Risk Identification

•Find the risk.

•Recognize the risk.

•Describe the risk.

Risk Analysis- Comprehend the nature of risk and its:

Characteristics: Sources; Consequences; Likelihood; and Scenarios.

Risk Evaluation- Support fact-based and science-based decision.

An effect is a deviation from the expected which can be positive, Negative, or both and can address,
create, or result in opportunities And threats.

Objectives can have different aspects and categories and can be applied at different levels.

Risk management are coordinated activities to direct and control an organization with regard to risk.

A. Risk Management Principles

Creation and protection of value across an organization for performance improvement, innovation
promotion, and goal achievement are the very purpose of risk management with its principles . It is then
a proactive management tool in preventing occurrence of possible risk and hazards in the company’s
value chain.

A. Integrated- Risk management is an integral part of all Organizational activities.

b. Structured and Comprehensive- A structured and comprehensive approach to risk management

contributes to consistent and comparable results.

c. Customized- The risk management framework and process are customized and proportionate to the
organization’s external and internal context related to its objectives.

d. Inclusive- Appropriate and timely involvement of stakeholders enables their knowledge, views, and
perceptions to be considered resulting in improved awareness and informed risk management.

e. Dynamic- Risk can emerge, change, or disappear as an organization’s external and internal context
changes. Risk management anticipates, detects, acknowledges, and responds to those changes and
events in an appropriate and timely manner.

f. Best Available Information- The inputs of risk management are based on historical and current
information and on future expectations. Risk management explicitly takes into account any limitations
and uncertainties associated with such information and expectations. Information should be timely,
clear, and available to relevant stakeholders.
g. Human and Cultural Factors- Human behavior and culture significantly influence all aspects of risk
management at each level and stage.

h. Continual Improvement- Risk management is continually improved through learning and experience.

B. Risk Assessment and Risk Identification

Risk assessment, which is the overall process of risk identification, risk analysis, and risk evaluation,
should be conducted systematically, iteratively, and collaboratively, drawing on the knowledge and
views of stakeholders. It should use the best available information, supplemented by further inquiry as
necessary.

Risk assessment starts primarily with risk identification. The very purpose of risk identification is to find,
recognize, and describe the risks that might help or prevent an organization to achieve its objectives.
Relevant, appropriate, and up-to-date information is important in identifying risks.

The organization can use a range of techniques for identifying uncertainties that may affect one or more
objectives. In risk identification, the following factors and the relationship between these factors should
be considered:

Tangible and intangible sources of risk;

Causes and events;

Threats and opportunities; 10

Vulnerabilities and capabilities;

Changes in the external and internal context;

Indicators of emerging risks;

The nature and value of assets and resources;

Consequences and their impact on objectives;

Limitations of knowledge and reliability of information;

Time-related factors;

Biases; Assumptions; and

Beliefs of those involved.

Consequently, the organization should identify risks, whether or not their sources are under its control.
Consideration should be given that there may be more than one type of outcome, which may result in a
variety of tangible or intangible consequences.

B. Types of Risks

Whether a risk will result to a positive or negative outcomes, uncertainty will always exist.

Compliance (mandatory) risks- As the name suggests, compliance risks involve government-mandated
licenses and business permits and requirements. It may constitute business clearance from a barangay
level, municipal level, or city level, internal revenue offices, security exchange, license to operate,
compliance to fire and building code, and insurance among others.

Hazard (or pure) risks- These are the risks that can prevent and deter the achievement of company’s
goals, missions, and objectives. Typical examples include insurable-type risks to include fire, typhoon,
flood, earthquake, and injury among others, causing normal operations to be affected by loss,
breakdown, theft, and other threats.

Categories of Operational Disruption

Examples of Disruption

•People

•Premises

•Processes

•Products

Control risks- These are risks that can cause uncertainty or doubt about the ability to achieve company’s
goals, missions, and objectives. One classical example of control risk is internal financial control
protocols. If control protocols are removed, there might be uncertainty on what will happen. Further,
control protocols are dependent on the successful management of company’s resources and effective
implementation.

Opportunity risks- These are risks that are usually deliberately sought or embraced by the organization
specifically for the future long-term success of any organization. These risks arise because the
organization is seeking to enhance the achievement of goals, missions, and objectives. Some
organizations are willing to invest in high-risks business strategies in anticipation of high return on
investment.
Risk analysis is an analytical process to provide information regarding undesirable events in which it
estimates probabilities and expected consequences for identified risks (Society for Risk Analysis, 2019).

An event is the occurrence or change of a particular set of circumstances. Note: An event can have one
or more occurrences and can have several causes and several consequences. It can also be defined as an
expected situation which does not happen or an unexpected situation which does happen.

Consequence is an outcome of an event affecting objectives.

Risk Assessment and Risk Analysis- as discussed in Philippine National Standard International Standard
31000:2018 (PNS ISO 31000:2018), the purpose of risk analysis is to comprehend the nature of risk and
its characteristics, where appropriate, the level of risk. It involves a detailed consideration of
uncertainties, risk sources, consequences, likelihood, events, scenarios, controls, and their effectiveness.
An event can have multiple causes and consequences and can affect multiple objectives.

Threat and Vulnerability Assessments and Risk Analysis- Risk is a function of the values of threat,
consequence, and vulnerability

DEVASTATING- The facility is damaged/contaminated beyond habitable use. Most items/assets are lost,
destroyed, or damaged beyond repair/restoration.

Severe- The facility is partially damaged/contaminated. Examples include partial structure breach
resulting in weather/water, smoke, impact, or fire damage to some areas. Some items/assets in the
facility are damaged beyond repair, but the facility remains mostly intact.

Noticeable- The facility is temporarily closed or unable to operate, but can continue without an
interruption of more than one day. A limited number of assets may be damaged, but the majority of the
facility is not affected. The number of visitors to this and other facilities in the organization may be
reduced by up to 25% for a limited period of time.

Minor- The facility experiences no significant impact on operations (downtime is less than four hours)
and there is no loss of major assets.

