using the risk management toolkit

USING THE RISK MANAGEMENT TOOLKIT

Overview of the risk management tools

Tool DescriptionRM01 Risk Identification Template Use to brainstorm risks for each of the different risk categories.

RM02 Sample Risk Register Use as a template to document the risk assessment relevant to your activities.

RM03 Guide to Categorising Hazards Use as a prompt to identify different types of risks, and to help determine controls for preventing the risk occurring.

RM04 Guide to Assessing Consequences Use to determine the severity of the consequences of risks.

RM05 Guide to Assessing Likelihood Use to determine how likely the consequences of a risk will occur.

RM06 Risk Assessment Matrix and Triage Tool

Guide to help determine the level of risk associated with an activity, and the actions required to manage the risk.

RM07 Guide to Assessing Controls Use to identify whether risk controls will eliminate or minimise risk.

RM08 Heat Map Use to show the risk profile and/or distribution of risk. It highlights the high risks to focus on and their categories of risk such as financial and HR.

The aim of this toolkit is to guide those carrying out risk assessments, to ensure all risks associated with an activity are identified, controlled and managed appropriately.

Use this toolkit in conjunction with the Risk Management Procedure, which outlines step by step how to undertake a risk assessment. Risk management training is also provided by Victoria’s Safety, Risk and Assurance Unit. Contact [email protected]

RM01 RISK IDENTIFICATION TEMPLATE

Health and Safety Operations/Service Delivery

Strategic Environment

Quality Financial

Information and ITS Legislative Compliance

Political or Reputational Human Resources

Project Delivery Infrastructure

Teaching Programme Delivery Research Programme Delivery

Use this template to brainstorm risks in each category. Establish the context for the activity of the Risk Management Procedure and RM 08 - Risk heat map of this toolkit for coding each category.

DRAFT - University risk assessment - Covid 19

Controls/mitigation Safety coordination Assurance Approval Required improvements

Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)

References:Health and Safety at Work Act 2015Education (Pastoral Care of Tertiary and International Learners) Code of Practice 2021WorkSafe - Assessing whether a specific role needs to be performed by a vaccinated worker;WorkSafe - How to decide what work requires a vaccinated employee and WorkSafe's enforcement approach;Ministry of Health, Guidelines for Businesses and Services;Ministry of Health COVID-19: About COVID; Ministry of Health COVID-19: Exemptions and exceptions from mandatory vaccination;Ministry of EducationCOVID-19 Public Health Response Order for Mandatory Vaccinations for Education;Employment New Zealand, Vaccines and the workplace;Employment.govt.nzTEU Position Paper 14.09.2021Unite against COVID internet site 2 November 2021https://creativecommons.org/licenses/by-nc/3.0/nz/

Refer alsoUniversity intranet for COVID 19 Alert Level guidelines;Procedure for positive COVID 19 case on campus

COVID-19 Public Health Response (Vaccinations) Order2021

COVID 19 Protection FrameworkOnce 90% of eligible New Zealanders are fully vaccinated and protectedGreenOrangeRed

Ministry of Education flowchartEarly learning service provider. COVID-19 Public Health Response (Vaccinations) Order 2021Vaccination Order process for employees, contractors and volunteers

Further controls required to reduce the risk to a tolerable level.

RM02A SAFETY RISK REGISTER

List and describe each risk Assess raw risk (no controls) Assess residual or treated risk (with controls)Risk number & category. Type of risk.

Description of risk & consequences. Risk and outcome if the risk occurs.

Actions taken to help reduce the likelihood, and/or consequence of a risk occurring. Refer to legislation, regulations, industry guidance and codes of practice where required

Consequence and likelihood of the risk without controls. This rating is used as a baseline to help assess that the controls are working properly.

Consequence and likelihood of the risk after controls are implemented. This rating shows if the controls have reduced the risk.

Initials of approver/ risk owner and date.

Checks carried out on the controls. Mechanisms in place to confirm controls are being applied.

When working with other organisations or departments, collaborate to agree which party is responsible for controls.

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










1

Staff and students exposure to COVID 19. If staff and students are exposed to others who have COVID 19 they could become infected.

WSNZ - How many people does the employee carrying out that work come into contact with?

University teaching staff and students are in contact with high numbers of people (>100) in close proximity for periods greater than 1 hour. (lectures and teaching undertaken in line with public health (COVID 19) and hygiene guidance). A bubble (as defined in COVID 19 guidelines) may exist between students and staff in a study or research group.

Staff and students may be exposed to COVID 19 either insode or outside of University work/study. Staff and students may frequent social environs within Wellington city. If a person contracts COVID 19 from being exposed to another, who has COVID 19, where COVID 19 is present in the community, particularly if a person has visited a location of interest or travelled from a higher alert level region, COVID 19 could be transferred between staff and student groups at the University .

5 Very serious

4 Likely

20Very High

Safe practices information communicated to staff and students via intranet, University social media applications, and signage on campusHand washing and sanitiserFace coveringScreen at some reception areasPhysical distancingIsolationMIQ (if positive)University process for managing positive COVID 19 case on campusGovernment controls to manage travel between regions

Maintenance work undertaken during the weekend or over a term break when children or students are not present (Early Childhood Education)

Retail provider and maintenance contractor's controls. Refer also risks when working with other organisations

Advice from:Human ResourcesStudent HealthRegional Public HealthTEC

Contact tracing and record keeping inc. QR code

COVID 19 testing

From Ministry of Health COVID-19: About the Delta variant (16 August 2021)Being fully vaccinated gives you a high degree of protection against Delta infection, and an even higher degree of protection against severe illness, hospitalisation and death. Evidence currently shows the effectiveness of two doses of the Pfizer vaccine against illness due to Delta infection is about 88% and the protection against hospitalisation due to Delta infection about 96%.

4 Serious

3 Possible

12High

Role performed by vaccinated employee?

1

Note: COVID 19 in the community, August 2021.

Student may be high index of suspicion contact requiring strict COVID 19 management protocols.

Some variants of the COVID 19 virus may be more contagious than others e.g. Delta strain. Younger people may be considered 'super spreaders' (18-30 yrs.).

Specific risk factors at the University (on campus) setting:Contact with high number of people (students)Close proximity in lecture theatres, seminar rooms, laboratories (greater risk than outside)Time of contact greater than 1 hourFrequent contact (multiple lectures/week)

Current low rates of vaccination protection.

Young people are late eligibility in the vaccination programme.

Unite against COVID internet site 2 November 2021From 1 January 2022, schools and early learning services and providers will need to maintain a register, and ensure only vaccinated staff and support people have contact with children and students. They need to have their first dose by 15 November.

This includes home-based educators, and all those support people in our schools and early learning services such as teacher-aides, administration and maintenance staff and contractors.

Those staff and support people in Alert Level 3 areas who are not fully vaccinated in the period leading up to 1 January 2022 will be required to undergo weekly COVID-19 testing.

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










2

Difficult to identify and track staff and students in close proximity to each other in teaching and University environsWSNZ - How easy will it be to identify the people who the employee comes into contact with?

and

WSNZ - How close is the employee carrying out the tasks in proximity to other people?

If staff and students are close contacts they could transmit COVID 19 to each other in the University.

Staff and students may be in closer proximity to others when inside (Relevant COVID 19 guidelines apply for physical distancing)

4 Serious

4 Likely

16Very High

Persons visiting University premises (where permitted under relevant alert level or COVID 19 Protection Framework) required to use NZ QR code scanning application

Student ID and class lists (Actual attendance may be unknown)

Seats in lecture theatres have identification to provide physical distancing

Room booking on line application has built in room capacity reduction information

Communication provided to staff and students

Refer 'Bubbles and gatherings' risk below


COVID testing

4 Serious

3 Possible

12High

3

Bubbles and gatherings uncontrolled WSNZ - How easy will it be to identify the people who the employee comes into contact with?

If large groups of people gather, transmission of COVID 19 may occur through aerosols, which could remain airborne or settle on surfaces. People could be contaminated and prevent the University from providing staff and students with healthy and safe learning environments, and accessible learning environments where they can connect with others, build relationships, and support each other.

WSNZ - How long does the work require the employee to be in that proximity to other people?

