonistic
mode, safety hazards may work against one or more other safety hazards.
Example
Sulphuric acid used in swimming pools and water are both safety hazards. Pouring
water (safety hazard) onto sulphuric acid (safety hazard) results in the water bouncing
back (Helmenstine 2014:1). The acid is in the antagonistic mode of safety hazard
interaction, because it opposes the interaction and energy exchange with water.
Safety hazards can use any one or more modes of safety hazard interaction when
they interact with other safety hazards. This applies to all types of safety hazards,
namely, single, compound and multiple safety hazards.
2.6 Process of safety hazard interaction

Safety hazards can be seen as the sources of energies (Grimaldi & Simonds
1989:181). All safety hazards have some form of energy or energies. There are
many forms of energies (McDonald & McDonald 1994:12). Such energies usually
16

include potential energy. Potential energy can be seen as energy that is ‘stored’
in objects, substances or safety hazards. Potential energies are not active. Stored
energies have the potential to do work whenever they are put into action. Potential
energies are inherent to safety hazards (Smit & Esterhuyzen 2014:134).
Inherent energies can be put into action through the exchange of energies
between safety hazards during their interaction.
Example
A match has potential thermal energy. This potential energy is inherent to matches.
However, matches cannot burn by themselves. Once rubbed against another safety
hazard (matchbox) by another safety hazard (human), a match ignites and works in
the form of a flame that brings (generates) heat or thermal energy. The flame with
its thermal energy (heat) creates safety risk that can result in harm or damage. On
the same basis, the potential inherent heat energy of a fire or cigarette lighter can
result in harm or damage.
When safety hazards interact, they exchange energies. During the process of energy
exchange, other energies are formed or created as well as other safety hazards. The
outcome of safety hazard interaction depends on the nature and number of the safety
hazards as well as the processes of the energy exchange between the safety hazards
in a particular situation. The energy exchange between safety hazards will occur in
certain ways and patterns. These ways and patterns of safety hazard interaction and
energy exchange happen according to specific natural laws. Natural laws operate
on the basis of symmetry (Crowell 2006:72). Symmetry means that natural laws
will force safety hazards to interact and exchange energies with other selected or
chosen safety hazards in a prescribed manner. Symmetry binds the functioning of
safety hazards in their interaction and energy exchange. Natural laws never change
and make the functioning of safety hazards consistent under all circumstances.
Consistency through natural laws flows from symmetry and results in:
• the pre-determined process of safety hazard interaction and energy exchange
• with particular safety hazards
• which are bound by specific natural laws.
17

Example
The dry solid surface of an athletic track will provide a firm grip to the jogging
shoes of an athlete. However, they will be challenged by a lack of grip between the
same shoes and the same surface that is iced up and wet. The iced up, wet surface
and jogging shoes interact differently from the jogging shoes and the dry athletic
track. The nature and process of the interaction and energy exchange between the
two groups of safety hazards are symmetrically determined. The functioning of the
different safety hazards during the safety hazard interaction and energy exchange
is consistent with the natural laws that apply to each of the different safety hazards.
2.7 Contribution of safety hazard characteristics to safety risks

The characteristics of safety hazards in a particular situation contribute to the
safety risks in the situation. The characteristics have different effects on the safety
risks in different situations. The characteristics are divided into two groups, namely
structural and functioning characteristics.
The contributions in relation to the characteristics will be very briefly explained
(Smit & Esterhuyzen 2014:119–139).
Definitions
Structural characteristics have to do with the built appearance of the safety
hazards.
Functioning characteristics relate to how the safety hazards work.
2.7.1 Contribution of structural characteristics of safety hazards

The structural characteristics of safety hazards contribute safety risks to the
interaction and energy exchange of safety hazards in numerous ways.
• Tangibility
All safety hazards are tangible or touchable because they are all made of a substance
called matter. This goes for solids, liquids and gases. Even air is tangible, because
the wind blowing can be felt. If a thing is not made of matter, it is not tangible and
it is not a safety hazard. Because safety hazards are tangible, they can make contact
with other safety hazards. Making contact brings interaction and energy exchange
that leads to a safety risk. If there are no safety hazards, there will be no contact,
no interaction, no energy exchange, and no safety risk.
• Density
Density refers to thickness and thinness as opposites in terms of solid, liquid and
gas. All are tangible. Density contributes to a safety risk in different ways. The
contribution of density depends on the circumstances in each particular situation.
18

The contribution of density to a safety risk in a particular situation will depend on

the effect that the density will have on the outcome of the interaction and energy
exchange of the safety hazards involved. The contribution of density to a safety
risk can range from small to very big. Density can have positive or negative effects
on the safety risks in a particular situation.
Example
An employee who blows the dust (safety hazard) from his face and body (safety
hazards) by using compressed air (safety hazard) can be injured by small pieces of
solid stone or metal (safety hazards) in the air. The difference in density between
a solid and liquid has a different effect on the safety risk. The difference in density
between a brick and water falling on the head of an employee creates a different
safety risk with different effects. The igniting of petrol fumes will have a different
effect (safety risk) compared to the igniting of petrol fluid. The fumes could explode.
The fluid will only burn.
• Size or volume
The size of safety hazards can contribute to safety risk. Size contributes to the
effect of the safety risk in the outcome of safety hazard interaction and energy
exchange in a specific situation. Big safety hazards do not mean bigger safety risk.
Small safety hazards do not mean little safety risk. The effects of size on safety
risk can become greatly negative in the case of the unplanned outcomes of safety
hazard interaction and energy exchange. The contribution of size to safety risk may
vary from almost none to the extreme.
Example
Transporting a prefabricated three-bedroom home on a low-bed truck requires
careful planning. An issue to consider is the volume or size of the home and the
trailer to carry the home. The size sets different requirements on the volume in
terms of length, breadth and height. Each of these contributes to the safety risk
that goes with the interaction of the home, truck, trailer and road. If the home
is not strapped well to the carrier and partially slides off the carrier, the size of
the home will create safety risk that will badly affect the planned outcome of
transporting the home safely.
• Weight
Weight refers to heaviness. The weight of safety hazards contributes to safety risk
during the interaction and energy exchange of safety hazards in any situation in
life. The contribution of weight on the effects of safety risk varies from very small
to extremely big. It does not mean that the heavier the safety hazard is, the bigger
the safety risk. It all depends on the circumstances in a particular situation.
19

Example
When transporting the home in the example above, the safety risk associated with
the weight of the home needs to be considered. The weight sets a safety risk that
requires a rig strong enough to carry the home and to pull the trailer and home.
Weight has effects on the interaction and energy exchange of the home, trailer and
truck as safety hazards. When the badly strapped home partially slides, say halfway
off the trailer, the weight of the home makes a major change in the safety risk that
needs to be dealt with. The effect of the size of a small mobile toilet on the safety
risk that goes with its transportation is greatly different.
• Shape
Shape has to do with form. The form or shape of safety hazards contributes to the
safety risk and is related to their interaction and energy exchange in a particular
situation. Safety hazards can come in a wide range of different shapes, such as
sharp, thin, round, square, diamond, tube, hexagon, v-shape, spearhead, pointed,
twisted, spiral and so on. Each shape contributes to safety risk in a unique way.
Example
Using a flat-point screwdriver to fix a flat-headed nail to a door sets different
safety risks than using a round, flat-headed building hammer.
• Surface or texture
Surface or texture relates to the complete outer edge of safety hazards. Safety
hazards can have different types of surfaces, such as smooth, rough, wrinkled,
grooved, knuckled, embossed, perforated, sticky, humped and so on. The difference
in surface of safety hazards contributes differently to safety risks during safety
hazard interaction and energy exchange.
Example
The smooth surface of an aluminium ladder sets specific safety risk with regard to
climbing it with soft, smooth leather shoes. The smoothness of the shoes and ladder
contributes to the safety risk that goes with the interaction and energy exchange of
the safety hazards. The smoothness of both objects enhances slipping. Tough, hard,
grooved rubber shoes contribute fewer safety risks when climbing an aluminium
ladder. The grooved rubber shoes contribute less safety risk during safety hazard
interaction and energy exchange as a result of a better grip.
20

2.7.2 Contribution of functioning characteristics of safety hazards

All safety hazards have functioning characteristics.
• Energy
All safety hazards have some form of energy, which means that they can do ‘work’
(Van Fleet 2000:112; Crowell 2006:45). Safety hazards work during the process of
safety hazard interaction and energy exchange. Different energies work through
different safety hazards (Smit & Esterhuyzen 2014:46; 67). Potential energy plays
an important role in doing work because it can work in different forms in different
safety hazards.
Energy contributes to safety risks. When safety hazards interact and exchange
energies, they work. Safety risk starts when safety hazards start to do work. When
safety hazards do not interact, they do not exchange energies and they do not
contribute to safety risk. The energies that work during safety hazard interaction
and energy exchange create the threats in the form of one or more modes in which
safety risk can lead to harm and damage.
Example
A stove (safety hazard) provides heat (potential energy) to boil (do work) water
(safety hazard).
• Interaction
Safety hazards are almost always in contact with other safety hazards. When they
make contact, they usually interact. When safety hazards are in the dormant or
armed mode of safety hazard interaction, they do not interact. A lack of interaction
only happens when there is no natural law or laws that force safety hazards to
interact. Safety hazards exchange energies when they interact. It is during energy
exchange that safety hazards create safety risks. Therefore, safety hazard interaction
always contributes to safety risks. The interaction of safety hazards happens when
they are in one or more modes of safety hazard interaction.
Example
To boil water requires a pot with water and heat from a heat source such as a stove.
It is planned that the pot and stove as well as the pot and water interact when
exchanging energy (electricity). Switching the stove on creates safety risk because
of the heat of the stove that can harm a human or damage the pot. When the water
is boiling, it can also create safety risk that can threaten the humans and assets.
If the stove is not switched on, there will be no interaction and energy exchange
between the different safety hazards involved.
21

• Consistency
All safety hazards are regulated by natural laws. Different natural laws regulate
different safety hazards differently. This regulation may differ from situation to
situation. However, the regulation is consistent according to the situation. The
consistent functioning of safety hazards under specific conditions contributes to
safety risks.
Example
When heating water with a heat source, the heat source and water exchange energy
(thermal energy). At the point where the water has received enough energy, it will
boil. Every time water is heated long enough with enough energy, it will boil. The
natural law related to water being heated regulates the functioning that water
will consistently boil every time. However, dissolving salt in the water changes
the circumstances in the situation. The water and salt mixture is a new compound
hazard. This means that the interaction between the safety hazards will be different.
When heated, the new mixture will consistently boil, but it will take more thermal
energy. Therefore, the water will boil at a higher temperature. Water that is boiling
presents a challenging safety risk.
• Inconsistency
Inconsistency only relates to the human as a safety hazard. Humans are very
frequently inconsistent in their behaviour and thoughts. Humans can do what they
want when they want. There is no natural law that regulates the human mind
and conduct. The characteristic of human inconsistency contributes very much to
safety risk.
The contribution of human inconsistency to creating safety risks relates to
human nature, human perceptions about safety risks and cultural elements (Smit
& Esterhuyzen 2014:148–151). It is common human nature to change one’s mind
according to the particular circumstances in a particular situation. A change of
mind may change a human’s conduct. Sometimes a human may not identify safety
risk or misjudge a safety risk. A human may have inappropriate perceptions or
change their perception about safety risk, which could lead to handling safety
risk inconsistently. Sometimes organisations form perceptions about safety risks,
which become part of the organisational culture. Culture elements can become
organisational factors that cause employees to misjudge, oversee or disregard
safety risk and its harming and damaging threats. This could lead to employees
acting unsafely because of latent conditions (Reason 1997:17).
Definition
Latent failures mean that conditions exist that can lead to failures, for example,
unsafe acts, but these conditions do not exist openly and explicitly.
22

Example
A driver may stop at a red traffic light because it is a traffic regulation. However,
if the driver is in a hurry they may skip the red light. In the same manner, many
employees who are working in a noise zone disregard the compulsory sign to wear a
pair of earplugs or earmuffs. The employees may also not take serious notice of the
supervisor who frequently reprimands them to adhere to the safety sign. They may
think that the safety risk of loss of hearing will not happen to them, because none
them have experienced any hearing loss as yet.
2.8 Conclusion
This chapter explained the nature and basic characteristics of safety risks. The
focus was on when and how safety risk starts or originates during the process
of interaction and energy exchange of safety hazards. The contributions of the
characteristics of safety risks during the process of safety hazard interaction and
energy exchange were dealt with.
1. Explain the differences between a single, a compound, a multiple and a potential
hazard.
2. Clarify the different characteristics of a safety hazard.
3. Compare the safety hazards consistency and inconsistency.
4. Explain the origins of safety risks.
5. List the modes of safety hazard interaction and explain the interactive mode.
References
Crowell B. 2006. Discover Physics, Light and Matter. California: Fullerton.
Helmenstine AM. 2014. Do you add sulphuric acid to water or water to sulphuric acid?
About Education. Available: http://chemistry.about.com/od/chemistrystudentfaqs/f/
sulfuricwater.htm. (Accessed May 2014).
McDonald GL & McDonald EL. 1994. A Taxonomy of Fatalities in the Primary Aluminium
Industry. Crestmead: Geoff McDonald & Associates.
Reason J. 1997. Managing the Risks of Organizational Accidents. Cornwall: Ashgate.
23

Stranks J. 2006. The Manager’s Guide to Health and Safety at Work. 8th ed. Derby: Kogan Page.
Van Fleet E. 2000. Debunking safety myths. In GS Swartz (ed). Safety Culture. Chicago:
National Safety Council.
Wikipedia. Forms of energy. Available: https://en.wikipedia.org/wiki/Forms_of_energy.
(Accessed October 2016).
Zumdahl SS & Zumdahl SA. 2007. Chemistry. Boston: Houghton Mifflin Company.
24

Chapter 3
Legal requirements relating to safety risks
Leonie Louw
Learning outcomes
• explain the legal basis of safety risk assessment in the workplace
• describe the legal responsibilities of the employer and employee regarding
safety risk assessment
• clarify the basis of safety risk assessment
• explain the different purposes of safety risk assessment.
Key terms
Financial consideration Post-incident
Humanitarian obligation Pre-incident
Legal directive Safety policy
Legislative safety risk directive
3.1 Introduction
The protection of people involved in any business is legally prescribed. Different
legal requirements apply in this regard. The analysis and assessment of safety risks
needs to take sincere notice of specific legislative prescriptions. Applying particular
legal requirements plays a big role in making the working environment safe.
3.2 Ensuring a safe working environment

To make the working environment in a business safe means to put all the necessary
measures in place that will prevent any harm to people involved or damage to
any business assets or property. Three important measures serve as the bases for
ensuring safety in the workplace. These measures include the following:
3.2.1 Humanitarian obligations

Unsafety in the workplace can have very bad effects on employees, clients or
visitors in a business. One of the primary aims of safety in the workplace is to
guard employees and other people against injuries and fatalities. The prevention
of any of these effects is the purpose of safety (Grimaldi & Simonds 1989:99). Bad
effects include instant suffering as a result of an injury; limitations through an
impairment such as the loss of a finger, hand or leg that can lead to a partial or

permanent disability; unforeseen medical costs; loss of income; loss of life; and bad
experiences as a result of any of the preceding conditions.
It is important that the business makes every effort to ensure that no person
experiences any of these bad effects as a result of an unsafe working environment.
No person should put the health or life of his fellow employees at serious risk and
allow them to experience harm and damage of any kind. No work is worth losing
one’s health or life. Experiencing any type of harm or damage can lead to a lack of
personal motivation and a lack of morale of the employees.
3.2.2 Financial considerations

Unsafety in the workplace can result in great financial losses. Safety and production
go together as the two sides of a coin. Safety in the workplace plays an important
role in the reduction of operating costs (Grimaldi & Simonds 1989:100). This applies
to all types of industry, including manufacturing, production, construction, mining
and service delivery.
No business can plan any business activities without giving full attention to the
safety requirements that go with the particular business operations. It is important
to design and develop all appropriate safety requirements in conjunction with
business operations from the beginning. A lack of appropriate safety as required by
particular business operations can eventually be very costly. The financial loss of
a business can lead to a drop in employee morale to keep up the necessary safety
conditions that production requires. Experiencing financial losses could result in
losing a competitive edge because the results of unsafety could bring financial
losses that could impact adversely on the ability to generate income.
3.2.3 Legal requirements

The basic objective of legal requirements is to prevent or minimise harm and
damage (Grimaldi & Simonds 1989:15). It is the moral obligation of a business to
ensure safety in the workplace (Bever 1984:46). Safety legislation has become part
of all business operations because businesses do not always pay due attention to all
aspects of safety in the workplace. Legislation on safety represents the concerns of
society for the safety of employees. Society’s concern for the safety of employees
forms the basis of safety law enforcement.
The concern of society for the safety of employees has lead to comprehensive
safety legislation. Directives to ensure safety in all types of business operations
in all types of industries have been formulated by the government to serve as
directives for safety under all working conditions. Running a business effectively
requires a business to give ample attention to the human, financial and legal
aspects that apply to its particular business operations.
3.3 Legislative safety risk directives

This explanation of legal safety risk directives will be based mainly on the
Occupational Health and Safety Act 85 of 1993 (OHS Act) as amended.
26

Chapter 3: Legal requirements relating to safety risks
3.3.1 Definition of risks
Definitions
Risk is defined as the probability that harm and damage will happen (OHS Act, s 1).
Safety risk refers to threats of the outcome that society values on the interaction
and energy exchange of safety hazards (Fischhoff & Kadvany 2011:22; Smit &
Esterhuyzen 2014:2). This description ties up neatly with the term ‘safety risk’ as
explained in Chapter 1.
3.3.2 Employer’s legal responsibilities concerning a safety risk assessment

