SAFETY CASE - The Role of Contractual Due Diligence Specifications - - PowerPoint PPT Presentation

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SAFETY CASE - The Role of Contractual Due Diligence Specifications - - PowerPoint PPT Presentation

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SAFETY CASE - The Role of Contractual Due Diligence Specifications for an Engineering Project. Townsville Regional Group Geoff Hurst 0426 881 322 ghurst10@live.com Background Need for a new approach Risk Management in the construction,

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SAFETY CASE -

The Role of Contractual Due Diligence Specifications for an Engineering Project.

Townsville Regional Group

Geoff Hurst 0426 881 322 ghurst10@live.com

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Risk Management in the construction, building, infrastructure, service, and manufacturing industries is applied with varying interpretation across businesses and sites within an enterprise.

Background – Need for a new approach

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Risk Management is understanding the past to predict the future

Background – Need for a new approach

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This is

  • ften

and largely a cost contingency approach.

Background – Need for a new approach

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This is

  • ften

and largely a cost contingency approach. We often are very good at predicting the numbers.

Background – Need for a new approach

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This is

  • ften

and largely a cost contingency approach. We often are very good at predicting the numbers.

Background – Need for a new approach

ETTO

Efficiency – Thoroughness Trade Off

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The opportunity however is to identify all the risks and deal with them as

  • pportunities.

Background – Need for a new approach

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2006

Procurement

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  • Does not mean that cheapest is best.
  • Comparative analysis of all relevant costs & benefits
  • Consider the whole procurement cycle
  • Include costs associated with WHS

Commonwealth Procurement Guidelines

The future – Value for money

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Requires

  • ‘looking forward’ in order to consider hazards through the

life of the item, as well as

  • ‘looking back’ to reveal past experiences that might

inform current decision making.

Commonwealth Procurement Guidelines

The future – Safe Design

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What are we Really Trying to do?

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Hold your Breath and Bury your head

Miss out on the benefits

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OR Bury your project

Miss out on the benefits

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OR Bury your project

Miss out on the benefits

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It is an often held view that Risk management costs time and money.

We do it because we have to

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Good Risk Management is Gold

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MANAGEMENT & LEADERSHIP

Geoff Hurst after Bently

Creating a Risk Management Culture

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MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

COMMITMENT Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

COMMITMENT AWARENESS Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

COMMITMENT CULTURE AWARENESS Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

METHOD COMMITMENT CULTURE AWARENESS Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

METHOD COMMITMENT RESOURCES CULTURE AWARENESS Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

METHOD COMMITMENT RESOURCES CULTURE AWARENESS CONTINUOUS IMPROVEMENT Geoff Hurst after Bently

Creating a Risk Management Culture

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SYSTEMS & PROCEDURES MANAGEMENT & LEADERSHIP PARTICIPATION INVOLVEMENT & CONSULTATION

METHOD COMMITMENT RESOURCES CULTURE AWARENESS CONTINUOUS IMPROVEMENT Geoff Hurst after Bently

Risk Management is a Socio-technical System

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Management Model

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Reason’s framework

Creating a Risk Culture

  • Informed culture
  • Reporting culture
  • Just culture
  • Flexible culture
  • Learning culture

Framework for engineering a safe culture - Reason (1998)

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Creating a Risk Culture

  • 1. VULNERABLE
  • 2. REACTIVE
  • 3. COMPLIANT
  • 4. PROACTIVE
  • 5. GENERATIVE

ORGANISATIONAL CULTURE STEPS

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Creating a Risk Culture

Learning Reporting Just Informe d Trust Flexible Flexible

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

Geoff Hurst

ORGANISATIONAL CULTURE STEPS

The Steps to a Risk Culture

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

How is simple

Geoff Hurst

ORGANISATIONAL CULTURE STEPS

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

Geoff Hurst

ORGANISATIONAL CULTURE STEPS

How is simple

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

Geoff Hurst

ORGANISATIONAL CULTURE STEPS

How is simple

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Vulnerable:

Why do anything?