Large lectures >100 participants and long duration >1hour

Large groups/gatherings in a Universty setting include lectures, Graduation events, including parade, New Student Orientation and associated social events, staff excellence award ceremony, Alumni events, staff Christmas events and open days. November/December 2021 Graduation ceremony interrupted

4 Serious

3 Possible

12High

Maintain physical distancing, group and bubble controls

Residual risk reduced significantly where event is cancelled or postponed

Keep surfaces clean to prevent persons touching droplets which have settledImplement deep cleaning process to commercial standard in bathrooms,kitchensEnsure good ventilation. Some buildings have mechanical ventilation systemsDisplay signage - people with symptoms consistent of COVID 19 not to enter. Signage should be placed near the entrance to buildings or grounds.Display signs relating to gatherings in line with official advice

From Tertiary Provider and International Bulletin. Friday 22 October 2021Advice for Auckland and WaikatoAt AL3 - Limit in person classes or workshops to 10 people per class. This group of 10 should include the tutor. Each class is considered a bubble and must not interact with any other student/staff bubbles of 10

CPF - Orange traffic light. Education facilities will be open with public health measures in place

Advice from:Student HealthRegional Public HealthTEC

Cleaning contractor


COVID testing

4 Serious

2 Unlikely

8Medium

CPF - Green traffic light. Places with vaccination certificate requirementsNo limits if vaccination certificates are used for:hospitality gatherings events (indoor/outdoor)close contact businesses Places where vaccination certificates are not usedIf a business, organisation or service, does not request proof of vaccine, restrictions will apply. Hospitality <100 people, based on 1m physical distancing, seated and separated.Gatherings <100 people, based on 1m physical distancing.Events (indoor/outdoor) <100 people, based on 1m physical distancing, seated and separated.Close contact businesses — face coverings for staff, 1m distancing between customers. <100 people, based on 1m physical distancing

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










3

Ministry of Health COVID-19: About the Delta variant. The Delta variant has spread rapidly worldwide and is now the main variant in many countries. It is the most transmissible variant, spreading a lot more easily than the original version of the COVID-19 virus and other variants.Ministry of Health COVID-19: About COVIDInfection occurs in three main ways:Breathing in air that contains infectious particles; Infectious particles landing on your mouth, nose or eyes through being coughed or sneezed on, for example); Touching your mouth, nose or eyes when your hands have been contaminated by the virus. (This is either through direct contamination; or Indirectly by touching surfaces contaminated with the virus).

4

Re entry to university uncontrolledIf the University is unable to provide a robust and fair process for staff and students to return to university following circumstances out of their control e.g. lock down in line with COVID 19 alert levels, student's study may be interrupted and the University will not comply with requirements of the PCC

4 Serious

3 Possible

12High

COVID Alert Level arrangements for returning to university, in line with government and TEC guidelines



COVID testing4

Serious2

Unlikely8

Medium

5

Poor application of safe hygiene and distancing practices. If staff and students do not apply safe practices a positive case of COVID 19 could affect others. This will be exacerbated if controls including gatherings and bubbles are not adhered to. E.g. if staff and students do not behave in a COVID safe manner inside and outside of the university the likelihood of contracting and transmitting COVID will be increased.

Noted in Student Living risk assessment - Some experience of non-compliance e.g. breach of travel restrictions, disrespect of space requirements, bubbles breached and unauthorised guests.

Note: shared bathroom facilities in university buildings.

Staff present for longer duration. Frequency of contact could be higher. Staff are present in teaching and research environments and are exposed to high numbers of individuals per day. This may increase the risk of staff contracting and spreading COVID 19.

4 Serious

4 Likely

16Very High

Safe practices information communicated to staff and studentsFace coveringScreen at some reception areasHand washing and sanitiserPhysical distancingIsolation/MIQRegular cleaning. Increase frequency of cleaning in shared bathroom facilitiesSpecial cleaning where requiredUniversity process for managing positive COVID 19 case

Catering providerCleaning contractor



COVID testing


4 Serious

3 Possible

12High

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










6

Unavailability of staff - unwellIf staff are unavailable because they are unwell, contracted COVID 19 or isolating due to close contact. The safety of students and workers will be impacted. For example, insufficient management, supervisors or technical staff available. Specialist skills not available.

Could affect University's ability to identify and provide timely reporting of incidents and concerning behaviours. Providing wellbeing and safety awareness of staff and students will be impacted and responding to emergencies and critical procedures as required under the H&SAWA and PCC.

Sufficient time required to arrange cover for duties. Risk will be greater if short notice.

3 Moderate

4 Likely

12High

Face coveringPhysical distancingHand washingIsolation/MIQ

Multi skilled workers where appropriate. Adequate role cover on shifts.

Refer BCP considerations also for key workers



COVID testing

3 Moderate

3 Possible

9Medium

7

Unavailability of staffIf insufficient staff are available because they are persons at higher risk of severe illness or looking after vulnerable dependants the safety of students and workers will be impacted. For example, insufficient management, supervisors or technical staff available. Specialist skills not available.

Sufficient time required to arrange cover for duties. Risk will be greater if short notice.

4 Serious

3 Possible

12High

Face coveringPhysical distancingIsolationRemote working

appropriate. Adequate role cover on shifts.

Refer BCP considerations also for key workers



COVID testing

3 Moderate

3 Possible

9Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










8

Persons at higher risk of severe illnessWSNZ - Does the work involve regular interaction with people considered at higher risk of severe illness from COVID-19, such as people with underlying health conditions?

A worker may be at greater risk of contracting COVID 19 if any of the conditions set out in the assessments above are present and/or they are, for example over 70 years old with a medical condition; have a medical condition and/or compromised immunity, are pregnant.

Ministry of Health - COVID-19: Advice for higher risk people

Relevant medical conditions include:Chronic lung disease such as cystic fibrosis, bronchiectasis, chronic obstructive respiratory disease and emphysema, severe asthma that needs multiple medications and medical care.Serious heart conditions such as congestive heart failurehypertension that isn’t well controlleddiabetes that isn’t well controlledchronic kidney diseaseliver disease.

Consider also persons with risk of allergic reaction to the COVID 19 vaccination.

5 Very serious

3 Possible

15High

Face coveringUniversity guideline for different Alert LevelsRemote workingHandwashing and sanitiser

Ministry of Health COVID-19: Advice for persons at higher risk of severe illness


Person at risk of severe illness to liaise with GP regarding relevant medical condition


COVID testing

4 Serious

2 Unlikely

8Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










9

Unvaccinated peopleIf staff or students are not vaccinated against COVID 19, due to health or religious grounds the risk of infection or transfer of COVID will still be present with limited control. (Refer also Business risk - Legal).Ministry of EducationCOVID-19 Public Health Response Order for Mandatory Vaccinations for Education came into effect at 11.59pm on Monday 25 October.'Staff members who refuse to meet vaccination requirements cannot return to work onsite from Tuesday 16 November and they will be committing an infringement offence if they do so'.

Risk may reduce as vaccination rate progresses towards and beyond 90% and more people are vaccinated.New Zealand COVID-19 Protection Framework implemented when vaccination rate reaches 90% in all DHB regions.

If the University is open onsite it will need to ensure that attending students and staff are vaccinated. Staff who will be required to work onsite at the Red level will need to be vaccinated.

4 Serious

4 Likely

16Very High

Safe practices information communicated to staff and studentsFace coveringScreen at some reception areasHand washing and sanitiserPhysical distancingRegular cleaning. Increase frequency of cleaning in shared bathroom facilitiesSpecial cleaning where requiredUniversity process for managing positive COVID case.

Redeployment of any current staff who refuse vaccination. The University will work through a process for redeployment elsewhere within the university.

New Zealand COVID-19 Protection FrameworkRed traffic light. Tertiary education. Vaccinations required (with vaccination certificates) for on site delivery, with capacity based on 1m distancing. Otherwise distance learning only.Orange traffic light. Education open with public health measures in place. If vaccination certificates are not used, close contact businesses e.g. gyms unable to operate.Green traffic light. If vaccination certificates are not used, gathering <100 people based on 1m distancing. Gyms <100 people based on 1m distancing.


Ministry of Health data 03-11-2021Percentage of population received second doseCCDHB region - 81% of population vaccinated.NZ total - 76% of population vaccinated

It is not known if National and DHB regional vaccination rates are representative of the University community

Te Herenga Waka Vaccination Survey

Planning, in consultation with students and staff is required to determine how to operate at the red level.


COVID testing

From Ministry of Health COVID-19: About the Delta variant (16 August 2021)Being fully vaccinated gives you a high degree of protection against Delta infection, and an even higher degree of protection against severe illness, hospitalisation and death. Evidence currently shows the effectiveness of two doses of the Pfizer vaccine against illness due to Delta infection is about 88% and the protection against hospitalisation due to Delta infection about 96%.

4 Serious

3 Possible

12High

Medical exemptionStaff member must provide copy of exemption on or before Monday 15 November.

Workers may be exempt from the requirement to be vaccinated if, after examination:a suitably qualified health practitioner considers that the vaccination is clinically contradicted for the person, anda suitably qualified health practitioner provides written confirmation of that assessment

Work with affected person to determine duties that they can safely undertake which does not compromise their safety, or the safety of ākonga or the greater schooling community.

Consider HR systems and SMS need to record vaccine status

10

Low staff resilience. If staff respond to a prolonged event involving COVID 19 they may suffer Post Traumatic Stress Disorder. This could be exacerbated by limited experience or knowledge.

