Write a risk assessment for Risk Analysis of Human Factors and Policy Deviation fin Aircraft Operations
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Published by SALUSHuman Factors and Policy Deviation Risk Assessment for Aircraft Operations ==========================================================================
Assessment Date: \[DATE]
Assessor: \[ASSESSOR NAME]
Department/Area: \[DEPARTMENT/AREA]
Review Date: \[REVIEW DATE]
1\. Assessment Scope
This risk assessment covers human factors and policy deviation risks associated with aircraft operations, including flight crew decision-making, crew resource management, operational compliance, safety management system (SMS) interfaces, dispatch and operational control interactions, and documentation of safety controls used in routine and non-routine flight operations. The assessment includes normal operations, abnormal situations, and foreseeable non-standard conditions such as fatigue, time pressure, weather disruption, schedule changes, maintenance coordination, and operational interruptions. It excludes aircraft design certification, airport infrastructure design, and detailed maintenance task risk assessments except where maintenance-related human factors directly affect flight operations. The assessment is intended to support operational safety management, hazard identification, risk evaluation, mitigation planning, corrective action tracking, and compliance-oriented documentation. [3] [2]
2\. Risk Assessment Methodology
This assessment uses a structured qualitative and semi-quantitative risk assessment approach based on task and hazard analysis. The process is to define the scope, break the operation into key activity areas, identify hazards from observation, incident history, operational feedback, and applicable requirements, then evaluate each hazard using a 5x5 likelihood-severity matrix. Risk is assessed as the combination of likelihood and severity, and controls are selected using the hierarchy of controls, with emphasis on elimination, substitution, engineering, administrative controls, and PPE where applicable. The assessment also considers normal and non-standard conditions, including fatigue, weather, night operations, and organizational change. Controls are then reviewed for effectiveness, documented, communicated to relevant personnel, and monitored over time. [2] [4] [4] [5]
3\. Risk Matrix Reference
The following matrix is used to evaluate risk levels based on likelihood and severity:
| Likelihood |
|---|
| Rare | Unlikely | Possible | Likely | Almost Certain | | Severity | Catastrophic | Low | Low | Low | Moderate | Moderate | | Major | Low | Moderate | Moderate | High | High | | Moderate | Low | Moderate | High | High | Extreme | | Minor | Moderate | High | High | Extreme | Extreme | | Negligible | Moderate | High | Extreme | Extreme | Extreme |
4\. Hazard Identification and Risk Evaluation
1\. Crew fatigue leading to degraded attention, slower reaction time, reduced situational awareness, and impaired judgment during flight planning, taxi, takeoff, cruise, approach, and landing.
Potential Consequences: Fatigue can contribute to procedural errors, missed callouts, unstable approaches, runway excursions, altitude deviations, loss of separation, and increased likelihood of serious incidents or accidents. [9] [9]
Affected Persons: Flight crew, cabin crew, passengers, ground personnel, and other airspace users.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Likely | Major | High |
Control Measures
- Eliminate avoidable fatigue exposure by redesigning schedules to reduce excessive duty periods and minimize circadian disruption.
- Substitute high-risk roster patterns with fatigue-managed pairings and more conservative duty planning where operationally feasible.
- Use engineering-style operational controls such as automated alerting, stabilized approach monitoring, and flight deck decision-support tools.
- Apply administrative controls including fatigue reporting procedures, fitness-for-duty checks, duty-time limits, rest protection, and no-penalty fatigue reporting.
- Require appropriate PPE only where relevant to ground-side support tasks; PPE does not control fatigue directly but remains mandatory for associated ramp activities.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
2\. Policy deviation or intentional non-compliance with standard operating procedures, checklists, dispatch release conditions, or operational limitations.
Potential Consequences: Deviation from approved procedures can lead to loss of standardization, missed safety barriers, incorrect configuration, unstable flight profiles, regulatory breaches, and increased accident potential. [2] [4]
Affected Persons: Flight crew, dispatchers, maintenance personnel, passengers, and the operator.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
Control Measures
- Eliminate unnecessary procedural complexity and remove ambiguous steps from operating manuals where possible.
- Substitute unclear local practices with standardized, approved procedures and controlled documentation.
- Implement engineering and system controls such as electronic checklists, dispatch release validation, and configuration warnings where available.