The employer has the legal responsibility to make the working environment as safe as
possible for all employees who are involved in a specific business. In order to provide
a safe working environment, the employer needs to be conversant with safety risks
in all working operations and work activities in the business. The employer can only
be fully aware of the threats to people, assets, property and the environment once an
effective safety risk assessment has been performed. The provision of a safe working
environment starts with the establishment of a safety policy.
Developing a safety policy concerning safety risks

Every business must develop a health and safety policy. This safety policy must
clearly state how the business will handle safety risks in the business and workplace.
The business safety policy must give clear instructions on handling safety hazards
and safety risks in the business operations. The safety policy needs to clearly specify
the following on conducting a safety risk assessment:
• performing a safety risk assessment on a continuous basis on all current and
future operations and activities
• conducting a safety risk assessment prior to commissioning or starting a new
business or operation
• ensuring that all safety training is based on the outcome of the safety
risk assessment
• training all staff on performing a safety risk assessment prior to and during
work activities
• ensuring that safety risk assessment is an indispensable part of all
incident analysis
• developing a plan to perform a safety risk assessment when and
where necessary
• communicating the outcomes of the safety risk assessment to all staff who
need to know and can benefit from this knowledge on personal safety.
The business safety policy must be in writing and clearly displayed to employees in
the workplace (OHS Act, s 7). The orientation and contents projected in the safety
27

policy must give full recognition of the importance that a safety risk assessment is
fundamental in all business processes.
Identifying and assessing safety risks

To execute the business safety policy, the employer needs to acquaint himself or
herself with all safety hazards involved in the business. It is essential to identify
and analyse safety hazards and the operational and work activities in which safety
hazards are involved in order to understand the safety risks that will be generated
during their interaction and energy exchange. Thorough understanding is vital to
perform safety risk assessment effectively. The execution of legal responsibilities by
the employer to create a safe working environment fully depends on the effectiveness
of a safety risk assessment in the workplace. Safety risk assessment provides the
basis for the range of the employer’s safety responsibilities. The employer has to
ensure that the development and implementation of safety responsibilities are based
on an effective safety risk assessment that has been performed by qualified and
experienced staff. Based on an appropriate safety risk assessment, the employer
has the legal responsibility to do the following (OHS Act, ss 8 and 13; General
Administrative Regulations, s 9):
• Provide and maintain safe systems of work and machinery, and provide a
safe working environment.
• Eliminate or mitigate safety risks created by safety hazards.
• Provide personal protective equipment to prevent personal direct contact
with safety hazards.
• Make arrangements that ensure no direct exposure of the employee to
unacceptable safety risks in any work activities and operational procedures.
• Inform all employees on the safety hazards and safety risks related to any
safety hazards they will deal with and safety risks they will be exposed to in
the workplace.
• Notify health and safety representatives about incidents that have occurred
in the workplace.
• Determine the effectiveness of safety control measures that guide and direct
the interaction of safety hazards.
• Confirm the effectiveness of safety control measures in accordance with
safety risk objectives.
• Enforce the application of safety directives in accordance with safety legal
requirements.
• Formalise appropriate supervision in the workplace to ensure that
recommendations that resulted from a safety risk assessment are adhered to.
• Investigate all incidents that have to be reported to the authorities in terms
of the OHS Act 85 of 1993.
28

It is quite clear that the employer cannot do justice to performing all legal responsibilities
without performing a safety risk assessment of all plant or business operations. This
applies to before the commencement of and during business operations.
Informing employees of safety risks

An employer of a business must inform all employees of a business about aspects
of safety risk assessment that apply to specific business operations of a particular
business. This information must include all the safety hazards, their interactions,
energy exchange and the safety risks (threats) to which the employees will be
exposed (OHS Act, ss 8 and 13). This applies in particular to unacceptable safety
risk that may threaten the life and health of employees.
Informing employees about safety risk in the workplace must also include
safety training (OHS Act, s 8). The safety training must focus on how to deal with
the safety hazards and safety risk with which they engage during the process of
performing work and tasks.
3.3.3 Employee’s legal responsibilities concerning a safety risk assessment

An employee has specific legal safety responsibilities that have to be adhered to
while involved in work activities and business operations. These legal responsibilities
are the following (OHS Act, s 14):
• Take personal care for their own safety and for the safety of other people
who could be affected by what they do or do not do.
• Identify situations in which safety risks are generally unacceptable and
report them to the supervisory staff.
• Report any work-related incidents in which they were involved and which
could have led or did lead to harm or damage.
• Make the decision not to engage, interact or interface with safety hazards
in a particular work situation because of the unacceptable safety risk in
the situation.
• Execute tasks in accordance with supervisory allocation and direction.
• Refuse to perform tasks that present exposure to unacceptable safety risk
without due protection.
• Adhere to all legal requirements that apply to any one and all tasks that have
to be performed in business operations.
The execution of any one or all of these legal responsibilities must be preceded by
an effective safety risk assessment for employees and committed application of
the outcome of it. If an inadequate safety risk assessment is performed, it can be
expected that actions will fall short of the required safety conduct, which could
result in harm and damage with associated personal and business loss.
29

3.4 Spectrum of safety risk assessment

Safety risks appear in all work activities and business operations. In developing
safety systems, processes and information programmes to create a safe working
environment and adhere to legal requirements, the employer needs to perform a
safety risk assessment on all activities and operations. The spectrums in which the
employer must perform safety risk assessment comprise three main occurrences
in business activities. The occurrences of safety risk assessment are the following:
3.4.1 Ordinary pre-incident work activities

Safety risk assessment needs to be performed before any business operations have
started or been commissioned and before any incident has occurred in the workplace.
This means that all safety hazards in the working environment need to be identified.
The nature of the wide range of safety hazard interaction and energy exchange
in all the business operations needs to be identified. Thereafter, the safety risks in
every different working situation need to be addressed (OHS Act, s 8). Of course, the
interaction of employees as safety hazards with any other safety hazards must be
addressed. The employer must determine the acceptability of this safety risk. It must
be decided what safety measures need to be put into place to ensure safe interaction
and energy exchange between the safety hazards involved. The development and
maintenance of safe work systems that are based on the assessment of safety risks
are an ongoing responsibility of employers. Employers, self-employed people and
manufacturers must identify and assess the safety risks that any product could offer
to people who handle or use these products (OHS Act, ss 9 and 10).
The analysis of safety hazard interaction and energy exchange plays a vital role
in the identification and assessment of safety risks in the working environment.
The application of medical surveillance to identify safety risks and its effects on
employee health and safety makes an important part of the assessment of safety
risks when humans and non-human safety hazards interact in the workplace.
Biological monitoring of the effects of safety risks on the health (human body and
organ functioning) and safety of employees is general practice in order to identify
and assess safety risks in the workplace (OHS Act, s 1).
3.4.2 Post-incident safety risk assessment

The employer will also investigate the nature and causes of incidents that occurred
at work arising out of the nature of business operations and activities. This safety
risk assessment will occur after the incident has happened. The purpose is to identify
and assess the safety risk that led to the incident (OHS Act; General Administrative
Regulations, s 9). Because the ineffective interaction and energy exchange of safety
hazards results in incidents, safety risk assessment will identify, analyse and evaluate
the contribution that the ineffective safety hazard interaction and energy exchange
made to the occurrence of an incident or accident. Safety risk assessment forms an
important part of the incident analysis process. The outcome of the incident safety
risk assessment forms an important part of the incident analysis report.
30

The results of the post-incident safety risk assessment produce a framework for
making valid conclusions about the causes of the incident. These results also supply
a basis for corrective actions to prevent the re-occurrence of the incident under
scrutiny and similar incidents across all business activities.
3.5 Purpose of safety risk assessment

Safety risk assessment is a legal requirement that applies to all workplaces in all
businesses in all industries. As an example, reference is made to the OHS Act and
the Mine Health and Safety Act 29 of 1996 as amended (MHS Act). The OHS Act
applies to industries in general. The MHS Act is applicable to safety in the mining
industry. The purpose is to make the workplace as safe and healthy as possible and
to understand what should be known and done in order to work safely and to be
safe in the workplace. An employer can make the workplace safe for employees
only once they have been completely informed about the safety risks that threaten
the health and safety of people in the working environment.
3.5.1 Safety risk assessment as a legal requirement

Every organisation that employs people is legally bound to perform safety risk
assessment to ensure that employees can be safely protected and work safely
under all conditions. This responsibility applies to the employer (OHS Act, s 8) and
employees (OHS Act, s 14). Safety risk assessment has to give an overview of the
responsibilities of the employer and employees to handle safety risks effectively in
the workplace. These responsibilities need to be verified in terms of prescribed legal
requirements. Safety risk assessment has to verify the extent of compliance with
safety risks in line with prescribed safety regulations.
3.5.2 Safety risk assessment provides a framework for monitoring safety risks
Safety risk assessment produces information about the current status of safety
risks and safety risk control in particular situations in the workplace (Blunden
& Thirlwell 2013:82). The outcome of the assessment of safety risks and safety
risk control establishes documentation (a report) on safety risks in the working
environment. This documentation enables a business to design and develop
programmes to monitor the existence of safety risks in different work situations.
The effectiveness of measures implemented to control these safety risks can also be
monitored. The documentation presents a basis for communicating the status and
position of safety risks in the workplace (Blunden & Thirlwell 2013:83).
3.5.3 Safety risk assessment assists employees to understand safety risks

Safety risk assessment serves as the basis for employee understanding of the threats
to health and safety in the workplace. Employees can only protect themselves
against threats to the degree that they understand the safety risk levels in the
workplace.
31

The safe employee performance of tasks in the workplace must be preceded by

and based on the outcome of proper individual and group safety risk assessment.
The effectiveness of executing responsibilities successfully depends greatly on the
extent of the understanding by employees on the necessity, nature and process
of safety risk assessment. Effective understanding of safety risk assessment will
enhance the effective safety performance of tasks.
3.5.4 Safety risk assessment provides a basis for innovation

Developing and implementing safety innovation is directly related to the
effectiveness of the assessment of safety risks and the effectiveness of the application
of controls in the workplace. Innovation is evident to the extent that safety risks
are incomplete or ineffective or become inappropriate owing to the introduction
of new equipment and new work processes. In case of innovation, a safety risk
assessment indicates the necessity for introducing appropriate safety design, work
processes and controls.
3.5.5 Safety risk assessment provides the basis of safety programmes

An employer can make the workplace safe for employees only once they are
completely knowledgeable about the safety risks that threaten the health and safety
of people in the workplace. The analysis and assessment of safety risks form the
basis for developing a safety programme that will prevent harm or damage in the
workplace. Safety risk assessment needs to result in a framework that will set
indicators related to:
• a need for work by energies in order to achieve business objectives
• designing work processes to perform the work
• selection of safety hazards to interact with and exchange chosen energies
• selection of employees and ensuring applicable competencies
• a work area or areas for work to be performed
• establishment and physical or practical installation of work activities
• listing of safety responsibilities of the employer and employees
• guidelines to assess success.
The success of new work programmes greatly depends on the effectiveness of the
assessment of safety risks. The use of scenarios and risk models plays an important
role in this regard (Blunden & Thirlwell 2013:231; Fuller & Vassie 2004:245).
3.5.6 Safety risk assessment evaluates safety control measures

Safety risk assessment sets the directives and guidelines for assessing and
evaluating the effectiveness of control measures that apply in the workplace to
ensure employee health and safety. The degree to which safety measures enhance
or jeopardise safety in the workplace must be addressed during the process of a
32

safety risk assessment. It is needless to reiterate that business operations in all

businesses refer to the interaction and energy exchange of safety hazards. Safety
risk assessment in the workplace focuses on how well safety measures enhance
safety in the working environment.
3.5.7 Safety risk assessment prevents re-occurrence of safety incidents

Post-incident safety risk assessment has the purpose of identifying causes of
unwanted safety incidents. The identification of situations in which unacceptable
safety risks were present and the assessment of the contributory roles such as
unacceptable safety risks provide guidelines for developing and implementing
safety measures that will prevent the re-occurrence of relevant and similar incidents
in the workplace.
3.5.8 Safety risk assessment provides guidelines for safety training

The outcome of both pre-incident and post-incident safety risk assessments
provides guidelines for developing content and methods for safety training. The
outcomes give information about the nature of safety hazards as well as the
safety risks that the interactions and energy exchange of safety hazards in specific
situations produce. It also indicates what safety control measures should be put in
place to change unacceptable safety risks to acceptable safety risks. Directives on
how people should interact and exchange energy with safety hazards in particular
situations to keep safe should also be clarified. All of these issues must form the
basis of safety training in a business where and when applicable.
3.6 Conclusion
In this chapter, it is argued that safety risk assessment is based on humanitarian,
financial and ethical foundations. Safety risk assessment implies specific legal
requirements and responsibilities for the employer and employees involved in a
business. The different foci and advantages that a safety risk assessment holds
for a business are briefly articulated. In conclusion, it is clear that safety risk
assessment is an indispensible process of managing health and safety in the
workplace effectively.
33

1. Explain the legal responsibilities of the employer on safety risk assessment in a
business.
2. Clarify the relation between the legal safety responsibilities and safety risk
assessment of employees.
3. Explain the three bases of safety risk assessment.
4. State the purposes of safety risk assessment in a business context.
References
Bever DL. 1984. Safety: A Personal Focus. St. Louis: Times Mirror/Mosby College Publishing.
Fischhoff B & Kadvany J. 2011. Risk: A Very Short Introduction. Hampshire: Oxford
University Press.
Legislation
Acts
Mine Health and Safety Act 29 of 1996.
Occupational Health and Safety Act 85 of 1993.
Regulations
GN R929. Occupational Health and Safety Act, 1993. General Administrative
Regulations. 2003. Government Gazette 25129 of 25 June 2003.
34

Chapter 4
Analysing and assessing safety risks
Elriza Esterhuyzen
Learning outcomes
• define safety risk assessment
• explain the parts of safety risk assessment
• calculate the level of safety risk
• clarify the criteria of safety risk assessment.
Key terms
Active and latent failures Evaluating risk levels
Assessment plan Reviewing
Benchmarking Rigorous analysis
Control measures Safety risk assessment
Criteria Stakeholders
4.1 Introduction
Prevention of harm to people and damage to assets, property and the environment is
an essential part of making the workplace safe. Making the workplace safe requires
that applicable safety control measures must be used. Safety control measures
can only be put in place once the nature of safety risks in the workplace have
been assessed.
This chapter intends to explain the nature, process, focus areas and evaluation
of a safety risk assessment.
4.2 Definition of safety risk assessment
Definition
Safety risk assessment represents a process during which the safety risk that is a
threat in the workplace is identified, estimated and evaluated (Fuller & Vassie 2004:8).
The identification, analysis and evaluation of safety risk are the main activities in
the process of safety risk assessment. Performing safety risk assessment is stating
the possibility that the outcomes of the interaction and energy exchange of safety

hazards will result in harm or damage. The most common starting point to a safety
risk assessment is the safety hazard information approach (Stranks 2006:214). Safety
risk assessment includes the identification, analysis and evaluation of threats on
the work activities in a business (Blunden & Thirlwell 2013:231). The involvement
of humans as safety hazards with other safety hazards in the workplace needs to
be fully recognised.
Definition
Safety addresses the planned and purposeful interaction of safety hazards in
business operations.
Safety risk assessment must identify and analyse the nature of all safety hazard
interactions and energy exchange in all the different situations in a workplace. The
safety risk in a specific situation in the workplace is assessed by determining whether
the planned and unplanned interaction and energy exchange of safety hazards in the
situation offer any threats to human and non-human safety hazards involved in the
situation. One or more threats that offer safety risks are identified. The level of these
safety risks needs to be assessed and eventually be evaluated. Safety risk assessment
also needs to identify the presence and effects of safety control measures on the
identified safety risk in this situation. Safety risk is always situationally determined.
The reason is that safety risk is always linked to a specific situation in which safety
hazards interact and exchange energies. Therefore, safety risk assessment is also
always directly linked to a specific situation.
Safety risk assessment always integrates input from different sources to
validate the outcomes of this assessment. It is important to remember that a safety
risk assessment requires confirmation of the sources of safety risk, pathways of
energies, exposures to threats, and the relevance and strengths of causal relations
(Fischhoff & Kadvany 2011:63). The role of the human and non-human safety
hazards, their interactions and energy exchange as well as the contributions of
their safety hazard characteristics need to be clarified.
4.3 Process of safety risk assessment

Safety risk assessment implies working through a process. The process comprises
different successive aspects.
36

Chapter 4: Analysing and assessing safety risks
Table 4.1: Aspects of the safety risk assessment process
Element Title of element
1. Developing a safety risk assessment plan
2. Identifying and understanding the safety hazards involved
3. Analysing safety hazard interaction and energy exchange
4. Determining the origins of safety risks
5. Analysing the contribution of safety hazard characteristics
6. Analysing the effectiveness of current safety control measures
7. Evaluating the levels of safety risks
8. Setting guidelines to control unacceptable safety risks
9. Keeping a record of the safety risk assessment process
Each of these aspects of the safety risk assessment process will be dealt with in
more detail. The different aspects enhance the identification and understanding of
the following:
4.3.1 Developing a safety risk assessment plan