Reactive: Have to do something Compliant: Important to follow rules Proactive: Belief and serious responsibility Generative: Everyone is involved

Geoff Hurst

ORGANISATIONAL CULTURE STEPS

How is simple

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Understanding Risk Culture

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Understanding Risk Culture

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VULNERABLE

Understanding Risk Culture

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VULNERABLE REACTIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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VULNERABLE REACTIVE COMPLIANT PROACTIVE GENERATIVE

Understanding Risk Culture

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Statutes - Acts Regulations Common Law Codes Formal Standards Industry Standards Body of Knowledge Guidance notes Operating manuals Maintenance manuals Procedure manuals Custom and practice Practices and rules

WHS Law

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The Project Life cycle

Deloitte

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EA Safer Construction Guideline

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CLIENT

EA Safer Construction Guideline

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CLIENT

Designer

EA Safer Construction Guideline

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CLIENT

Designer

EA Safer Construction Guideline

Constructor

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CLIENT

Designer

EA Safer Construction Guideline

Constructor

TRADITIONAL PROJECT

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CLIENT

Constructor Designer

EA Safer Construction Guideline

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CLIENT

Constructor Designer

EA Safer Construction Guideline

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CLIENT

Constructor Designer 3rd Party Design Review

EA Safer Construction Guideline

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CLIENT

Constructor Designer 3rd Party Design Review

EA Safer Construction Guideline

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Occupier Operator

CLIENT

Constructor Designer 3rd Party Design Review

EA Safer Construction Guideline

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Occupier Operator

CLIENT

Constructor Designer 3rd Party Design Review

EA Safer Construction Guideline

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Occupier Operator

CLIENT

Constructor Designer 3rd Party Design Review

EA Safer Construction Guideline

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The Project Life cycle

Deloitte

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The Project Life cycle – 4 Stages:

  • 1. Planning

After Deloitte

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The Project Life cycle – 4 Stages:

  • 1. Planning
  • 3. Construction

After Deloitte

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The Project Life cycle – 4 Stages:

  • 1. Planning
  • 3. Construction
  • 4. Post Construction

After Deloitte

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The Project Life cycle – 4 Stages:

  • 1. Planning
  • 2. Design
  • 3. Construction
  • 4. Post Construction

After Deloitte

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83

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Office of the Federal Safety Commissioner

8 PRINCIPLES

1.Commitment to a Safety Culture 2.Demonstrate Safety Leadership 3.Develop cooperative relationships 4.Promote Design for Safety 5.Communicate Safety Information 6.Manage Safety Risks 7.Continuously Improve Safety Performance 8.Entrench Safety Practices

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The Project Life cycle

Planning Design Construction Post Construction Construction Principle 1. Commitment to a Safety Culture . Principle 2. Demonstrate Safety Leadership . Principle 3. Develop cooperative relationships . Principle 4. Promote Design for Safety . Principle 5. Communicate Safety Information . Principle 6. Manage Safety Risks . Principle 7. Continuously Improve Safety Performance Principle 8. Entrench Safety Practices . After Deloitte

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The Project Life cycle

Planning Design Construction Post Construction Construction Principle 1. Commitment to a Safety Culture . Principle 2. Demonstrate Safety Leadership . Principle 3. Develop cooperative relationships . Principle 4. Promote Design for Safety . Principle 5. Communicate Safety Information . Principle 6. Manage Safety Risks . Principle 7. Continuously Improve Safety Performance Principle 8. Entrench Safety Practices . After Deloitte

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2000

The Law

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2000

The Law

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2000 2004

The Law

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2000 2004 2010

The Law

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2000 2004 2010 2012

The Law

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2000 2004 2010 2012

The Law

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Background – Safe Design

PERSONS CONDUCTING A BUSINESS OR UNDERTAKING Must:

  • Provide appropriate signage
  • Provide the WHS management plan
  • Ensure compliance with regulations
  • Manage risks re: materials, plant, traffic, essential services.
  • Ensure provision, compliance, revision, maintenance of the SWMS
  • Manage risks to health and safety during excavation work
  • Comply with WHS Regulations regarding the excavation of trenches
  • Provide general construction induction training
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2006

STEP 1: Planning STEP 2: Preparing to approach the market STEP 3: Evaluating submissions STEP 4: Contract negotiation and award STEP 5: Contract management STEP 6: Termination/transition STEP 7: Contract evaluation

Procurement

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Contractor Management Phases

This framework for Contractor Management simplified into 4 stages.

2

Selection

3

Implementation

4

Review

1

Pre-selection

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Contractor Management Framework

2

Selection

3

Implementation

4

Review

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

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Contractor Management Framework

2

Selection

3

Implementation

4

Review

1

Pre-selection

Project/contract design/definition and specification of compliance requirements Review of contractor proposals, standards and references.