- Use administrative controls including recurrent SOP training, line checks, compliance audits, just culture reporting, and supervisor intervention for repeated deviations.
- Use PPE only for supporting ground operations; PPE is not a primary control for policy deviation.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Unlikely | Major | Moderate |
3\. Breakdown in crew resource management, including ineffective communication, poor leadership, weak challenge-and-response behavior, and failure to cross-check critical actions.
Potential Consequences: Poor CRM can result in misunderstood instructions, omitted checklist items, delayed threat recognition, incorrect decisions, and escalation of manageable events into serious operational incidents.
Affected Persons: Flight crew, cabin crew, passengers, and air traffic service users.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Likely | Major | High |
Control Measures
- Eliminate avoidable ambiguity by standardizing phraseology and task allocation.
- Substitute informal communication habits with disciplined CRM techniques and standardized briefings.
- Use engineering controls such as cockpit alerting, flight deck displays, and automation monitoring to support cross-checking.
- Apply administrative controls including CRM training, threat and error management, sterile cockpit discipline, and mandatory challenge of unsafe actions.
- PPE is not a meaningful control for this hazard except in related ground operations.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Moderate | Moderate |
4\. High workload, time pressure, and schedule disruption causing rushed decision-making and reduced compliance with operational controls.
Potential Consequences: Time pressure can lead to omitted checks, poor fuel decisions, unstable approaches, incorrect configuration, and reduced ability to manage abnormal situations.
Affected Persons: Flight crew, dispatchers, cabin crew, and passengers.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Likely | Major | High |
Control Measures
- Eliminate unnecessary schedule pressure by building realistic turnaround and contingency time into operations.
- Substitute rigid time-driven practices with risk-based decision gates that allow delay, diversion, or cancellation without penalty when safety is affected.
- Use engineering and system controls such as dispatch tools, performance calculators, and automated monitoring to reduce manual workload.
- Apply administrative controls including go/no-go authority, escalation pathways, workload management, and operational pause authority.
- PPE is not a primary control for this hazard.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Moderate | Moderate |
5\. Inadequate hazard identification and weak SMS reporting, resulting in latent risks not being recognized, analyzed, or corrected in time.
Potential Consequences: Unidentified hazards may persist across multiple flights, leading to repeated deviations, ineffective controls, recurring incidents, and missed opportunities for corrective action.
Affected Persons: Flight crew, safety personnel, management, passengers, and the wider operating environment.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
Control Measures
- Eliminate gaps in reporting by requiring mandatory reporting of hazards, near misses, and policy deviations.
- Substitute informal issue handling with a formal SMS process for hazard logging, investigation, corrective action, and closure verification.
- Use engineering-style data controls such as safety databases, trend dashboards, and event monitoring systems.
- Apply administrative controls including safety action review boards, root cause analysis, and management accountability for overdue actions.
- PPE is not applicable as a primary control.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Unlikely | Major | Moderate |
6\. Inadequate training, experience, or competency for specific aircraft type, route, airport, or abnormal procedure.
Potential Consequences: Insufficient competence can lead to incorrect aircraft handling, poor abnormal decision-making, checklist errors, and inability to recover from operational threats.
Affected Persons: Flight crew, cabin crew, passengers, and other airspace users.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
Control Measures
- Eliminate assignment of personnel to tasks beyond verified competency.
- Substitute ad hoc coaching with structured type-specific and scenario-based training.
- Use engineering controls such as training simulators, electronic performance support tools, and decision aids.
- Apply administrative controls including competency checks, line-oriented evaluation, recurrent training, and supervision for new or returning personnel.
- PPE is not a primary control for this hazard.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Unlikely | Moderate | Moderate |
7\. Poor management of organizational change, including changes to staffing, procedures, technology, or operational roles without adequate human factors review.
Potential Consequences: Uncontrolled change can introduce confusion, role overlap, missed responsibilities, degraded communication, and new failure modes in flight operations.
Affected Persons: Flight crew, dispatch, maintenance coordination staff, safety staff, and passengers.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
Control Measures
- Eliminate uncontrolled change by requiring formal change approval before implementation.
- Substitute informal rollout with phased implementation, validation, and user feedback before full deployment.