In order to be successful, safety risk assessment needs to be planned effectively. The
person or people who are responsible for performing a safety risk assessment need to
clearly understand the objectives and purposes of this undertaking. The expectation
or outcomes of the safety risk assessment must be clear and specified, for example
to identify legal, financial or design issues (Fuller & Vassie 2004:244). The business
or work activities in which safety risks have to be assessed need to be identified.
Decisions need to be made about the processes of safety risk assessments (Ridley
2008:44). A team of competent assessors have to be selected and informed on all
aspects of the safety risk assessment. The effects of possible interruptions of current
production processes need to be calculated. The preliminary structuring of the final
risk assessment report helps to keep the process focused. Planned time allocation
for the completion of the operation will ensure dedication and goal direction.
Developing models of safety risk assessment that guide the risk assessment process
enhances the effectiveness of safety risk assessment (Fuller & Vassie 2004:245). It
is important that the origin and process of the safety risk assessment plan features
in the organisational policy. In order to be significant, safety risk assessment has to
fully relate to the business objectives (Blunden & Thirlwell 2013:88).
4.3.2 Identifying and understanding the safety hazards involved

Safety hazards present in a specific situation need to be identified and understood
in order to achieve specific business objectives. Safety hazards are the things that
37

have the potential to cause harm (Ridley 2008:43). The common characteristics
of these safety hazards need to be understood. This applies to single, compound
and multiple safety hazards. The hazardous properties of the substances of
safety hazards need to be identified and analysed (Ridley 2008:143). Safety risk
assessment starts with the identification and analysis of safety hazards involved in
workplace activities in a business (Stranks 2006:111). The common characteristics
of non-human safety hazards are tangibility, density, size, weight, shape, texture,
energy, interaction and consistency. Understanding humans as hazards and their
characteristics are included in this identification and analysis. Humans as safety
hazards have the additional characteristic of inconsistency (Smit & Esterhuyzen
2014:70, 96).
The identification and analysis of safety hazards and their characteristics sets
the basis for understanding the inherent safety risks that safety hazards pose. These
inherent safety risks can be regarded as gross safety risks that involve interaction
and thus safety control (Blunden & Thirlwell 2013:92). Safety hazards bring this
inherent safety risk to situations as part of their basic make-up. Therefore, safety
hazards need to be identified and analysed in order to identify the potential to
cause loss (Reese 2009:90).
4.3.3 Analysing safety hazard interaction and energy exchange

The assessment of safety risks in a business implies the identification, analysis and
evaluation of the threats presented by work activities and work processes (Fuller
& Vassie 2004:289). Work activities and work processes only take place when
safety hazards interact. Safety hazards are stipulated as the sources of safety risks
(Manuele 1993:117). Simultaneously, safety hazards are regarded as the origins of
unwanted harm and damage (Grimaldi & Simonds 1989:16). Harm and damage
occur when safety hazards interact in an unplanned and unwanted way in terms
of achieving business objectives. An analysis of safety hazard interaction requires
confirmation of which safety hazard or safety hazards will interact with which
safety hazards. Clarification is necessary about the mutual interaction of:
• single safety hazards with other single safety hazards
• single safety hazards with compound safety hazards
• single safety hazards with multiple safety hazards
• compound safety hazards with other compound safety hazards
• compound safety hazards with multiple safety hazards
• multiple safety hazards with other multiple safety hazards
• catalysts (safety hazard) with any one or more compound or multiple safety
hazards. A catalyst, which can be a compound or multiple safety hazard, is a
substance (safety hazard) that can be used to speed up a process of reaction
between other substances (safety hazards) without being consumed in the
process (Zumdahl & Zumdahl 2007:558).
38

It is important to understand the nature of the specific safety hazards involved in

a particular situation in order to understand the safety hazard interaction for the
safety hazards to be successful. The nature and purpose of the interaction of catalysts
need to be clearly determined. The identification and analysis of safety hazard
interaction apply to both pre-incident and post-incident safety hazard interaction.
Determining the unplanned interaction of safety hazards in the post-incident safety
hazard interaction is of specific concern in order to understand the origins of a safety
risk. Unplanned interaction has often played a role in generating safety risks that
have resulted in adverse effects. An analysis of safety hazard interaction during a
post-incident safety risk assessment presents an understanding of the efficiency of
safety control measures that should have prevented loss. Analysing the interaction
of safety hazards during a pre-incident safety risk assessment provides a basis for
determining the nature of applicable safety control or preventative measures.
An essential aspect of safety risk assessment is identifying in what mode or
modes of safety hazard interaction each separate safety hazard is or was during
the interaction process. Clarity on the mode or modes of safety hazard interaction
results in an understanding of the participation of each different safety hazard in the
interaction process. The information assists in making decisions on the generation
of safety risks that can cause or did cause harm or damage in pre-incident safety
risk assessments and post-incident safety risk assessments.
Of course, the same identification, analysis and evaluation of safety risks
apply with regard to safety hazard interaction and energy exchange that do not go
according to plan or go uncontrolled. In this case, particular attention needs to be
given to the reason or origin for the unplanned interaction and energy exchange
that generate a threat and safety risk. In most of these cases, the safety hazard
interaction and energy exchange pose an unacceptable safety risk.
The process of safety risk assessment must also include the assessment of the role
or input of humans in the interaction and energy exchange in all given situations
and activities in business operations as and when applicable. A task analysis and
safety risk assessment that centres on human interactions with other non-human and
human safety hazards must take place. This task should be performed in accordance
with safe work procedures that are implemented after a task analysis.
The analysis and assessment of the interaction and energy exchange of safety
hazards in the work environment provide information about the potential severity
that can result in the case of unwanted or unplanned interaction. Safety risk
assessment also reveals information on the potential likelihood of the occurrence
of the unwanted and unplanned outcome of the interaction and energy exchange.
This information is necessary to evaluate the levels of safety risk in work situations
in a business and to decide on effective safety control measures.
4.3.4 Determining the origins of safety risks

Knowledge and understanding of the nature of basic energies and potential energies
is essential. The nature of the planned as well as the unplanned interaction and
39

energy exchange of safety hazards needs to be identified and understood. Clarity

on planned safety hazard interactions and energy exchange that needs to take
place in a given situation or activity to achieve business objectives is essential.
This clarity provides an understanding of the wanted and unwanted safety risks in
particular situations and activities. There must be clarity on the types of energies,
the flow (role) of separate energies, the amount of flow, the purpose of the flow and
the effects (impact) or results of the flow.
When safety hazards interact, they ‘work’ by exchanging energies in order to
achieve business objectives (Crowell 2006:45). This work originates safety risks that
cause threats because these safety risks can result in harm or damage. In many cases,
planned safety hazard interactions and energy exchanges pose unacceptable safety
risks to humans and to assets, property or the environment. A safety hazard can
exercise different forces in different directions and patterns (Smit & Esterhuyzen
2014:135–137). The identification, analysis and evaluation of safety risks are
necessary and essential in order to develop appropriate safety control measures.
4.3.5 Analysing the contribution of safety hazard characteristics

The contribution of the different hazard characteristics of the different safety
hazards involved in creating safety risk in a situation needs to be identified,
analysed and understood. It needs to be determined what the contribution is of
each of the hazards’ characteristics, separately and together, in creating safety
risk. This analysis applies to all simple interaction situations as well as extensive
interaction situations in the production processes that are needed in a specific
business or plant. The involvement of humans and their characteristics as safety
hazards needs to be fully recognised in the safety risk assessment.
The contribution of all the characteristics of non-human and human safety
hazards has to be considered. The different characteristics of different safety
hazards may vary under different interactive circumstances.
Safety risk assessment addresses pre-incident, planned and post-incident
unwanted safety hazard interaction. During a pre-incident safety risk assessment,
the focus is on the identification, analysis and evaluation of planned safety hazard
interaction and energy exchange to reach planned business objectives. The relevance
and effectiveness of safety controls that ensure planned safety hazard interaction
and energy exchange to prevent harm and damage are also placed under scrutiny.
During a post-incident safety risk assessment, the focus is on factors relating to
the origin and effects of safety risks that flow from the energy exchange of safety
hazards. The emphasis is placed on what caused the energy exchange of the safety
hazard involved to fail to achieve a planned outcome.
4.3.6 Analysing the effectiveness of current safety control measures

Determining the effectiveness of existing safety control measures in work or
operational activities is an important part of safety risk assessment in situations
where the safety risk needs to be assessed. The analysis of the effectiveness of safety
40

barriers presents valuable insights on the efficiency of safety controls. A barrier

can be seen as a safety control that prevents the origination of unwanted and
unacceptable safety risks during safety hazard interaction and energy exchange.
Analysis of safety controls produces information concerning what safety control
or controls need to be put in place to prevent loss (pre-incident) and which safety
control or controls did not prevent loss (post–incident). The outcome of either
analysis results in determining the nature of the safety controls that should be used
in mitigating safety risk. Two classes of safety control measures can be identified,
namely systemic measures and organic measures (Grimaldi & Simonds 1989:245,
249). The attention of safety risk assessment is on the role of work procedures and
physical barriers that mitigate safety risks during the flow processes of energy
exchange, while safety hazards interact during operational procedures and work
activities. An important part of assessing the efficiency of safety controls is to
identify and recommend the replacement of ineffective safety controls with safety
controls that are successful over a period of time.
4.3.7 Evaluating the levels of safety risks

The outcome of a safety risk needs to be evaluated in order to determine the
significance of the safety risk in any specific situation, whether in the workplace
or elsewhere (Fuller & Vassie 2004:8). To assess safety risk means to determine
whether safety risk is present and what the threatening nature of the safety risk is.
Assessing safety risk refers to estimating safety risk without making a judgement
on the significance or severity of the level of safety risk. The evaluation of a safety
risk by determining the severity level of safety risk is an indispensible part of safety
risk assessment and will be discussed in Chapter 7.
4.3.8 Setting guidelines to control unacceptable safety risks

The process of safety risk assessment must result in directives that need to be put
in place to serve as safety controls. Directives for implementing safety controls
must make provision for controlling the threats that safety risks present through
hazardous energies. The focus is on reducing an unacceptable safety risk level to an
acceptable level. The unacceptable safety risk relates to the unacceptable hazardous
conditions that the interaction and energy exchange of safety hazards pose in a
specific situation in the work environment (Goetsch 2010:71). Risk reduction
strategies comprise two parts, of which one is to base the implementation of safety
controls on the results of safety risk assessment. The other part is to learn from the
experience by analysing the results of an accident investigation (Stranks 2010:79).
Safety controls must directly concern the presence of an unacceptable safety risk
that originates during safety hazard interaction and energy exchange. The guidelines
as set in the hierarchy of safety controls are relevant. (See Chapter 7, Section 7.7
for information on developing and implementing the hierarchy of safety controls.)
It is important to remember that the safety risk level in any situation in the
workplace can never be reduced to zero or completely eliminated, because safety
41

risks are an essential part of everyday life. Residual safety risks remain at a tolerable
and acceptable level after the implementation of applicable safety controls. Safety
directives must focus on the reduction of the likelihood of any unwanted occurrence,
the fierceness of the energy or energies that operate during the process of safety
hazard interaction and energy exchange, the exposure of human and non-human
safety hazards during the process, and the severity or seriousness of effects of
the residual safety risk should something unlikely or unwanted occur (Grimaldi &
Simonds 1989:279).
The intention of directives is to achieve a safety risk level that is as low as
reasonably practicable, where the emphasis is on reducing safety risks to such a
level that it can be considered negligible for all purposes (Fuller & Vassie 2004:20).
Safety directives that flow from safety risk assessment must as far as possible
consider legal requirements that apply to the interaction and energy exchange of
safety hazards and energy exchange in all situations in the working environment
(Ridley 2008:79). Identifying, evaluating and controlling safety hazards stipulates
the essence of safety practice in order to make all situations in the working
environment safe or preventing harm to people and damage to property or the
environment (Manuele 1993:119). The control of safety hazards is achieved by
implementing measures that practically ensure that the interaction and energy
exchange of safety hazards in the workplace do not reach the level of unacceptable
safety risk. The input of members of a selected cross-functional team (CFT) plays
an important role in providing directives for safety controls. (See Chapter 6 for
information on the role of CFTs in a safety risk assessment.)
4.3.9 Keeping a record of the safety risk assessment process

The process of a safety risk assessment needs to be recorded. Particular aspects
in the safety risk assessment process need to be listed. (Chapter 8 specifies and
explains these aspects in detail.)
4.4 Criteria for a safety risk assessment

A safety risk assessment needs to take note of specific criteria that have to be
considered when focusing on identifying and assessing safety risks. Particular
criteria that should be noted are the following:
4.4.1 Safety risks are caused by successive factors

A safety risk mainly results from the unwanted or incorrect interaction and energy
exchange of safety hazards (Smit & Esterhuyzen 2014:45). The lack of supervisory
control and the lack of personal self-control of the employees on adhering to
the safe interaction and energy exchange of safety hazards plays a major role in
creating unnecessary safety risks in the work activities and business operations.
The criterion that safety risk comes from a chain of successive contributory factors
applies to both pre-incident safety risk assessments and post-incident safety risk
assessments (Germain et al 1998:14). The lack of supervisory control creates working
42

conditions in which employees relax about personal self-control of employees,

which results in less strict concentration on performing tasks safely. The lack of
supervisory control and personal control leads to a lessening personal commitment
to ensure that all work and business activities adhere to the prescribed safety
rules. The appropriate self-control of every employee is essential when performing
a task during which interacting and exchanging energies with safety hazards
occur. Likewise, supervisory control is essential to ensure employee and company
compliance to applicable legislative requirements at all times. The lack of control
allows for the creation of safety risks at any stage of performing work or business
activities. The lack of control can lay the basis of a chain of circumstances in the
workplace that causes a particular safety risk to occur. A safety risk assessment
needs to take note of the contextual nature of safety risks.
4.4.2 Safety risks do not result from a single root cause

Owing to the fact that safety risk is caused by a range of successive contributory
factors, it is clear that safety risk does not originate from a single root cause. No
safety risk can be generated as result of one factor. Based on the understanding
that safety risk is generated as a result of the interaction and energy exchange of
safety hazards, it is quite evident that no single root cause can apply on originating
safety risks (Smit & Esterhuyzen 2014:120). There can never be only one root cause
why safety risk is created. The multifactor origins of safety risks in the workplace
emphasises the importance of using a team of experts when performing a safety
risk assessment. (See Chapter 7, Section 7.6 on CFTs.)
4.4.3 Accidents progress through three successive phases

Safety risk starts the moment safety hazards interact and exchange energies. All
safety hazard interaction and energy exchange go through three phases, called the
pre-event, actual event and post-event phase (Thygerson 1986:85–87). During the
pre-event stage, all safety hazards possess inherent safety risks. A safety risk is part
of a safety hazard before any interaction takes place. This safety risk is imbedded
in the actual and potential energies that form part of the safety hazard. The people
conducting the safety risk assessment need to be intensely aware of this inherent
safety risk before they are involved in interaction and energy exchange. During
the event phase, safety hazards are practically involved in actual interaction and
energy exchange. It is in the event phase that safety risk is generated. This safety
risk can vary from being totally acceptable to totally unacceptable. Safety hazards
can still create safety risk once the event stage has been completed. The interaction
and energy exchange between safety hazards can continue after the main event.
The outcome of the main event of interaction on an energy exchange may result
in new safety hazards with inherent safety risks that differ from those that were
present during the pre-event and actual event. Safety risk assessment needs to take
note of the criterion that safety risk is present during each of the three phases to
ensure that the end result is complete and fully focused.
43

4.4.4 Role of active and latent failures

Humans play a significant role in creating safety risks during the event of safety
hazard interaction and energy exchange. Humans are renowned for their character
of inconsistency and inconsistent behaviour. Owing to the characteristic of
inconsistency, humans as employees in the workplace are frequently involved in
safety risks through active failures. Active failures refer to an inappropriate or
unsafe act that employees commit when performing a task (Reason 2005:10). The
inappropriate or unsafe act generates unacceptable safety risks when interacting
and exchanging energies with other safety hazards. The unacceptable safety risk
exceeds the particular competence of the employee or employees or the threshold
limits of the infrastructure, equipment or environment. Humans engage in active
failures in the form of behaviour that generates an unacceptable safety risk during
interaction and energy exchange with safety hazards and so on. Active failures find
their origins most frequently in human perceptions of safety risks. Relevant issues
relating to safety risks are, oversight, misjudgement, overconfidence, inadequate
analysis, underestimation, inappropriate interaction and energy exchange, and a
lack of required competence.
Employees as safety hazards are also frequently involved with latent failures
(Reason 2005:10). Latent failures manifest in inappropriate behaviour that does
not correspond with the level of safety risk as required. In many situations, latent
failures reveal inappropriate approaches to dealing with safety risks effectively.
Latent failures most often have their origins in an organisational safety culture that
demonstrates an unacceptable concern for safety in comparison with production
and profits. Latent failures, in the form of opinions, likes, preferences, attitudes,
blaming, victimisation, disregard and so on, usually lead to active failures (Reason
2005:10). Safety risk assessment needs to consider the threatening safety risks of
latent and active failures that bring safety hazard interaction and energy exchange
in the workplace. Both latent and active failures are the cause of the unwanted
interaction and energy exchange of safety hazards that contribute to unacceptable
safety risk.
4.4.5 Rigorous analysis of safety hazards

Rigorous analysis is one of the most important criteria that applies to safety risk
assessment. Rigorous analysis prescribes the safety risk assessment of the nature,
interaction and energy exchange of each and every safety hazard involved in work
activities and business operations. Exceptions to the rule are not acceptable. All
levels of safety risks of all work activities and business operations need to be
conducted and the outcome must be registered. Rigorous analysis provides the
only valid basis for the development of applicable safety control measures that
will effectively handle safety in all aspects of the working environment. It is
crucial to remember that the quality of any risk mitigating exercise or risk control
system depends on the quality of the preceding risk assessment efforts. Safety risk
assessment has to be rigorous to be effective.
44