Vulnerability is defined to be a combination of the attractiveness of a facility or an event as a target and

the level of deterrence and/or defense provided by the existing countermeasures.

INTERPRETATIONS OF THE RISK RATINGS

Very High: This is a high profile facility that provides a very attractive target for potential adversaries,
and the level of deterrence and/or defense provided by the existing countermeasures is inadequate.

High: This is a high profile regional facility or a moderate profile national facility that provides an
attractive target and/or the level of deterrence and/or defense provided by the existing
countermeasures is inadequate.
Moderate: This is a moderate profile facility (not well known outside the local area or region) that
provides a potential target and/or the level of deterrence and/ or defense provided by the existing
countermeasures is marginally adequate.

Low. This is not a high profile facility and provides a possible target and/or the level of deterrence
and/or defense provided by the existing countermeasures is adequate.

Risk evaluation is a process that is used to compare risk analysis results with risk criteria in order to
determine whether or not a specified level of risk is acceptable or tolerable.

Risk evaluation matrix is a management tool which accurately assess business exposure, based on the
frequency and severity of identified potential risks.

SEVERITY OF RISK POTENTIAL

Risk retention - is where both the frequency and severity of risk is low, risk is often retain.

Risk transfer -is where the frequency of risk potential is low, but the severity of a potential incident is
high

Risk reduction- is where the severity of a potential risk remains low, but the overall frequency of risk is
increasing business operators need to consider ways of reducing their exposure.

Risk avoidance- is where frequency and severity of risk potential are both high, business operators
should consider cancelling a program or activity.

Breach (of legislation or policy) is the breaking/failing to comply with legislation or policy (non-
compliance).”

CCTV or Closed-circuit Television- Civil law applies to situations where individuals or organizations take
action against another person or organization for breaching statutory law.

Consequence is an outcome or result if a threat materializes.

Criminal law applies to situations where the State takes action against a person or organization for
breaching statutory law.

EAS or Electronic Article Surveillance

Likelihood is the probability a threat will occur.

PPE means Personal Protective Equipment (and clothing).

RFID or Radio Frequency Identification

Vicarious liability is the legal liability falling to the employer for the actions of their “agent” (their
staff/employees) based on the principle the employer is responsible for the actions of their employees

Module 1. Identification of Safety and Security Requirement

. Legislated Safety and Security Requirements- ccupational safety and health in country is primarily
governed by the Philippine Constitution of 1987, which states that under Article XIII, Section 3:

“The State shall afford full protection to labor, local and overseas, organized and unorganized, and
promote full employment and equality of employment opportunities for all.

It shall guarantee the rights of all workers to self- organization, collective bargaining and negotiations,
and peaceful concerted activities, including the right to strike in accordance with law. They shall be
entitled to security of tenure, humane conditions of work, and a living wage. They shall also participate
in policy and decision-making processes affecting their rights and benefits as may be provided by law.

The State shall promote the principle of shared responsibility between workers and employers and the
preferential use of voluntary modes in settling disputes, including conciliation, and shall enforce their
mutual compliance therewith to foster industrial peace.

The State shall regulate the relations between workers and employers, recognizing the right of labor to
its just share in the fruits of production and the right of enterprises to reasonable returns on
investments, and to expansion and growth.”

The legal basis of Occupational Safety and Health (OSH) laws in the Philippines is the Presidential Decree
442 otherwise known as Labor Code of the Philippines. It was passed in 1974 and the relevant provisions
on OSH was contained under Book IV of the Labor Code. The primary contents of the Labor Code include
revised and consolidated labor and social laws to afford full protection to labor, promote employment
and human resources development, and ensure industrial peace based on social justice. The
Department of Labor and Employment (DOLE) thrusts were also based on this law which are the:
promotion of employment and human resources development, maintenance of industrial peace, and
workers’ protection and welfare.

DOLE, being the lead agency in implementing and enforcing OSH policies and practices, possesses
enforcement and rule- making powers in particular with regard to the following laws and standard:

Philippine Labor Code on prevention, compensation;

The Administrative Code on Enforcement of Safety and Health Standards;

The Occupational Safety and Health Standards (OSHS);

15 Executive Order 307 creating the Occupational Safety and Health Center under the Employees
Compensation Commission;

Presidential Decree 626 Employees Compensation and State Insurance Fund;

Hazard-specific laws regarding anti-sexual harassment;

RA 9165 Comprehensive Drugs Act of 2002;

– RA 8504 National HIV/AIDS Law of 1998; and

- RA 11058 Act of Strengthening Compliance with Occupational Safety and Health (OSH) Standards and
Providing Penalties for Violations.

Laws and Regulations Under Jurisdiction of Government Organizations other than DOLE:

Department of Health: Sanitation Code;

Department of Agriculture: Fertilizer and Pesticides Act;

Department of Environment and Natural Resources: RA 6969, Ratification of Stockholm Convention,

Chemical Control Order, Mining Law (small scale and large);

RA 9185 Comprehensive Dangerous Drugs Act of 2002;

RA 6541 National Building Code of the Philippines;

RA 6969 Toxic Substances Act; and

RA 9231 Special Protection of Children against Child Abuse, Exploitation and Discrimination Act.

International OSH Conventions

Since the Philippines became a member of the International Labor Organization (ILO) in 1948, it has
ratified 31 ILO Conventions including some related to safety and health. Initiatives are on the way to
consider for ratification ILO Convention 155 on Occupational Health Services as well as the new ILO
Convention on Agriculture. Adopted at the 95th ILO Conference, a Promotional Framework Convention
on Occupational Safety and Health and its accompanying recommendation promote the development of
”preventative safety and health culture.” A

As such, legislation is designed to:

Protect workers and members of the public from accident, injury, or loss;

Present advice and direction on action which needs to be taken to optimize safety and security;

Create confidence among the public (domestic and international) in the safe and responsible conduct
and operation of businesses in the country-which is an important consideration in optimizing travel and
tourism; and
Provide penalties for breaches and non-compliance- which will act as motivation to comply with what is
required.