- Use engineering controls such as system testing, interface validation, and automation verification before operational use.
- Apply administrative controls including management of change review, human factors assessment, revised SOPs, and post-change monitoring.
- PPE is not a primary control for this hazard.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Unlikely | Moderate | Moderate |
8\. Adverse weather, night operations, and reduced visibility increasing the likelihood of human error and policy deviation.
Potential Consequences: Reduced visibility and environmental stressors can contribute to runway excursions, unstable approaches, navigation errors, missed cues, and delayed threat recognition.
Affected Persons: Flight crew, passengers, ground personnel, and other aircraft.
Initial Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Likely | Major | High |
Control Measures
- Eliminate exposure where possible by delaying, rerouting, or cancelling operations when weather exceeds safe limits.
- Substitute marginal operating practices with conservative weather minima and enhanced decision thresholds.
- Use engineering controls such as weather radar, enhanced vision systems, runway lighting, and approach monitoring aids.
- Apply administrative controls including weather briefings, night-operation procedures, stabilized approach criteria, and enhanced dispatch oversight.
- PPE is not a primary control for this hazard.
Residual Risk Assessment
| Likelihood | Severity | Risk Rating |
|---|---|---|
| Possible | Major | High |
5\. General Control Measures
- Maintain a formal safety management system with clear hazard reporting, investigation, corrective action tracking, and management review.
Ensure all personnel can report hazards and deviations promptly, and verify that corrective actions are assigned, tracked, and closed with evidence of effectiveness. [4] [2]
- Use standardized operating procedures, checklists, and controlled documentation for all safety-critical flight operations.
Review procedures for clarity, remove ambiguity, and ensure revisions are communicated and trained before use. [2]
- Apply a just culture approach that distinguishes human error, at-risk behavior, and reckless behavior while still enforcing accountability.
Use this approach to encourage reporting and learning without weakening compliance expectations.
- Integrate human factors review into operational changes, incident investigations, and procedure revisions.
Assess staffing, workload, fatigue, communication, interface design, and task complexity before implementing changes. [8]
- Verify control effectiveness through routine audits, line observations, trend analysis, and review of safety performance indicators.
Escalate repeated deviations or deteriorating trends to management for corrective action and revalidation of controls. [1]
6\. Emergency Preparedness
- Establish clear escalation procedures for fatigue-related fitness-for-duty concerns, including immediate removal from duty when a crew member is not fit to operate safely. [9]
- Define response actions for serious procedural deviations, including operational pause, notification of flight operations management, safety reporting, and post-event review. [7]
- Maintain abnormal and emergency checklists that are readily accessible, current, and trained for use under high workload conditions.
- Ensure dispatch, flight operations, and safety personnel can coordinate rapidly during weather disruption, diversion, or route change events.
- Conduct periodic emergency drills and scenario-based exercises that include communication failures, fatigue events, and organizational change failures. [7]
7\. Training Requirements
- Crew Resource Management (CRM) Training: Provide recurrent CRM training focused on communication, leadership, assertiveness, workload management, situational awareness, and cross-checking. Training should include practical scenarios that demonstrate how human factors contribute to operational error and how crews should intervene early.
- Standard phraseology and closed-loop communication
- Threat and error management
- Challenge-and-response expectations
- Sterile cockpit discipline
- Decision-making under pressure
- Fatigue Risk Management Training: Train flight and operational personnel to recognize fatigue symptoms, understand circadian disruption, report fatigue without fear of reprisal, and apply fatigue mitigation strategies before and during duty. [9]
- Sleep opportunity and rest protection
- Effects of night work and long duty periods
- Self-assessment and peer intervention
- Reporting pathways for fatigue concerns
- SOP and Policy Compliance Training: Provide training on the importance of following approved procedures, using current manuals, and escalating uncertainty rather than improvising. Emphasize that policy deviation must be reported and corrected through the SMS.
- Use of current controlled documents
- Checklist discipline
- Deviation reporting requirements
- Supervisor escalation for ambiguous situations
- Human Factors and Change Management Training: Train managers, supervisors, and operational staff to identify human factors risks introduced by staffing changes, technology changes, revised procedures, and organizational restructuring. Include the need for formal review before implementation and follow-up after change. [8]
- Workload and staffing assessment
- Interface and automation considerations
- Procedure usability review
- Post-change monitoring and feedback
- Emergency and Abnormal Situation Training: Provide scenario-based training for weather diversion, unstable approach recovery, communication breakdowns, and operational interruptions so crews can respond consistently under stress.