4.4.6 Benchmarking for interdependent learning

Benchmarking refers to a reference point of comparison between a business’s
own and partner businesses (Stranks 2010:70). The purpose of benchmarking is to
enhance business performance through interdependent learning between partners.
The ultimate objective of benchmarking is to learn from the outcome in order to
improve efficiency (Fuller & Vassie 2004:395). Benchmarking can be seen as a very
important resource on safety risk assessment. Using benchmarking as a criterion of a
safety risk assessment will improve the quality and effectiveness of the assessment.
This is particularly evident if the comparative benchmarking involves one or more
best leaders in the field of a safety risk assessment. Benchmarking of safety risk
assessment provides the route to developing and reaching the high standards of
safety risk assessment in a business.
4.4.7 Consistent reviewing to keep on track

Safety risk assessment can never be a once-off opportunity. Reviewing safety risk
assessment serves the purpose to reconfirm the outcomes of an initial safety risk
assessment of specific work situations, work activities and business operations.
Any change or changes in an innovation or innovations in activities or operations
demand that safety risk assessment be reviewed on a regular basis. Reviewing safety
risk assessment ensures that action plans and the implementation of the action
plans are kept on track. Regular checking (reviewing) when the recommendations
of safety risk assessment are still being implemented delivers a basis for corrective
action as necessary (Deming 1982:25). The regular reviewing confirms that the
recommendations of the safety risk assessment are being implemented. The regular
workplace inspections and auditing exercises play important roles in reviewing a
safety risk assessment (Goetsch 2010:93). A business must develop a programme
and schedule for the regular reviewing of safety risk assessment at specific intervals
and it must be executed accordingly (Stranks 2010:112).
4.4.8 Involving relevant stakeholders

Safety risk assessment needs to consider the involvement of two types of stakeholders,
namely people whose lives are affected by safety risk in the workplace and people
who can professionally contribute to the best outcome of a safety risk assessment.
Specific details on the members of a cross-functional team who can contribute to the
best outcome of safety risk assessment are explained in Chapter 6.
Executing a safety risk assessment effectively depends greatly on recognising
and applying the applicable criteria as listed.
4.5 Conclusion
Safety risk assessment forms a crucial part of safety management. This chapter
focused on the aspects of safety risk assessment, the process of the evaluation of
the outcome of safety risk assessment and the criteria of safety risk assessment.
45

1. Define a safety risk assessment.
2. List the aspects of safety risk assessment.
3. Explain the process of safety risk evaluation for matrices.
4. Clarify the criteria of safety risk assessment.
5. Calculate the safety risk levels in a situation in a business where the potential
likelihood value is 3 and the severity value is 2 for harm and 3 for damage.
References
Crowell B. 2006. Discover Physics, Light and Matter. California: Fullerton.
Deming WA. 1982. Quality, Productivity, and Competitive Position. Cambridge: MIT Press.
Fischhoff B & Kadvany J. 2011. Risk: A Very Short Introduction. Cape Town: Oxford University
Press.
Germain LG, Arnold RA, Rowan JR & Roane JR. 1998. Safety, Health, Environment and
Quality Management: A Practitioner’s Guide. Loganville: Georgia International Risk
Control America.
Goetsch DL. 2010. The Basics of Occupational Safety: A Guide for Safety Management. New
Jersey: Prentice Hall.
Reason J. 2005. Managing the Risk of Organisational Accidents. Burlington: Ashgate.
Reese CD. 2009. Occupational Health and Safety Management: A Practical Approach.
2nd ed. Boca Raton: CRC Press.
Ridley J. 2008. Health and Safety in Brief. 4th ed. Amsterdam: Elsevier.
London: Kogan Page.
Thygerson AL. 1986. Safety. 2nd ed. Englewood Cliffs: Prentice Hall.
Zumdahl SS & Zumdahl SA. 2007. Chemistry. Boston: Houghton Mifflin Company.
46

Chapter 5
Different forms of safety risk assessment
Leonie Louw
Learning outcomes
• discuss the different forms of safety risk assessment
• describe the contexts of safety risk assessment
• explain the scope of safety risk assessment.
Key terms
Baseline safety risk assessment Multidisciplinary safety risk assessment
Continuous safety risk assessment Sufficient safety risk assessment
Issue-based safety risk assessment Suitable safety risk assessment
5.1 Introduction
Safety risk assessment has to cover all sections of a business. Each different
section has specific aspects or characteristics that apply to safety risk that has to be
assessed. Different aspects of a business require different forms or types of safety
risk assessment. The approach or focus of safety risk assessment differs with regard
to different forms or types of safety risk assessment. This chapter explains each
form of safety risk assessment. In addition, this chapter covers the contexts and
scope of safety risk assessment.
5.2 Different forms of safety risk assessment

Safety risk assessment comes in three different forms or types, namely baseline,
issue-based and continuous safety risk assessment.
5.2.1 Baseline safety risk assessment

All businesses have certain common characteristics regarding the nature of their
business operations. Every business has an initial phase during which the business
or site or plant is physically established at a particular residential location. Once
established, a broad general safety risk assessment has to be performed to identify
all safety risks that apply to the general business operations and work activities.
The business needs clarity on the safety risks concerning the very basics of the
business operations. An understanding of the safety risks that concern the baseline
of operations is essential in order to ensure that all necessary safety risks with

regard to general business issues are in place. The form or type of safety risk
assessment that applies to the very basic business operations is called baseline
safety risk assessment.
A baseline safety risk assessment comprises obtaining a complete overview
of organisational safety risks with regard to the general business operations. It
provides a basic understanding of safety risks that are present in all areas of
operation. A baseline safety risk assessment observes the energies that create safety
risks. Therefore, a safety risk assessment identifies the safety hazards and business
operations that serve as sources of energies (Smit & Esterhuyzen 2014:64).
The purpose of a baseline safety risk assessment is to establish the priorities and
to develop systems of work for future safety risk control. This baseline safety risk
assessment will need to be comprehensive and may well lead to further, separate,
more in-depth safety risk assessment studies. The baseline safety risk assessment
should be reviewed periodically, perhaps every one or two years, to ensure that it
is still relevant and accurate.
Baseline safety risk assessment provides an overview of an organisation-wide
safety risk assessment. It provides a safety risk profile to an organisation that
allows the organisation to prioritise the focus in safety and health management in
the workplace. A baseline safety risk assessment also focuses on the interaction of
hazards and energy exchange in determining the basic overview of organisational
safety risk levels. The focus, however, is organisation-wide, and not just restricted
to an area, situation or task. The safety risk assessment process starts with company
policy and thereafter assesses whether all safety risks are assessed, what controls
are in place, what systems of work are current and how effectively these systems of
work are managed to sustain health and safety in the workplace at all times. Owing
to the extensive exercise that a baseline safety risk assessment implies, the safety
risk assessment will be conducted by a team of well-informed and experienced
people. This module does not deal with such a major focus and major process of a
safety risk assessment.
The department that provides the plans and layout of different sections, systems
and processes of a business and its operations provides information that should
be thoroughly scrutinised during the baseline safety risk assessment process. A
baseline safety risk assessment needs to cover all the applicable sections listed in this
documentation. The business needs an overall view of the general safety risks basis of
its business operations. This basis can be well represented in a line graph that depicts
the baseline safety risk assessment values in each section that was analysed.
5.2.2 Issue-based safety risk assessment

Where a baseline safety risk assessment is of a general nature, an issue-based
safety risk assessment is specific in nature. For example, an initial baseline safety
process will concentrate on the safety risks that the production process creates in
general. An issue-based safety risk assessment will concentrate on each section
of this process. In addition, an issue-based safety risk assessment will focus on
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Chapter 5: Different forms of safety risk assessment
each situation in which safety hazard interaction and energy exchange occurs.
Practically, for example, a baseline safety risk assessment will check the total
process of the assembling of vehicles. An issue-based risk assessment will look
into every single assembly stage with due attention to every separate work activity
that comprises the interaction and exchange of energies of safety hazards. This
will include the role of an employee or employees during each stage and in work
activities.
Issue-based safety risk assessment focuses on the nature of each activity in depth
with attention to the:
• nature of each activity
• nature of the safety hazards involved, including people
• characteristics of the safety hazards involved
• nature of the safety hazards interaction and energy exchange
• specific involvement of the person or people
• actual safety risks created by the interaction and energy exchange
• the contribution or role of the safety hazard characteristics in generating a
safety risk
• nature of all installed safety control measures and their control effects
• evaluation of the safety risk level or levels in the particular situation and
activity
• controls needed for successful control should existing safety control not meet
the required safety standard or standards.
Issue-based safety risk is the only form of safety risk that delivers an extensive
and detailed overview on the total and specific safety risks associated with work
activities and work situations.
In the case where circumstances change and needs arise, separate safety risk
assessment studies will need to be conducted on specific aspects or sections of a
business operation. These will normally be associated with changes and innovation
in business operations. Additional safety risk assessment will need to be carried
out. This is where an issue-based safety risk assessment fits in. Examples of the
application of this type of issue-based safety risk assessment are when:
• a new machine with new operating procedures is introduced
• a system of work is changed or operations change
• an employee is appointed and needs safety training
• new knowledge comes to light and information is received that may
influence the level of safety risks. An example is when the scientific
knowledge about the toxicity of a substance changes and therefore renders
previous safety risk assessment exercises incomplete, or valid issue-based
safety risks need to be applied to determine the nature and threatening
potential of the safety risks of the innovation.
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Issue-based safety risk assessment represents a need for more intensive and
extensive safety risk assessment. This need flows from the overall general baseline
safety risk assessment. Issue-based safety risk assessment concentrates on specific
needs to gain information on the safety of specific machinery or materials in
specific situations or areas in the business operations. In determining the nature of
safety risk, issue-based safety risk assessment follows the procedure for analysing
the origin of safety risks through the interaction and energy exchange of safety
hazards and the contributions of their characteristics. The issue-based safety risk
assessment can be best performed by informed and experienced people; however,
it depends on the extensiveness of such an activity.
Issue-based safety risk assessment is of particular importance in the case of
performing an incident analysis (also called an accident investigation) after harm or
damage occurred as a result of an accident. The application of issue-based safety risk
assessment will indicate the safety risk levels with regard to each separate situation
in which the interaction and energy exchange of safety hazards occurred.
5.2.3 Continuous safety risk assessment

Continuous safety risk assessment plays an indispensible role in maintaining
safety effectively in the workplace. Safety risk assessment should take place
on a continuous moment-to-moment, or day-to-day, basis as circumstances
require. A continuous focus in risk assessment is an integral part of day-to-day
management activities when the interaction and energy exchange of safety hazards
in a particular situation need to be monitored or audited. The need to know and
verify the current running state of safety risks in any activity or situation in a
business sets the basis for continuous safety risk assessment. Continuous safety
risk assessment keeps the manager or employer in touch with whatever happens
to the current state of safety risks in the immediate and distant environment of
safety hazard interaction. Constant awareness of what is happening in terms of
safety risks provides a platform to put the best management practices in action.
Continuous safety risk assessment is the activity that must involve every employee,
irrespective of position or task. The focus of a continuous safety risk assessment
is to provide information on a consistent basis on possible threats that particular
working conditions pose. Daily vehicle pre-trip inspection reports on the quality of
vehicles serve as a good example of continuous safety risk assessment. Every day,
vehicles are usually driven for work purposes. Knowledge of the current or daily
state of safety risks on vehicle operation is essential to ensure safety. Continuous
safety risk assessment provides information in this respect.
In the process of continuous safety risk assessment, the point of departure is
the safety risk that originates or can originate from hazard interaction and energy
exchange in the workplace. Energy exchange on what is planned and wanted, and
what is unplanned or unwanted, is important.
The focus of the identification and assessment of safety risks is determined
by the need to know as a basis for developing and implementing effective safety
50

control measures to prevent any unwanted outcome of the interaction and energy
exchange of safety hazards in the workplace, whether in the immediate or distant
environment.
Continuous safety risk assessment needs to be applied in every section in
business operations where there is a need to keep in touch with current running
states of safety risks that can change easily and that require immediate action to
maintain and ensure continuous, successful safety risk control.
5.3 Contexts of a safety risk assessment

Every employer has the responsibility to perform suitable and sufficient safety risk
assessment (Stranks 2010:67). Besides these two contexts, a safety risk assessment
focuses on a multidisciplinary context.
5.3.1 Suitable safety risk assessment

The safety risk assessment must be appropriate, proper and relevant to the specific
conditions in a situation in which the hazards are or will be interacting (Stranks
2006:44). In order to meet the requirement of suitability, safety risk assessment
in a business must focus on all the safety risks that could originate from work
and environmental conditions in or close to the workplace. Suitable safety risk
assessment must focus on all the safety risks that originate and could originate
from all the hazards, their energies, their interactive energy exchanges as well as
their characteristics that contribute to safety risks. Safety risk assessment must
most definitely include humans as hazards, the energies that they possess and their
characteristics that contribute to the origin of safety risks in a given situation. This
safety risk assessment must consider human inconsistency and the generation of
add-on safety risks as a result of human inconsistency. Add-on safety risk relates
to inconsistent behaviour that includes what humans do and what humans do not
do, and as a result of that, failing to comply with safety requirements.
Suitable safety risk assessment addresses all the situations in all the
manufacturing, production or service delivery operations of a specific business.
This focus includes all work situations for all employees as well as non-work
situations for clients or visitors. Suitable safety risk assessment must be complete
on all operations in which safety hazards interact and exchange energies in all
areas or sections of a particular business. Safety risk assessment must address all
threats that flow from or out of work activities and business operations.
The essence of a suitable safety risk assessment refers to the responsibility to
address all issues involving safety risks that can be associated with any situation
of safety hazard interaction and energy exchange in a business operation. A safety
risk assessment must suit every situation and activity in order to provide a realistic,
complete overview of the safety risks in the workplace and implied environment.
Suitable safety risk assessment works on meaningfulness, relevance and
applicability of the nature and levels of safety risks in business operations.
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5.3.2 Sufficient safety risk assessment

Sufficient safety risk assessment implies an adequate and complete assessment of
safety risks that are or could be present or originate in all work situations and work
activities. Where suitable safety risks imply an assessment of safety risks that relates
or applies to a specific situation, sufficient safety risk assessment relates to and
implies all assessment of all possible safety risks that could originate in a given
situation and in all work situations in a total business (Stranks 2006:44).
Meeting the requirements of sufficient safety risk assessment, demands that all
possibilities of interaction and energy exchange between safety hazards that could
create or lead to the origin and possible adverse effects of safety risks in given work
and non-work situations in an organisation, need to be considered. The safety risk
in situations that mainly apply to non-employees, such as visitors and clients, must
also be assessed.
Legislation does not spell out or state the contexts of safety risk assessment as
explained above. However, it is essential that this assessment be performed suitably
and sufficiently in order to introduce appropriate control measures to ensure the
safety of all involved in a specific business. Sufficient safety risk assessment ensures
that all aspects of work and business activities are covered.
5.3.3 Multidisciplinary safety risk assessment

In order to successfully achieve the objectives of suitability and sufficiency, safety
risk assessment needs to maintain a wide focus. Multidisciplinary safety risk
assessment maintains a wide focus. This focus must make provision for the input
of various disciplinary fields of scientific study. For example, the threats that a
nuclear power station offer that are analysed in a safety risk assessment must tap
into the field of nuclear science and nuclear engineering. In this context, a safety
risk assessment is forced to use different disciplines to be able to ensure that the
end result meets the requirements of suitability and sufficiency.
The importance and process of using multidisciplinary input in a safety risk
assessment is dealt with in Chapter 6.
5.4 Scope of a safety risk assessment

Safety risk assessment must cover all aspects of the operations of a business where
safety risks are present. Safety risk originates when and where safety hazards interact
and exchange energies. Safety hazards are always present in all situations in life.
This includes all situations in the workplace and the surrounding environment. In
order to meet the requirement of suitability and sufficiency, safety risk assessment
needs to focus on all sections of a business as well as all aspects of each section.
The different sections a business may consist of and that a safety risk assessment
needs to cover are the following:
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5.4.1 Machinery operations

Machinery operations can be seen as any article or equipment (safety hazards) used
with the intention to develop, receive, store, contain, confine, transform, transmit,
transfer or control energy (OHS Act, s 1).
Mechanical operations also apply in the production of articles of different
substances for different purposes. Mechanical operations mainly use mechanical
energy, although noise may be of a particular concern too.
5.4.2 Transportation operations

Different safety hazards in the form of humans, materials, goods, containers and
so on are moved between different points of operation. Transportation through
manual handling, physical mechanical movement, conveyer belts and so on apply
on land, by sea or by air. Transportation operations duly apply kinetic energy that
creates safety risks that should be recognised (Reese 2009:211).
5.4.3 Lifting operations

The lifting of materials, goods and equipment using manual labour, crane opera
tions, lifts in buildings and mines as well as other mechanical operations are
relevant. Gravitational energy is mostly present in lifting operations. Manual
labour where humans are at high risk of back injuries is of importance in lifting
operations that involve human energy.
5.4.4 Chemical operations

A particular concern in modern industry is chemical exposures and contamination.
The safety risk that the processes for the production or the use of chemicals present
in business operations needs to be very carefully assessed (Grimaldi & Simonds
1989:361). Chemical energy is a vital aspect in chemical business operations.
5.4.5 Electrical operations

The provision, installation, use and maintenance of electrical energy produce
safety risks in a wide context of business operations. The identification of the
general safety risks associated with electricity forms an essential part of safety risk
assessment (Goetsch 2010:301). A baseline safety risk assessment on the role of
electrical energy in business operation is important.
5.4.6 Heat operations

