HoRC Hierarchy of Risk Controls & HoCA Hierarchy of Corrective Actions.pdf
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The document discusses the hierarchy of risk controls (HoRC) and whether there is a need for both the HoRC and hierarchy of corrective actions (HoCA) terminology. It argues that only the HoRC term is needed to describe both corrective and preventive actions. Using HoRC replaces the need for terms like HoCA and hierarchy of corrective actions and preventive actions (HoCAPA). The hierarchy of controls arranges options from most to least effective in reducing risk, with engineering controls as most effective and behavioral controls as least effective. The document advocates using the HoRC during both risk identification and treatment planning.
![HoRC - Hierarchy of Risk Control Strategies
Risk treatment selection - always be linked to the hierarchy of controls to reduce risk
SOFAIRP So Far As Is Reasonably Practicable or ALARP. As Low As Reasonably Practicable
Quality of risk controls varies according to :-
degree of risk reduction,
effectiveness [ implemented & working as intended as designed]
reliability.
The hierarchy of controls is structured with the most effective and reliable risk
reduction options at the top, down to the least preferred option.
The hierarchy model generally starts with avoidance of risk ( that has been
excluded in some models),followed by elimination of risk, then substitution
of risk. From there, residual risk is controlled using engineering controls,
warning systems (also excluded in some models), administrative controls
and behavioural controls [ e.g. wearing PPE]](https://image.slidesharecdn.com/horchierarchyofriskcontrolshocahierarchyofcorrectiveactions-240310111806-a7d36f81/85/HoRC-Hierarchy-of-Risk-Controls-HoCA-Hierarchy-of-Corrective-Actions-pdf-5-320.jpg)
![1.HoRC needs to be used during risk identification as well as during risk treatment /
risk control planning
2.All controls involve & rely on humans designers, makers, installers, users,
maintainers, supervisors, managers, etc..
3.Always have multiple controls to lower the likelihood of all of them not working or
missing at the same time
4.Always use a complementary mix of HARD & SOFT controls
e.g. a machineguard still needs to be checked / inspected
OR a rule always requires related knowledge, skill, supervision, effective & efficient
design of required tools equipment methods
5. Always support reactive C controls [that only reduce/mitigate Consequence
rescue, first aid, fire fighting] with proactive L controls
Using the HoRC - Hierarchy of Risk Controls](https://image.slidesharecdn.com/horchierarchyofriskcontrolshocahierarchyofcorrectiveactions-240310111806-a7d36f81/85/HoRC-Hierarchy-of-Risk-Controls-HoCA-Hierarchy-of-Corrective-Actions-pdf-13-320.jpg)
HoRC Hierarchy of Risk Controls & HoCA Hierarchy of Corrective Actions.pdf
- 1. HoRC Hierarchy of Risk Controls HoCA Hierarchy of Corrective Actions Behavioural Controls Behavioural Controls Is there any need for both terms HoRC and HoCA ?
- 2. 2 1. Which of the 4 terms below do you use ? 2. Do you agree that HoRC can replace HoCA & HoCAPA ? a) HoRC Hierarchy of Risk Controls b) HoCA Hierarchy of Corrective Actions c) HoCAPA Hierarchy of Corrective Actions & Preventive Actions d) HoRT Hierarchy of Risk Treatments Extract from Module 16 Understandingand using the HoRC Hierarchy of Risk Controls of the 2-day RAMBP Risk Assessment & Management Best Practices Course Please see and forward link to them for course details. https://www.taproot.com/course/2-day-risk-assessment-and-management-best-practices/
- 3. 3.3.33 risk control any measure that maintains and/or modifies risk (3.1.1) Note 1 : Risk controls include, but are not limited to any, process, policy, device, practice, or other conditions and/or actions which maintain and/or modify risk. Note 2 : Risk controls do not always exert the intended or assumed effect Extract from ISO 31073: 2022 Risk Vocabulary
- 4. NO Artwork 息 risk@workplaces pty ltd Context / Scope / Criteria of the Risk exposures Treat Control / Avoid / Share Communicate & Consult Identify Risk exposures Analyse Estimate/Calculate size of R = L * C 4 YES Monitor & Review Record Report Evaluate 1. Risk tolerable ? 2. Risk reduced SOFARP ? 3. Risk Owner satisfied? Risk Management Process adapted from ISO 31000 or ANSI / ASSP Z690.2 ISO 31000 Process & Course Road Map Use HoRC Hierarchy of Risk Control