- Abnormal checklist use
- Go-around and diversion decision-making
- Coordination with dispatch and ATC
- Post-event reporting and debriefing
8\. Monitoring and Review
Review Frequency: Annually and after any significant incident, major operational change, regulatory change, or trend indicating control failure.
| Monitoring Type | Frequency | Responsible Party | Description |
|---|---|---|---|
| Regular Inspection | Daily and per shift | Flight operations supervisors and line managers | Monitor duty readiness, procedural compliance, and any signs of fatigue, distraction, or workload overload before release to duty and during operations. |
| Performance Indicator Review | Monthly | Safety manager and flight operations management | Review safety reports, deviation trends, unstable approach data, fatigue reports, and repeat findings to identify emerging human factors risks. |
| Audit | Quarterly | SMS audit team or quality assurance function | Audit SOP compliance, training completion, corrective action closure, and the effectiveness of controls applied to high-risk operational tasks. |
| Management of Change Review | Before implementation and after implementation | Operations management with safety and human factors support | Assess staffing, workload, communication, and procedure impacts before changes are introduced, then verify that the change did not create new hazards or increase existing risks. |
| Trend Analysis | Continuous with formal review each quarter | Safety data analyst and safety manager | Analyze incident reports, near misses, policy deviations, and fatigue-related events to determine whether controls remain effective or require revision. [1] [1] |
9\. Special Circumstances
- Night operations and early-morning departures increase fatigue risk, reduce visibility, and may degrade decision-making and monitoring performance. [9]
- Adverse weather, turbulence, icing, thunderstorms, and low-visibility conditions increase workload and the likelihood of procedural deviation. [2]
- Lone work, reduced crew complement, or limited support during irregular operations can weaken cross-checking and escalation pathways. [6]
- Schedule disruptions, extended duty periods, and rapid roster changes can increase fatigue and reduce compliance with standard procedures. [9]
- Organizational change, new technology, or revised procedures may temporarily increase error likelihood until personnel are trained and controls are stabilized. [8]
Approval and Sign-off
This risk assessment has been reviewed and approved by:
Assessor: _________________________ Date: __________
Manager/Supervisor: _________________________ Date: __________
Safety Representative: _________________________ Date: __________
This risk assessment must be reviewed annually and after any significant incident, major operational change, regulatory change, or trend indicating control failure. or when significant changes occur.
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Sources used for this answer
[1] Hazard and Risk - Risk Assessment
Page 6
Open source documentSource excerpt
# How is a risk assessment done? (cont.) ## How are the hazards identified? (cont.) - Include people who work off-site either at home, on other job sites, drivers, teleworkers, with clients, etc. - Look at the way the work is organized or done (include the experience of people doing the work, systems being used, etc.). - Look at foreseeable unusual conditions (for example: possible impact on hazard control procedures that may be unavailable in an emergency situation, power outage, climate event, etc.). - Determine whether a product, machine or equipment can be intentionally or unintentionally changed (e.g., a safety guard that could be removed). - Review all of the phases of the process or lifecycle. - Examine risks to visitors or the public. - Consider the knowledge, experience, training, and education of the individuals performing the work. - Consider the groups of people that may have a different level of risk such as young or inexperienced workers, persons with disabilities, or new or expectant mothers. It may help to create a chart or table such as the following: Table 1: Hazards, risks, and controls Job: Delivery Driver Task: Delivering Products to customers <table><tr><th>Hazards</th><th>Potential Outcomes</th><th>Risk</th><th>Priority</th><th>Hazard Controls</th></tr><tr><td>Working alone</td><td>May not be able to call for help if needed</td><td></td><td></td><td></td></tr><tr><td>Manually lifting and carrying boxes</td><td>Musculoskeletal injuries (e.g., back or shoulder injury) due to manual material handling</td><td></td><td></td><td></td></tr><tr><td>Working long hours</td><td>Fatigue, stress, short rest time between shifts, motor vehicle collision.</td><td></td><td></td><td></td></tr><tr><td>Driving in congested traffic</td><td>Motor vehicle collision, stress</td><td></td><td></td><td></td></tr></table> Please see further below for guidance on determining the risk and priority of each hazard, including the risk matrices in Table 2 and Ta…
[2] Fatigue
Page 6
Open source documentSource excerpt
