Appendix 3 – Method for risk management
This Appendix provides the method for risk management and the requirements for conducting an Environmental Risk Assessment (ERA) and a Health and Safety Risk Assessment (HSRA).
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Section |
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3.1 Introduction |
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3.2 Risk assessment method |
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3.3 Environmental Risk Assessment (Indicators 2.1.1 and 2.1.2) |
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3.4 Health and Safety Risk Assessment (Indicator 3.5.1) |
3.1 Introduction
A Risk Management Framework is a structured method used to assess and control risks in a systematic and consistent manner. It helps to understand how likely and severe a risk is so that steps can be taken to reduce or prevent it. Conducting risk assessments helps individuals and companies in the aquaculture industry become aware of risks and improve operational processes. The main steps involve identifying risks, assessing the risk level, implementing control measures, monitoring, regularly reviewing and updating the assessment to ensure its effectiveness.
3.2 Risk Assessment Method
Step 1 – Identify the risks
The site shall identify the risk factors (the ‘risks’ or ‘issues’) that are relevant to its context. These risk factors are usually related to a wider theme (e.g. environmental risks) and are either generic or specific to the context of the site.
Examples of risk factors are:
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Negative wildlife interaction (environmental).
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Physical harm due to contact with hazardous chemicals (health and safety).
For each risk factor, information regarding the following shall be considered:
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The evidence used to score the risk level.
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What or who could be impacted by the risk factor.
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What are the risk drivers of the risk level (i.e. what drives the risk).
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Existing control measures.
Step 2 – Assess the risk level
The risk level is determined by scoring the elements of likelihood and severity of each identified risk.
Once the likelihood and severity of the identified risks has been assessed, each risk factor is scored in a risk matrix. A typical risk matrix consists of three levels (low, medium, high) for each element (see example Table 1).
Table 1. Example of a 3*3 risk matrix.
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Risk Severity |
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Low |
Medium |
High |
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Risk Likelihood |
Low |
Low Risk |
Low Risk |
Medium Risk |
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Medium |
Low Risk |
Medium Risk |
High Risk |
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High |
Medium Risk |
High Risk |
High Risk |
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Likelihood is the estimated probability that a risk will materialise into an incident, impact, injury, illness, damage or other negative outcome, or how probable the event is to occur under given conditions. It answers the question: “How often could this risk occur?”.
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Low likelihood is where an event could occur, but is unlikely to occur under normal site conditions and existing control measures.
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Medium likelihood is where an event could occur occasionally under normal site conditions and existing control measures.
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High likelihood is where an event is expected to occur, occurs frequently, or is likely to occur under current site conditions or existing control measures.
Severity is the estimated potential impact or consequence of a risk if it materialises into an incident, impact, injury, illness, damage or other negative outcome. Severity focuses on reasonably foreseeable consequence of the event, regardless of how likely it is to occur. It answers the question: “How serious would the outcome be if this risk occurs?”.
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Low severity is a minor, localised, short-term or easily corrected consequence.
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Medium severity is a moderate consequence requiring corrective action, treatment, notification, or additional monitoring.
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High severity is a severe, widespread, long-term, irreversible or legally significant consequence.
Step 3 – Implement control measures
Control measures shall be defined and implemented for all risk factors rated as ‘medium’ or ‘high’ to reduce their risk levels over time.
Risk levels shall be reduced using the following control measures:
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Mitigation measures: reducing the risk level when the risk factor cannot be eliminated fully; or
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Remediation measures: reducing the risk level to a point where the risk factor no longer is relevant.
Step 4 – Monitor control measures
The implemented control measures shall be monitored to ensure their effectiveness in reducing the risk level.
Step 5 – Review
Regular review of the control measures and risk levels shall be conducted, and revisions made where necessary, including under at least the following circumstances:
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When related timelines have expired
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When triggered by the monitoring outcome
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When changes occur that influence the relevance of site-specific risk factors.
3.3 Environmental Risk Assessment (Indicators 2.1.1 and 2.1.2)
The decision tree in Appendix 3.3.1 identifies the applicable assessment route and the requirements for the person conducting the ERA. Together with the additional ERA requirements in Appendix 3.3.2, the ERA shall be site-specific and shall follow the risk assessment method in Appendix 3.2.
