Internal Audit for Risk Management (RM)

Information

1. WSH Policy

(1). Is there a WSH Policy endorsed by the organization's top management?
(2) Does the WSH Policy clearly states the commitment to reduce WSH risks?
(3) Has an organisation chart been establish indicating the levels and functions within the organisation?
(4) Is the WSH Policy documented, implemented, maintained and communicated to all employees?

2.1 Have all RM/RA team leader(s) attended a 2-day RM course conducted by an MOM Accredited Training Provider (ATP)? - 100% verification of competency certificate of all team leader(s).
2.2 Has the RM/RA leader(s) been issued with appointment letter by top management?
2.3 Are at least 50% of the RM/RA team members been briefed/trained internally by the competent team leader(s)? - training certificate/attendance of RM/RA team members
2.4 Are the RA members familiar with the RA approach and method adopted by the organisation?

3.1 Have the RM Implementation Plan been approved by top management?
3.2 Does the RM Implementation Plan include all activities with medium and high risks?
3.3 Does the RM Implementation Plan states clearly the completion date, items for action and designated person (by name) for implementation?

4.1 Are the names and designations of the RM/RA team leader(s) and members documented in a list?
4.2 Are the RM/RA team members from various job levels and discipline?

5.1 Has the inventory of work activities for all the processes been developed prior to the conduct of risk assessment?

6.1 Have risk assessment been conducted for all work activities at the workplace?
6.2 Is there a risk register (completed RA forms) with hazard identification, risk evaluation and risk control which correspond to the inventory of work activities and for all the processes?
6.3 Has a risk register cover sheet which consists of a summary list of risk register been prepared?
6.4 Have the risk assessments been conducted by appropriate and competent persons?
6.5 Are risk assessments been endorsed by top management?
6.6 Have all WSH hazards been identified and their risks evaluated?
6.7 Have the proper risk evaluation matrices with proper severity and likelihood rating been used?
6.8 Have all RAs been documented and dated?
6.9 Has an RM manual been established?
6.10 Are risk evaluation methods and matrices properly defined and standardised across the organisation?
6.11 Have safe work procedures (SWPs) been established for key activities?
6.12 Have existing risk controls and SWPs been implemented in the workplace?
6.13 Have the risk register and RAs been updated after implementation of risk controls?

7.1 Is there a risk reduction in risk level of work activity after the implementation of prioritised risk controls?
7.2 Are the hierarchy of controls been considered in the implementation of the risk control?
7.3 Have additional controls been recommended on top of the existing controls, if appropriate?
7.4 Is there evidence(s) of risk reduction after implementation of risk control measures?
7.5 Is there evidence(s) of implementation of hierarchy of control; ie. elimination, substitution, engineering control, administrative control and PPE?
7.6 Have risk assessments and corresponding safe work procedures been implemented?
7.7 Have action plan for implementation of additional risk control measures complete with the schedule, name of persons-charge and their designations been developed?

8.1 Has an RM Manual / operating procedures which include the RA methodology been established and documented?
8.2 Are there evidences of briefing and training on risk controls been conducted (attendance list)?
8.3 Have risk assessment been communicated to stakeholders, especially to workers on the job?
8.4 Have RA been reviewed; - at least once in every 3 years? - when there are charges in work processes, equipment and services? - after occurrence of an incident / accident?