# Is fatigue a workplace issue? (cont.) ## What are some factors that are related to fatigue? (cont.) narcolepsy Illness, medical conditions, and pharmaceutical products (including over-the-counter medications) can also affect sleep length and sleep quality. For example, substances such as nicotine, caffeine, and alcohol can affect the quality of sleep. Caffeine can remain in the body for about 3 to 7 hours. Alcohol may shorten the time to fall asleep, but it disrupts sleep later in the night. Nicotine also can disrupt sleep and reduce total sleep time. ## Is jet lag or the change to daylight savings related to safety issues? Jet lag is the result of a mismatch between a person's circadian rhythm and the time of day in the new time zone. Similarly, this effect can be felt when there is a hour adjustment when clocks move ahead to daylight savings time. Employers may wish to help minimize the impact of these changes by educating workers about the hazards associated with fatigue, allowing flexible hours for a day or two, scheduling major changes or tasks for a different time, and checking in with workers to determine if they are experiencing any impacts. There are reports of increased incidents when daylight savings time begins (in the spring), especially incidents involving transportation and heavy machinery. There are also reports of increased traffic incidents following the end of day light saving time (the adjustment in the Fall). Factors may include that there is less light (visibility), especially during morning and evening rush hour drives. ## How can a workplace address fatigue? Fatigue can be addressed through the workplace's safety management system, or as a separate fatigue management program. Creation of a program that addresses both workplace and personal factors may include to: - identify the hazards and conduct a risk assessment for factors associated with fatigue - develop and implement the organization's response to when a person is experie…
[3] Hazard and Risk - Risk Assessment
Page 3
Open source documentSource excerpt
# Hazard and Risk - Risk Assessment (cont.) ## What is the goal of risk assessment? (cont.) a. What can happen, and under what circumstances? b. What are the possible consequences? C. How likely are the possible consequences to occur? d. How severe are the possible consequences? e. Has an adequate level of risk reduction been achieved, or is further action required? ## When should a risk assessment be done? There may be many reasons a risk assessment is needed, including: - Before new processes or activities are introduced. - Before changes are introduced to existing processes or activities, including when products, machinery, tools, or equipment change. - When new information concerning harm becomes available. - When hazards are identified. - Before working in a new environment. - When new information on hazard controls or good practices becomes available. - Before performing maintenance or commissioning of equipment - Before completing routine or non-routine tasks. - When the legislation requires a risk assessment to be done. ## How do you plan for a risk assessment? In general, determine: - What the scope of your risk assessment will be (e.g., be specific about what you are assessing such as the lifetime of the product, the physical area where the work activity takes place, or the types of hazards). - The resources needed (e.g., training a team of individuals to carry out the assessment, the types of information sources, etc.). - What type of risk analysis measures will be used (e.g., how exact the scale or parameters need to be in order to provide the most relevant evaluation)? - Who are the stakeholders involved (e.g., manager, supervisors, workers, worker representatives, suppliers, etc.). - What relevant laws, regulations, codes, or standards may apply in your jurisdiction, as well as organizational policies and procedures? Hazard and Risk - Risk Assessment CCOHS
[4] Hazard and Risk - Risk Assessment
Page 4
Open source documentSource excerpt
# How is a risk assessment done? In general, to do an assessment, you should: 1. Assemble a risk assessment team. Assessments should be done by a competent person or team of individuals who have a good working knowledge of the situation being studied. Include the supervisors and workers who work with the process under review on the team or as sources of information, as these individuals are the most familiar with the operation. The health and safety committee or representative should also be consulted. 2. Select the job or process to assess. Refer to the above section, "When should a risk assessment be done", to help prioritize your assessments. Ideally, risk assessments should be done for all jobs. Jobs or tasks with higher injury and illness rates, worker concerns, and other factors should be considered first. 3. Break down the job or process into tasks. Divide the job or process into tasks or basic steps to better understand the hazards. 4. Identify the hazards of each task. After the basic steps or tasks have been recorded, identify the hazards of each step or task. List the hazards based on observations and inspections, previous causes of incidents and injuries, feedback from workers and supervisors directly involved in the task, and other considerations. 5. Assess the risk of each hazard. For each hazard, determine the likelihood of harm, such as an injury or illness occurring, and its severity. Use a risk assessment method appropriate for your workplace (see further below for details on risk assessment methods). Consider normal operational situations as well as non-standard events such as maintenance, shutdowns, power outages, emergencies, extreme weather, etc. Review all available health and safety information about the hazard, such as Safety Data Sheet (SDS), manufacturer's literature, information from reputable organizations, results of testing, workplace inspection reports, records of workplace incidents (accidents), including information about the …
[5] Hazard and Risk - Risk Assessment
