RM9 - Establishing the Context of Aquatic Facilities

Purpose

To provide a comprehensive appreciation of all factors that may have an influence on the ability of an organisation when conducting an aquatic risk assessment.

Description

Establishing the context of an aquatic facility is concerned with understanding the background of the aquatic facility, scoping the risk management activities being undertaken and developing a structure for the risk management tasks to follow.

When establishing the context of the aquatic facility it is most effectively undertaken in a workshop environment, where relevant stakeholders collect analyse and establish a common view to the context.

The context of an aquatic facility should include collecting, analysing, establishing and documenting a detailed description (with imagery where applicable) of the following:

1. Internal Context
2. External Context
3. Risk Management Process
4. Risk Criteria

Internal Context

Collecting, analysing and presenting the internal context of an aquatic facility should include the following:

Procedural

1. The current governance and management structures
2. Previous risks assessments, treatment plans, implemented controls at the aquatic facility or similar aquatic facilities
3. Research, reports or data from near misses, incidents and emergencies and their impact to the aquatic facility
4. Building Certificates, engineering reports and/or defect notices
5. Business Registrations, Constitutions, Contracts and Agreements
6. Insurance and financial risk assurance policies
7. Trademarks, Licenses, Patens and/or Registrations
8. Information flows and decision making processes

Physical

1. The dimensions, nature, capacity, depths and characteristics of any aquatic environment
2. Existing asset management registers and systems
3. An inventory of all hazardous chemicals present or likely to be present at the facility, and their location
4. The location of aquatic facilities including its street address and the nearest intersection and or identifiable marker/s
5. Details of the hours of occupancy of the aquatic facility
6. Any safety and emergency equipment, signage, facilities or services
7. The access and egress routes at the aquatic facility for vehicle, vessel (where applicable) and foot traffic including if any locks and key access is required
8. Any signage erected (permanent) or any public rescue/communications equipment
9. Plant and equipment including IT and communications equipment
10. Essential services that are located within and surrounding the aquatic facility
11. The equipment associated with the activities including any hire/contract arrangements and specific guidelines for use

Behavioural

1. The roles and responsibilities of staff, contractors, volunteers that have an influence to the aquatic facility and its risks
2. The current culture and attitude to risk management at the aquatic facility
3. The capabilities within the organisation in terms of the risk assessment and treatment processes as well as the management of aquatic risks
4. The socio/economic benefit of the Aquatic facility to the community
5. The type of activities that occur at the aquatic facility including their timing/duration (i.e. Lap Swimming Learn to Swim, Aqua Exercise)
6. The maximum number of persons, including workers, likely to be present at the aquatic facility (or specific aquatic environments) during a range of normal operating periods (i.e. times of day, days of the week/weekend, school holidays, public holidays, high temperature days, seasons).

External Context

Collecting, analysing and presenting the external context of an aquatic facility may be done in accordance with a PESTLE analysis (Political, Economic, Social, Technology, Legal, Environment) and should include the following:

Procedural

1. Previous risks assessments, treatment plans, implemented controls at similar aquatic facilities
2. Research, reports or data from incidents and emergencies and their impact to similar aquatic facilities
3. Coronial, regulatory or safety investigations and recommendations
4. Federal and State/territory legislation / regulation
5. Codes of Practice and Australian Standards
6. The RLSSA Guidelines for Safe Pool Operations
7. National, State and Regional Strategic Plans of relevance

Physical

1. The characteristics of any physical infrastructure/urban developments near the aquatic facility that may influence activity at the aquatic facility
2. The characteristics of the natural environment including any meteorological data relevant to the estimation of the effects of any risks
3. The additional number of persons, including workers, likely to be present at the aquatic facility (or specific aquatic environments) during specific activity periods or events

Behavioural

1. The catchment population profile (Ages, Sex, Ethnicity, Religion and Language) and residency of visitors (Local, Intrastate, Interstate, International) and/or their familiarity to the aquatic facility
2. Relevant health, fitness, mental and physical abilities/disabilities and risk taking behaviours (Drugs and Alcohol, Risk Taking, Aggressive, Antisocial) of potential or actual aquatic user groups
3. The relationship, perceptions and values of potential or actual aquatic users to the aquatic facility and aquatic safety measures
4. The social, cultural and political environment of the community
5. Drivers and trends of the community that may have an impact top the aquatic facility

The Risk Management Context

The context of the risk management process will vary based on the needs of the owner or operator of the aquatic facility and should include the following:

1. The objectives and strategies of the risk management activities
2. The scope, depth and breadth of the risk management activities including inclusions and exclusions
3. The risk assessment methodologies used to establish the context, identify, analyse, evaluate and treat risks at the aquatic facility including methods for ensuring that all the information contained in the risk management process is accurate and up to date
4. The relationship of other projects or procedures running concurrently that may have an impacts
5. The definition of the way performance and effectiveness is evaluated in the management of risk
6. The decisions that need to be made and by whom
7. A project plan that defines the tasks, times, location and responsibilities for and within the risk management process including any further research required and its tasks, times, location and responsibilities

Risk Criteria

Risk Tolerance

In determining the risk management context, the owner or operator of an aquatic facility should determine the organisations readiness to bear the risk, after treatments in order to achieve its objectives (risk tolerance).

It is recommended that risk tolerance levels should be defined using the ‘as low as reasonably practicable (ALARP)’ principle by dividing the risks into three bands for low complex aquatic facilities (i.e. single swimming pool) or five bands for more complex environments (multiple aquatic environments with a large amount and difference in aquatic users).

For each of the risk tolerance bands the owner or operator of an aquatic facility should also determine the following:

1. The urgency of risk treatment measures
2. The level of risk management actions
3. The reporting and escalation requirements

Appendix 1 describes the recommended risk tolerance levels for an Aquatic facility in the absence of pre-determined risk criteria.

Likelihood and Consequences

Having established the risk tolerance, the owner or operator of an aquatic facility should define the following risk criteria

1. How likelihood will be defined
2. How the level of risk is to be determined
3. Nature and types of consequences that may occur and how they will be measured
4. The timeframe/s of likelihood and/or consequence/s
5. How the view of stakeholders will be taken into account
6. How the combination of multiple risks (i.e. more than one aquatic environment at an aquatic facility) is taken into account
7. How the effectiveness of existing risk control measures will be measured

Appendix 1 describes the recommended likelihood and consequence criteria for an Aquatic facility in the absence of pre-determined risk criteria

References

• AS/NZS ISO 31000:2018 Risk management- Principles and Guidelines