1.0 Risk Management Tools

1.0 Risk Management Tools

1.1 Has workscope review been conducted and measured against existing risk assessment or JSEA?

1. Review of copies of overarching risk assessment
2. Evidence of a Principal Hazard Management Plan
3. Evidence of SOP application against workscope.
4. Evidence of SWI

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1.2 Have JSEA's been conducted with a cross section of personnel?

1. Evidence of consultative forum identification and sign off on JSEA.

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1.3 Have JSEA's been effectively implemented in each area of operation?

1. Evidence of JSEA communication with the workforce.
2. Evidence of controls being implemented.
3. Evidence of controls being effective.

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1.4 Is there a SOP in place for each area of workscope operation?

1. Review SOP's available for site.
2. Evidence of SOP mapping document against Project Workscope.

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1.5 Is each risk assessment for site covered by a SOP that has been reviewed and signed off by the SSE for site?

1. Evidence of SOP review and sign off in ATW work pack.

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1.6 Are SOP's reviewed at scheduled time frames to be mapped against workscope and risk assessment for relevance?

1. Evidence of SOP review scheduled time frames.

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1.7 Is a change management process in place to manage major risk assessment changes for site?

1. Evidence of change management process for site.

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1.8 Are JSEA's complete for all tasks?

1. What trigger point is in place that determines a JSEA is to be completed for a task.
2. Evidence of understanding by supervisors.

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2.0 Risk Implementation

2.0 Risk Implementation

2.1 Demonstrated risk implementation with contractor supervisory management stream.

1. Evidence of supervisory interface to implement risk at the work face.
2. How do supervisors do this?

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2.2 How is the risk management system implemented in each work area?

1. Evidence of risk assessments.
2. Evidence of contractor on boarding system.
3. Evidence of JSEA.

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2.3 Do Contractor Safety Advisors meet with Contractor Supervision regularly to discuss safety implementation process for each area of operation?

1. Evidence of safety meetings to specifically address the implementation of safety in each area of operation.
2. Evidence of hazard and near miss reporting.

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2.4 Are JSEA developed with the workforce on the ground?

1. Ask a sample of employees if they have been involved in JSEA development.

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2.5 Are contractor supervisors trained in contractor safety systems other than the induction process?

1. Review a sample of training in Contractor SOP's.

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2.6 What forums are utilised between Contractor and contractor groups to discuss and/or review safety systems?

1. Evidence of contractor onboarding addressing safety process through the Contractor Management System.

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2.7 What frequency are zero harm meetings held?

1. Evidence of meeting minutes required.

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2.8 Are contractor H&S Committee meetings held with a contractor representative present?

1. Evidence of contractor safety meetings being held with contractor input into the process.

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2.9 Safety Observations

1. Evidence of safety observations being completed by a cross section of the workforce.

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3.0 Hazard Identification & Risk Assessment

3.0 Hazard Identification & Risk Assessment

3.1 Does a system exist for the formal identification of hazards and the assessment of risks and have all employees been trained in that system?

1. Employees or operators induction or training records.
2. Provide procedure or instruction for hazard and near miss reporting.

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3.2 Have Supervisors been trained in Hazard ID and JSEA development?

1. Supervisors Training Records

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3.3 Do the employees understand the requirement to identify and report hazards?
Are they competent to do so?

1. VFL Evidence
2. Hazard report evidence from CMW.

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3.4 Is team based risk assessment being conducted for identification of hazards for major work?

1. Supervisors, management, employees or operators and records.

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3.5 What is done with the hazards identified from the team based risk assessments?
Does a program of follow up exist and how effective is it?

1. Evidence of WRACS, Copies of CRAWS.
2. SWI, JSEA management of hazards.

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3.6 Are the recommended controls being identified from risk assessments so that personnel are not exposed to the significant hazards?

1. Evidence of WRACS, Copies of CRAWS.
2. SWI JSEA management of hazards, records and employees.

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3.7 How effective is the SLAM process in managing hazards in the workplace?

1. Evidence of SLAM contribution to managing hazards in the workplace.

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3.8 Are the hazards regularly reviewed to ensure elimination of high potential hazards?

1. Evidence of HPH recording.
2. Evidence of HPH lead performance management tool.

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4.0 Hazard Identification & Risk Management

4.0 Hazard Identification and Risk Management

4.1 Has a hazard analysis of the contractors workscope/operation been conducted and recorded?

1. Risk assessment reports.
2. Review a sample of safety incidents to determine if additional hazards have been identified.

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4.2 Has a risk assessment been conducted on all identified HPH's?

1. Risk ratings for all identified hazards that include consequence, likelihood and rating.
2. Paper evidence of risk assessment managing the hazard.

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4.3 Have controls been identified for the risk identified using the hierarchy of control?

1. Action plans for the implementation of controls.
2. Review a sample of controls and decide if hierarchy of control applied.

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4.4 Have the controls that have been implemented been effective?

1. Reports on status of action items.
2. Review a sample of safety incidents to determine if hazards are controlled.
3. Evidence of improvement in OH&S performance.

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4.5 Are workscope changes and/or modifications subjected to hazard analysis?
Change management - Has risk ID processes in place as part of that system.

1. Ask a sample of employees to identify changes.
2. Risk assessment reports on above changes.
3. Evidence of a change management document.

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4.6 Is the hazard register updated whenever hazards are identified in a change or modification?

1. Evidence of a hazard register.
2. Does the register include hazard list changes.

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4.7 Is a JSEA system for controlling hazards within tasks in place?