Smelting operations with an emphasis on thermal energy are also emphasised in
a baseline safety risk assessment of operations. A baseline safety risk assessment
needs to address the overall safety risk levels presented by the use of and exposure
to thermal energy, such as in furnaces (Goetsch 2010:273).
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5.4.7 Explosive operations

Explosive operations such as mining, construction and road building use explosive
energy that can create high safety risk levels (Goetsch 2010:335). Gravitational
energy or force that is created from the falling of the ground and objects in mining,
excavations and working from heights is of extreme importance in this regard
(Ridley 2008:231). Ventilation with the required volume of fresh air using wind
energy also applies here.
5.4.8 Office situations

Most businesses have some sort of office facility for business operations. A baseline
safety risk assessment addresses the ergonomic design of workstations, the layout
of offices and the role of man–machine–interface in general (Stranks 2010:182).
Different hygiene issues such as illumination (light energy) and ventilation (wind
energy) is of relevance (Ridley 2008:296). General exposure to falls, slips and slides
as well as stress and heat strain is an issue that requires safety risk assessment.
5.4.9 Feeding operations

Most business operations have some feeding operations in the form of a kitchen or
canteen that pose safety risk (Goetsch 2010:243). Particular energies that apply in
this regard are thermal energy, electrical energy, chemical energy, human energy,
mechanical energy, ionising energy, radiation energy and so on.
5.4.10 Building facilities

All the elements relating to the buildings of a business and the safety risks such
facilities create must be assessed in the baseline safety risk assessment. This safety
risk assessment addresses different energies, such as electrical energy, gravitational
energy, and other non-human and human safety hazards during interaction. Special
attention can be given to training facilities, stairs and storage facilities (Grimaldi
& Simonds 1989:287). Determining the security and disaster threats that buildings
pose to the safety of people and assets must be addressed by the safety department
(Grimaldi & Simonds 1989:600). Determining these threats must be part of the
baseline safety risk assessment.
5.4.11 Ablution facilities

The identification of safety risks associated with the ablution facilities of a business
must be part of a baseline safety risk assessment. Special attention should be paid
to the safety risks associated with toilet facilities. Human and chemical energy play
their parts in this form of safety risk assessment.
5.4.12 Environmental elements

Elements of nature in the close or distant environment can produce safety risks
of various threatening levels that can impact business operations. Examples are
54

the sun, floods, wind and earthquakes. Likewise, business operations can impact
elements in the environment, for example, water, air and soil pollution.
5.4.13 Recreational facilities

Some businesses have recreational facilities, such as a gym or a golf course. A baseline
safety risk assessment needs to analyse the extensive safety risks of these facilities.
5.4.14 Childminding operations

A fairly new development by businesses is to provide a childminding facility to
female staff. With reference to the young users of these facilities, a baseline safety
risk assessment is quite relevant.
5.4.15 Product qualities and by-products

Safety risk assessment needs to identify and determine the nature and extent of
safety threats that products offer to the users of the products (Manuele 1993:131).
The initial assessment of safety risks relating to the products of a business needs to
indicate the safety concerns related to the products at an early phase in a baseline
safety risk assessment. Assessing the safety risks regarding business products
also implies assessing the safety risks with reference to production processes and
systems (Blunden & Thirlwell 2013:89).
An important element of the safety risk assessment of business products is the
identification and analysis of the safety and pollution threats that waste produces.
Identifying and analysing business activities on the producing and disposing of
waste as a by-product are of particular concern in safety risk assessment. All forms
of safety risk assessment have to include the assessment of the activities of the
business in producing and handling waste as part of the products that flow from
business operations (Stranks 2010:288).
Delivering services is a true element of business products. The baseline safety
risk assessment needs to focus on the general safety risks service delivery offers
relating to people and goods. Examples include the delivery of transportation
services, hairdressing and the mechanical maintenance of vehicles.
The list given does not exhaust all the sections, facilities and aspects of a
business that have to be included in the baseline safety risk assessment. The purpose
is to provide most of the important sections, facilities and aspects. The sections in
the above list do not apply to all businesses in all industries. The objective is to be
selective as necessary.
5.5 General considerations in a safety risk assessment

It is extremely important to include the availability, design, functioning, and
efficiency of safety controls that exist in each section or aspect of the business
operations in all forms of safety risk assessment (Blunden & Thirlwell 2013:86, 88).
55

The different forms of safety risk assessment determine the depth of the assessment
of the efficiency of safety control measures.
The extent and need to know determines the frequency of the implementation
of safety risk assessment and the application of the different forms of safety
risk assessment (Blunden & Thirlwell 2013:89). However, the sequence of the
assessment of safety risks of a business starts with a baseline safety risk assessment
to get an overview of the standard of safety risks in general. Issue-based safety
risk assessment follows on a baseline safety risk assessment to obtain specific
details about the status of safety risks in specific sections, safety hazard interaction
and energy exchange and activities. Continuous safety risk assessment is applied
in the last instance with the need to know about the state of safety risks on a
continuous basis. Multidisciplinary safety risk assessment must as far as possible be
used whenever the need arises during baseline, issue-based and continuous safety
risk assessment.
All forms of safety risk assessment must consider all legislative requirements
concerning the safety of business operations (Fuller & Vassie 2004:200). The
minimum guideline in this regard is legal compliance under all conditions, coupled
with the need for continual improvement (Stranks 2010:66).
5.6 Conclusion
The explanation in this chapter focused attention on the different forms of safety risk
assessment. The contexts of safety risk assessment as well as the scope that listed
a range of sections and facilities in business operations were also closely analysed.
1. Explain the different forms of safety risk assessment.
2. Describe the context of safety risk assessment.
3. List the different sections in the scope of safety risk assessment.
4. Describe any five sections in the scope of safety risk assessment.
5. Explain the difference between baseline and issue-based safety risk assessment.
6. Compare suitable safety risk assessment and sufficient safety risk assessment.
56

References
Goetsch DL. 2010. The Basics of Occupational Safety. New Jersey: Prentice Hall.
Reese CD. 2009. Occupational Health and Safety Management: A Practical Approach. 2nd ed.
Stranks J. 2006 The Manager’s Guide to Health and Safety at Work. 8th ed. Derby: Kogan Page.
London: Kogan Page.
Legislation
Acts
57

Chapter 6
Role of cross-functional teams in safety
risk assessments
Elriza Esterhuyzen
Learning outcomes
• be conversant with the multidisciplinary approach
• explain the selection of a cross-functional team (CFT)
• discuss the compilation of a CFT
• explain the role of the safety practitioner.
Key terms
Chemical engineering Industrial hygiene
Cross-functional team (CFT) Mechanical engineering
Electrical engineering Mining engineering
Environmental engineering Multidisciplinary approach
Ergonomics Nuclear engineering
Health profession Safety engineering
Industrial engineering Safety practitioner
6.1 Introduction
Safety risk has its origins in the interaction and associated energy exchange of
safety hazards. All substances (things) that are made of matter and are tangible are
safety hazards. All safety hazards have a range of characteristics that contribute to
the generation of a safety risk. The main characteristics that contribute to a safety
risk are the interaction and energy exchange capability of all safety hazards.
The natures of safety hazards are as numerous as the existence of all visible
and non-visible things on earth and in the universe. Many fields of study have
been created to understand and use safety hazards for almost every single need
and purpose. In the process of interacting with safety hazards, people have come
to realise that dealing with safety hazards always involves some threats to well-
being. In the process of using or interacting with safety hazards, many people have
realised that understanding safety risks is a prerequisite to maintaining well-being.
Many people have accepted that they are also safety hazards because they share the
same basic characteristics that all other safety hazards have.

Assessing a safety risk that originates from the interaction and energy exchange
of safety hazards is essential in order to deal with safety hazards successfully.
Chapter 5 dealt with the different forms, context and scope of safety risk assessment.
This chapter intends to discuss the use of the different fields of study when performing
a safety risk assessment.
6.2 A multidisciplinary approach in safety risk assessment

Safety hazards comprise mainly two categories, namely natural and man-made
safety hazards. Different study fields exist that focus on understanding the nature
and interaction processes of safety hazards. These study fields, also called disciplines,
can make meaningful contributions to dealing with safety hazards successfully and
effectively. The input of different disciplines for determining the safety risk in any
situation is called a multidisciplinary (cross-functional team) focus or approach to
safety risk assessment. The complex, multifaceted and diverse challenges on safety
in the workplace require a team approach in finding appropriate solutions (Goetsch
2014:63). This approach also applies to safety risk assessment in the workplace. The
combination and use of the cross-functional teams (CFTs) is to provide as complete
an understanding as possible of the identification and assessment of a safety risk
for specific situations in a particular type of business in a given industry. The
use of CFTs that comprise multidisciplinary experts play a very important role in
this regard (Thompson et al 2005:560). The use of CFTs results in more complete,
acceptable and valid decisions in safety risk assessment.
In order for safety risk assessment to be successful, it needs to be performed by
a team made up of different members who represent various disciplines. Each of
these disciplines views the interaction and energy exchange between safety hazards
from a particular field of study. The team of members with different disciplines
provides a multidisciplinary approach that results in an integrated understanding
of the hazardous nature of safety risks. The final outcome represents a joint team
effort. The team operates on a co-operative, cross-functional basis. The contribution
of a CFT is based on cross-function, collaboration and collective decision making
(Blunden & Thirlwell 2013:302). A CFT can be used to deliver a more complete
product of safety risk assessment (Thompson et al 2005:560).
Achieving the most complete and qualitative safety risk assessment outcome
requires an understanding of the functional input of the different disciplines. The
members of the CFT can represent any discipline and any hierarchical level of
authority (Miller 2006:261). The selection of the members of a CFT relate directly
to the nature and purpose of the safety risks that have to be assessed. The members
of CFTs for a safety risk assessment can be regarded as a group of complementary
professions who address the threats that the interaction and energy exchange pose
to the well-being of employees in a business. Each member of the CFT delivers
input in accordance with the focus of a specific discipline. The CFTs are purpose-
driven and do not function beyond the scope of the challenge that they need to find
a solution for. In spite of a difference in focus, the members of a CFT deliver inputs
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Chapter 6: Role of cross-functional teams in safety risk assessments
that are complementary to the challenge that has to be addressed. In this case, the
challenge is to perform a safety risk assessment.
6.3 Selection of a multidisciplinary team

The safety practitioner has the specific responsibility to select and guide the members
of the CFT to achieve the purposes of a safety risk assessment. The selection of the
members of the CFT greatly differs in accordance with the difference in safety risks
that need to be assessed and evaluated. The selection of the members of a CFT for a
baseline safety risk assessment will differ from a CFT for an issue-based safety risk
assessment. The purpose of the safety risk assessment sets criteria for the selection
of the disciplines that need to be represented in the CFT. For example, the safety risk
assessment of a specific task to develop a training package will differ from the safety
risk assessment of designing a store to hold different types of electrical equipment.
Therefore, different disciplines will be selected for each CFT. The basic differences
between a pre-incident safety risk assessment and a post-incident safety risk
assessment means different criteria are necessary for selecting members of the CFT.
A pre-incident safety risk assessment focuses on what could happen during safety
hazards interaction and energy exchange. A post-incident safety risk assessment
addresses what happened and why it happened in terms of safety risks.
The interactions and energy exchange of safety hazards in a particular situation
in the workplace are numerous, extremely diverse and can vary in complexity. The
interaction and energy exchange of safety hazards in the workplace frequently
present safety risks that are unacceptable for the safety of people, assets, property
and the environment. Performing safety risk assessments in difficult cases requires
the use of CFTs. Successfully performing safety risk assessment in these situations
demands the careful selection of a multidisciplinary CFT with the necessary
expertise. A CFT may comprise any number of multidisciplinary experts. The size
of the CFT is determined by the purpose, diversity and complexity of the safety risk
assessment that has to be performed. A business may follow their own priorities in
selecting a CFT for specific safety risk assessment purposes.
6.4 Members of a cross-functional team

There is no legislation that applies to who must be members of CFTs in general or in
particular. The following list provides examples of potential disciplines and the fields
of expertise that they represent. The list is not complete and only provides examples.
6.4.1 Safety managers and safety practitioners

It is fairly important that a safety manager (safety practitioner) plays a leading
guiding role during a safety risk assessment, because the focus of the assessment
falls within the safety field of study.
In order to meet other members on similar levels of professional authority
and because the outcome needs to be authentic, a safety manager needs to be the
61

chairperson (or presiding member) of a CFT (Goetsch 2014:64). The safety manager
needs to have an appropriate level in the business to report directly to the CEO of
the business.
The safety manager has the responsibility to select the members of the CFT
with specific criteria that the business sets (see Section 6.3). The safety manager in
the particular business needs to decide on the focus and purpose of the safety risk
assessment. The time and venue of a meeting to inform the selected members on
the focus and purpose of the safety risk assessment need to be communicated by the
safety manager. All necessary preparation that will ensure the effective outcome of
the assessment is essential. The chairperson (safety manager) needs to explain why the
different members of the CFT were invited to participate. The chairperson needs to take
the lead and guide the discussions. Ample practical or experimental demonstrations
of the real issues that will be analysed in the safety risk assessment must be presented
in the meeting. Depending on the extensiveness of the safety hazard interaction and
energy exchange as well as the difficulty levels of the assessment, more than one
meeting of the CFT may be necessary. The chairperson must ensure that all the CFT
members deliver meaningful input in the effort. A report has to be prepared on the
final outcome of the risk assessment meeting. The final report must indicate the safety
risk levels the safety hazards present as a result of interaction and energy exchange.
The safety hazard interaction and energy exchange may involve any number of
human and non-human safety hazards. The safety practitioner of the area or specific
operations that are in focus may also attend the meeting. The safety practitioner can
validate the reality and completeness of the focus of the safety risk assessment.
6.4.2 Engineers
Engineering presents a wide range of fields of study. Different engineering fields
are responsible for creating or forming different safety hazards that businesses use
to conduct their business. Engineering is involved in the design of the hardware to
make business processes happen. This also applies to the processes of the assembly
line, for example engineers designed the physical hardware elements of the vehicle
assembly line. Such processes (also called software) include the involvement of
people to ensure that the assembly line runs effectively.
Engineers are responsible for selecting safety hazards that need to interact and
for the nature of the energy exchange that needs to take place during the exchange
with the purpose of meeting business objectives, for example manufacturing
products. Along the way, the interaction and energy exchange may include any
number of single, compound or multiple safety hazards. Engineers design the
circumstances under which the interaction and energy exchange take place. This
applies to all situations in the workplace. The engineering input may not occur at
the workplace itself, but the engineering input lies behind almost all safety hazard
interaction and energy exchange. However, this only applies to man-made safety
hazard interactions and energy exchange. The natural safety hazard interaction
and energy exchange in the majority of cases does not have human input.
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As members of a CFT, engineers can provide important information in safety risk

assessment. Based on their professional background and expertise, engineers can
enhance the understanding of the nature and processes of interaction and energy
exchange of safety hazards in work situations and work activities. Engineers focus
on four main aspects of hazards, which are all interdependent, including design,
construction, operation and maintenance (Grimaldi & Simonds 1989:285). Their
contribution can assist in identifying the threats and safety risks that human and
non-human safety hazards are exposed to in the work situation. An engineering
review during the safety risk assessment can provide significant input on safety
controls that would change and reduce the level of safety risks in the workplace
from an unacceptable level to an acceptable level (Acutt & Hattingh 2013:128). A
very important contribution that engineers make towards safety risk assessment
is the fact that they can identify the source of the origin of safety risk, followed
by addressing solutions that will reduce the safety risk at the source. This is
significant, considering that safety risks originate during the processes of safety
hazard interaction and energy exchange. Safety hazards create threats in the form
of safety risk when they use one or more energies to do work. Engineers are capable
of identifying the threats and safety risks by analysing the energies, because dealing
with different types of energies falls within their different fields of study.
The following list identifies different types of engineers. The different types of
engineers can deliver input in safety risk assessment in different fields of study.
• Mechanical engineer
The mechanical engineer provides input on the safety risk associated with the
mechanical aspects of business operations. The focus is on the design of working
conditions, machinery, equipment and safety control measures. The safety risk
that accompanies the mechanical functioning of machinery, equipment and safety
controls are also assessed. The issue of concern are safety risks that originate
during the processes that convert different forms of energy into motion. Guidelines
to implement new safety controls are part of the safety risk assessment input of the
mechanical engineer. The safety risk assessment of the mechanical engineer is on
the origins and controls of mechanical energies during the mechanical interaction
and exchange of energy of safety hazards. Designing, manufacturing, testing and
transforming mechanical devices are important aspects of mechanical engineering
(Goetsch 2010:63).
• Chemical engineer
The chemical engineer works on assessing the safety risk on the chemical nature
of the types of safety hazards and the chemical processes of energy exchange
during safety hazard interaction. During the process of safety risk assessment,
chemical engineering focuses on safety risks that threaten the safety of human and
non-human safety hazards as a result of exposure to chemical manufacturing or
chemical operating procedures in the workplace (Goetsch 2010:67). This orientation
includes safety risks associated with medicine, which represents an enormous and
wide range of safety hazards.
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• Nuclear engineer
The nuclear engineer focuses on safety risks associated with nuclear energy systems
and radiation energy. These safety risks result from safety hazard interaction and
energy exchange processes in various types of industries (Goetsch 2010:63). The
attention of nuclear engineers is directed to ensure that human and non-human
safety hazards are exposed to nuclear energy within the framework of acceptable
tolerable safety risks.
• Electrical engineer
The electrical engineer addresses the safety risks involved with electrical power and
processes of energy exchange during safety hazard interaction. Different types of
electrical power, such as from electrical circuits, electronics and so on, and their
uses are analysed when safety risk assessment is conducted (Goetsch 2014:73).
• Mining engineer
The mining engineer focuses on the safety risk assessment of all aspects of mining.
One of the main points of focus of safety risk assessment for a mining engineer
includes guidelines for implementing safety controls on shaft sinking, drilling,
ventilation, hoisting, excavation, and the fall of ground. This applies to both
underground and opencast mining.
• Industrial engineer
The contribution to safety risk assessment of the industrial engineer comprises
input on different aspects, such as the design, implementation and operation, of
integrated systems (Goetsch 2014:73). The focus of risk assessment for an industrial
engineer includes people, equipment and production processes of energy exchange
during safety hazard interaction.
• Environmental engineer
The environmental engineer addresses the safety and health risk that concerns
the health of people and the well-being of the environment. Issues of concern
for a safety risk assessment of an environmental engineer are environmental
biology and chemistry, waste management, as well as air, soil and water pollution
(Goetsch 2010:66–67).
• Safety engineer
The safety engineer is a person with postgraduate qualifications in safety management
and who focuses on dealing with safety system challenges in the workplace (Goetsch
2014:75). The responsibility of a safety engineer is to ensure that the safety programme
of a business complies with legal safety requirements, and applicable operating
principles and practices. During the process of a safety risk assessment, the safety
engineer uses different advanced safety risk assessment analytic tools to determine
the levels of safety risks in different situations in the workplace. The identification
and analysis of safety risks addresses the origins of safety, the severity of effects, the
exposure and the likelihood of the occurrence of unwanted interactions and energy
exchanges of safety hazards in the working environment. All these aspects relate
64

to engineering designs, systems functioning, legal requirements, and understanding

human behaviour (Mroszczyk 2012:163–164). The results of the application of safety
engineering provide direction to the implementation of applicable safety controls
(Goetsch 2014:76). Various safety risk assessment analytic tools can be used to
perform a safety risk analysis (Reason 2005:225).
6.4.3 Health professional