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Contractor Management Framework

2

Selection

3

Implementation

4

Review

1

Pre-selection

Project/contract design/definition and specification of compliance requirements Review of contractor proposals, standards and references. Monitoring/Supervising & recording of contractor on the job compliance and performance.

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Contractor Management Framework

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

2

Selection

Review of contractor proposals, standards and references.

3

Implementation

Monitoring/Supervising & recording of contractor on the job compliance and performance.

4

Review

Review of contractor

  • verall compliance

and performance.

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Contractor Management Framework

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

2

Selection

Review of contractor proposals, standards and references.

3

Implementation

Monitoring/Supervising & recording of contractor on the job compliance and performance.

4

Review

Review of contractor

  • verall compliance

and performance.

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Contractor Management POLICY BASICS

Typical

2

Selection

3

Implementation

1

Pre-selection

4

Review

Minor Contract

Phase OUTCOMES

Major Contract

OR STANDARD of COMPLIANCE Induction Supervision Inspection Consider OHS Outcomes and safety issues for consideration in future contract work. Verify satisfaction and record.

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Contractor Management Flow Chart

Major Contract Minor Contract Value > $100k OR Duration > 12 months OR Risk – High Risk Work OR Complexity – Sub-contract YES No Pre-design – Facts and contract Schematic design – Hazard identification Design Development – Hazard Assessment and control

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

In Consultation with users

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Contractor Management - Project Risk

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

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Contractor Management – Evaluating Submissions

1

Pre-selection

Project/contract design/definition and specification of compliance requirements

  • Examine the Safety Management System
  • Verify the operation of the Safety Management System:

Third party certification and examination

  • Evaluate safety performance:

Infringements, fines or improvement notices

  • Conduct meetings with the contractor to confirm their

understanding of contract WHS requirements and their ability to comply/respond

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Contractor Management Decision Tree

No Accredited OHSMS Yes No OHS Coordination plan Acceptable No OHSMS Questionnaire Acceptable No Project Risk Assessment Acceptable

2

Selection

Review of contractor proposals, standards and references. Major Contract Site Access Permitted Contractor not acceptable

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No Accredited OHSMS Yes Optional OHS Coordination plan Acceptable No

OHSMS Questionnaire Evaluation

Acceptable No Project Risk Assessment Acceptable Site Access Permitted Minor Contract Resubmit Checklist

Contractor Management Decision Tree

2

Selection

Review of contractor proposals, standards and references. It is up to the Project managers discretion as to the level of information they require from the contractor

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Contractor Management Decision Tree

Induction Supervision Inspection

3

Implementation

Monitoring/Supervising & recording of contractor on the job compliance and performance. High Risk Work Construction Work YES No Type of contract & Contractor High Risk Work Construction Work YES No Type of contract & Contractor High Risk Work Construction Work YES No Type of contract & Contractor

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INDUCTION, TRAINING & SUPERVISION

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Contractor Management Decision Tree

Induction

High Risk Work Construction Work YES No Type of contract & Contractor

  • Contractors shall complete an OHS induction.

The extent of induction shall be determined for each contract and may include:

  • Outline of the Business OH&S program, including relevant policies

and procedures;

  • Provision of Contractor OH&S guidelines;
  • Confirmation of risk assessment control measures; and
  • Recorded on the Contractor Induction Form

For construction contracts covered by regulations provide construction induction training

  • Contractors shall complete an OHS induction.

The extent of induction shall be determined for each contract and may include:

  • Outline of the Business OH&S program, including relevant policies

and procedures;

  • Provision of Contractor OH&S guidelines;
  • Confirmation of risk assessment control measures; and
  • Recorded on the Contractor Induction Form

AND Provide construction induction training

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INDUCTION, TRAINING & SUPERVISION

Adequate supervision must be provided, taking into account where workers are unfamiliar with the site or the nature of the work. Workers in a supervisory role (e.g. leading hand or foreman) should be trained and authorised to ensure the work is carried out in accordance with relevant policies, procedures and the SWMS.

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Contractor Management Decision Tree

Supervision

High Risk Work Construction Work YES No Type of contract & Contractor To ensure:

  • Compliance with OH&S policies and procedures;
  • Conformance with the project risk assessment and OH&S plans;
  • Compliance with OH&S legislation.