3 Moderate

3 Possible

9Medium

Employee Assistant Programme (EAP)

University process for managing positive COVID case on campus

Management support and Supervision

Advice from:Human ResourcesStaff Wellness ManagerStudent HealthRegional Public HealthTEC

Manager provides leadership and support to staff

Oversight by senior management

3 Moderate

3 Possible

9Medium

11

Low student resilienceIf student(s) become isolated from their peers in uncertain circumstances, any existing vulnerability will be exacerbated

4 Serious

4 Likely

16Very High

Professional supports for each vulnerable student

Guideline for student engagement under AL4 and AL3

Advice from:Student Health

4 Serious

2 Unlikely

8Medium

12

Working extended hours.If staff work long hours or shift patterns with shorter than desired rest periods due to insufficient staff cover this could cause fatigue in workers leading to increased probability for error resulting in harm

4 Serious

4 Likely

16Very High

Adequate rest between shifts and temporary reduced shift duration on site (flexible work arrangements)

Oversight by managers

3 Moderate

3 Possible

9Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










13

Responding to positive COVID 19 result If a positive COVID 19 case occurs within a University building and there is insufficient and/or timely guidance available for the wider community, staff and students may be exposed to the virus due to delayed, incorrect or no response.

Staff could have been working with unwell students or colleagues before symptomatic.

Guidance for businesses that are locations of interest following a visit by a confirmed (or probable) COVID-19 case29 August 2021Being a location of interest means that a confirmed (or probable) case has visited your premises during theirinfectious period.

4 Serious

5 Almost certain

20Very High

University guidelines on intranet for working in different alert levels and including action to take in event of positive COVID case

Safe practices information communicated to hall staff and residents

Advice from:Regional Public HealthStudent HealthMoH guidanceTEC and MoEHuman Resources


Oversight and advice from senior management

COVID testing


4 Serious

2 Unlikely

8Medium

14

Responding to an incident If a student or staff member returns to university after visiting a 'location of interest' or travelling from a region at a higher AL, staff and students could be exposed to a greater risk of COVID 19. Refer also University requirements for emergency response under H&SAWA and PCC.Ministry of Health COVID-19: About COVID. How Delta is different from earlier variantsScience is telling us the Delta variant has a number of differences compared to earlier iterations of the virus. These differences mean that the Delta variant is a greater threat to the health of individuals who contract the infection and a greater challenge to contain the spread of the virus in an outbreak. The chance of infecting others such as within your household or other contacts is very high because Delta is so transmissible. It is estimated that on average, one person infected with Delta may infect 5 or 6 other people. This is how Delta outbreaks in places overseas have grown so rapidly.People with Delta infections seem to carry much more virus (have a higher viral load) and for a longer period of time than those infected with the original virus or other variants.

5 Very serious

4 Likely

20Very High

Safe practices information communicated to staff and studentsIsolationGuidelines for responding to a positive COVID on campus

Follow government and Student Health advice

Information and advice provided to students on emergency actions and reporting incidents and raising health and safety concerns as required by the PCC.


Guidance for businesses that are locations of interest following a visit by a confirmed (or probable) COVID-19 case29 August 2021Being a location of interest means that a confirmed (or probable) case has visited your premises during theirinfectious period.

Advice from senior management

COVID testing



4 Serious

3 Possible

12High

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










15

Unexpected death on campusIf staff or student have COVID 19 symptoms which are unchecked it may become serious or fatal and infect others in the University.

Note: current low rates of vaccination protection. However vaccination numbers are increasing, therefore risk may reduce over time

5 Very serious

5 Almost certain

25Very High

Safe practices information communicated to staff and studentsUniversity guidelines for operating at different COVID Alert LevelsFace coveringHand washing and sanitiserPhysical distancingUniversity process for responding to a positive COVID case on campusIsolationperson transferred to MIQ or hospitalUniversity process for responding to a sudden death on campus

Residual risk remains high. Outcome extremely unlikely. Risk description is 'Unexpected death on campus' so severity remains very serious. Controls in this risk reduce likelihood rather than severity.

Oversight and treatment provided by Student Health and/or external provider


COVID testing


5 Very serious

1 Extremely

unlikely

5High

16

Unsafe behaviour. If staff and students do not follow Government and University guidelines and practices for COVID 19 safety (if it is in the community) they will put themselves and others at risk.

Some experience of non-compliance e.g. breach of travel restrictions, disrespect of space requirements, bubbles breached and unauthorised guests in halls.

Note: current low rates of vaccination protection.

4 Serious

4 Likely

16Very High

Safe practices information communicated to staff and studentsMonitoring by management


COVID testing



4 Serious

3 Possible

12High

17

Security - perimeter controlWSNZ - Will the work continue to involve regular interaction with unknown people if the region is at a higher alert level?

If premises are not secure, unauthorised access may occur. Intruder has unknown health condition causes infection risk to staff or students. Residents feel unsafe.

3 Moderate

4 Likely

12High

CCTV, Security foot patrol, swipe/proximity card control, mechanical locking on doors, management on the premises during office hours


3 Moderate

2 Unlikely

6Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










18

Large scale displacement - Location of interestIf a University building or entire campus becomes unavailable due to contamination from COVID 19, the area will be a 'location of interest' and the University will be unable to provide safety and welfare facilities (on its campuses) to staff and students who are displaced.

Note: current low rates of vaccination protection. Risk may reduce as vaccination rate progresses towards and beyond 90% and more people are vaccinated.

Guidance for businesses that are locationsof interest following a visit by a confirmed(or probable) COVID-19 case29 August 2021Being a location of interest means that a confirmed (or probable) case has visited your premises during theirinfectious period.

4 Serious

3 Possible

12High

Emergency Response and Crisis Management planCrisis Management TeamIncident Management TeamSpecial cleaning processIsolation

Any educational facilities affected by COVID-19 will be directed to close. (Overarching principles for TEOs at AL3)

If a COVID-19 test is positive the area will need to be thoroughly cleaned before people can return. Refer toprocedure for responding to a positive COVID-19 case

Advice from:Ministry of Health Human ResourcesStudent HealthRegional Public HealthTECCleaning contractor

Anyone that becomes ill afterreturning to the University should remain at home and must seek medical advice through Healthline or their GP

Crisis Management Team provides leadership and support to Incident Management Team


4 Serious

2 Unlikely

8Medium

Further Government advice required for response if University building or entire campus becomes location of interest

19

Ongoing and continued low vaccination ratesIf New Zealand does not achieve 90% vaccination rate across all DHB regions COVID 19 controls including lock downs will remain in place causing restrictive work and social practices.

Risk may reduce as vaccination rate progresses towards and beyond 90% and more people are vaccinated.

PM medial release 22.10.2021:'Businesses that choose to open to the unvaccinated will face restrictions in order to suppress the virus amongst those most likely to have it'.

4 Serious

4 Likely

16Very High

COVID 19 Protection FrameworkGreen, orange similar to now but may have more requirements around mask wearing. Red only able to open on site for vaccinated staff and students. Dual provision necessary if open at red although option fully online. Appropriate public health measuresVaccination certificates




4 Serious

3 Possible

12High

20

University unable to achieve adequate vaccination rateIf the University is unable to achieve a good vaccination rate, it may not be able to provide a safe environment for staff and students due to high risk of COVID 19 infection.

Lower vaccination rate could be due to successful legal challenges for staff to be vaccinated.

Consider also that worker may not disclose to the University their vaccination status.

4 Serious

4 Likely

16Very High

For work that needs to be carried out by a vaccinated worker, University considers worker unvaccinated if status undisclosed.

Workers advised how COVID 19 vaccination information will be used, and why it is being collected.

On line teaching



Worker's personal information collected and handled according to the Privacy Act.

4 Serious

3 Possible

12High

Employment.govt.nzConsider all reasonable alternatives, such as finding other work within the business that does not require vaccination.

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










21

Study and research undertaken at internal locations.WSNZ - What is the risk of COVID-19 infection and transmission in the work environment when compared to the risk outside work?

University study involves attending lectures, seminars and laboratory work. These internal rooms involve attendance by large or small groups. Refer also study and research bubbles.

Attendance at internal location lower participants depending on alert or traffic light level and vaccination rate.

From Tertiary Provider and International Bulletin. Friday 22 October 2021Advice for Auckland and WaikatoAt AL3 - Limit in person classes or workshops to 10 people per class. This group of 10 should include the tutor. Each class is considered a bubble and must not interact with any other student/staff bubbles of 10.

4 Serious

4 Likely

16Very High

Maintain physical distancing, group and bubble controls

Keep surfaces clean to prevent persons touching droplets which have settledImplement deep cleaning process to commercial standard in bathrooms,kitchens

Ensure good ventilation. Some buildings have mechanical ventilation systems

Display signage - people with symptoms consistent of COVID 19 not to enter. Signage should be placed near the entrance to buildings or grounds.Display signs relating to gatherings in line with official advice

CPF - Orange traffic light. Education facilities will be open with public health measures in place



Management and staff monitor use of safety controls

4 Serious

3 Possible

12High

CPF - Green traffic light. Places with vaccination certificate requirementsNo limits if vaccination certificates are used for:hospitality gatherings events (indoor/outdoor)close contact businesses Places where vaccination certificates are not usedIf a business, organisation or service, does not request proof of vaccine, restrictions will apply. Hospitality <100 people, based on 1m physical distancing, seated and separated.Gatherings <100 people, based on 1m physical distancing.Events (indoor/outdoor) <100 people, based on 1m physical distancing, seated and separated.Close contact businesses — face coverings for staff, 1m distancing between customers. <100 people, based on 1m physical distancing

22

Unable to participate in fieldworkWSNZ - What is the risk of COVID-19 infection and transmission in the work environment when compared to the risk outside work?