The occupational health physician or doctor and the occupational health nurse
focus on the assessment of safety risks that could or do have an impact on the
health and well-being of employees or employers in a business. Aspects among
a wide range of medical risk analyses, such as biological monitoring and medical
surveillance, play a role in this regard (Goetsch 2014:78). Threats to the health
and safety of employees are analysed within the framework of the interaction and
energy exchange of safety hazards (Smit & Esterhuyzen 2014:127).
6.4.4 Industrial hygienist

In safety risk assessment, the industrial hygienist assesses the threats basic working
conditions pose to the safety and health of employees (Goetsch 2014:77). Issues
of concern are illumination, ventilation, dust, noise, vibration, stress, heights,
confinement, radiation, vapours, manual labour and so on. The main focus of an
industrial hygienist is on the effects of safety risks that originate during energy
exchange activities when safety hazards interact.
6.4.5 Ergonomist
The ergonomist is skilled in identifying, analysing and assessing safety risks
that relate to the man–machine–interface. The design of workstations and the
integration of employees and working conditions serve as the main focus of a
safety risk assessment (Goetsch 2014:84). Addressing safety hazard interaction and
energy exchange serves as the centre of attention in the risk assessment process.
6.4.6 Human resources specialist

The human resources specialist focuses on all aspects of human nature and
human behaviour. Human inconsistency is an issue of particular concern as far
as the interaction and energy exchange of human and non-human safety hazards
apply. Issues such as safety culture, latent conditions and active failures related
to human error probabilities are also of particular importance (Reason 2005:233;
Reason 2007:222).
6.4.7 Health and safety representative

The health and safety representative who is directly related to and responsible for
the safety of the employees and property involved in the object being scrutinised
in a safety risk assessment must be part of the relevant CFT.
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Contributions of the health and safety representative on safety risk assessment

relate to the safety of humans, products, services, processes, layouts, job design and
work organisation. Safety on product and service stewardship and work processes
is of particular significance during safety risk assessment (Brown 2012:623–624;
Mansdorf 2012:833–834; Mroszczyk 2012:163). The interaction and energy exchange
of safety hazards form the main focus of the health and safety representative during
the total process of a safety risk assessment (Smit & Esterhuyzen 2014:45).
6.4.8 Members of staff

Different members of the staff of an organisation can participate in the process of
safety risk assessment. Their contributions relate directly to their assigned work
responsibilities. Examples of staff and their associated fields of contributions are:
• the employee or employees involved in performing the activities being
scrutinised during the safety risk assessment
• the health and safety representative of the specific area who is familiar with
the issues being assessed
• the supervisor who is responsible for overseeing the production and
performance activities of operations
• any other member of staff who can make a significant contribution to the
safety risk assessment based on specific relevant knowledge and experience.
All members of staff focus on the interaction and energy exchange of different
human and non-human safety hazards during a safety risk assessment.
6.4.9 Colleagues or peers (benchmarking)

Participants from other businesses or institutions can make unique contributions
to safety risk assessment through the process of benchmarking. These inputs can
apply based on their specific knowledge, experience and relevant proven success.
6.5 Conclusion
The explanation in the chapter reiterated the contribution of CFTs to effective safety
risk assessment. It is quite clear that the compilation of the CFT greatly depends
on the focus and purpose of safety risk assessment. For the purpose of safety risk
assessment, the CFT concentrates on the origins of, effects of and possible control
measures for safety risks in different situations and activities in the workplace.
Although each member of the CFT focuses from the context of a specific field
of study, the main attention is on the interaction and energy exchange of safety
hazards in the workplace.
66

1. Explain the nature of a cross-functional team (CFT) for safety risk assessment.
2. Describe the selection of members for a CFT for safety risk assessment.
3. List the possible members of a CFT for safety risk assessment.
4. Explain the input of the engineering fields of study in a CFT for safety risk
assessment.
5. Discuss the multidisciplinary approach to safety risk assessment.
References
Acutt J & Hattingh S. 2013. Occupational Health: Management and Practice for Health
Practitioners. 4th ed. Claremont: Juta.
Brown CA. 2012. Best practices. In JM Haight (ed). The Safety Professional’s Handbook: Tech
nical Applications. 2nd ed. Park Ridge: American Society of Safety Engineers. 619–656.
Goetsch DL. 2010. The Basics of Occupational Safety: A Guide for Safety Management. New
Jersey: Prentice Hall.
Goetsch DL. 2014. Occupational Safety and Health for Technologists, Engineers, and Managers.
7th ed. Harlow: Pearson.
Mansdorf SZ. 2012. Best practices. In JM Haight (ed). The Safety Professional’s Handbook: Tech
nical Applications. 2nd ed. Park Ridge: American Society of Safety Engineers. 827–836.
Miller K. 2006. Values, attitudes and job satisfaction. In Robbins SP, Odendaal A and Roodt
G. (eds). Organisational Behaviour: Global and African Perspectives. 6th ed. Cape Town:
Pearson Education.
Mroszczyk J. 2012. Basic safety engineering. In JM Haight (ed). The Safety Professional’s
Handbook: Technical Applications. 2nd ed. Park Ridge: American Society of Safety
Engineers. 163–204.
Reason J. 2005. Managing the Risk of Organisational Accidents. Burlington: Ashgate.
Reason J. 2007. Human Error. Cambridge: University Press.
Thompson AA, Strickland III AJ & Gamble JE. 2005. Crafting and Executing Strategy: A
Quest for Competitive Advantage – Concepts and Cases. Boston: McGraw-Hill/Irwin.
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Chapter 7
Evaluating safety risks
Sarel Smit
Learning outcomes
• explain the concept of evaluating safety risks
• discuss evaluating safety risks
• rank safety risk levels
• identify safety control measures
• explain the hierarchy of controls
• identify appropriate safety control measures
• assign responsibilities to implement safety control measures.
Key terms
Administrative guidelines Personal protective equipment (PPE)
Consequence Ranking safety risks
Evaluating safety risks Safety behaviour
Hierarchy of controls Safety control measure
Likelihood
7.1 Introduction
This chapter is about determining the potential of the effects of safety risks, in
particular situations in the working environment. Providing guidelines to effectively
control safety risks in working conditions and work activities forms part of evaluating
the outcome of safety risk assessment. This chapter explains these issues.
7.2 Evaluating safety risks

The outcome of safety risk assessment needs to be evaluated to determine the
significance of safety risks in any specific situation, whether in the workplace
or not (Fuller & Vassie 2004:8). The significant level of safety risk refers to any
position between no harm or damage to intense harm and damage.
In order to determine the significance of safety risk in any situation in the
workplace, it is necessary to evaluate the threatening potential of the safety risk in
a situation. The assessment of the safety risk indicates whether the safety risk exists
in a particular situation. Evaluating a safety risk indicates the potential effects of it.

Evaluation adds a value to the outcome of an assessment. For example, assessing

the height of a person implies determining the distance from the ground level to the
top of a person’s head. The result does not represent any value; only a measurement.
Evaluating height implies adding a value to this measurement. Would the person
be taller, equal to or shorter than the height of the average person? The moment
a value is added, the outcome or result of the measurement is evaluated. Making
judgements about the quality and value of the result of an assessment represents
the process of evaluation (Killen 2000:24). The assessment of the safety risk needs
to end in evaluating the safety risk in order to determine the quality and value of
the effects of it.
Definition
Safety risk evaluation assesses the values or quality of the safety risks with
regard to the potential hazardousness of their effects in situations in the working
environment.
Evaluating safety risk gives an indication of the possible or potential consequences

or effects of the safety risk that could occur as a result of the interaction and energy
exchange of safety hazards in a specific situation in the workplace.
As explained before, substances (things) are made of matter. Things made of
matter are contactable or tangible. These things can cause harm to people and damage
to property or the environment as a result of their capability to make contact with
other things. As a result of their potential to cause adverse effects, all substances are
safety hazards. One specific characteristic of safety hazards is that they are inclined to
interact with other safety hazards. When safety hazards interact, they make contact
with one another. Safety hazards can simultaneously make contact and interact with
more than one safety hazard. For example, when moving on the road, the wheel of a
vehicle makes contact and interacts with the surface of the road.
When safety hazards make contact and interact, they exchange energy. All safety
hazards pose some kind of energy or configuration of potential energies. During
the process of interaction, safety hazards interchange energies. For example, when
boiling eggs in water, the stove or heat source (safety hazard) transfers heat (thermal
energy) to the container. The container transfers heat to the water and the water
transfers heat to the eggs and the eggs are boiled. The container, water and eggs
transfer gravitational energy (force) to the water, the container and heat source.
If the heat is too high, the water may bubble extensively as a result of the
extensive heat. The extensive bubbling of the water may cause the eggs to bounce
uncontrollably, which could lead to adverse effects such as the cracking of the eggs.
The effects or consequences of the interaction and energy exchange of
safety hazards could vary from none to most devastating depending on the basic
competence of the people or threshold limits of the substances involved in the
situation. Safety risk evaluation forms an integral part of safety risk assessment.
No safety risk assessment is complete without performing safety risk evaluation.
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Chapter 7: Evaluating safety risks
7.3 Importance of evaluating safety risks

Where safety risk assessment shows that there is safety risk in a work situation, safety
risk evaluation will indicate the need or urgency for developing and implementing
appropriate safety control measures in order to prevent any adverse consequences
in this situation. Safety risk evaluation makes a decision about the need for control
measures by means of comparison. This comparison is based on knowledge and
experience on theory and previous occurrences. Safety risk evaluation indicates the
hazardousness of the consequences should the safety risk in a particular situation
not be controlled.
Safety risk evaluation provides a basis for selecting, developing and implementing
safety risk control measures that will successfully deal with the level or levels of safety
risks in a particular situation in the workplace. The nature and purpose of the safety
control measures must fully relate to and be based on the hazardous values of a safety
risk evaluation. Safety risk evaluation adds to the results of a safety risk assessment
and accentuates where an organisation must focus its efforts to prevent loss as a
result of unacceptable safety risk. Placing a value on the hazardousness of a safety
risk forms a valid basis for decision-making in safety risk control through safety risk
management. Safety risk evaluation sets clear guidelines for complying with legal
safety requirements and regulations that apply to different types of businesses.
7.4 Process of evaluating safety risks

Stranks (2010:73) and Blunden & Thirlwell (2013:98) specify aspects to determine
the extent of the safety risk. The aspects that apply are:
• the likelihood of occurrence of an incident
• the potential severity of the safety risk, which includes the number of people
exposed and the duration of the exposure to the safety risk.
Each of these aspects plays a specific contributory part in assessing and evaluating
a safety risk in a particular situation in the workplace. The different aspects require
different considerations of the control measures to prevent loss that relates to each
different aspect.
7.4.1 Likelihood of occurrence
Definition
Likelihood is a qualitative measure of the frequency of occurrence of harm or
damage (Fuller & Vassie 2004:267; Blunden & Thirlwell 2013:97).
The focus is on the frequency of the unwanted and unsafe interaction and energy
exchange between safety hazards. These frequencies can be rated with values allocated
to frequencies. Higher numbers are allocated to higher frequencies of occurrences.
The following table suggests a rating scale for the likelihood of occurrence.
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Table 7.1: Rating of likelihood of occurrences
Rating Likelihood Description
5 Almost Happens often

certain
4 Likely Could easily happen
3 Possible Could happen

Has happened here or somewhere else
2 Unlikely Has not happened yet, but it could
1 Rare Conceivable, but only in very extreme cases
This table scores a numerical value for the possible likelihood of occurrence and has a
basic description of what each value means (Blunden & Thirlwell 2013:98). Different
types of systems and tables are used to measure the likelihood of occurrence of unwanted
energy exchanges of safety hazards that create safety risks (Manuele 1993:205). Based
on the fact that safety hazards interact and exchange energies that generate safety
risks, there are always safety risks in all situations in the workplace. Therefore, there is
no zero value for the likelihood of occurrence. Evaluating the likelihood of occurrence
is based on a comparison of frequency to which a numerical value is allocated.
7.4.2 Potential severity

Each occurrence of loss, which implies harm to people or damage to property or the
environment, has different consequences. These consequences can range from the
worst-case outcome to virtually nothing. As harm, it may result in a minor injury,
impairment, a fatality or no injury or fatality. As damage, it could range from
total destruction to minor damage or no damage. The potential severity of loss is
valued and rated on the same basis as that of likelihood. These values may differ to
organisational values. The following table provides an effort to rate the potential
safety risk in certain categories of severity (Stranks 2010:110).
Table 7.2: Rating of severity of loss that results from occurrences
Rating Harm Damage to business or the environment
5 Fatality Catastrophic
4 Major injury Major
3 Major trauma Moderate
2b Lost-time injury A day from work
2a Minor injury Minor
1 Near-miss incident Insignificant
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The potential severity of the safety risk applies irrespective of how many people are
involved. The number of people only aggravates the extent of the loss, but not the
severity. The meaning of the rating for harm to people could be specified in more
precise detail. For example, a lost-time injury could refer to an injury that results in
losing one work shift by the person or people involved. A near miss may imply an
occurrence that happened but resulted in no significant loss. A major trauma may
refer to the adverse results relating to mental, psychological or emotional stress
that a person may suffer. A major injury may represent structural harm to the body
or biological functioning of the person.
More specific detail on the rating of damage to property or the environment
may be qualified by the business. These values may be based on or coupled with the
cost of the damage (Blunden & Thirlwell 2013:220; Reese 2009:104). Each business
may have its own bases for rating the nature of the severity of loss. Whatever
the basis of decision, evaluating the level of severity is rated by comparing the
hazardousness of consequences to which a numerical value is allocated.
The number of people who are exposed to a safety risk in a situation does not
really affect the decision about the consequences of severity. The severity implies
that the consequences are the same, irrespective of how many people suffer as
a result of the exposure. However, when costs of consequences serve as a rating
value, it would imply that that the potential of severity will be rated higher as
a result of the exposure of more people to safety risk. The duration of exposure
affects the potential severity of safety risk. However, the potential severity as a
result of the duration of exposure can more effectively be handled by controlling
the duration and frequency of exposure to the safety risk.
7.4.3 Ranking the safety risk levels in a situation

Safety risk assessment becomes significant when the safety risk levels in a particular
situation are ranked. For this purpose, a safety risk ranking matrix is used (Ridley
2008:47). The matrix provides the opportunity to relate likelihood and severity
with one another in order to determine the safety risk level of each occurrence that
can happen in a situation. Linking the co-ordinates of consequence and likelihood
ranks the safety risk level or levels of the unwanted and ineffective interaction and
energy exchange of safety hazards in a particular situation in the workplace. This
ranking gives us a thorough understanding about the potential threatening effects
or consequences of the safety risks in working situations.
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Table 7.3: Matrix for determining and ranking safety risk levels
Consequences
Harm
5 Fatality
4 Major injury
3 Major trauma
2b Lost-time injury
2a Minor injury
1 Near-miss
incident
Damage
5 Catastrophic
4 Major
3 Moderate
2 Minor
1 Insignificant
Rare Unlikely Possible Likely Almost certain
1 2 3 4 5
Likelihood
The matrix provides the opportunity to plot the consequences and likelihood of
the occurrence (Fuller & Vassie 2004:268). The plotting indicates where the co-
ordinates meet (Goetsch 2010:222–223). The spot where the co-ordinates meet
indicates the level of safety risk associated with the particular interaction and
exchange of energies during hazard interaction. Different businesses may use
different matrices to rank the safety risk levels in situations in the workplace. See
Stranks (2010:110) for information on the different matrices.
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Example
Applying the matrix
The disintegration of the disc of an electric angle grinder could be hazardous. What
level of safety risk would the explosive energy cause? To determine the safety risk
level of this occurrence, the following steps apply:
1. Determine the worst-case scenario of the effects of the exploding grinder disc.
This effect would be a fatality, rated as 5.
2. On the likelihood–scale, this occurrence can be regarded as likely, rated a 4.
3. Link or plot the two values of the co-ordinates (consequences and likelihood) on
the table.
4. Multiply the two values 5 × 4 = 20.
5. The highest ranking that can be achieved is 5 × 5 = 25.
6. The occurrence of the explosion of the grinder disc deserves concern because it
is rated relatively high ( 20
25
× 100 = 80%).
7. Both of these safety risk values require an urgent plan and urgent action to
prevent the discs from disintegrating.
In order to ensure that the ranking of safety risk through the plotting of co-ordinates
is addressed objectively, it is advisable to have the ranking performed by a team of
people who can give acceptable and valued input. It is quite evident that the final
rating of an incident would differ from business to business. A business may use
any values, terms and descriptions of terms, which will result in a different ranking
of possible incidents.
7.4.4 Evaluating safety risk levels and corrective action

