A core part of any risk management process is risk identification. We need to identify risks before we can address them – of course there are lots of ways of identifying risks and the final choice will depend on circumstances and resources. Here’s an almost definitely incomplete list of the risk identification techniques that can be used singly or together in different circumstances.
Risk Identification Tools
Brainstorming:
We checked and it’s still ok to use the word ‘brainstorming’ to refer to a group of people generating ideas freely. This can be done in person (our favourite) or remotely, and while it may generate a lot of pretty marginal ideas it has the potential to surface risks.
SWOT (Strengths, Weaknesses, Opportunities, Threats):
A firm favourite of management consultants because it’s pretty much universally understood.
Although it’s often used in a more strategic business context rather than in risk management, writing down Strengths, Weaknesses, Opportunities and Threats can trigger ideas about where risks may exist in the organisation – for example a strength in a particular area may reveal a risk if the underpinning factors leading to strengths are removed.
It’s common to represent SWOT findings on a matrix, with a different quadrant for each category.
Of course SWOT is often undertaken by including brainstorming – so combining techniques is a good way of getting the most out of the available resources.
Root Cause Analysis (RCA):
Although RCA is used to analyse the underlying causes of an incident which has already occurred it’s useful to use root cause to help to identify potential risks that could lead to similar problems in the future.
Root Cause Analysis is a problem-solving technique used to identify the underlying causes of a problem or event, rather than just the surface symptoms. Once they understand the root cause, we can implement effective corrective and preventive actions to prevent similar issues from recurring.
The RCA process typically involves the following steps:
Define the Problem: Clearly articulate the problem or event that needs to be investigated.
Gather Information: Collect relevant data, such as incident reports, witness statements, and physical evidence.
Identify the Root Causes: Use techniques like the “5 Whys” or fishbone diagrams to drill down to the underlying causes of the problem.
Develop Corrective Actions: Implement solutions to address the root causes and prevent the problem from happening again.
Implement Corrective Actions: Execute the corrective actions and monitor their effectiveness.
Learn and Improve: Use the lessons learned from the RCA process to improve future performance and prevent similar incidents.
Common Techniques for Root Cause Analysis include
5 Whys: A simple but powerful technique that involves asking “Why?” five times to uncover the root cause. Imagine any request you’ve ever made of a small child and you’ll get the general idea.
Fishbone Diagram (Cause and Effect Diagram): A visual tool that helps identify potential causes of a problem by categorising them into different categories (e.g., people, process, equipment, materials, environment).
Fault Tree Analysis (FTA): A graphical technique that models the logical relationships between events that lead to a specific failure – more about this below.
Failure Mode and Effects Analysis (FMEA):
FMEA is a proactive risk assessment technique used to identify potential failures in a system or process, assess their severity and likelihood of occurrence, and implement measures to prevent or mitigate them.
The FMEA process typically involves the following steps:
Product or Process Definition: Clearly define the system or process to be analyzed.
Function Analysis: Identify the functions and sub-functions of the system or process.
Failure Mode Identification: For each function, identify potential failure modes.
Effect Analysis: Determine the potential effects of each failure mode on the system or process.
Severity Assessment: Assign a severity rating to each potential failure mode based on the impact it could have.
Occurrence Assessment: Estimate the likelihood of each failure mode occurring.
Detection Assessment: Evaluate the ease of detecting each failure mode before it results in a failure.
Risk Priority Number (RPN) Calculation: Calculate the RPN for each failure mode by multiplying the severity, occurrence, and detection ratings.
Action Plan Development: Develop and implement corrective actions to reduce the RPN of high-priority failure modes.
Re-evaluation: Periodically re-evaluate the FMEA to identify new potential failures and update the risk assessments and corrective actions.
Fault Tree Analysis (FTA):
Fault Tree Analysis is a structured approach to identifying the potential causes of a system failure. It’s a powerful tool for understanding complex systems and predicting potential problems.
The FTA process involves:
Define the Top Event: Clearly identify the specific failure or undesirable event that you want to analyse. This is known as the top event.
Identify Basic Events: Break down the top event into its underlying causes, continuing this process until you reach the simplest, most basic events.
Construct the Fault Tree: Create a diagram that visually represents the logical relationships between the top event and its basic events.
Evaluate the Fault Tree: Analyse the fault tree to identify potential failure modes and their probabilities.
Identify Minimal Cut Sets: Minimal cut sets are combinations of basic events that, if they occur together, can lead to the top event.
Quantify Risk: Assign probabilities to basic events and use probabilistic methods to calculate the probability of the top event occurring.
Develop Mitigation Strategies: Based on the analysis, develop strategies to reduce the likelihood of the top event occurring.
Understanding the potential causes of a system failure helps organisations to take proactive steps to prevent accidents, reduce downtime, and improve overall system reliability. FTA is particularly useful in safety-critical industries such as aerospace, nuclear power, and healthcare.
Hazard Identification and Risk Assessment (HIRA):
A Hazard Identification and Risk Assessment (HIRA) is a systematic process used to identify potential hazards and assess the associated risks in a workplace or project. The goal of a HIRA is to proactively identify and mitigate hazards to prevent accidents, injuries, and illnesses.
The HIRA process typically involves the following steps:
Hazard Identification:
- Conduct a thorough walk-through of the workplace or project site.
- Use checklists or brainstorming techniques to identify potential hazards.
- Consider physical, chemical, biological, ergonomic, and psychological hazards.
Risk Assessment:
- Evaluate the likelihood and severity of each identified hazard.
- Use a risk matrix to visually represent the risk levels.
- Prioritize risks based on their severity and likelihood of occurrence.
Risk Control:
- Implement appropriate control measures to eliminate or reduce the risks.
- Consider a hierarchy of controls, starting with elimination, followed by substitution, engineering controls, administrative controls, and personal protective equipment (PPE) as a last resort.
- Document the control measures and assign responsibilities for implementation.
Review and Monitoring:
- Regularly review the HIRA to ensure its effectiveness.
- Monitor the workplace to identify new hazards or changes in existing risks.
- Update the HIRA as necessary to reflect changes in the workplace or project.
Delphi Technique:
Probably named after the ‘Oracle of Delphi’ – the source of all wisdom in the temple of Apollo. This approach involves gathering a range of expert opinions on a particular scenario. As before, other techniques will be used in this process (e.g. brainstorming) but the focus on expertise may mean that conclusions are reached faster.
Choosing the Right Risk Identification Technique
The most effective risk identification technique will depend on the specific context, the complexity of the project or process, and the resources available. Often, a combination of techniques is used to get a comprehensive understanding of the potential risks.
For example, a SWOT analysis can be used to identify broad areas of risk, while FMEA can be used to investigate specific processes and systems. Using the right tools will ensure that the rest of your Health and Safety process is effective and dangerous incidents are avoided.