If premises owners/operators used by the University in field work do not allow visitors without COVID 19 vaccinations, students and staff will not be able to participate in the event and complete their degree or research.

Some fieldwork is largely undertaken in outside environments e.g. remote locations with good natural ventilation.

4 Serious

4 Likely

16Very High

Workplace-based learning managed within the public health control measures that apply to that workplace.

University staff providing secondary tertiary education on a school site will need to be vaccinated in accordance with rules relating to schools.

Consult, cooperate and coordinate with others about work which may impact upon the safety of others in the premises


School management and staff monitor use of safety controls

Seek assurance that other organisations will discharge their health and safety duties to University staff and students

Provide assurance to affected organisations that University staff and students will not adversely impact the health and safety of the other organisation’s workers

4 Serious

2 Unlikely

8Medium

Liaise with placement operator regarding their safety controls for COVID 19

Working with other PCBUs in the University

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










Refer alsoUniversity intranet for COVID 19 Alert Level guidelines;Procedure for positive COVID case on campus

23

Working with others in University premisesWSNZ - How easy will it be to identify the people who the employee comes into contact with?

WSNZ - Will the work continue to involve regular interaction with unknown people if the region is at a higher alert level?

Health and vaccination status of contractor's staff and visitors is not known to the University. This could exacerbate the risk of COVID 19 transmission if present in the community.

External visitors include:Visitors from other universities or external organisationsMembers of the public, friends and family Contractors Retailer's staffStaff from other parts of the University Emergency services Couriers and food deliveries Catering and cleaning staffDeliveries from suppliers (consumables) Maintenance and construction workersExternal security staff

4 Serious

4 Likely

16Very High

University guidelines for operating at different alert levelsUniversity staff work remotelyEssential work only

Physical distancing from workers, delivery personnel and othersFace covering. Hand washingCleaningVentilation

Guest ban. Members of the public are not permitted on any University premises. Refer relevant COVID 19 alert level guideline. No visitors including family or close friends are permitted

Where permitted under relevant COVID 19 alert level, staff should ensure anyone entering a University premises scans the NZ COVID Tracer QR code or provides contact tracing details

Contactless deliveries (where deliveries are permitted under relevant alert level in place) in compliance with relevantinfection control measures

Contractors safe work practices. Minimum number of people to complete task, after consideration of workplace safety

Liaise with contractors regarding COVID safe practicesEquipment maintenanceCleaningCateringDeliveries

Staff at a high risk of severe illness from COVID-19 or those caring for/living with people at a high risk of severe illness from COVID-19 discuss with their manager and continueto work online

University Contract Manager, Project Manager and Infrastructure management


Commercial agreements with other organisations include an obligation to consult, cooperate and coordinate on safety matters

4 Serious

3 Possible

12High

Health and Safety at Work Act 2015 Section 34 PCBU must consult other PCBUs with same duty(1) If more than 1 PCBU has a duty in relation to the same matter imposed by or under this Act, each PCBU with the duty must, so far as is reasonably practicable, consult, co-operate with, and co-ordinate activities with all other PCBUs who have a duty in relation to the same matter.

Note: Risks associated with ongoing work with other organisations.

WSNZ - Will the work continue to involve regular interaction with unknown people if the region is at a higher alert level?

References includeReferences used for this assessment in relation to Student Living operations:Guidelines for Tertiary Education Organisations on how to operate under different Alert LevelsHealth and Safety at Work Act (2015)WorkSafe NZ - Overlapping duties – quick guideWorkSafe NZ - Working with other businesses (also called overlapping duties). February 2019 https://creativecommons.org/licenses/by-nc/3.0/nz/

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










24

Overlapping duties (University and contractors)If the University and its contractors do not identify and manage their overlapping duties sufficiently - fail to co-operate, co-ordinate and consult regarding safety matters, e.g. risk of transmitting COVID 19, workers and residents may become unwell

This includes:Control of the work activityControl of the workplaceControl of the workers

Risks may be different for a range of workers and resident groups. Refer risk assessments below

Work specific risk assessment required

4 Serious

4 Likely

16Very High

University guidelines for operating at different COVID 19 alert levels

Essential work undertaken only

Physical distancing from workers, delivery personnel and othersFace coveringHand washingCleaningVentilation

Contractors safe work practices

Communication between all organisations to ensure dialogue on workplace health and safety matters




Hall management and staff monitor use of safety controls

4 Serious

2 Unlikely

8Medium

Liaise with contractors regarding COVID 19 safe practices:

Equipment maintenanceCleaningCateringDeliveries

List contractor specific work controls, safe work practices in column F as required

25

Overlapping duties poorly managedIf the University does not identify and manage its risks sufficiently - fail to co-operate, co-ordinate and consult regarding safety matters, e.g. risk of transmitting COVID 19, contractor's workers may become unwell

Risks may be different for a range of workers and worker groups. Refer risk assessments below


4 Serious

4 Likely

16Very High



Physical distancing Face covering. Hand washing

Consult, cooperate and coordinate with other organisations about work which may impact upon their safety in university premises





Provide assurance to other organisations that University staff and residents will not adversely impact the health and safety of the other organisation’s workers

4 Serious

2 Unlikely

8Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










26

Visitors from other parts of the university, friends and familyIf staff, students and visitors do not practice good hygiene and physical distancing (where COVID 19 alert level controls permit visitors) persons could catch or transmit COVID 19

Refer also risk above. If large groups of people gather, transmission of the COVID virus may occur through aerosols, which could remain airborne or settle on surfaces

4 Serious

4 Likely

16Very High


Physical distancing Face covering Hand washingGuest ban. Members of the public are not permitted on any University premises. Refer relevant COVID alert level guideline. No visitors including family or close friends are permitted.

University bubble restrictions - limited number of staff and students e.g. study and research bubblesSignage - No gatherings

All students in COVID alert level 3 areasrecommended to remain in current accommodation. They may move if relocating on permanent basis or to primary place of residence in an AL4area

Students strongly discouraged from moving or returning to student accommodation at AL3 if they have been offsite for AL4. Students must not change their accommodation if they have been directed to isolate

Refer required improvements Contact tracing and record keeping inc. QR code

Where permitted under relevant COVID alert level staff should ensure anyone entering a University building scans the NZ COVID Tracer QR code or provides contact tracing details

Hall management and staff monitor use of safety controls

4 Serious

3 Possible

12High

Visitors to be notified of COVID 19 safety controls that they need to follow when visiting the University, where permitted under relevant COVID 19 alert level arrangements

27

Poor risk awarenessIf there is a lack of knowledge about how each business’ work activities contribute to health and safety risks in the University, safety risks may be undetected. Including health risks from COVID 19

Consider the extent of each organisation's responsibility to carry out their duties. This is likely to be different depending on their ability to influence and/or control health and safety risks.


4 Serious

4 Likely

16Very High

Refer column G

Specific risk assessment required and list controls

Property Services and other staff who engage contractors work together with contractors to identify risks and determine how they will be managed

Consult, cooperate and coordinate with other organisations about work which may impact upon the safety of others in the premises


Seek assurance that other organisations will discharge their health and safety duties to University staff and residents


4 Serious

2 Unlikely

8Medium

Liaise with contractor regarding their safety controls

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










28

Conflicting worksIf work is not coordinated in University buildings and multiple works conflict with each other, workers and/or students could be harmed e.g. workers, staff and students, work in close proximity to each other - work in areas shared by staff and students which may present higher risk of COVID 19 such as bathrooms or common areas

Refer also risk above. If large groups of residents gather, transmission of the COVID 19 virus may occur through aerosols, which could remain airborne or settle on surfaces

Consider also leased premises where maintenance or repair programmes are operated by a separate landlord/building owner or manager.


Work specific risk assessment required.

4 Serious

4 Likely

16Very High

Advise personnel of safe access and egress arrangements

Work programming with building, CSU or School management

Minimum number of people to complete task, after consideration of workplace safety

Physical distancing between contractor's workers and University staff and students

Liaise with building owner/manager and different contractors regarding their work programmes and safety controls to protect others

Consult, cooperate and coordinate with building owners/operators about health and safety impacts on University students and staff regarding work undertaken



4 Serious

2 Unlikely

8Medium

Liaise with building owner, Landlord, Building Manager, contractor regarding their safety controls for COVID 19

29

Unidentified or uncontrolled risks If a partner in the work arrangements incorrectly assumes another is managing a risk, controls will not be implemented and risks will not be managed



4 Serious

4 Likely

16Very High

Assign risk owner and ensure duties are known, documented and understood so that groups know what they are responsible for.

Specific risk assessment required and list controls.

Project and Contract Manager appointed.