B. Provision for Safety and Security Policies and Procedures

With the legal framework for safety and security, employers will provide a wide range of policies and
procedures for employees to follow in order to optimize workplace safety and security.

Justifications for organizations to develop safety and security policies and procedures

Tourism-related organizations prepare and develop safety and security policies and procedures in order
to:

Comply with legislated requirements to avoid penalties and create a good corporate citizen image and
good corporate governance;

Reduce the likelihood of accidents and injury to avoid customer complaint, reduction of repeat business,
incidence of legal suit, damage to equipment and facilities, and public embarrassment;

Provide consistent and standardized dealing with or handling of common operational problems and
circumstances, thus; consistency in the delivery of quality goods and services to achieve customers
experience consistency;

Increase efficiency and effectiveness of business operational activities and processes as applied to
marketing, production (operation), human capital, and finance;

Reflect the unique nature of organizations with passion for details of safety and security protocols; and

Facilitate staff training in required practices based on training needs analysis and plans.

The Philippine government through Bureau of Working Conditions, Department of Labor and
Employment, the International Labor Organization (ILO) Manila Office and the tripartite sectors, the
revisions to the OSH Standards were approved in August 1989. With the latest improvements in the
Standards, all establishments covered will now be provided with a better tool for promoting and
maintaining a safe and conducive working environment. It contains administrative requirements,
general safety and health rules, technical safety regulations, and other measures to eliminate or reduce
OSH hazards in the workplace.

Communication mechanism for workplace safety and security protocols

Likewise, provisions for communicating workplace safety and security protocols shall be in-placed. Some
ways of communicating workplace safety and security protocols are as follows:

•New employees’ orientation program;

• mandatory safety and security training to cover all relevant protocols to individual job roles and
responsibilities;

•Town Hall assemblies or similar activities as venue for employees to raise safety and security concerns
with management;

•Inclusion of safety and security a regular agenda item in staff meetings and management meetings;

•Creation of workplace-based safety and security teams or committees, and

•Inclusion of all safety and security protocols in staff handbooks or company’s intranets.

•Use of personal protective clothing and equipment Personal protective equipment (PPE) can help
manage/ control safety and security in some instances. Many organizations will have policies and
procedures relating to the use of PPE and clothing by:

Employees to protect them when they undertake certain duties or engage in certain activities. Common
duties/activities will include:

Cleaning and dealing with chemicals;

Dealing with hot products, food, or drinks;

Handling petrol or other flammable liquids; and

Working in extreme conditions.

Customers to protect them when they participate in activities as part of

their trip, travel, or tour which have been identified through internal risk
management procedures as posing a potential threat/risk. Common
instances will include
Wearing seat belts in vehicles;
Using/wearing helmets, guards, and other protective items when playing
sport or games or engaging any adventure-type activities which carry
inherent dangers; and
Travelling/touring in extreme conditions.

Use of PPE is the lowest level in the six-tier Hierarchy of Controls available
to address risk. The Hierarchy of Controls consists of:
Elimination – the most effective option: involves getting rid of the
threat/risk
Substitution the second most acceptable method involves replacing the
hazardous process/procedure or product with a less hazardous one
. Isolation means removing people from the threat or moving the danger
away from people to a safe distance, or erecting/using a protective
barrier/shield of some kind
Engineering controls requires changing/making physical alterations to the
workplace, site, or processes to:
Minimize the generation of risk;
Suppress or contain the risk; and
Limit the risk in should an event occur.

i. Emergency procedures

Businesses should develop an emergency management plan (EMP) for their operations. The EMP will
comprise a series of emergency procedures designed to address risks/threats which have been
identified for the workplace and/or its other (perhaps off-site travel and touring) activities. At a
minimum, tourism and hospitality enterprises shall have the following EMP:

Emergency situations which have been identified for the business-covering both:

Internal emergencies such as fire or flood in the office, gas leak, loss of power/electricity, armed hold-
up,

And loss of data/bookings; and External emergencies are events which may occur on tour such as loss of
aircraft where carrier airplane has crashed, vehicle breakdown and accident, medical emergency, arrest
of a tour group member, missing person/tour group member.

Detailed, approved, and effective procedures to follow and action to take to address the identified
situation in sequential order.
Roles and responsibilities of designated personnel as required by the nature of the
emergency/response.

Communication requirements to notify relevant others to advise and obtain assistance.

Relevant safety and security tips, advice and/or mandatory preventative actions as appropriate to the
nature of individual identify threats/emergencies.

Protect people, which means employees and customers.

Customer prerequisites

Organizations may have prerequisites to be attained prior to customers engaging in certain activities or
methods of travel. These include, but not limited to, the following: valid passport and/or visa; travel
insurance; physically fit for the intended activities; return ticket; cash and traveler’s check and full
payment for tour/travel/tickets by a given date.

If such requirement exists, this means that an employee must:

•Be advised in detail of what these prerequisites are by type and detail of each;

•Be told of the classifications/categories of customers to which they apply- commonly these
requirements are specific to particular classes of customers/travelers or tours or trips. They are not
(generally) universally applicable;

•Be trained in how to inform customers- to maximize communication, enhance understanding, optimize
compliance, and avoid annoyance, confusion, or misunderstandings; and

•Be made aware of the consequences of failing to apply or communicate the protocols/requirements
which may include: internal disciplinary action; legal action, refusal of other businesses (agencies,
providers, carriers) to honor promises made because the prerequisite conditions have nor have been
met.

People or organizations to contact to include names, addresses, and contact numbers.

Contingency plans.

All emergency procedures should:

•Be the result of structured analysis of business operations and subsequent formal risk management
procedures of identified issues/threats;

•Be documented to facilitate dissemination of requirements to staff and/or customers,

•Be practiced by training and drill must be provided to support to enable Implementation;

•Be resourced as relevant equipment or devises must be provided; and

•Be reviewed and revised as necessary on a regular basis to ensure relevance and proper application.

