Issue

Recommendation

Context

• LTA management commitment/direction and support for risk assessment
• LTA criteria for how and when risk assessment is done
• LTA competency requirements identified for doing risk assessment
• LTA risk assessment quality-control including auditing criteria
• LTA design of risk assessment methods and form

• Raise management awareness; train managers
• Develop systems and training for risk assessment
• Appoint a high-level executive for risk assessment quality
• Design methods to include involvement and context-setting issues

Scope/Design

• LTA task or process boundaries defined for risk assessment
• LTA time allotted to do the risk assessment
• LTA selection of the risk assessment team in regard to risk assessment competency and/or risk assessment topic/issue familiarity
• LTA responsibilities defined for roles in the risk assessment
• LTA preparation for consideration of controls (good practice, standards, etc)

• Select a risk assessment process that is appropriate
• Make risk assessment integral to work processes/tasks
• Provide proof of commitment to the risk assessment process and application of outcomes
• Provide education and training in the risk assessment process
• Allocate roles/responsibilities to specific members in risk assessment
• Make control requirements, thinking, review, consideration, clear
• Audit the risk assessment process (include in quality assurance scope)

Execution

• LTA hazard identification during the risk assessment
• LTA attitude re risk assessment exercise (value, false sense of security, “tick and flick”)
• LTA use of hierarchy of control during the risk assessment
• LTA use of risk analysis methods (re ranking, acceptability, e.g. very dangerous, inherent and residual risk, varying consequence possibilities for one hazard)
• LTA understanding of risk assessment form and processes

• Disseminate information about hazards and unwanted events better
• Get commitment, leadership, support, approval from management to set the direction and be involved
• Select a risk assessment method appropriate to the task
• Reinforce the risk assessment process across the company
• Use refresher training re risk assessment
• Hold people in the risk assessment process accountable

Application

• LTA accountability for undertaking actions after risk assessment
• LTA management support for the outcomes
• LTA follow up/review after risk assessment
• LTA controls in place after risk assessment or LTA application of new controls
• LTA consistency of risk treatment
• LTA management of change; something changes after a risk assessment
• LTA or no formal system to communicate changes at work face
• LTA or no handover conducted

• Have a document control process including follow-up and  review
• Get management involved
• Define management responsibilities for managing safety, include in KPIs
• Have audits in the risk assessment process/system
• Have formal change management procedures in place re risk assessment
• Ensure accountability in the entire process
• Train re management of change/planning
• Detail review processes in risk assessment procedure
• Site audit to pick up risk assessment during use of risk assessment processes
• Establish processes to communicate changes to tasks
• Ensure effective handover

Issue

Recommendations

Lack of clear definition of risk assessment

Too much of a generic approach to the specific task

Inadequate process design

Selection of risk cases/process

Apply appropriate risk assessment technique for the situation

Conflicting goals; production vs safety and financial costs

Management commitment to budget (time, money, personnel) to make risk assessment an integral part of work processes

Consensus required for risk assessment development and findings

Education regarding acceptance of responsibility, and appropriate document design to allow for this

Lack of understanding of hierarchy of controls

Education and training

Issue

Recommendations

1. Hazard identification during the risk assessment.   

• Lack of understanding of risk assessment

Management commitment

• Tools

Process

Procedure 

Training

- Define mandated requirements

• Form

• JHA vs Risk Assessment

• Competence, timing, structure of team

2. Attitude to risk assessment exercise

• Lack of understanding of the implications of poor risk management.

Management commitment

Audit process

3. Use of hierarchy of controls

Refer 1. above

• Limited options available to workers

4. Use of risk analysis methods

• Mind-set, understanding of inherent risk, training

Refer 1 above

Issue

Recommendations

No definition of accountability

Assign, add to form

Lack of process for accountability

Provide for a process to define and assign accountability

Issues

Recommendations

Lack of understanding by manager of       risk assessment process

Management education/commitment

Committing financial resources to implement recommendations and allow for loss of production.                      

Adequate dollar resourcing

Perception by management of risk aversion

Management education/commitment                                

Issues

Recommendations

Lack of resources, time , people with knowledge

More time, more people or better utilisation of resources

Concerns about hindered production

Improve commitment by management

Issues

Recommendations

Lack of understanding of process

Education/training

Not monitoring

Monitoring

Failure to anticipate and recognise

Inspection and auditing (regular)

Lack of planning/wrong planning

Forecasting, planning

Reluctance to stop for unexpected events

Stop until change is assessed

Management bias to ‘nice’ outcomes

Change organisational culture

Issue

Recommendations

Hazard identification

Correct by collating information training in hazard identification and get it back out to industry so hazards can be identified

Better access and dissemination of industry experiences/information

Attitude to risk assessment

Management commitment to active involvement and follow-up by providing resources to allow monitoring and control

• set standards

• review and authorise

Use of hierarchy of controls

Management commitment to following the hierarchy and documentation provided to demonstrate higher order controls not available.  Senior manager to authorise

Use of risk analysis methods

Need to be appropriate to the task

May use more than one method