Ensure sufficient consultation, determine and document organisation controlling risks

Consult, cooperate and coordinate about work which may impact upon the safety of others in the premises



Periodic review of risk registers



4 Serious

2 Unlikely

8Medium

Liaise with contractors regarding their safety controls

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










30

COVID 19 transmitted during equipment and plant maintenanceLiftsFire safety systemsComputer equipmentElectrical systemsSecurity systems PlumbingHVACDoor maintenance and access controlPhotocopier and other office equipment

If the University's maintenance contractors do not manage their risk of transmitting COVID 19, staff and students may become unwell



4 Serious

4 Likely

16Very High

University guidelines for operating at different alert levels


Physical distancing from workers, Face covering used by maintenance staffHand washingCleaningVentilation

Signs and barriers around worksite

Screens in some reception areas

Contractors safe work practices. Minimum number of people to complete task, after consideration of workplace safety and relevant COVID alert level

Complete task remotely where possible. Refer relevant COVID 19 alert level







Contract review

4 Serious

2 Unlikely

8Medium

Liaise with contractor regarding their safety controls for COVID 19

31

Equipment and plant not maintained due to site access restrictionsIf safety equipment and plant is not maintained in University premises due to COVID 19 controls for site access, it could become unreliable and may fail when in service resulting in harm. Includes:LiftsLightingHVACPlumbing, water heatersCatering equipmentFire safety systemsSecurity systems, access control and CCTV

4 Serious

4 Likely

16Very High

Essential works undertaken

Physical distancing from workers, Face covering used by maintenance staffHand washingCleaningVentilation




Complete task remotely where possible. Refer relevant COVID alert level


BWOF

4 Serious

2 Unlikely

8Medium

32

Unsafe operation of University vehiclesIf university vehicles are not maintained they could become unreliable and fail during use resulting in harm. Essential mechanical and electrical safety systems may go beyond their safe service limits. E.g. tyres, brakes

4 Serious

4 Likely

16Very High

Remove vehicle from service if unable to maintain or repair

WOF

4 Serious

2 Unlikely

8Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










33

COVID 19 contamination via surfacesIf the University's Cleaning contractors do not manage their risk of catching or transmitting COVID 19, staff and students may become unwell

Risks to cleaning staff may be exacerbated where special clean is required following positive case of COVID 19 in University premises

Deep cleaning process to commercialstandard in bathrooms, kitchens at AL4. Consider cross contamination between floors and buildings.

4 Serious

4 Likely

16Very High


Refer specifically - Procedure for positive COVID case on campus

Physical distancing from workersFace covering used by cleanersHand washing. Cleaning and rubbishcollection supplemented with sanitiserand wipesCleaningVentilation

Screens in reception areas


Consult, cooperate and coordinate with others about work and higher risk areas which may impact upon the safety of others in the premises






Contract review

4 Serious

2 Unlikely

8Medium


34

Retailers and Catering risks unmanagedIf the University's retailers and Catering contractors do not manage their risk of catching or transmitting COVID 19, staff and students may become unwell.

May increase risk of transmission between student and worker when being served food.

Management of food allergies.

Refer also risk - Location of interest and working with others in the University

4 Serious

4 Likely

16Very High


Physical distancing from workers and between customersFace covering used by retailers catering staff and customersHand washingCleaningVentilation

Red traffic light - Retail – open with capacity limits based on 1m distancing




Contract Relationship Manager


University and retailers management and staff monitor use of safety controls


Provide assurance to affected organisations that University staff and students will not adversely impact the health and

4 Serious

3 Possible

12High


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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










35

Externally controlled works not well managedIf works are arranged by building owners, Landlord or Building Manager and consultation with University management is not undertaken, risks may not be identified and appropriate safety controls will not be implemented. This could increase the risk of staff, students or contractors contracting or transmitting COVID 19.

4 Serious

4 Likely

16Very High


Essential work only

Physical distancing from workers, Face covering used by students, maintenance and University staffHand washingCleaningVentilation



Contract Manager, Building Services Manager and Project Manager appointed









4 Serious

2 Unlikely

8Medium


36

Deliveries and supply chain risk not managedIf persons delivering items to University premises do not manage their risk of catching or transmitting COVID 19, staff and students may become unwell

Short period on site, where COVID 19 alert level permits

May increase risk of transmission between recipient and delivery personnel

Food delivery individual and catering suppliesMail deliveriesStationary suppliesFurniture deliveryWaste and refuse collectionTaxi operators

4 Serious

4 Likely

16Very High


Physical distancing from workersFace covering used by delivery staff and taxi operators

Hand washing


Contactless deliveries (where deliveries are permitted under relevant alert level in place) in compliance with relevantinfection control measures



Advise courier or delivery personnel of safe access arrangements




Contract review for regular delivery contracts



4 Serious

2 Unlikely

8Medium


Associate Director, Campus Living to liaise with mail delivery contractors and courier operators

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










37

Interrupted Graduation ceremony and other University eventsIf premises owners/operators used by the University to host graduation ceremony and other events do not allow visitors without COVID 19 vaccinations, students and staff will not be able to participate in the event.

WSNZ - How long does the work require the employee to be in that proximity to other people?

Large lectures >100 participants and long duration >1hour

Refer also risk - Bubbles and gatherings uncontrolled

4 Serious

4 Likely

16Very High

Cancelled or postponed event (Refer November/December 2021 Graduation ceremony)


2 Minor

2 Unlikely

4Low

Assessment Approval. Note: risk assessments need to be reviewed and approved by a person with appropriate specialist knowledge, expertise and authority.

Phil O'ConnellDirector, Safety Risk and Assurance

Jeff MunnRisk Management Consultant

By e-mail

By e-mail04.11.2021

Assessment carried out by:

Assessment reviewed and approved by:

Date:

Date:

Signature:

Signature:

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DRAFT - University risk assessment - COVID 19

Controls/mitigation Assurance Approval Required improvements

Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)

1 Ops

Maintenance services interrupted. If premises and services are not maintained due to restricted access under COVID 19 alert level/traffic light controls, buildings and equipment will become unreliable, unavailable or unsafe resulting in partial of complete closure of a building.

3 Moderate

5 Almost certain

15High


Contractors safe work practices. Minimum number of people to complete task, after consideration of workplace safety and relevant COVID 19 controls




3 Moderate

2 Unlikely

6Medium

2 Ops

Cleaning and 'on demand' pest control services to residents. If premises are not cleaned, day-to-day operation will be impacted. Rooms not cleaned resulting in poor hygiene. Also - poor reputation and financial loss 3

Moderate4

Likely12

High






3 Moderate

2 Unlikely

6Medium

3 Ops

Reduced functionality of premises. If University buildings are not fit for purpose, negative impact will result on student experience and perception of hall

4 Serious

4 Likely

16Very High






4 Serious

2 Unlikely

8Medium

4 Ops

Interrupted electricity supply. If the electricity supply becomes unavailable for an extended period lighting, heating, fire safety or security systems could be impacted resulting in closure of University building

3 Moderate

4 Likely

12High

UPS or emergency generator for short duration. Partial control.




FM liaison with utility supplier

3 Moderate

3 Possible

9Medium



RM02B BUSINESS RISK REGISTER

List and describe each risk Assess raw risk (no controls) Assess residual or treated risk (with controls)Risk number & category. Type of risk. Refer tab 8 for category codes



Actions taken to help reduce the likelihood, and/or of a risk occurring and effect of the outcome.

Checks are carried out on the controls


of 39


Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









5 Ops

Interrupted water supply. If the water supply becomes unavailable for an extended period, drinking water or welfare facilities could be impacted resulting in closure of University building 3

Moderate4

Likely12

High





3 Moderate

3 Possible

9Medium

Review emergency water arrangements.

6 Ops

Interrupted gas supply. If the gas supply becomes unavailable for an extended period catering staff will be unable to prepare hot food.

3 Moderate

4 Likely

12High





3 Moderate

3 Possible

9Medium

Review emergency food arrangements

Identify specific halls affected

7 Ops

Ongoing and continued low vaccination ratesIf New Zealand does not achieve 90% vaccination rate across all DHB regions COVID 19 controls including lock downs will remain in place causing restrictive work and social practices.

Risk may reduce as vaccination rate progresses towards and beyond 90% and more people are vaccinated.

4 Serious

3 Possible

12High

COVID 19 Protection FrameworkVaccination certificatesPM medial release 22.10.2021:'Green and orange and continue to operate with some restrictions at red. Businesses that choose to open to the unvaccinated will face restrictions in order to suppress the virus amongst those most likely to have it'.