Emergency procedures (may) need to be developed to:

Demonstrate due diligence/duty of care;

Give customers confidence in the business;

Enable effective responses to emergencies

Meet insurer requirements;

Fulfill contractual obligations with partners;

Enhance/protect business image and reputation; and

Comply with legislated obligations.

ii. Dealing with death

Businesses which conduct trips and tours will commonly have protocols for dealing with the death of a
tour group member while on activities or tour.

These protocols will traditionally cover action to address requirements and directions in relation to:

Protecting the scene;

Respecting the deceased person;

Reporting requirements to local authorities,

Head office;

Comforting others;

Capturing evidence, information, and details relating to the event by taking photographs, making notes,
and asking for witnesses;

Assisting officials and authorities;

Dealing with the media;

Not admitting liability;

Not releasing details of the deceased to others apart from officials; and

Determining action to take either to terminate trip/tour or adjust itinerary.

-These protocols are developed for:

Direction to staff about what to do;

Compliance with legal requirements which apply following the demise of a person for the purposes of a
police investigation;

Damaged control for the negative impact of the event on other tour group members; and

Information control for media.

iii. Personal safety and security

This relates to the safety of tour group members and tour staff while on tour and to the
security of documents, property, and cash belonging to the company customers.

Protocols addressing the issues for personal safety and health will commonly address but not limited to
the following:

Identification of threats and issues which are likely to be encountered on tour, through research,
communication with others (agencies, operators, tour guides, authorities, previous customers/tour
group members)

Provision for suitable facilities for tour vehicles and tour staff to allow security, and asset protection
while on tour

Training of staff in relation to use of facilities and resources provided, identify problem
areas/destinations, communicate, and advise tour group members in relation to security concerns and
issues

Dissemination of information on-tour to include hard copy advice (safety and security) to travellers as
part of the package they receive when they make a booking. These “kits” including relevant maps and
local promotional materials, should be produced to cater for the specific requirements of individual
tours/trips and attention paid to ensure they contain current information and detail. Information in
these kits may relate to:

Soliciting;
Drug-related activities-using, buying, or selling;

Child prostitution;

Theft;

Assaults; and Public intoxication.

Provision of list of contacts for the countries/ areas the clients will be visiting such as medical, police,
embassies, and local in- country agencies associated with the primary provider.

iv. General safety suggestions for travelers

Safe-keep travel itinerary to include airline booking, accommodation, and travel plans.

Avoid travelling at night.

Avoid crowded areas during night time.

Seek advice from reliable source, i.e., hotel personnel.

Bring along all times the contact embassy when travelling abroad and a photocopy passport.

Avoid using ATMs

Use a secured credit card, manager’s check, and traveler’s check accordingly.

Do not engage in socio-political protest and similar activities.

Be aware of fire escapes and emergency exits.

Do not wear excessive jewelry.

Familiarize with the information about accommodation, local police stations (where appropriate), travel
agent, and embassy.

V. Customers with special needs

There is an increasing trend of those with special needs engaging with travel and tourism. They do this
on their own and often with carers and family members. Many countries have legislation making it an
offence to discriminate against those with disabilities. In the Philippines, the Magna Carta for Disabled
Persons was enacted in 1992 through Republic Act No. 7277 An Act Providing for the Rehabilitation, Self-
development and Self-reliance of Disabled

Persons and their Integration into the Mainstream and for other Purposes.
Businesses need to be proactive in responding to and effectively addressing their special needs. This
applies to those who may be: vision/sight impaired, hearing impaired, and mobility impaired.

Safety and security may include, but not limited, to the following:

Developing packages, products, and services which are inclusive and suitable for/appropriate to those
with disabilities in consultation with those who have disabilities and those who will use/buy the items;

Planning routes and activities with the needs of differently abled persons in mind;

Providing wheelchair access to rest rooms for differently abled persons in organizational buildings and
transport;

Providing vehicles used with wheel- chair compatible facilities;

Ensuring restroom facilities for differently abled persons are available at destinations;

Ensuring accommodation venues used on tour have general facilities to effectively cater for anticipated
or known differently abled tour group members;

Liaising proactively with special needs customers to learn/identify their needs, wants, and preferences-
instead of only responding (passively) to their needs; Training staff in awareness and practical assistance
techniques and strategies to facilitate engagement of differently abled persons with trips, tours, and
activities;

Providing dedicated staff to assist with differently abled tour group members;

Creating a committee within the workplace to focus on developing and maintaining positive
relationships with differently abled clients and groups; and

Seeking targeted feedback from differently abled tour group members to identify lessons which can be
learned to improve future tours/activities for those with disabilities.

v. Travel insurance

Many passengers will want to take out travel insurance when travelling. Agencies will seek to
recommend, promote, and sell travel insurance to optimize sales/profit generated from commission and
to provide reassurance for their customers. Benefits of travel insurance for the passenger/traveler. The
main benefit of travel insurance is it protects them from the unforeseen circumstances which can be
associated with travel such as (but not limited to):

Need to delay, defer, or cancel travel arrangements due to ill health

Accident and injury which occurs during the travel/trip

Death

Theft of items
Evacuation

Compensation in the event of flight cancellations

Loss of documents and credit cards

Lost luggage

However, there are some exclusions (not covered) by travel insurance policy, thoughexclusions may vary
between insurance providers. Common exclusions are:

Accident or injury associated with participation in professional sporting events;

Expenses related to child birth;

Personal decision to change travel plans “change of mind” or “disinclination to travel need to change
travel arrangements due to financial considerations is also usually not covered;

Travelling to countries where government warnings not to do so are in place; and

Expenses/compensation which can be claimed against the carrier.

vi. Approval from authorities

In some cases, the business will need to obtain approval from government authorities for elements of
proposed tours. In many most cases, specific authority is not needed but standard operating procedures
may be to advise/notify them of intentions so they know what is planned and are prepared for the
trip/tour and can assist/facilitate activities as and if needed. While names/titles of these
departments/agencies vary between countries there can be a need to seek approval from those with
interests in:

Immigration

Customs

Parks and Wildlife/Natural Attractions and Heritage

Health

Travel and Tourism

vii. Media Communication following an event/ incident

All operators will seek to control their communications with the media. This is especially the case where
there has been an event or incident such as:
An accident or Injury while on tour;

Damage to property or equipment while on tour;

Close calls/near-misses happening when on tour;

Loss of company or tour group member property while on tour,

Delays to and/or postponements and/or cancellations of tours or activities; and

Complaints made to the media by dissatisfied customers/tour group members.