3.3.1 Decision Tree
The following decision tree determines whether:
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an existing legally required Environmental Impact Assessment (EIA), or equivalent legal environmental assessment, can be used to demonstrate conformance with Indicator 2.1.1;
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additional components are required to supplement an existing legally required EIA, or equivalent legal environmental assessment, to adhere to the method in Appendix 3 (3.2 and 3.3.2); or
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an independent person shall conduct the ERA, demonstrating conformance with Indicator 2.1.2.
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3.3.2 Environmental Risk Assessment
In addition to the Risk Assessment Method outlined in Section 3.2, the site shall adhere to the following requirements for conducting an Environmental Risk Assessment (ERA).
Related to Step 1:
The following risk factors shall be considered as a minimum in conducting an ERA:
Habitat-related:
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Presence of Protected Areas (see Indicator 2.2.1) and risk drivers that increase the likelihood of negative impacts upon these.
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Presence of Critical Habitats (see Indicator 2.2.2) and risk drivers that increase the likelihood of negative impacts upon these.
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Presence of Sensitive Habitats (see Indicator 2.2.4) and risk drivers that increase the likelihood of negative impacts upon these. As a minimum, the following sensitive habitats shall be considered:
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Seagrass habitats (see Indicator 2.2.5); and
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Areas containing biogenic structures that are not particularly adapted to sedimentation or organic enrichment (e.g. tubeworm mounds, bryozoan mounds, bivalve beds and reefs or sponge gardens that form a structure for other epifauna).
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Presence of Wildlife Corridors (see Indicator 2.2.6) and risk drivers that increase the likelihood of negative impacts upon these.
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The minimum width of the riparian zone between the site and any confined or linear waterbody (see Indicator 2.2.7).
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The minimum width of the coastal barrier between the site and any large or open waterbody (see Indicator 2.2.8).
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The conversion of natural wetland before and after 1999 (see Indicators 2.2.9 and 2.2.10).
Wildlife-related:
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Presence of mammals, elasmobranchs, birds, amphibians or reptiles and farm-related drivers which increase the likelihood of Human-Wildlife Conflict (see Indicator 2.3.1) or other negative impacts upon these (see Indicator 2.3.3).
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Presence of Threatened Species (see Indicator 2.3.2) and risk drivers that increase the likelihood of negative impacts upon these.
Related to Step 2:
See Section 3.3.1 for the competencies of the person conducting the ERA.
Related to Step 3:
In addition to the requirements prescribed in the Risk Assessment Method outlined in Section 3.2, Risk level reduction shall be completed within the following timelines:
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For ‘high’ risk level – reduce to ‘medium’ within a short period (for example 6-9 months after detection).
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For ‘medium’ risk level – reduce to ‘low’ within a medium period (for example 12-18 months after detection).
Where a ‘medium’ risk cannot reasonably be reduced to ‘low’, the UoC shall document the justification, demonstrate that all reasonably practicable control measures have been implemented, and continue to monitor and review of the residual risk.
Related to Step 4:
No additional requirements beyond those prescribed in the Risk Assessment Method outlined in Section 3.2.
Related to Step 5:
No additional requirements beyond those prescribed in the Risk Assessment Method outlined in Section 3.2.
3.4 Health and Safety Risk Assessment (Indicator 3.5.1)
In addition to the Risk Assessment Method outlined in Section 3.2, the site shall adhere to the following requirements for conducting a Health and Safety Risk Assessment (HSRA).
Related to Step 1:
The following risk factors shall be considered as a minimum in conducting an HSRA:
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Chemical and biological
Diving Electricity and electrical equipment Other equipment
Fire |
Mechanical and manual handling
Natural/physical disaster/event
Welfare
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Workplace
Workplace Environment
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Related to Step 2:
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Assess the risk level for the occurrence of acute and chronic injury or damage.
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See Indicator 3.5.2 for the competencies of the person conducting the HSRA.
Related to Step 3
Control measures to reduce the risk level should be taken as soon as is possible.
Related to Step 4:
No additional requirements beyond those prescribed in the Risk Assessment Method outlined in Section 3.2.
Related to Step 5:
No additional requirements beyond those prescribed in the Risk Assessment Method outlined in Section 3.2.