Orange traffic light - Similar to now but may have more requirements around mask wearing. Red traffic light - Only able to open on site for vaccinated staff and students. Dual provision necessary if open at red although option fully online. Appropriate public health measures




4 Serious

3 Possible

12High

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









8 Finance

Financial loss due to (multiple) early termination of contractStudent(s) may terminate their contract due to COVID 19 lock down arrangements

4 Serious

3 Possible

12High

Orange traffic light. Education facilities will be open with public health measures in place


4 Serious

2 Unlikely

8Medium

Places with vaccination certificate requirementsNo limits if vaccination certificates are used for:gatherings, events (indoor/outdoor)close contact businesses Places where vaccination certificates are not usedIf a business, organisation or service, does not request proof of vaccine, restrictions will apply.Hospitality <100 people, based on 1m physical distancing, seated and separated.Gatherings <100 people, based on 1m physical distancing.Events (indoor/outdoor) <100 people, based on 1m physical distancing, seated and separated.Close contact businesses — face coverings for staff, 1m distancing between customers.<100 people, based on 1m physical distancing

8 Finance

Financial loss due to disruption or delay of worksIf contract managers fail to consult appropriately with Landlord, Building Manager or contractor and maintenance or improvement works is delayed, the University may experience interruption to building, plant or equipment availability or increased contract costs

4 Serious

4 Likely

16Very High



4 Serious

2 Unlikely

8Medium


8 HR

Unavailability of staff. If key staff are unavailable priority tasks will be impacted. For example, insufficient management, supervisors or technical staff available. E.G managers, and technical staff. Specialist skills not available or unchecked.

Staff may resign their position if they do not agree with requirement for COVID 19 vaccination, if mandated.

4 Serious

3 Possible

12High

Business Continuity Plans Te Herenga Waka Vaccination Survey

3 Moderate

3 Possible

9Medium

Develop or allocate controls

Residual risk may be higher when local impacts considered. E.g. Consequence of unavailability of one or more staff in an individual school of CSU

Specific risk assessment required

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









9 ITS

Insecure information security and privacy breach. If confidential COVID 19/vaccination health information is accessed by an unauthorised person privacy will be breached resulting in a complaint made by a resident or Privacy Commissioner.

5 Very serious

4 Likely

20Very High

Secure information management processesTrained staff

Advice provided by the University's In house Solicitor 4

Serious2

Unlikely8

Medium

10 Legal

Management of sensitive incident. If sensitive incidents involving a positive case of COVID 19 are not managed correctly a residents privacy will be breached.

4 Serious

4 Likely

16Very High

Critical Incident ProcedureUniversity process for managing a positive case of COVID 19

Management oversightAdvice provided by the University's In house Solicitor

4 Serious

2 Unlikely

8Medium

Staff training

11 Legal

Compliance with legal and regulatory requirements. If the University does not comply with its legal and regulatory obligations - Health & Safety at Work Act, Disability Act, Privacy Act, Human Rights Act, Code of Practice for Pastoral Care of Students the University may be investigated and/or prosecuted.

5 Very serious

4 Likely

20Very High

Specialist internal advisor E.G. Health & Safety, Legal, Student Health, Wellington University International, FM.

Internal audit, Safety inspections, Annual Health & Safety Plan


4 Serious

2 Unlikely

8Medium

Specific risk assessments required

12 Legal

Contract complianceIf student study or research contracts do not contain modified cancellation clauses under COVID 19. The PCC requirements - grounds for terminating the contract may not be met.

4 Serious

4 Likely

16Very High

Advice from the University's legal team

4 Serious

2 Unlikely

8Medium

Check contracts and confirm appropriate inclusions

of 39


Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









13 Legal

University unable to achieve adequate vaccination rateIf the University experiences a successful legal challenge regarding requirement for vaccinated staff to carry out certain roles it might be unable to achieve a good vaccination rate, it may not be able to provide a safe environment for staff and students due to high risk of COVID 19 infection.

Ministry of EducationCOVID-19 Public Health Response Order for Mandatory Vaccinations for Education came into effect at 11.59pm on Monday 25 October.Staff members who refuse to meet vaccination requirements cannot return to work onsite from Tuesday 16 November and they will be committing an infringement offence if they do so

4 Serious

3 Possible

12High

Redeployment of any current staff who refuse vaccination.

The University will work through a process for redeployment elsewhere within the university.


Vaccination certificate - trust model

Vaccination records

Advice required re Privacy requirements



4 Serious

3 Possible

12High

Medical exemptionStaff member must provide copy of exemption on or before Monday 15 November.

Workers may be exempt from the requirement to be vaccinated if, after examination:a suitably qualified health practitioner considers that the vaccination is clinically contradicted for the person, anda suitably qualified health practitioner provides written confirmation of that assessment

Work with affected person to determine duties that they can safely undertake which does not compromise their safety, or the safety of ākonga or the greater schooling community.

14 Legal

Human Rights issueIf a student or staff member refuses the COVID 19 vaccine on religious or grounds of personal choice, arguments may be presented on discrimination under the Human Rights Act resulting in a discrimination claim.

Refer Human Rights Act 1993Proceedings92B (1)(a) Civil proceedings arising from complaints 4

Serious3

Possible12

High

To be discussed and worked through as part of a transparent consultation process.

Redeployment of any current staff who refuse vaccination -


4 Serious

3 Possible

12High

Consultation with University Legal Team

of 39


Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









15 Legal

Employment issuesIf new staff require pre-employment assessment regarding COVID 19 vaccination to be included, ongoing proof about maintaining adequate vaccination status is needed in the agreed terms (boosters may be required next year (2022) and in subsequent years). In addition, this has a knock on effect on existing staff and students and areas of the University where prolonged close contact occurs.

4 Serious

3 Possible

12High

Note: the vaccination requirement will need to be worded to ‘remain up to date’ as further boosters will likely be needed.

COVID 19 vaccination evidence supplied by staff to be managed and stored using the same process as current Police vetting requirements now.

Redeployment of any current staff who refuse vaccination - work through a process for redeployment elsewhere within the university. At this stage not aware of anyone this would apply to.

Vaccination certificate - trust model

Vaccination records



4 Serious

2 Unlikely

8Medium

Human Resources and Legal required to supply employment agreements.

16 Legal

Government advice not availableIf clear guidance for working under COVID 19 controls is not available, taking steps ahead of having that detail being released poses risk for the University if its approach turns out to be inconsistent with government advice.

Note: this issue of mandating COVID 19 vaccines is an area where test cases for workers may be taken through the Courts.

4 Serious

4 Likely

16Very High

Research undertaken using official sources:WorkSafe - Assessing whether a specific role needs to be performed by a vaccinated worker;Ministry of Health, Guidelines for Businesses and Services;Ministry of Health COVID-19: About COVID; Employment New Zealand, Vaccines and the workplace;TEU Position Paper 14.09.2021

University specialists consulted

4 Serious

3 Possible

12High

Discuss whether there is a consensus view with the other NZ universities, through Universities NZ on what should be done

Lobby Government/Ministry of Education/Ministry of Health via Universities NZ to provide clear guidance that is specific to the tertiary sector, or a mandate on this and taking any next steps following that guidance or mandate.

of 39


Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









17 Legal

Overlapping duties not observedIf the University and its contractors do not manage their overlapping duties sufficiently - fail to co-operate, co-ordinate and consult regarding safety matters, e.g. risk of transmitting COVID 19, the University could be prosecuted.

4 Serious

4 Likely

16Very High




Essential work only

Physical distancing from workers, delivery personnel and othersFace coveringHand washingCleaningVentilation




Provide assurance to other organisations that University staff and residents will not adversely impact the health and safety of the other organisation’s workers

4 Serious

2 Unlikely

8Medium

Liaise with contractors regarding COVID safe practicesEquipment maintenanceCleaningCateringDeliveries

18 Legal

Legal challenge by staff or studentIf University staff and/or students are required to be vaccinated against COVID 19 and a staff member or student refuses to be vaccinated they could file a legal challenge in court against the University.

Refer also risk - Human rights issue

4 Serious

4 Likely

16Very High

Robust risk assessment undertaken to determine appropriate controls to manage risk of contracting and transmitting COVID 19 in the University

Advice from University Legal and Human Resources teams


3 Moderate

3 Possible

9Medium

Consultation with University Legal Team

19 Legal

Legal challenge by regulatorIf the University does not manage identified risks appropriately they could be investigated and challenged by WorkSafe

Refer also safety risk assessments

Indication WorkSafe will initially take education approach rather than prosecution

4 Serious

4 Likely

16Very High

Robust risk assessment undertaken to determine appropriate controls to manage risk of contracting and transmitting COVID 19 in the University

Advice for University Legal and Safety, Risk and Assurance teams

3 Moderate

2 Unlikely

6Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









18 LegalFinancial

Equipment and plant not maintainedIf safety equipment and plant is not maintained in University premises the BWOF could expire and equipment or plant could become unreliable and may fail when in service resulting in loss and prosecution. Includes:LiftsLightingHVACPlumbing, water heatersLab equipmentCatering equipmentFire safety systemsSecurity systems, access control and CCTV

4 Serious

4 Likely

16Very High




BWOF

4 Serious

2 Unlikely

8Medium

19 LegalFinancial

Unsafe operation of University vehiclesIf university vehicles are not maintained the WOF could expire and they could become unreliable and fail during use resulting in loss and prosecution. Essential mechanical and electrical safety systems may go beyond their safe service limits. E.g. tyres, brakes

Consider also boats (VUCEL)

4 Serious

4 Likely

16Very High

Remove vehicle from service if unable to maintain or repair

WOF

4 Serious

2 Unlikely

8Medium

20 LegalFinancial

Penalty for non complianceIf the University does not comply with requirements of the Pastoral Care Code )PCC) it could incur costs associated with an external investigation. These costs could include:Costs, disbursements and expenses reasonably incurred by the code administrator undertaking compliance visits and investigations,Legal and other expenses arising from any further action undertaken by the code administrator as the consequence of a breach of PCCThe University may be issued with a Quality Improvement, Compliance notice or a fine not exceeding $100,000 under the PCC.