Protocols in this regard will contain:

Identification of person/s who have organizational approval to deal with the media

Need to never admit liability or allocate blame in the first instance

Definition of standard details which may be released to the media such as:

Dates and times

Destinations and locations

Name and type of tour/trip

Numbers on tour

Names of carriers
Internal requirements for:

Developing media releases;

Checking and authorizing/ approving media releases for release; and

Responding to media enquiries

Details regarding:

Types of approved contact with the media; and

Frequency of media releases and/ or interviews.

Training in dealing with the media which should feature:

Role-plays; and

Simulated scenarios.

viii. Ethical operation of the business Organizations will always seek to integrate ethical conduct
into the operation of their business so as to:

Meet legal and contractual obligations.

Maintain a positive image for the business in the marketplace.

Remain a good/responsible corporate citizen.

Cultivate a basis for optimizing:

Repeat business; and

Referral business.

Protocols relating to integrating ethical conduct into safety and security include:

Training of staff – in relation to:

Organizational expectations; and

Legal requirements.

Need for openness, honesty, and transparency in all dealings.

Requirement for promotions and/or sales techniques to:

Never be misleading or deceptive;

Not put pressure on people to make a purchase.

Planned and detailed responses for:

Dealing with complaints; and

Issue resolutions

Details regarding:
Types of approved contact with the media; and

Frequency of media releases and/ or interviews.

Training in dealing with the media which should feature:

Role-plays; and

Simulated scenarios.

ix. Ethical operation of the business Organizations will always seek to integrate ethical conduct
into the operation of their business so as to:

Meet legal and contractual obligations.

Maintain a positive image for the business in the marketplace.

Remain a good/responsible corporate citizen.

Cultivate a basis for optimizing:

Repeat business; and

Referral business.

Protocols relating to integrating ethical conduct into safety and security include:

Training of staff – in relation to:

Organizational expectations; and

Legal requirements.

Need for openness, honesty, and transparency in all dealings.

Requirement for promotions and/or sales techniques to:

Never be misleading or deceptive;

Not put pressure on people to make a purchase.

Planned and detailed responses for:

Dealing with complaints; and

Issue resolution.

Making the safety and security of tour group members the number one priority at all times-regardless of
all other considerations, with special reference to not compromising safety/ security in order to:

Save money; and

Save time and/or keep a tour running according to the itinerary.

Placing the safety of people/tour group members:

Above the security of their personal belongings; and

Above the security of organizational resources.

Never taking any action or making any compromises which willcompromise safety or security.

C. Resources Availability to Support Required Safety and Security Procedures

All organizations will need to dedicate resources to implement required safety and security procedures
identified as being necessary for the operation of the business. This section identifies and discusses what
these resources may be.

i. Training

It is one of the primary resources underpinning support for required safety and security procedures. The
training must embrace the three components of competency-based training:

Skills;

Knowledge; and

Attitude.
This means it must encompass the practical and theoretical elements of the job for each employee/job
position.

Delivery strategies for this training could/should include:

Demonstration;

Drill/practice;

Role-plays;

Case studies;

Practical exercises,

Explanations; and

Discussions.

Options for training delivery may feature:

On-the-job training;

Workplace coaching;

Buddying-up of less experienced staff with more

Experienced workers;

Formal training courses;

Attendance at nonaccredited training courses

Delivered by:

Peak industry bodies;

Authorities and agencies; and

Partners, suppliers, and carriers.

Formal and/or informal assessment.

 ii. PPE

Physical resources will also be needed to support identified safety and security and control procedures
which may include:

Protective glasses, goggles, eyewear or visors/ face shields;

Clothing such as long-sleeved shirts and long trousers, aprons and overalls, hi-visibility

Clothing:

Helmets, hats, and/or caps;

Guards (padded protection) for body parts- elbow guards, knee pads, groin protectors; Harnesses;

Gloves, gauntlets, and other palm and/or finger protection;

Footwear-such as special purpose shoes or

Steel-capped boots;

Hearing protection-such as ear plugs and/or earmuffs;

Respiratory protection-such as filters, breathing apparatus; and

Sunscreen and insect repellent.

Likewise, organizational support must be given

To ensure:

Employees know how to use/wear the items;

Staff know how to instruct others in the

Use of the items;

Regular inspections and testing occur as appropriate;

Service and maintenance are provided as required;

Items provided are suitable for all those who use/wear them;

Sufficient items are provided; and

Items are readily available when needed.

iii. Plans

Resources to support safety and security protocols must also include implementation of a formal risk
management process which results in the development of:

Emergency management plans; and

Contingency plans.

Contingency plans are plans developed to address foreseeable but unplanned problems in given areas of
the operation of a business. They are “Plan B.” They detail what action needs to be taken when the
situation described as the topic of the plan arises.

Part of standard risk management protocols is to develop a suite of contingency plans. Not all identified
risks will necessitate the development of a contingency plan-the nature of the identified risk and the
associated consequences and likelihood will be the prime determinants of whether or not these plans
need to be prepared. Consequences relate directly to the potential for “the event” to impact on the
operation of the business and the viability of products and services it provides to its customers.

A contingency is a set of circumstances which the organization has identified as being something which
could probably happen (that is, they are foreseeable) to impact its business but are unlikely to happen.
The “set of circumstances” can be big or small-it is the circumstanc impact/consequences which flow
that should determine whether or not a contingency plan should be developed.