- 5. HoRC - Hierarchy of Risk Control Strategies Risk treatment selection - always be linked to the hierarchy of controls to reduce risk SOFAIRP So Far As Is Reasonably Practicable or ALARP. As Low As Reasonably Practicable Quality of risk controls varies according to :- degree of risk reduction, effectiveness [ implemented & working as intended as designed] reliability. The hierarchy of controls is structured with the most effective and reliable risk reduction options at the top, down to the least preferred option. The hierarchy model generally starts with avoidance of risk ( that has been excluded in some models),followed by elimination of risk, then substitution of risk. From there, residual risk is controlled using engineering controls, warning systems (also excluded in some models), administrative controls and behavioural controls [ e.g. wearing PPE]
- 6. 6 Any combination of avoiding the risk by - deciding NOT to start or continue risk activity; removing the risk source; changing L - the likelihood; changing C - the consequences; sharing the risk (e.g. through contracts, buying insurance); taking or increasing the risk in order to pursue an opportunity; retaining the risk by informed decision. Selection of Risk Treatment options ISO 31000:2018 Clause 6.1.2 Risk Control 息 copyright risk@workplaces pty ltd
- 7. A Risk Control is both corrective/retrospective - AFTER a process disruption or incident to reduce the risk of it happening again - recurrence and preventive/prospective BEFORE a process disruption or incident to reduce the risk of it happening in the future - occurrence Use term Risk Control to replace CAPA We need only this 1 term Risk Control for both Corrective Actions and Preventive Actions AND We need only 1 Hierarchy of Controls
- 8. HoRC Hierarchy of Risk Controls HoCA Hierarchy of Corrective Actions Behavioural Controls Behavioural Controls Is there any need for both terms HoRC and HoCA ?
- 9. More Training More Discipline More Procedures Whats limits your box of CAPA / Risk Controls ideas? Do you always look inside or outside the mental bias box?
- 10. PPE MOST Effective LEAST Effective Administrative Controls Hierarchy of Risk Controls Hierarchy of Risk Controls HoRC Behavioural Controls More Procedures More Training More Discipline Less Effective More
- 11. TYPES OHS&E Legal Priority Reliance on Humans Normally Effective Apparent $ Cost Physical Engineering Controls Administrative Controls Supervision / Enforcement Checking / Assessments Behavioural Controls First Last HARD SOFT Copyright 息 risk@workplaces pty ltd 2005 High Low Less More Less More Hierarchy of Risk Controls HoRC Significant Takeaway
- 12. TYPES EXAMPLES OHS&E Legal Priority Reliance on Humans Normally Effective Apparent $ Cost Physical Engineering Controls Avoidance/ elimination / substitution removal / re-design / interlocks / valves / cut-outs / fuses / interrupters / separation / guards / barriers / limiters / ergonomic redesign / Software Controls / Fail-Safe / position hold / return to home designs Administrative Controls Design / Implementation of Rules / Work Practices / Manuals / Policies & Procedures / Checklists/ Permits To Work (PTW) / Exclusion Zones / Work Rosters Supervision / Enforcement Selection and preparation of personnel / behaviour change methods / Fair & Just discipline / Counselling / Culture Change Checking / Assessments Audits / Inspections / reviews / risk assessments / JRAs Job Risk Assessments / JOAs Job Opportunity Assessments / frequency / depth / independence Behavioural Controls Training / Wearing PPE / Using lockouts / tags / Heeding warnings / alarms / signs / interactions / observations / R&O Based Conversations / Counselling / Fair & Just Discipline First Last HARD SOFT Copyright 息 risk@workplaces pty ltd 2005 High Low Less More Less More Hierarchy of Risk Controls HoRC Significant Takeaway
- 13. 1.HoRC needs to be used during risk identification as well as during risk treatment / risk control planning 2.All controls involve & rely on humans designers, makers, installers, users, maintainers, supervisors, managers, etc.. 3.Always have multiple controls to lower the likelihood of all of them not working or missing at the same time 4.Always use a complementary mix of HARD & SOFT controls e.g. a machineguard still needs to be checked / inspected OR a rule always requires related knowledge, skill, supervision, effective & efficient design of required tools equipment methods 5. Always support reactive C controls [that only reduce/mitigate Consequence rescue, first aid, fire fighting] with proactive L controls Using the HoRC - Hierarchy of Risk Controls