4 Serious

4 Likely

16Very High

Advice from University specialists E.G. Health & Safety, Legal, Student Health, Wellington University International, FM.Staff training - PCC requirements

Refer controls for individual risks.

Management oversightSelf review process and report

4 Serious

2 Unlikely

8Medium

21 LegalReputation

Insecure sensitive or personal informationIf personal health information is accidently shared with contractors during the PCBU consultation process whilst undertaking risk assessment, the University may be prosecuted under the Privacy Act

4 Serious

4 Likely

16Very High

Guidance and advice available from the Privacy Commissioner and the University's Privacy Officer

Staff trained in privacy arrangements4

Serious2

Unlikely8

Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









22 Reputation

Adverse mediaIf students are not satisfied with the University's arrangements for COVID 19 vaccinations (if required) interruption or early termination of study or research contracts due to COVID 19, the University could experience adverse media.

4 Serious

4 Likely

16Very High

Advice from The University's Finance and legal teams


3 Moderate

3 Possible

9Medium

Consult Communications team particularly regarding severity of adverse media

23 Reputation

Complaints - compliance with PCCIf the University is unable to provide all PCC requirements it may receive complaints from students or their parents. This could also result in an investigation by the regulator.

4 Serious

4 Likely

16Very High

Responding to a complaint processStudent Interest and Disputes Resolution team

Management oversightSelf review process and report 4

Serious2

Unlikely8

Medium

24 Teaching programme delivery

Unable to participate in fieldworkIf premises owners/operators used by the University in fieldwork do not allow visitors without COVID 19 vaccinations, students and staff will not be able to participate in the event and complete their degree or research

4 Serious

4 Likely

16Very High

Develop process to achieve objectives of fieldwork activity by remote learning.

Students intending to undertake placements in healthcare and early childhood or school settings to be vaccinated.

Vaccination records

Advice required re Privacy requirements 3

Moderate3

Possible9

Medium


Unable to participate in learning activitiesIf the University needs to mandate vaccinations for staff and students to adequately control the risk of catching and/or transmitting COVID 19, and they chose not to be vaccinated, those participants would not be able to undertake teaching activities on campuses

4 Serious

4 Likely

16Very High

Students participate in on-line/remote learningDigital Solutions team maintain computer applications - Blackboard

When 90% vaccination rate reached - New Zealand COVID-19 Protection FrameworkRed traffic light. Tertiary education. Vaccinations required (with vaccination certificates) for on site delivery, with capacity based on 1m distancing. Otherwise distance learning only.Orange traffic light. Education open with public health measures in place. If vaccination certificates are not used, close contact businesses e.g. gyms unable to operate.Green traffic light. If vaccination certificates are not used, gathering <100 people based on 1m distancing. Gyms <100 people based on 1m distancing.

Vaccination records


3 Moderate

2 Unlikely

6Medium

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)










Unable to participate in learning activitiesIf the University needs to mandate vaccinations for staff and students to adequately control the risk of catching and/or transmitting COVID 19, and they chose not to be vaccinated, those participants would not be able to participate in exams, assessments or tests on campuses

4 Serious

4 Likely

16Very High

On-line examsDigital Solutions team maintain computer applications - Blackboard

When 90% vaccination rate reached - New Zealand COVID-19 Protection FrameworkRed traffic light. Tertiary education. Vaccinations required (with vaccination certificates) for on site delivery, with capacity based on 1m distancing. Otherwise distance learning only.Orange traffic light. Education open with public health measures in place. If vaccination certificates are not used, close contact businesses e.g. gyms unable to operate.Green traffic light. If vaccination certificates are not used, gathering <100 people based on 1m distancing. Gyms <100 people based on 1m distancing.

Vaccination records


3 Moderate

2 Unlikely

6Medium

27 HR

University unable to achieve adequate vaccination rateIf the University is unable to achieve a good vaccination rate, it may not be able to provide some on campus services due to high risk of COVID 19 infection.

This could be due to successful legal challenges for staff to be vaccinated.

Consider also that worker may not disclose to the University their vaccination status.

4 Serious

4 Likely

16Very High

For work that needs to be carried out by a vaccinated worker. University considers worker unvaccinated if status undisclosed.

Workers advised how COVID 19 vaccination information will be used, and why it is being collected.

Redeployment of any current staff who refuse vaccination. The University will work through a process for redeployment elsewhere within the university.


It is unknown if National and DHB regional vaccination rates are representative of the University community

Worker's personal information collected and handled according to the Privacy Act.


4 Serious

3 Possible

12High

Employment.govt.nzConsider all reasonable alternatives, such as finding other work within the business that does not require vaccinationMedical exemptionStaff member must provide copy of exemption on or before Monday 15 November.Workers may be exempt from the requirement to be vaccinated if, after examination:a suitably qualified health practitioner considers that the vaccination is clinically contradicted for the person, anda suitably qualified health practitioner provides written confirmation of that assessmentWork with affected person to determine duties that they can safely undertake which does not compromise their safety, or the safety of ākonga or the greater schooling community.

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









30 Reputation/Finance

Low enrolmentIf students require COVID 19 vaccination to study at the University, and a significant number of students decline to be vaccinated, enrolment numbers of EFTS could be affected/significantly reduced. This could reduce funding received for EFTS and research grants and adversely affect the University's reputation.

4 Serious

4 Likely

16Very High

Remote learning where students do not need to attend face to face lectures.

New Zealand COVID-19 Protection FrameworkOrange traffic light. Education open with public health measures in place. If vaccination certificates are not used, close contact businesses e.g. gyms unable to operate.Green traffic light. If vaccination certificates are not used, gathering <100 people based on 1m distancing. Gyms <100 people based on 1m distancing.

4 Serious

2 Unlikely

8Medium

31 Reputation

Interrupted Graduation ceremony and other University eventsIf premises owners/operators used by the University to host graduation ceremony and other events do not allow visitors without COVID 19 vaccinations, students and staff will not be able to participate in the event resulting in poor student experience.

4 Serious

4 Likely

16Very High

Cancelled or postponed event (Refer November/December 2021 Graduation ceremony)


4 Serious

1 Extremely

unlikely

4Medium

4 Serious

4 Likely

16Very High

4 Serious

4 Likely

16Very High

4 Serious

4 Likely

16Very High

4 Serious

4 Likely

16Very High

4 Serious

4 Likely

16Very High

4 Serious

4 Likely

16Very High

Assessment Approval

Phil O'ConnellDirector, Safety Risk and Assurance

Jeff MunnRisk Management Consultant

By e-mail

By e-mail04.11.2021

Assessment carried out by:

Assessment reviewed and approved by:

Date:

Date:

Signature:

Signature:

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Consequence (C) 1-5

Likelihood (L) 1-5

Raw risk (CxL) 1-25

Consequence (C) 1-5

Likelihood (L) 1-5

Residual risk (CxL)









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RM03 GUIDE TO CATEGORISING HAZARDS

Hazard category Hazard properties Likely harm (consequences)Mechanical Entanglement Amputation

Moving parts Friction or abrasion Laceration

Rotating parts Cutting Puncture wound

Hot or cold surface Shearing Eye injury

Pressurised fluid Stabbing or puncturing Bruising

Crushing Burn/scald

Drawing in

Fluid injection

Ejection

Transport Impact Fractured bones

Moving vehicle Crushing Laceration

Internal injury

Slips, trips and falls Fall from same level Fatality (fall from higher level)

Access and egress Fall from higher level Fractured bones

Surface conditions Bruising

Vertical conditions, change in level Sprain/strain

Electricity Contact with live supply Electrocution

Power tools Fire Burns

Machine tools Shock (resulting in secondary injury)

Hazardous Substances Inc. biological Toxic Burns

Fuel - generators Mutagen Disease

Lab work Irritant Inhalation/lung damage

Sensitising Skin irritation

Corrosive Eye injury

Teratogen Loss of consciousness (resulting in secondary injury)

Fire Poisoning

Explosion

Pollution

Gasses Flammable Fire, burns

Lab work Irritant Manual handling of cylinders

BBQs Oxidising Inhalation

Engineering work Oxygen enriched atmosphere (flash ignition)

Health Care Oxygen depletion

Density

Explosive

Fire or explosion Flammable Fatality

Storage and use of substances Explosive Burn

Ref gasses also High pressure Smoke inhalation

Low flame or flash point Blunt injury trauma

This table contains different types of hazards that may be present in the work environment, and how harm may occur from them.

Use this table as a prompt to identify risks in your work area, and to develop controls that prevent the likely harm from occurring.

RM04 GUIDE TO ASSESSING CONSEQUENCESUse this guide to assist ranking the severity of the consequences of each risk.