Contingency plans are commonly prepared for circumstances where:

Faults and malfunctions occur with significant organizational equipment and systems such as:
Reservation/bookings systems;

Communications systems;

Security systems;

Travel and transport, vehicles, and/or carriers;

Stock control systems;

Heating, ventilation, and air conditioning (HVAC) systems;

Primary plant and equipment; and

Primary office equipment critical to processing transactions and customers.

Adverse weather conditions (unseasonal weather. Heavy rain, floods, high wind, lightning, heat waves)
which are climatic conditions which have the capacity to:

Negative impact on bookings and/or patronage and sales;

Reduce the enjoyment of customers;

Present a risk to the business and/or to customers; and

Cause the cancellation of a planned activity.

Unexpected issues such as closure of a venue listed on the itinerary, inability to reach/access a
destination and failure of an inclusion to be open or otherwise available.

Data loss occurs relating to loss of information such as reservations, special requests, customer contact
details and information, itineraries, and

Security codes.

Power failure.

Loss or absence of key staff.

Disaster recovery.

iv. Equipment and systems

Organizations will also use a range of equipment and systems to support required safety and security
requirements. Again, the nature of the items used will vary between operators based on:

Previous experience-number and type of events which have occurred in the past;

Risk analysis of identified threats;

Funds available; and

Location of the identified threat/risk-for example, the response to a threat/risk in the main office will
differ to a similar threat which may be experienced while camping on tour.

In general terms, equipment and systems used in

This regard will include:

Lockable display cases and (portable, metal) containers;

Security mirrors;

At Safes;

Radio-frequency identification (RFID)

Emergency alert system (EAS);

D. Consequences of Failing to Follow Safety and Security Procedures

Tourism and hospitality professionals need to be able to explain the consequences of failing to follow
safety and security procedures. Everyone working in a tourism-related organization (at all levels and in
all job positions) needs to know the potential consequences of not implementing/adhering to required
organizational safety and security procedures in order to:

Be able to explain them to other staff.

Be able to describe and demonstrate them to customers.

Motivate them to work in the way required by the business.

Enhance job satisfaction and promote a personal feeling of workplace and job-related pride in
performance.

Avoid the negative consequences described below:

Need for the business to make insurance claims;

Need for staff to assist customers make insurance claims of their travel and/or other personal insurance;

Loss and/or damage to physical items;

Personal impact in terms injury, illness, or death;

Legal action;

Damage to enterprise’s image, brand, and reputation; and

Disciplinary action and job loss.

E. Authority and Responsibility for Safety and Security

All employees will have an authority and responsibility for workplace safety and security. Scope of
authority and responsibility can also be referred as-is sometimes just referred to as-scope of authority,
scope of responsibility, or scope of employment. It is the authority given to a person (by virtue of their
job position/role within the organization) to take action on behalf of the business without having to talk
to anyone else in the workplace for the purpose of obtaining their input or permission in order to make
a decision or take other action which is binding on the employer.

In effect, this scope refers to delegated authority given to an employee by their employer to take
unilateral action. All employees need to know their individual scope of authority in order to:

Ensure they act in a way expected by the employer,

Perform tasks and responsibilities as directed by the organization;

v. Documentation requirements

Workplaces will always use a variety of documentation to support and advise staff and customers about
required safety and security procedures. Traditionally, these documents include:

Posters placed in various/strategic workplace locations to advise and remind customers about specific
issues.

Checklists to help staff implement requirements and/or inspect areas for compliance and/or problems.

General advisory and safety-related information/ sheets (handouts) provided to tour group members as
part of the pre-departure activities and/or while on tour-some operators support and supplement this
with screening of a digital versatile disc (DVD) or any medium and/or have relevant information
available through their website.

Information/advice sheets specific to individual:

Destinations;

Activities;
Inclusions; and

Venues.

In-country advice provided prior to or on arrival in a new country as it relates to matters such as:

Local customs;

Places/areas to avoid;

Examples of previous problems encountered; and

What to do if a problem is encountered.

F. Acquisition of Tour, Trip, or Event Safety and Security Information

Prior to every trip, tour, or event, an employee needs to acquire all relevant safety and security
information. It is an important prerequisite for employee to acquire necessary safety and security
information relating to an upcoming trip, tour, or event in order to:

Discharge duty of care obligations because this information is/should be central to the ultimate decision
about whether the tour, trip, or event takes place at all, or “as planned.”

Comply with standard internal organizational protocols- this is a standard requirement in all businesses.

Be able to share this knowledge with other tour, trip, or event staff.

Determine whether or not the tour, trip, or event should:

Proceed as planned-according to the advertised/ planned itinerary,

Be delayed for a period of time;

Be deferred or postponed to a later date;

Be cancelled altogether;
Have substitute inclusions/activities made to the itinerary; and

Be modified in some other appropriate but relatively minor way such changing planned routes but
leaving activities/destinations the same, altering sequence of planned activities/destinations, increasing
or reducing time spent at attractions, and using a different mode of travel or carrier.

Situational awareness pertains to ongoing monitoring of the environment and

vicinity.

A checklist is a type of form usually prepared to guide the actions required and
ensure nothing is missed.

A. Provision Safety and Security Information to Customers

An important aspect of following preventative safety and security procedures is the provision of safety
and security information to customers. Tourism and hospitality-related businesses need to be proactive
in relation to safety and security for the following reasons:

To discharge and demonstrate compliance with legal obligations;

To give customers confidence in their choice of provider

And what they are about to experience;

To inform, advise, assist, and educate the customers;

To prove those leading the trip, tour, or event have undertaken sufficient and relevant planning, know
what is expected/going to happen, and have prepared appropriately;
To help “set the scene” for the experience the customers are about to have;

To demonstrate proof the claims made about safety and security in advertisements are in fact/in
practice underpinned by actual/practical action; and

Because it is ALWAYS easier, cheaper, and more effective to prevent a problem than it is to solve/fix or
otherwise respond to the consequences.