1. Lists of Job Safety Analysis or similar.

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4.8 Have employees been trained in developing a JSEA?

1. Training records for JSEA.
2. Training course content. (Induction id OK)
3. What does the organisation do in addition to the site induction?

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4.9 Are JSEAs accessible to employees?

1. Ask sample of employees to describe how to access JSEAs
2. Are JSEAs readily available at the workfront.

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5.0 Contractor Risk Management

5.0 Contractor Risk Management

5.1 Are there pre mobilisation meetings held with contractor groups to review relevant SHMS systems?

1. Records of attendance at induction for all employees, including managers.

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5.2 Is there a centralised distribution and communication point to implement SHMS with contractor groups?

1. Evidence of single point of contractor groups to manage contractor SHMS system.

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5.3 What process is in place to determine whether contractor groups have been communicated the SHMS for site.

1. Evidence of communication with contractor groups pre and post mobilisation.

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5.4 Are contractor project teams oriented into contractor's safety management system?
How does this occur and over what time frame.

1. Demonstration of culture and training.

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5.5 How do contractor groups train supervisors in site contractor safety systems such as ATW management?

1. Evidence of ATW training attendance.
2. Comparison of major hazards in hazard register with induction hazard awareness.

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5.6 How do tier 1 contracts ensure sub contractor employees are trained in the sites SHMS requirements?

1. Induction and other training records for all employees.
2. Access to these records.
3. Evidence of subcontractor interface and management.

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5.7 Is there a weekly / monthly SHMS reporting system in place?
What process is used to review and audit contractor groups on site?

1. Evidence of contractor monthly report.

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5.8 Is there a standardised communication process between Contractor Safety & Contractor Construction departments?

1. Evidence of communication between safety and construction departments.

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5.9 Do contractor supervisory structures effectively manage the safety processes in their respective work areas?

1. Evidence of Contractor Supervisory/Worker Interface.

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5.10 Are there regular safety meetings with contractor groups to review work scope and measure risk mitigation process against it?

1. Evidence of risk management safety meetings as a lead performance indicator.

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6.0 Lead Performance Indictators

6.0 Lead Performance Indicators

6.1 Does management attend the prestart safety meetings held on site?

1. Verify with attendance records.

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6.2 VFL's

1. Verify with evidence from meetings or if possible attend a meeting.

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6.3 Safety professional meeting.

1. Verify with evidence from meetings and manager evidence.

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6.4 Look ahead scheduling

1. Are they all addressed - verify with employees opinion.

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6.5 Hazard Reporting

1. Evidence of hard reporting.
2. Evidence of hazard management.

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6.6 How is safety data tracked to develop lead performance indicators in critical path areas.

1. Evidence of enablon entries
2. Evidence of action item close out.

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6.7 What audit process is in place to monitor and review the risk implementation process for site?

1. Evidence of contractor internal audit and monitor schedule.
2. Evidence of contractor audit and monitor procedure.

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7.0 Daily Planned Inspections

7.0 Daily Planned Inspections

7.1 Has a site procedure been developed to describe the method and responsibilities for conducting workplace inspections based on risks and legislative requirements?

1. Site procedure listing the various inspections.

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7.2 Are workplace inspections being conducted as per the procedure?

1. Records of inspections.

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7.3 Are relevant employees involved in the process (eg. safety reps)?

1. Evidence of employee involvement in the process.
2. List of participants.

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7.4 Are the results of inspections systematically followed up to identify the causes of non-conformances and are these addressed by the supervisiion?

1. Reports on and analysis of non-conformances.
2. Actions register for non-conformances.

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7.5 Are corrective actions planned and implemented in a timely manner?

1. Action plans from inspections.

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7.6 Specific inspections.

1. Are specific checklists in place to mitigate risk in the workplace ie. circuit checklist, working at height checklist

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7.7 Do all personnel that enter the workplace complete a DPI?

1. Records of inspections.

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7.8 Are hazard inspections taking place in each work area?

1. Is an effective hazard reporting culture in place?

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8.0 Permit Systems

8.0 Permit Systems

8.1 Is there a ATW in place for all work scope areas?

1. Sight evidence of permit system.
2. Ask supervisors to list permits available on site.

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8.2 Is there an expiry date on permits?

1. Evidence of expiry dates on permits.

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8.3 Is there a trigger point mapping daily work scope to permit system?

1. How do contractor supervisors monitor the progress of works and manage the interface of the permit system against it?

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8.4 Permit system implementation

1. Evidence of how the sites permit system is implemented and interfaced with separate work groups.

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8.5 Supervisory understanding of permit system.

1. Does the supervisory structure understand how to implement the sites permit system and the content of the work pack?

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9.0 Visible Felt Leadership

9.0 Visible Felt Leadership

9.1 Does a system exist for task observation on site and within the contractors organisation?

1. Verify by seeing records of observations.

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9.2 Have the personnel conducting the observations been trained in task observation?

1. Verify with training records.

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9.3 Have all employees been provided with an overview of task observations?

1. Verify with employees.

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9.4 How were the critical tasks to be observed assessed as appropriate and worthwhile for performing task observations?

1. Verify critical task assessment list and ranking.

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9.5 Are the task observations scheduled and are the personnel responsible aware of this timetable?

1. Verify with schedule and personnel.

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9.6 What feedback is given to personnel on these observations and what if any action comes from this feedback?

1. Verify feedback and process.

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Positive Findings & Sign Off

Positive Findings:

Contractor Representative Sign Off:
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Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.