Page 2
Open source documentSource excerpt
# Hazard and Risk - Risk Assessment (cont.) ## What is a risk assessment? (cont.) Risk - the combination of probability and severity that a person will be harmed or experience an adverse health effect if exposed to a hazard. Risk can also be applied to situations with property or equipment damage, or harmful effects on the environment. Probability - the extent to which an event is likely to occur. The probability of harm may also be referenced as the likelihood of harm. Severity - the seriousness of an incident, injury, or illness. Severity, or consequence, describes the highest level of damage possible from a hazard and is often described in terms such as catastrophic, critical, moderate, minor, or negligible. In general, risk can be expressed as: Risk = probability X severity Hazard control - control measure(s) and action(s) taken to reduce the risk of a hazard based on the risk assessment. Hazard control should also include monitoring, re- evaluation, and compliance with decisions (the term "controls" or "control measures" are also used and have the same meaning). Recommending or determining hazard controls may be incorporated into the risk assessment process, or completed separately following a risk assessment. For definitions and more information about what hazards and risks are, please see the OSH Answers document Hazard and Risk. ## Why is risk assessment important? Risk assessments are very important as they form an integral part of an occupational health and safety management plan. They help to: - Create awareness of hazards and risks. - Identify who may be at risk (e.g., workers, cleaners, visitors, contractors, the public, etc.). - Determine whether a control program is required for a particular hazard. - Determine if existing control measures are adequate or if more should be done. Prevent injuries - or illnesses, especially when done at the design or planning stage. - Prioritize hazards and control measures. - Meet legal requirements …
[6] Emergency Management Checklist
Page 2
Open source documentSource excerpt
# Emergency Management Checklist (cont.) ## What is an example of an emergency management checklist? (cont.) <table><tr><th colspan="7">Emergency Management Checklist</th></tr><tr><td>Element</td><td colspan="3">Documented</td><td colspan="2">Functional Ability Proven</td><td>Comments</td></tr><tr><td></td><td>Yes</td><td>No</td><td></td><td>Yes</td><td>No</td><td></td></tr><tr><td>Statement of policy on emergency response</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>Plan given appropriate authority by highest management level</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>Plan is distributed to all that need to know</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>Plan establishes the emergency response team</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>The authority to declare a full evacuation is designated</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>The authority to declare the emergency is "over" is designated</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>All response personnel are medically fit to perform their duties</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td colspan="7">The following functions have been clearly defined and assigned to individuals:</td></tr><tr><td>- Plan administration</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Operational control</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Coordination of support</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Plan maintenance</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Regular risk assessment</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Training</td><td></td><td></td><td></td><td></td><td></td><td></td></tr><tr><td>- Drills and exercises</td><td></td><td></td><td></td><td></td><td></td><td></…
[7] Cal/OSHA Regulations | Chapter 4 | Subchapter 7: General Industry Safety Orders | § 5189.1. Process Safety Management for Petroleum Refineries
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Open source documentSource excerpt