C. Designated Safety and Security Checks

In relation to the requirement to conduct regular safety and security checks, the following generally
applies:

A checklist is usually prepared to guide the actions required and ensure nothing is missed.

The checklist may have to be completed and signed as proof the checks have been undertaken.

An attempt should be made to ensure tour group members and others see/know these checks are being
conducted it helps to reassure them and also serves to deter problems.

Checks can be required multiple times per day-for example, morning and late afternoon/early evening
and/or at night: attention should be paid to avoiding “same time every day” so as to avoid making the
checks predictable.

Care should be taken:

To use appropriate positive interpersonal and communication skills when performing these duties; and

Not to alarm tour group members

•Checks are often:

Undertaken solo-unaccompanied;
Conducted with another employee driver, cook, tour guide; and

Done by dedicated “security staff.”

The following are representative examples of safety and security checks which may need to be made on
tour:

•Monitoring of customers and their actions-this is an ongoing requirement on all trips/tours. It needs to
be done so action can be taken to address unacceptable or unsafe behavior which may:

Negatively impact the satisfaction and experience of other tour group members;

Give unintended offense to others;

Initiate problems with locals/members of the public;

Damage the reputation of the travel/tour operator- whose name will be visible to local communities/
members of the public on coaches, name tags, luggage tags, and similar; and

Prevent damage, injury, or loss.

Performing regular and ongoing checks-these need to be a combination of:

Physical checks such as physically testing doors are locked, physically testing safety equipment; and

Visual checks on property and assets-to look for signs of tampering, interference, or unauthorized use or
entry, to identify indicators of problems-drips, leaks, rips and tears, and damage. These checks will need
to embrace belongings of tour group members and the tour/travel company.

Monitoring weather and other environmental conditions this can require:

Discussion with nominated locals who provide forecasts and local information on a formal basis;

Contact with head office-by phone or radio;

Accessing a website; and

Visual examination of conditions.

D. Required Safety and Security Control Procedures

Another ongoing requirement while on tour is to ensure all established safety and security protocols are
adhered to.

The following need to exist to enable effective adherence to requirements:

Written policies, procedures, plans, and other protocols.

Training to explain requirements.

Practice to enable implementation of practices.

Constant vigilance-tour guides/leaders must maintain “situational awareness” by:

Observing what is taking place;

Listening to what is happening/being said;

Monitoring the environment; and

Predicting possible problems, threats, and difficulties.

Taking action when the need to do so arises-it is never acceptable to identify a problem, issue, threat,
danger, or an unacceptable situation and ignore it.

Use the list below as a basis for implementing primary control safety and security procedures while on
tour:

i. Know the starting information

It is vital to have an accurate and complete understanding of:

The itinerary-including any changes which have been made and/or which are being flagged as “possibly
needing to occur”;

Numbers-and (for extended tours) details of all tour group members;

Plans and protocols which have been established and authorized as applicable/relevant to the tour/trip
to be conducted; and

Roles/responsibilities, strengths and weaknesses, capabilities, and experiences of any other staff who
are to be part of crew/team for the trip/tour or event.

ii. Conduct a comprehensive pre-departure briefing which should highlight:

Known and/or anticipated safety and security issues;

Protocols for preventing/reducing incidence of likelihood and/or severity of consequences;

Consequences for tour group members of failing to adhere to trip/tour requirements and/or safety and
security directions given by tour team/crew; and

Advice in relation to the actions the tour team/crew will be taking to optimize safety and security-so
participants know what to expect and can prepare themselves to cooperate and with staff.

iii. Walk the talk

It is critical to do what the group has been told to expect this is vital immediately as the tour/trip
commences in order to reinforce what has been stated in the briefing. Guides and leaders cannot afford
to “say one thing but do another.”

iv. Start the tour/trip on time

This is one of the biggest causes of problems as

Can often mean:

Staff are always trying to play catch-up

Departure is delayed;

Shortcuts relating to checks, safety and security and other actions are taken when the tour

Running late; and Listed inclusions as stated on advertisements the itinerary are compromised from the
outse

When the tour/trip leaves behind schedule.

V. Keep groups together

This is important to:

Develop group cohesion;

Maintain contact with tour group members;

Avoid delays;

Identify potential troubles, issues, and interpersonal problems between participants; and

Demonstrate contact with the group.

v. Oversee activities and direct actions

These will involve:

Strategic personal positioning so there is clear optimal line of sight;

Being able to listen and watch what is happening; Controlling access to activities;

Directing people as to when they can “start” and when they need to “finish”;

Monitoring involvement of everyone in the activity,

Being alert to body language and facial expressions as a key indicator of problems;

Trying to foresee problems so appropriate action can be taken to avoid dangers and difficulties

Maintaining a highly visible presence;

Giving hand signals and verbal instructions; and

Intervening when necessary and taking this action as soon as possible the sooner the intervention, the
quicker and more optimal the outcome.

vi. Provide personal protective clothing and equipment

These will include, but not limited to, the following:

Distributing required items;

Checking items are safe to use and “fit for purpose”;

Making sure everyone has sufficient items and they are appropriate in size/fit for the individual;

Demonstrating use and/or wearing of items;

Checking how people have donned protective clothing to make sure it is being correctly worn;

Asking people to demonstrate how to use their safety equipment/gear;

Providing opportunities for practice;

Highlighting/explaining potential dangers/risks; Referring participants to local signage, directions, and

additional safety, rescue equipment, or first aid/

Emergency facilities; and

Ensuring appropriate clothing and items are worn and used as and when required every time, by
everyone, without exception.

vii. Adhere to local safety and security guidelines

All tour guides and leaders must ensure they learn about and ensure compliance of tour group members
with:

Venue-based safety and security rules and regulations;

Specific requirements established by individual attractions;

Prerequisite conditions set by external providers, carriers, and suppliers; and

In-country legislation.

viii. Comply with prepared plans for safety and security control

These might involve:

Assembling of and discussing with group at regular times every day every morning before tour starts
evening debriefs, at regular points such as on arrival at a destination;

Verifying items provided to tour group members are correct and complete;

Ensuring valuables and property/assets are appropriately stowed, stored, and secured-at given
times/locations; and

Advising tour group members of issues arising-and taking appropriate action to reduce threats, negative
consequences, and generally optimize enjoyment and enhance safety, security, and the overall trip/tour
experience.