Based on the minimum and maximum possible values that can be calculated owing
to co-ordinates meeting at 1 × 1 = 1 and 5 × 5 = 25 in both sub-matrices, a value
chain can be developed to give a qualitative meaning to the outcome. According to
Fuller & Vassie (2004:268), the following table serves as an example:
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Table 7.4: Evaluating the safety risk level and determining mitigating action
Safety risk ranking score
Evaluation with action plan
Value Meaning
1–4 Acceptable No further action is required.
Continue to manage the organisational safety risk through
5–9 Tolerable good practices and review it.
A detailed action plan is required to reduce the level of safety
10–19 High risk to the level of residual risk.
Urgent action is required to avoid a potentially major disaster
20–25 Very high for the organisation.
The final evaluation score is determined by calculating the product of the position
where the horizontal and vertical co-ordinates meet. The values range from
1 × 1 = 1 to 5 × 5 = 25. The matrix also indicates the levels of risk assessment
and risk evaluation where safety control measures become necessary. Once again,
it needs to be accepted that businesses may use their own values and definitions.
These values and definitions will inevitably change the final values as well as the
decisions to act upon the outcome of the evaluation of safety risk levels.
7.5 Focus of safety risk management

The process of safety risk assessment includes evaluating the levels of safety risks
and identifying the origins of safety risks. These safety risks originate during
the unwanted and unplanned exchange of energies when safety hazards interact.
According to Blunden & Thirlwell (2013:231), the assessment of safety risks
focuses on:
• the likelihood that unwanted and unplanned exchange of energies could
occur, and
• the potential severity of impact of the harmful or damaging effects that may
result from this ineffective energy exchange.
A safety risk assessment must result in recommendations on how to manage the safety
risk levels of working conditions and the performance of tasks in the workplace.
These recommendations directly relate to the levels of safety risks that apply to each
situation in which the unacceptable levels of safety risks apply. According to Ridley
(2008:47), the recommendations to mitigate safety risks must focus on:
• the prevention of the likelihood of occurrence of unwanted energy
exchange
• the limiting of the severity of the impact of the effects of this unwanted
safety hazard interaction.
Without recommending appropriate actions to ensure that the safety risk levels
in all situations and tasks in the workplace are acceptable, safety risk assessment
would be incomplete.
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7.6 Responsibility for managing safety risks
Definition
Safety risk management represents using management policies, practices and
work processes in order to identify, assess, evaluate, treat and monitor safety risks
(Fuller & Vassie 2004:7).
The responsibility for managing safety risks lies in the hands of every line manager
(employer) who has been entrusted with authority to manage a section in a business.
This manager has the power to enforce legal safety regulations and safety rules of
the business to ensure safe working conditions and safety task performance.
The safety practitioner of a business or section in a business has no line authority
to control or enforce safety practices in the business. The safety practitioner
performs a staff function and is, therefore, always only engaged in safety risk
management in an advisory capacity (Mintzberg 1979:2; Stranks 2010:119). The
manager may use any one or all members of a cross-functional multidisciplinary
team to provide assistance in managing safety risks effectively (Glendon et al
2006:278). (See Chapter 6 for information on the role of cross-functional teams in
safety risk assessment.)
Supervisory managers must develop and implement safety control measures
that will ensure that the safety risk levels in the working conditions and tasks in all
sections of the business consistently remain at an acceptable level. The criteria for
developing and implementing safety control measures need to fall under a specific
hierarchy (Fuller & Vassie 2004:301–302).
7.7 Hierarchy for developing and implementing safety controls

Safety control measures play an indispensable role in safety and health in the
workplace. These control measures need to be introduced to mitigate the safety
risks associated with the interaction of hazards and the exchange of energy.
These requirements apply whether the interaction is planned to fulfil a purpose,
or unplanned and unwanted. Safety control measures need to be introduced
purposefully and systematically. Introducing and implementing safety control
measures need to be carefully planned. A haphazard approach will unfortunately
lead to ineffective reduction or mitigation of safety risks (Stranks 2010:113).
Safety control measures need to be introduced in a hierarchical order of preference.
This preference is based on the effectiveness of the particular control measures
in mitigating safety risks to an acceptable level. It is important to take note of
the hierarchical order of preference on introducing, implementing and sustaining
safety controls in the workplace. All these efforts focus on preventing the likelihood
and limitation of the severity of the impact. According to Blunden & Thirlwell
(2013:102), four types of safety controls can be identified, namely:
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1. directive safety controls that provide direction on the way forward, for
example safety policy
2. preventative safety controls that prevent the likelihood of occurrence
of unwanted or unplanned energy exchange between safety hazards, for
example machine guards
3. detective safety controls that provide information on the causes of the
occurrence of the unwanted or unplanned interaction of safety hazards, for
example warning sensors
4. corrective safety controls that specify action to correct the energy exchange
between safety hazards that went wrong, for example retraining.
The hierarchical preferences of safety controls apply fully when considering and
implementing all safety controls. The application of hierarchical criteria implies
the following:
7.7.1 Eliminate safety hazards

Based on the fact that safety risks originate when safety hazards interact, the most
important criterion to mitigate safety risks in the workplace is to eliminate safety
hazards. No safety hazard means that there is no exposure to a safety risk (Fuller &
Vassie 2004:301). Eliminating a safety hazard from a work situation is the golden
rule for preventing any incident, because there exists no possibility of likelihood
and no severity of harm or damage. Eliminating a safety hazard does not imply
terminating it. It refers to removing a hazard or hazards from a situation where
no harm or damage can flow from their presence and their interaction with other
hazards. Haddon listed the first safety guideline as preventing any safety risk
from being created (Germain et al 2011:313). The only way to do so is to prevent
a particular hazard or hazards being present in a specific situation. Therefore,
eliminating or removing a hazard or hazards or not including a hazard or hazards
in a particular situation is the only answer to completely prevent the origination of
a safety risk in a situation. Remember, hazards are tangible substances, and almost
all hazards can be eliminated from any situation in the workplace.
7.7.2 Substitute safety hazards

To substitute a safety hazard implies to replace a hazard or tangible substance with
another hazard or other hazards (or a substance or substances) in a specific situation
in the workplace. This is the second most important criterion for mitigating a safety
risk. The new safety hazard introduces a new safety risk into a specific situation,
but the presence and interaction of the new hazard or hazards with other hazards
in the same situation must present a lower level of safety risk or risks than the first
or previous hazard or hazards (Fuller & Vassie 2004:301).
Substituting hazards may also imply substituting a hazard with one that offers
a similar level of safety risk, but one that is easier to deal with when performing a
task. The determining criterion for replacing or substituting a hazard or hazards is
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to what extent the safety risk it poses exceeds the competence and threshold limits
of the people and other substances involved.
Substituting safety hazards with safety hazards that are less hazardous is an
effective practice to reduce the severity effects of unwanted or unplanned safety
hazard interaction (Stranks 2010:101).
7.7.3 Design for safety

Designing for safety is associated with two clear interdependent aspects, namely
designing of hardware and designing of work processes:
1. Designing of safe hardware: The engineer is responsible for designing for
safety. Safety can be designed into machines or equipment (Fuller & Vassie
2004:303). Designs should be judged on their ability to enhance safety and
ensure acceptable levels of safety risks are generated during the interaction
and energy exchange of safety hazards involved in working conditions and
tasks. The efficiency of hardware designs must be validated upon functioning
or performance and the contribution of their characteristics towards the
generation of safety risks (Smit & Esterhuyzen 2014:145). Many design
elements feature as safety devices. Machine guarding forms an important
part of such control measures. Guards are used to prevent people from
interacting with hazards (such as a rotating pulley). Guards protect people
from coming into contact with energies that pose unacceptable levels of
safety risks. People can make contact with guards without being in contact
with hazardous energies. Guards do not eliminate safety, because they only
limit access to safety hazards that produce safety risks of unacceptable levels
(Stranks 2010:113). Guards only reduce the levels of safety risks. The high
levels of safety risks still exist, but access to such energy or energies is not
possible under normal circumstances.
2. Designing of safe work processes or systems: The designing of work
processes is a great concern. It is the responsibility of the engineer who designs
the machine or equipment to design a safe work process or procedure that will
ensure the safety of the user of the instrument at all times. An engineer is often
required to design a work process without having the applicable experience
of performing this task or interacting with a particular machine or equipment
(safety hazards). Often these designs do not meet the safety requirements
because the engineers responsible for the design are not completely familiar
with the task and the critical safety steps involved in the task. It is of vital
importance that the work processes that are designed and interact with
hardware ensure that the levels of safety risks remain consistently acceptable.
The purpose of designing safe systems of work is to ensure that work is
performed on a standardised basis that prevents employees from performing
tasks in isolation or according to their own preference (Blunden & Thirlwell
2013:88). Systems that apply good engineering design reduce the safety risk
level in a situation to an acceptable level (Fuller & Vassie 2004:113).
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7.7.4 Separate or enclose safety hazards

Although safety hazards may be present in a particular situation, they may be
prevented from interacting with one another. The result is that they cannot create
safety risks. Separation may imply geographical or spatial separation. In this case,
the safety hazards are situated so far apart that they cannot interact with one another.
Engineering designs that result in the enclosure of safety hazards eliminate the
possibility of safety hazard interaction (Fuller & Vassie 2004:301). These safety hazards
are separated in terms of their interaction, which prevents the likelihood of unwanted
safety hazard interaction and the possibility of adverse impact. Safety hazards may
also be separated through confinement. In that case, the hazards and their energies are
kept apart by means of enclosure. Enclosure, which implies denying access, prevents
the exchange of hazard energies because they cannot interact (Stranks 2010:113).
Hazards may also be separated in terms of time. This means that the energy of a
safety hazard is released after the energy of another hazard has been released and
has terminated its existence. The release of the energy of the second hazard or more
hazards cannot result in energy exchange, because the energy is already non-existent.
However, the situation may also exist in which the energy of the first hazard
has already reached such a low level of concentration that its interaction with other
energies will not lead to the creation of significant levels of safety risks.
The separation of hazards in time and space limits hazard interaction or reduces
the effects of hazard interaction and energy exchange.
7.7.5 Administrative safety control measures
Definition
Administrative control measures refer to controls that are administratively
enforced. Examples of these are the wearing of gloves when any form of hammering
is part of a task. These are intangible rules that are administered by observing
employee behaviour. Some form of punitive action should be taken against the
employee, should non-compliance to the rules be observed. Employees should be
given recognition for consistent compliance.
Administrative safety control measures include:

• Administrative safety controls
Administrative controls are often initiated by preparing and developing safe working
procedures that apply when performing a specific task. Fitting tasks effectively to
employee capabilities is an important element of process design (Glendon et al
2006:136). A good example of one of the procedures that can be used is the lock-
out tag-out procedure. The lock-out tag-out procedure applies whenever work is
performed on energy or energies and interaction produces unacceptable safety risk
levels. For example, this procedure applies when an employer (electrician) works
with a source that provides electrical energy. In this case, the electrician needs to
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switch off the power, lock the unit in which the supply unit is contained and set
a tag on the unit that contains the supply unit indicating that they are operating
on the power supply. Interaction or contact with this energy or these energies
exceeds the physical threshold limit of the employee, which will definitively result
in serious harm, like impairment or death. High safety risk energy or energies need
to be locked out or rendered dead, and need to remain in this state for as long as
the work related to such energies is in progress. To ensure that nobody tampers
with the lock-out tag-out procedure, the lock-out needs to be tagged to indicate
that work related to the energies is in progress. Written procedures play important
roles in this regard (Stranks 2010:114).
• Training
It is imperative that the employee or employees who are responsible for performing
the task as well as the individuals who are knowledgeable about all aspects of the
task be involved on an integrated basis to ensure that the designing of safe work
procedures related to critical tasks meets the safety requirements set. They should do
this by performing the task as completely as possible. The world’s best practice sets
the basic guidelines that need to be followed in all instances. Effective appropriate
training in working methods and applicable precautionary procedures ensures
employee competence to deal with safety risks in the workplace (Ridley 2008:45).
• Safety signs, safety colouring and safety signals
Administrative control measures also include issues such as safety signs, safety
colouring and safety signals (Stranks 2010:114). Adhering to these control
measures is directly related to understanding the nature, meaning and purpose of
these control measures. Employees need to adhere to these control measures on
a voluntary basis, because of their concern for the safety of themselves and their
caring for their colleagues. These safety control measures are administrative in
nature. Employees only adhere to these safety control measures to the extent that
they deem them necessary and meaningful.
• Supervision
Leadership and monitoring by means of supervision forms an important part of
introducing and maintaining safety control measures in the workplace (Stranks
2010:114). Managing safety risks according to the safety goals and objectives
that flow from the business safety policy forms the basis of supervision (Manuele
1993:252). These business goals and objectives need to be clearly specified
(Reese 2009:360).
7.7.6 Personal guarding by using personal protective equipment

People can be guarded from the effects of hazard interaction and energy exchange.
Using protective equipment is a common practice to safeguard people against the
exposure of unacceptable levels of safety risks. Guarding people from the effects
of energy exchange between hazards prevents them from being harmed (Fuller
& Vassie 2004:302). The purpose of using personal protective equipment (PPE) is
81

to ensure that no part of the person’s body that can be adversely affected by the
interaction with one or more hazards and the associated exchange of energies is
contactable by any of these energies (Stranks 2010:114).
The PPE can protect parts of the person’s body or the complete body, from head to
toe. The emphasis on wearing PPE is to:
• choose PPE wisely
• train people on all elements of PPE
• issue PPE purposefully
• use PPE consistently
• use PPE correctly
• maintain PPE effectively
• replace depleted PPE as required.
It is important to realise that PPE is the last resort. It should only be introduced
once all other control measures do not meet basic safety requirements.
7.7.7 Safe behaviour

The last criterion in developing safety control measures is ensuring that employees
consistently behave safely when performing a task. People can decide to choose
to behave safely and act accordingly. Changing employee behaviour to meet the
challenges of critical safe behaviour is crucial for ensuring employee safety in the
workplace at all times (Geller 1996:100). Based on the fact that people are sometimes
inclined to be inconsistent about their values, decisions, choices and behaviour, it is
very important to introduce different administrative control measures to enhance the
safe behaviour of employees at all times. Elements such as training at various stages,
supervision, planned task observation, performance appraisal, visible felt leadership
and behaviour-based care are different safety control measures that can be introduced
and implemented to enhance the quality of safety and health in the workplace.
7.7.8 An integrated holistic safety approach

The only and best way to ensure that appropriate and effective safety control
measures are developed and implemented in the workplace is to follow an integrated
and holistic approach. This approach requires that management completely and
diligently assist employees in living safely as a value, in caring for the safety
of themselves and of colleagues, and to prefer safety to potential loss of any or
all kinds. Any one of these safety control measures may be used in combination
with any one or all of the other safety controls. Developing an organisational
safety culture that is characterised by a motivational safety climate is essential to
achieving employee adherence to safety control measures that attempt to ensure
sustained safety and health in the workplace. Developing and maintaining a caring
business, safety culture must be the overall objective of managing safety risks.
Fitting tasks effectively to employees’ capabilities is an important element of
process design (Glendon et al 2006:371; Geller 1996:232). Achieving this objective
82

will ensure that management meets the challenge to make these safety control
measures work at all times. Developing a safety culture that demonstrates the
effective application of safety control measures to prevent organisational factors
that create loss is essential to sustain safety and to enhance the achievement of
organisational objectives related to production and service delivery.
7.8 Conclusion
It is quite clear from the explanation of the evaluation of safety risks in a business
that very careful consideration and planning is required. The same applies to
making recommendations to manage safety risks by developing and implementing
appropriate safety risk control measures. Whatever the approach, it must be
remembered that evaluating safety risks and the application of safety risk controls
needs to comply with regulatory requirements. Notice has to be taken of different
acts that are relevant to managing safety risks in different industries, for example
the Occupational Health and Safety Act 85 of 1993 as amended, and the Mine
Health and Safety Act 29 of 1996 as amended.
1. Explain the difference between assessment and evaluation in safety risk
assessment.
2. Motivate the importance of safety risk assessment in a business.
3. Differentiate between likelihood and severity in safety risk assessment.
4. Explain how you will rank the safety risk in a specific situation in the workplace.
Refer to applicable tables, including the matrix.
5. State who is responsible for managing safety risks in a business.
6. Complete the following table on implementing the hierarchy of safety risk
controls.
Step No. Title Basic focus
1. Eliminate the safety hazard No safety hazard and no safety risk