## § 5189.1. Process Safety Management for Petroleum Refineries. (cont.) (1) The employer shall develop, implement and maintain an effective written Human Factors program within eighteen (18) months following the effective date of this section. (2) The employer shall include a written analysis of Human Factors, where relevant, in major changes, incident investigations, PHAS, MOOCs and HCAs. The analysis shall include a description of the selected methodologies and criteria for their use. (3) The employer shall assess Human Factors in existing operating and maintenance procedures and shall revise these procedures accordingly. The employer shall complete no less than fifty (50) percent of assessments and revisions within three (3) years following the effective date of this section and one hundred (100) percent within five (5) years. (4) The Human Factors analysis shall apply an effective method in evaluating the following: staffing levels; the complexity of tasks; the length of time needed to complete tasks; the level of training, experience and expertise of employees; the human-machine and human-system interface; the physical challenges of the work environment in which the task is performed; employee fatigue and other effects of shiftwork and overtime; communication systems; and the understandability and clarity of operating and maintenance procedures. (5) The Human Factors analysis of process controls shall include: (A) Error-proof mechanisms; (B) Automatic alerts; and, (C) Automatic system shutdowns. (6) The employer shall include an assessment of Human Factors in new and revised operating and maintenance procedures. (7) The employer shall train operating and maintenance employees in the written Human Factors program. (8) The employer shall provide for employee participation in the Human Factors program, pursuant to subsection (q). (9) The employer shall make available and provide on request a copy of the written Human Factors program to emp…
[8] Hazard and Risk - Risk Assessment
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Open source documentSource excerpt
# How is a risk assessment done? (cont.) ## Semi-quantitative Methods (cont.) <table><tr><th></th><th>Negligible Severity (1)</th><th>Minor Severity (2)</th><th>Moderate Severity (3)</th><th>Major Severity (4)</th><th>Catastrophic Severity (5)</th></tr><tr><td>Rare Probability (1)</td><td>Low (1)</td><td>Low (2)</td><td>Low (3)</td><td>Moderate (4)</td><td>Moderate (5)</td></tr><tr><td>Unlikely Probability (2)</td><td>Low (2)</td><td>Moderate (4)</td><td>Moderate (6)</td><td>High (8)</td><td>High (10)</td></tr><tr><td>Possible Probability (3)</td><td>Low (3)</td><td>Moderate (6)</td><td>High (9)</td><td>High (12)</td><td>Extreme (15)</td></tr><tr><td>Likely Probability (4)</td><td>Moderate (4)</td><td>High (8)</td><td>High (12)</td><td>Extreme (16)</td><td>Extreme (20)</td></tr><tr><td>Almost Certain Probability (5)</td><td>Moderate (5)</td><td>High (10)</td><td>Extreme (15)</td><td>Extreme (20)</td><td>Extreme (25)</td></tr></table> When using this method, it is important to clearly define the parameters for assigning scores for severity and probability, so all team members understand the scoring criteria. Using Table 3, a hazard assigned as having an unlikely probability of occurring (probability score of 2) and minor severity (severity score of 2) is a moderate riskwith a risk rating score of 4. Remember! Risk = probability X severity. The qualitative and semi-quantitative risk matrices above are just a couple of examples. These matrices can be customized to further refine risk by considering more detailed criteria for probability and severity. Quantitative methods are also sometimes used, which calculate risk based on data collected over a period of time or multiple situations. Examples include failure mode and effects analysis (FMEA) and decision tree analysis (these methods are not covered in this fact sheet). ## Field-level Risk Assessment A field-level risk assessment (FLRA) is another method that is commonly used in industries and wor…
[9] Hazard and Risk - Risk Assessment
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# Why is it important to review and monitor the assessments? It is important to know if your risk assessment was complete and accurate. It is also essential to be sure that any changes in the workplace have not introduced new hazards or changed hazards that were once ranked as lower priorities to higher priorities. It is good practice to review your assessment on a regular basis to make sure your control methods are effective. ## What documentation should be done for a risk assessment? It is very important to keep records of your assessment and any control actions taken. You may be required to store assessments for a specific number of years. Check for local requirements in your jurisdiction. The level of documentation or record keeping will depend on: - Level of risk involved. - Legislated requirements. - Requirements of any management systems that may be in place. Your records should show that you: - Conducted a good hazard review. - Determined the risks of those hazards. - Implemented control measures suitable for the risk. - Reviewed and monitored all hazards in the workplace. Fact sheet last revised: 2025-03-12 ## Disclaimer Although every effort is made to ensure the accuracy, currency and completeness of the information, CCOHS does not guarantee, warrant, represent or undertake that the information provided is correct, accurate or current. CCOHS is not liable for any loss, claim, or demand arising directly or indirectly from any use or reliance upon the information. Hazard and Risk - Risk Assessment CCOHS
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