D. Actions to Address Routine Identified Risks and Security Breaches

When tour guides identify on tour risk and/or security breaches they will be expected to implement
established responses to the individual nature of the issue. Specific responses will depend on the
particular circumstances but can be expected to include the following generic solutions:

Notifying/advising tour group members of the situation;

Providing safety and security of customers and employees on an ongoing basis;

Limiting actions of customers;

Controlling actions and access of group and/or individuals to activities, areas, vehicles, and other
destinations;

Preventing tour group members from engaging.with activities if they are physically unsuitable, ill, or
otherwise impaired;

Removing participants from danger, activities, of locations if they are at risk or putting themselves in
harm’s way,
Removing certain people from the tour-if their ongoing behavior/actions is contrary to stated/expected
behavior as stipulated in “terms and conditions” of the trip/tour; and

Changing the itinerary-as required by the emergent risk or security breach.

E. On Suspicious Persons and Abnormal Situations

Standard procedures will exist to guide actions when on tour to investigate suspicious persons and
abnormal situations. All employees should be tuned-in to the presence of anyone who displays
suspicious behavior, and be on the lookout for any occurrences that could be deemed as suspicious. It is
essential to consider the security of tour group members (and staff) as a high priority on all tours/trips at
all times. Many issues can be avoided simply by making potential perpetrators/offenders aware their
presence in and around the tour/camp has been observed and noted. The essence of this requirement is
“prevention is better than cure.”

i. Suspicious behavior

Telltale signs/indicators are:

People aimlessly floating around or loitering in an area without belonging to the group/tour and
seemingly without any good reason;

People who look anxious or nervous, especially when

Observed/noticed, spoken to, or when they have their

Presence acknowledged/noted;

People found in areas where they have no right to be; and

People who look out of place.

 ii. Abnormal situations

Abnormal situations may include:

Doors, windows, vehicles, rooms, and luggage/bags

Which are unlocked or open when they should be

Locked or closed; Missing items-including stock, materials, property,

Resources, equipment;

Items which are in the wrong place/have been relocated without a reason for them being there;

Damage to property and/or equipment;

F. Assistance to Address Safety and Security Needs from Relevant Personnel

When on tour, instances can occur, when it becomes necessary to seek assistance from other people to
help address safety and security needs. No staff member is ever expected to deal with an emergency on
their own. There are always others who can help, and it is to be expected that these people are
contacted and asked to assist as required. It is also expected that assistance is obtained as soon as
possible when an emergency is identified: in practice, this means getting help immediately. When
dealing with any type of emergency, it is vital that tour guides, tour staff, and tour leaders do not place
themselves at risk or do anything to endanger those on tour.

Seeking assistance might mean calling:

Fire department;

Ambulance (nearest hospital);

Examples of topics tour staff would need to report instances such as those listed below:

Unsafe, damaged, broken, or malfunctioning equipment

Loss while on tour;

Presence of unauthorized persons (such as people without tickets, banned people, those from another
tour tour company, and people who may be intoxicated or troublesome);

Signs of unauthorized access-in relation to vehicles venues, and (camping, rest/relaxation, eating,
viewing sites;

Destinations;

Unsecured facilities;

New tour threats which have arisen/been identified since “last time” the tour was there; and

Situations where there was a need to involve emergency services or an external provider to assist the
tour in a problem situation such as fire, accident, and injury, assault, theft, or any situation raised by
tour group members with tour staff which relates to serious risk threat, or security breach of any kind
and any similar issues raised by partners, carriers, destinations, nor other stakeholders.

G. Complete Documentation to Record Safety and Security Action Undertaken

If there is a need to take action on tour to address a safety and/or security issue, there is commonly a
need to record this on internal documentation.

The following may need to be completed:

Security and safety inspection sheets and checklists – these are the standard documents completed on a
regular basis by tour staff;

Internal daily summaries-which provide a forum for tour staff to record events, issues and problems,
breaches, or concerns which have been identified in the last 24 hours. Matters identified by staff and
those raised by customers and other stakeholders should/can be recorded here;

Police;

Civil defense;
A nominated service provider-local security company,

Head office or a nominated “24/7” number dedicated to assisting those on tour;

Tour leader;

Security staff;

Other guides;

Drivers; and

Tour assistants.

When requesting assistance, information to provide to facilitate the response and provision of help
include:

Name of the person calling;

Name of the company and the tour;

Description of the problem/emergency and request for help;

Location-with mention (if possible) of street numbers, buildings, or suitable landmarks which can be
used as reference points;

Number of people in the group; and

Number of people impacted by the issue.

When making calls for assistance:

Always remain on the line until told to hang up by the emergency services operator;

Be guided by them and their questions-they are trained in handling these situations; and

Try to stay calm and talk in a normal voice at a normal pace.

H. Serious Risks, Hazards, and Security Breaches

Standard operating procedure for all tours, trips, and events is for tour staff to report serious risks,
hazards, and security breaches. It is better to overreport than underreport. This means if tour staffs
identify/see anything which causes them concern, they should raise it as an issue, and then allow others
decide whether or not it is a genuine matter to be addressed.

Reports-companies can require tour employees to complete a range of reports, such as breach reports,
safety reports, security reports, and tour reports;

Maintenance forms-to provide the basis for initiating repairs/ service to nominated gear, equipment,
and items;

Hazard identification forms which are designed to record information about an issue which has been
identified as a threat/risk. This form usually provides the basis for formal risk management procedures
aimed at the issue which is at the heart of the initial report; and

Tour and travel logs these logs provide a record of details, such as times (departure and arrival; delays),
dates, destinations, modes of transport/carriers, passengers. These logs commonly include a section
where issues can be recorded for a management/administration attention, and later a follow-up.