2.
3.
3.1
3.2
4.
5.
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Step No. Title Basic focus
5.1
5.2
5.3
5.4
6.
7.
8.
References
Geller ES. 1996. Working Safe: How to Help People Actively Care for Health and Safety.
Germain GL, Bird DJ & Labuschagne CJ. 2011. Safety, Health, Environment and Quality.
Georgia: International Risk Control America and IRCA Global.
Goetsch DL. 2010. The Basics of Occupational Safety. New Jersey: Prentice Hall.
Killen R. 2000. Teaching Strategies for Outcomes-Based Education. Lansdowne: Juta.
Mintzberg H. 1979. The Structure of Organizations. Englewood Cliffs: Prentice Hall International.
Reese CD. 2009. Occupational Health and Safety Management: A Practical Approach.
2nd ed. Boca Raton: CRC Press.
Stranks J. 2010. Health and Safety at Work: An Essential Guide for Managers. London:
Kogan Page.
Legislation
Acts
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Chapter 8
Report writing on assessing and
evaluating safety risks
Sarel Smit
Learning outcomes
• understand the nature of the safety risk assessment report
• motivate the necessity of completing a safety risk assessment report
• describe the contents and format of a safety risk assessment report.
Key terms
Ablution facilities Heat operations
Building facilities Lifting operations
Chemical operations Machinery operations
Childminding operations Office situations
Electrical operations Recreational facilities
Environmental elements Safety risk assessment report
Explosive operations Transportation operation
Feeding operations
8.1 Introduction
Safety risk assessment must be interpreted within the context of the business in
which the analysis is performed. The context applies to baseline, issue-based and
continuous safety risk assessment as well as the purpose, process and outcome
of safety risk assessment. The nature of the business influences all aspects of the
safety risk assessment that are performed on the activities and conditions relevant
to a specific working environment. Performing safety risk assessment concerns all
employees and other parties who have interests in a business. This chapter presents
the format and content of a safety risk assessment report that is used to inform
people who have interests in the business.
8.2 Content of the safety risk assessment report

Because safety concerns all employers, employees in particular and stakeholders
in a business, they should all be fully informed about a safety risk assessment
that has been conducted in a business. A lack of effective communication has
contributed to major disasters in the past (Glendon et al 2006:287–288). Effective

safety risk communication forms an important role in changing the employees’

knowledge, attitude and behaviour towards safety (Fuller & Vassie 2004:121). The
purpose of a safety risk assessment report is to inform all interested parties on the
following aspects:
• purpose
• context
• plan
• scope
• procedures
• outcomes
• recommendations
• people involved
• application.
All of these issues are successively focused on in the sections below.
8.3 Purpose of the safety risk assessment report

The safety risk assessment report should clearly state the reasons for as well as
the necessity and objectives of the safety risk assessment. Those affected by the
outcome of the safety risk assessment need to understand that the business safety
policy requires that it is performed to ensure that all working conditions and tasks
in the business are undertaken safely and do not threaten the safety of people,
property and the environment. It is also important that the employees who will
benefit from the safety risk assessment have trust in the procedures that were
followed to ensure qualitative safety risk assessment.
The safety risk assessment will serve as the basis for introducing appropriate
safety risk controls to reduce the likelihood and severity of unwanted interaction
and energy exchange of safety hazards in all conditions and tasks in the
working environment. The outcome of the safety risk assessment will provide
the framework for the hierarchical introduction of safety risk controls to ensure
safety is systematically addressed. The focus of the safety risk assessment is to
introduce employers, employees and other specifically interested parties to the
orderly advancement of safety in the workplace, for example, developing training
programmes to equip employers and employees on the required competence to
interact and exchange energies with other human and non-human safety hazards
safely under all conditions at all times.
The safety risk assessment report needs to indicate recommendations and
should analyse to what extent the business complies with safety risk assessment in
all working conditions and work activities as required by regulatory directives. The
safety risk assessment report serves as a source of reference for similar exercises
in the future.
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Chapter 8: Report writing on assessing and evaluating safety risks
8.4 Context of the safety risk assessment report

Because safety concerns all people involved in a business, the safety risk assessment
within a business must be fully based on its safety policy. There must be a direct
link between the basic safety values, intentions, standards and objectives of the
business that state the context of the organisational approach to managing safety
(Fuller & Vassie 2004:318). An effective and rigorous safety risk assessment must
be a cornerstone of effective safety risk management. The philosophy depicted in
the business safety policy must clearly be reflected in the safety risk assessment
report (Acutt & Hattingh 2013:271). Safety risk assessment must demonstrate a
commitment to manage safety in all business operations. This commitment must
relate to the role and importance of safety risk assessment in order to run the
business safely at all times. The difference on focus of baseline, issue-based and
continuous safety risk assessment needs to be clarified, while the business directives
for suitable and sufficient safety risks need to be stated clearly.
The safety risk assessment report must depict the basic points of departure on
safety risk assessment that appear in the safety policy. Safety risk assessment reports
are usually comprehensive internal reports that are based on a risk management
approach to ensure optimum safety beyond mere legal safety compliance (Fuller &
Vassie 2004:373).
8.5 Plan of the safety risk assessment report

The report on assessing the safety risks in an organisation should reveal the plan
that was followed during the performance of the assessment. Interested parties
need to be informed about the plan that was designed and followed in the safety
risk assessment. The purpose, steps followed, the selection of areas, sections and
activities, time scales, and the use of cross-functional teams should be briefly
stated. The report must create certainty that the assessment of the safety risks in
the business was performed on the basis of a well-designed practical exercise.
8.6 Scope of the safety risk assessment report

The safety risk assessment report should clearly explain the scope of the safety risk
assessment that was covered. The following aspects apply:
8.6.1 Forms of safety risk assessment in the report

The safety risk assessment report needs to explain where, for what purpose and how
the different forms of assessment were performed. These forms are baseline safety risk
assessment, issue-based safety risk assessment and continuous safety risk assessment.
The different criteria that were applied to select working conditions and work
activities, machinery, tools, workstations, vehicles and so on to issue-based safety
risk assessment and continuous safety risk assessment should be qualified. It must
be kept in mind that pre-incident safety risk assessment includes all forms of safety
risks, while issue-based safety risks apply to post-incident safety risk assessment.
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8.6.2 Focus of the safety risk assessment report

The safety risk assessment report must confirm that all aspects relating to safety
risks that originate from any condition, equipment, plant, machinery, product,
substance, work, process, procedure, use, store and so on were addressed.
Recognising the competence of the people involved and recognising and applying
threshold limits related to non-human safety hazards should be confirmed as well.
Every situation where safety hazards interact and exchange energies must be kept
in focus. This applies to the interaction and energy exchange between any number
and combination of human and non-human safety hazards. Clear evidence must be
given that all elements of the business operations were covered in the safety risk
assessment report. Proof must be provided that the safety risk assessment report was
suitable and sufficient on all business activities and operations (Stranks 2010:29).
8.6.3 Extensiveness of the safety risk assessment report

The safety risk assessment must focus on assessing safety risks that arise out
of or connected with all working conditions and work activities in the business
operations. It is also important that the safety risk assessment report indicates to
what extent working conditions and the performance of work activities comply with
legal requirements. The safety risk assessment must include all sections, divisions,
operations, buildings, environmental impacts, services, employers or supervisors,
employees and customers. The list below indicates that businesses should cover all
possible aspects of their operations including facilities.
Table 8.1: Business operations that should be assessed
Business operations that should be assessed
Ablution facilities Feeding operations
Building facilities Heat operations
Chemical operations Lifting operations
Childminding operations Machinery operations
Electrical operations Office situations
Environmental elements Recreational facilities
Explosive operations Transportation operations
The safety risk assessment must also apply to all shifts. The role and effects of the
safety culture and safety climate of the business, which includes latent conditions
as well as active failures, must be included in the safety risk assessment report
(Blunden & Thirlwell 2013:285).
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8.7 Procedures of the safety risk assessment report

The safety risk assessment report should clearly indicate what procedures were
followed to perform the safety risk assessment of the aspects that the report covers.
The safety risk assessment report should list and briefly explain the following
procedures:
• initial approach and general methodology used to perform a baseline safety
risk assessment
• identification of working conditions and work activities that needed to
undergo an issue-based safety risk assessment
• processes applied in performing an issue-based safety risk assessment
• identification of working conditions and work activities that needed
continuous safety risk assessment and the procedures that were applied to
conduct it
• selection of the people who were used to perform the activities associated
with issue-based and continuous safety risk performance
• selection of substances (different types of non-human safety hazards) for
interacting and exchanging energies during issue-based and continuous
safety risk assessment
• ensuring that all aspects of the safety risk assessment in the different forms
were performed completely and effectively
• ensuring that all safety risks matched the criteria of suitability and sufficiency
• selection and application of all legal requirements related to different
working conditions and work activities
• identification of the evaluation of the levels of safety risks in the different
working conditions and work activities
• identification of current business safety standards as well as shortcomings
related to specific working conditions and work activities
• recording the outcomes of each type of safety risk assessment, and suitable
and sufficient safety risk assessment
• selection and utilisation of cross-functional multidisciplinary teams in
performing the total process of safety risk assessment in all business
operations.
The explanation of the procedures that were used to perform safety risk assessment
needs to create trust that the outcome of the process is valid and reliable.
8.8 Outcomes of the safety risk assessment report

The safety risk assessment report must present the outcomes of the total safety risk
assessment effort. The report has to contain the following specific results:
• State the final result of the baseline safety risk assessment.
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• Indicate the final levels of safety risks in all different working conditions and
work activities in the total business operations as a result of issue-based and
continuous safety risk assessment.
• Identify all situations in the workplace in which the interaction and energy
exchange of safety hazards are claimed to be at an acceptable level as an
outcome of issue-based and continuous safety risk assessment.
• List situations in the workplace in which the interaction and energy
exchange of safety hazards resulted in unacceptable safety risk levels.
• Motivate why each of the different situations in which the risk levels are
unacceptable falls short on the necessary safety objectives of the business.
• Elicit the role and effects of business safety culture, including latent
conditions and the active failures that flow from these conditions regarding
the contribution of unacceptable safety risks in working conditions and work
activities. Latent conditions represent issues such as gaps in supervision,
undetected manufacturing defects, unworkable procedures, unavailable
necessary tools and more (Reason 2005:10). Active failures represent different
types of unsafe acts such as not wearing prescribed personal protective
equipment, or taking shortcuts instead of using prescribed safe working
procedures (Reason 2005:10).
• Distinguish the difference between the outcomes of pre-incident and post-
incident safety risk assessment.
Stipulating the outcomes of the safety risk assessment report is of specific
significance because it creates understanding to develop recommendations and
implement appropriate safety risk controls.
8.9 Compliance with regulatory requirements

The outcome of the safety risk assessment report should lead to an understanding of
the necessity of the application of regulatory requirements in all working conditions
and work activities as prescribed in safety legislation. Complying with business
directives as listed in the business safety policy forms part of these regulatory
requirements. Examples of these legal directives appear in the Occupational Health
and Safety Act 85 of 1993 as amended, and the Mine Health and Safety Act 29 of
1996 as amended.
8.10 Recommendations of the safety risk assessment report

The significance of the safety risk assessment report lies in the recommendations.
Recommendations provide the means to test for the quality of the safety risk
assessment report.
Unacceptable safety risks results from the ineffective, unwanted or unplanned
interaction and energy exchange of safety hazards (Smit & Esterhuyzen 2014:121).
This implies that all recommendations to ensure safety in the workplace and in
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the environment must focus on ensuring that the safety risk levels in all working
conditions and work activities of the business are within the acceptable safety risk
range. The emphasis lies on introducing appropriate safety controls to ensure that
the interaction and energy exchange of safety hazards under all circumstances
exposes people, property and the environment to acceptable safety risk levels.
Recommendations must specify the nature of safety risk controls that have to be
developed and implemented to ensure safety in all business operations at all times.
The effective consideration of the hierarchy of safety risk controls in this regard
is self-evident (Stranks 2010:114; Fuller & Vassie 2004:301). Enhancing safety in
working conditions and work activities in a business using recommendations from
safety risk assessment must include regulatory requirements. All safety risk controls
to enhance safety in business operations must comply with legal directives. Both
the Occupational Health and Safety Act 85 of 1993 as amended, and the Mine
Health and Safety Act 29 of 1996, as amended set requirements that businesses
must follow.
Safety risk assessment recommendations are primarily information for the
management of a business. Members of management, who are legally considered to
be employers, are responsible and accountable for ensuring the safety of employees
by applying the recommendations of the safety risk assessment. Employees also
have legal responsibilities in this regard (Occupational Health and Safety Act 85
of 1993 as amended, and the Mine Health and Safety Act 29 of 1996 as amended).
Other than managers, the safety practitioner or practitioners in a business have
no legal authority to control or monitor implementing safety risk assessment
recommendations. Safety practitioners have a staff function and can only serve in
an advisory capacity (Mintzberg 1979:2).
8.11 People involved in the safety risk assessment report

The report on the outcome of the safety risk assessment needs to list the people
who were involved in this undertaking. Details that can be listed are names,
qualifications, capacity, member specific groups, for example CFTs, nature of input,
for example leadership and recommendations, and so on. These details will provide
significance and trust of accepting the validity and reliability of the process and
outcomes of the safety risk assessment report. This data could be tabled. The
following table provides an example to be used in a landscape spreadsheet format.
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Table 8.2: People involved in a safety risk assessment
No. Name Qualification CFT Capacity Role Recommend
Metallurgic Install sensors to

1. J Nel engineer Smelter Advisory Leader detect temperatures
2.
3.
4.
5.
The focus should be to list only the most significant people who made meaningful
contributions.
8.12 Application of the safety risk assessment report

The safety risk assessment report on the outcome of the safety risk assessment must
serve as a guideline for developing and implementing appropriate safety controls to
ensure safety in all working conditions and work activities in all business operations.
The line managers of the different sections or operations in the business will be made
responsible for ensuring that recommendations be implemented as soon as possible. Top
management, for example, the CEO, or the management committee will be responsible
for monitoring the finalising of recommendations. The safety risk assessment report
will not specify dates for the finalising of developing and implementing safety risk
controls in accordance with recommendations. These dates will be determined by the
managing team for each section of operations who will report to top management.
Optimum safety will be achieved once all interaction and energy exchange of safety
hazards do not exceed the level of unacceptable safety risks.
8.13 Presenting the safety risk assessment report

The safety risk assessment report on the outcomes of the safety risk assessment
needs to first be discussed with top management. Modern technology makes it easy
to present the report in an electronic format and different types of typography may
be used. Data may be in the format of tables, graphs, pie charts and so on. The
purpose is to make information concise and easily understood.
The safety risk assessment report should also be presented to line managers
and employees. The document gains significance when managers, supervisors
and employees are involved in conditions and activities that expose them to
unacceptable safety risks.
The main purpose for presenting the safety risk assessment report to all levels
of employees in a business is to enhance their understanding of the outcome and to
gain their buy-in on changing the unacceptable safety risk levels to acceptable safety
risk levels in all working conditions and work activities in all business operations.
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8.14 Conclusion
All employees and interested groups in a business need to be familiarised with
the outcomes of safety risk assessment. They need to understand the necessity for
and changes necessary to ensure safety in all business operations. The safety risk
assessment report is the main instrument for serving this purpose. This chapter
explained the format and contents that should appear in the safety risk assessment
report of a business.
1. Explain the purpose and necessity of a safety risk assessment report.
2. Briefly list the main aspects of a safety risk assessment report.
3. Outline the scope of a safety risk assessment report.
4. Briefly clarify the focus of a safety risk assessment report.
5. State the recommendations that should be in a safety risk assessment report.
6. Explain how a safety risk assessment report should be applied.
7. Motivate the necessity to present a safety risk assessment report to all
employees in a business.
References
Acutt J & Hattingh S. 2013. Occupational Health: Management and Practice for Health
Practitioners. 4th ed. Claremont: Juta.
Mintzberg H. 1979. The Structure of Organizations. Englewood Cliffs: Prentice Hall Inter
national.
Reason J. 2005. Managing the Risk of Organisational Accidents. Cornwall: Ashgate.
Stranks J. 2010. Health and Safety at Work: An Essential Guide for Managers. London:
Kogan Page.
Legislation
Acts
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IDENTIFYING

Identifying and Analysing Safety Risks includes:

EDITOR: LEONIE LOUW

About the editor

www.juta.co.za EDITOR: LEONIE LOUW

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First published 2016

Juta and Company (Pty) Ltd

© 2016 Juta and Company (Pty) Ltd

ISBN 978 1 48512 108 4 (Print)

ISBN 978 1 48512 475 7 (WebPDF)

Project manager: Marlene Rose

Typeset in 10.5 pt on 13 pt Rotis Serif

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1.2 Nature of safety risks

1.3 Identification of safety risks

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1.4 Purpose of safety risk assessments

1.5 Types of safety risks

1.5.1 Speculative loss (financial risks)

1.5.2 Pure safety risks

Acceptable safety risks

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to be acceptable. As an example, it can be stated that an employee with a valid

Unacceptable safety risks

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Tolerable safety risks

Inherent safety risks

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Add-on safety risks

Residual safety risks

1.6 The relationship between different types of safety risks

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1.7 Situational safety risks

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2.2 Safety hazards and their characteristics

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Table 2.1: Characteristics of safety hazards

No. Structural characteristic Explanation

1. Tangibility All matter-based seeable/unseeable substances

2. Density Thickness (solid, liquid or gas) based on volume and

3. Size Compactness, volume and contour of matter in a

4. Weight Strength of gravitational pull towards the centre

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No. Structural characteristic Explanation

5. Shape Contour related to volume and compactness of

6. Surface/texture Points or areas of contact related to the volume,

7. Energy Capacity to do work through different

8. Consistency Undeniable regular functioning as determined by

9. Interaction Making contact and exchanging energies with

Additional human Explanation

10. Inconsistency Freedom to interact with substances based on