Consequence descriptor

Examples

• Injury requires minor first aid and no lost time from work or study

• Consequences are very low, minor disruption

• Financial loss <$100,000

• Able to be managed within business as usual with no extraordinary impacts• Injury requires first aid and follow up treatment by medical professional. Little or no lost time from work or study• Losses may disrupt services for a short period. (Dependant on criticality of service)

• Disruption caused to a single area of the business

• Financial losses in the region of $1M.

• Able to be managed within business as usual with minor extraordinary impacts

• Moderate injury equivalent to < 5 days away from work or study. Hospital attendance but not admitted. Includes any injury or illness or incident that is notifiable to WorkSafe New Zealand

• Service lost for period 1 – 5 days. (Dependant on criticality of service)

• Financial loss $1M - $5M internal event review required

• Adverse local media coverage for 1 day requiring moderate management intervention

• Able to be managed within business as usual with moderate extraordinary impacts• Adverse media coverage for 1 day. Little or no management intervention but some loss of trust in the university• Staff contractor or other person suffers serious injury. E.g. loss of sight, amputation, major fracture. Time off work > 5 days or hospital admittance >48hrs• Service lost for period 1 to 3 weeks. (Dependant on criticality of service)

• Financial loss $5 – $15M

• Internal investigation or by an external source or regulator• Adverse national media coverage >1 week requiring significant management attention and/or an event causes major loss of trust in the University by local and national community• Impact to multiple and diverse areas of the University

• Unable to be managed within business as usual and control escalates to the Incident Management Team

• Staff, contractor or other person fatality

• Service lost for period exceeding 3 weeks. (Dependant on criticality of service)

• Exposure to asbestos or Asbestos Containing Material

• Significant resources required to recover from impact

• Legal consequences resulting in prosecution

• Financial loss >$15M• Unable to be managed within business as usual and control escalates to the Vice Chancellor who establishes a Senior Leadership Crisis Team • Adverse media coverage on social, national and international news channels for an extended period and requiring significant management attention and/or an event causes disastrous loss of trust in the University by national and international community

The dollar values identified above for financial loss reflect those which may be experienced at an organisational level. Divide the value by 10 for potential losses at directorate, school or service level.

1 – Insignificant

2 – Minor

3 – Moderate

4 – Serious

5 – Very serious

RM05 GUIDE TO ASSESSING LIKELIHOODUse this guide to assist ranking the likelihood that the consequences of each risk will occur.

Likelihood of consequences (negative)

Description Indicators

5 – Almost certain to occur in the next year.

Almost certain 80%-100% chance of occurring

4 – Good chance of occurring in the next year.

Likely 30% - 80% chance of occurring

3 – Reasonable likelihood of occurring in the next year.

Possible 10%-30% chance of occurring

2 – Not likely to occur.

Unlikely 3% - 10% chance of occurring

1 – Very small chance of occurring in the next year. Theoretically possible

Extremely unlikely Less than 3% chance of occurring

The event does occur at times. Not necessarily at Victoria

The event has occurred in your experience

Could occur somewhere

Expected to occur annually

RM06 RISK ASSESSMENT MATRIX AND TRIAGE TOOL

Minor2

Moderate3

Serious4

Very Serious5

Risk Evaluation and action Example activitiesLow

Very high

1A high consequence event that has a very low likelihood e.g. earthquake, tsunami, epidemic or fatality

High

Use this matrix to rank each risk based on the consequences and likelihood of each risk (refer RM04 and RM05). Carry out actions associated with the risk level as described in the table below.

Most general admin tasksAttending meetings in recognised conference facilitiesErgonomics involving computer use or lifting and carrying small loads where specific risk assessment is requiredUse of low hazard chemicals in controlled conditionsRisk of minor injury requiring low level first aid Events including graduation and social (May be medium risk in some cases)

Most lab works in controlled conditionsUse of metal or woodwork machines in controlled conditionsUse of Ultra Violet light devices in controlled conditionsUse of motor vehicles Risk of treatment injuryFieldwork within New Zealand - access to public areas

Instances of violence or significant psychological harmWorking in high hazard areas (Height, confined space, certain lone working)Fieldwork (Overseas or remote area ARC, SBS, SGEES)Use of very hazardous chemicals (HF) Exposure to asbestosWorking with high energy sources (Electricity, stored pressure)Biological contamination (Legionella, Hepatitis)Risk of serious injury

Very High Risk20

High Risk15

High Risk12

Medium Risk9

High Risk12

High Risk15

Medium Risk10

Medium Risk8

Medium Risk6

Medium

Medium Risk6

Medium Risk8

High Risk10

Low Risk3

Medium Risk4

High Risk51

Low Risk4

Low Risk2

Medium Risk4

Low Risk3

Low Risk2

Risk of fatality or serious injury is uncontrolled

Some diving or boating risks may be considered high for risk score 10

Evaluate effectiveness of controlsDevelop and implement controlsTolerate risk only if risk reduction is impracticable or if grossly disproportionate to improvementMonitor quarterly

Some diving or boating risks may be considered intolerable for risk score 15

Implement mitigation planEscalate to senior managementRisk must be reduced until cost of further reduction is grossly disproportionate to safety benefit gainedMonitor monthly

Likelihood of consequencesInsignificant

1

Consequence

Risk is intolerable whatever the benefitImmediate cessation of activityRisk mitigation is essentialEscalate to senior management

Risk is broadly acceptableRisk is insignificantNo need for detailed working to demonstrate risk is As low as Reasonably Practicable (ALARP)Manage within existing controlsMonitor annuallyMaintain assurance risk remains at this level

Low Risk1

5 Almost Certain80%-100% chance of occurring

4 Likely30%-80% chance of occurring

3 Possible10%-30% chance of occurring

2 Unlikely3%-10% chance of occurring

1 Extremely unlikelyLess than 3% chance of occurring

Very High Risk25

Very High Risk20

Very High Risk16

Medium Risk5

© Victoria University of Wellington Risk Management Toolkit

RM07 GUIDE TO ASSESSING CONTROLS

Control level Example of control mechanism

• Remove a hazard from the workplace

• Back up equipment or assets E.g. multiple computer servers

• Relocate a workplace from high level to ground level to eliminate the need to work at heights

Minimise • For health and safety, substitute with alternative equipment or substance• Fully enclose process, guarding, fencing, locked doors

• Fume hood, Local Exhaust Ventilation (LEV)

• IT data storage and retrieval systems

• Alternative suppliers

• Off-site storage (data files)

• Fire detection equipment

• Fire prevention e.g. fire retardant materials, good housekeeping

• Management or supervision

• Policy, procedure, guideline

• Technical or industry standards

• Communication with stakeholders

• Warning signs

• Monitoring

• CCTV

• Key performance indicators (and measurement)

• Contract monitoring

• Contract management

• Specialist advice (internal & external)

• Recruitment and selection processes

• Approval processes

• Business or service planning

• Maintenance regime, programmed inspection

• Training and development programme

• Pre- employment health assessment1

• Health monitoring2

• Personal Protective EquipmentCompliance with risk controls should be audited.

1Pre-employment Health Assessment

Pre-employment health assessment is carried out by an Occupational Health professional to record and review certain aspects of a prospective employee’s health where a particular standard is required and to determine that they are fit to carry out their work or additional safety controls are required. The information collected will also provide a baseline for hazard monitoring. The nature of the assessment is specifically related to hazards in the workplace.

2Health Monitoring Where all reasonably practicable controls have been implemented to minimise the risk and it has not been eliminated the employee’s health must be monitored. Examples of this include audiometry when an employee is exposed to noise and spirometry when exposed to dust.The monitoring is undertaken by a suitably qualified person.Employees must give written informed consent to release information to their manager.Personal results are given to the employees. Suboptimal results are discussed with them and advice given as to further action required.Monitoring results are held by Victoria University or their agent for 10 years as required by the Health Act.

This descriptor includes control by isolation and anything done to reduce risk that doesn’t completely eliminate it.

Use this guide to help identify risk management controls. Where possible, use controls that eliminate risk rather than minimising.

Eliminate

RM08 RISK HEAT MAPUse to develop a profile and show the how the different risks are distributed. Focus on the highest risks.

Key:Low RiskMedium RiskHigh RiskVery High Risk

Plot the risk numbers/codes and category in the matrix above, according to their residual risk.Use category codes when plotting each risk:

Risk Category CodeStrategic Strat

Operations/Service Delivery Ops

Health and Safety H&S

Environment Env

Quality Qual

Financial Finance

Information and ITS ITS

Legislative Compliance Legal

Political and Reputational Rep

Human Resources HR

Project Delivery Project

Infrastructure Infr

Teaching Programme Delivery Teaching

Research Programme Delivery Research

Likelihood of consequences

3 Possible10%-30% chance of

occurring

2 Unlikely3%-10% chance of occurring

1 Extremely unlikelyLess than 3% chance of

occurring

Minor2

Consequence

Insignificant1

Moderate3

Serious4

Very Serious5

5 Almost Certain80%-100% chance of

occurring

4 Likely30%-80% chance of

occurring

using the risk management toolkit

Documents