The extent of supervision will depend on a number of factors associated with the works including:

  • Nature of hazards/risks;
  • Level of interaction with other parties;
  • Duration of contract; and
  • High risk tasks.

For OHS breaches Project Manager shall notify the contractor. Where an issue is considered to be significant in terms of serious injury or loss of life, the General or Project Manager may suspend the work until the issue is adequately resolved. Non Conformances shall be recorded by the Project Manager and issued to the Contractor to rectify. Upon correction, the Project Manager shall sign the form to verify completion.

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Contractor Management Decision Tree

Supervision

High Risk Work Construction Work YES No Type of contract & Contractor The Project Manager shall ensure that the contractor:

  • Complete a project risk assessment prior to commencing (for specific

works that may pose a risk to OH&S);

  • Holds a current licence(s) and/or qualifications (if required);
  • Performs work on site safely;
  • Maintains equipment to an appropriate standard; and
  • Performs works in accordance with appropriate legislation and

standards; Project OH&S Coordination Plan Principal contractors shall be required to prepare, communicate and maintain a OH&S coordination plan (Coordination Plan) including:

  • Specific OHS responsibilities
  • OHS Coordination including any arrangements for the management of

OHS incidents

  • Site safety rules and communication
  • Coordination Plan available for inspection. and
  • Everyone on site is aware of the Coordination Plan
  • Project Signage to be displayed for contracts > $250k
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Contractor Management Decision Tree

Inspection

High Risk Work Construction Work YES No Type of contract & Contractor Auditing shall be conducted on a scheduled and random basis. To ensure:

  • Compliance with OH&S policies and procedures;
  • Conformance with the project risk assessment and OH&S plans;
  • Compliance with OH&S legislation.
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Contractor Management Decision Tree

Induction Supervision Inspection

3

Implementation

Monitoring/Supervising & recording of contractor on the job compliance and performance. High Risk Work Construction Work YES No Type of contract & Contractor High Risk Work Construction Work YES No Type of contract & Contractor High Risk Work Construction Work YES No Type of contract & Contractor

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Contractor Management Decision Tree

4

Review

Review of contractor

  • verall compliance

and performance. Persons responsible for receiving goods or services shall have available to them the particular standard or specification referred to in the order or supply request. Verification: The person receiving the goods or services shall complete the Purchased Goods Evaluation Checklist. The local health and safety representatives may need to be involved. Keep records: Forms, purchase orders, risk assessments, and any information provided by the supplier on goods purchased. All identified risks need to be entered on the Risk Register. An OHS Purchased Goods Evaluation Checklist shall be completed upon receiving purchased goods.

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Villa Maria 116

Project Design Stage Risk Management Worksheet

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117

Contractor OHSMS Worksheet

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118

Contractor OHSMS Worksheet

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119

Contractor OHSMS Worksheet

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Contractor Selection Criteria

Commonwealth Procurement Guidelines

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Contractor Selection Criteria

Commonwealth Procurement Guidelines

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Villa Maria 122

Implementation Risk Management Worksheet

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123

Project Review Risk Management Worksheet

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124

Contractor – Consultant Register

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Example Risk Matrix

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Example Risk Matrix

Supplemented with Risk Scores

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Assessment of Tenders

Blank Risk Summary Table

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Assessment of Tenders

Example of populated Risk Summary Table Tender is for $27,000 over 5 days with a risk rating of 18.

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Mobile Crane Collapse

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Mobile Crane Collapse

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131

Mobile Crane Collapse

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132

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133

Mobile Crane Collapse

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134

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135

Mobile Crane Collapse

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136

Mobile Crane Collapse

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137

Mobile Crane Collapse

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138

Mobile Crane Collapse

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139

Mobile Crane Collapse

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140

Mobile Crane Collapse

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141

Mobile Crane Collapse

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Safety Case Guideline, 3rd Edition

– How to engineer safety due diligence under the provisions of the Model WHS Act,

Geoff Hurst 0426 881 322 ghurst10@live.com

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143

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144

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SLIDE 145

145

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SLIDE 146

Statutes - Acts Regulations Common Law Codes Formal Standards Industry Standards Body of Knowledge Guidance notes Operating manuals Maintenance manuals Procedure manuals Custom and practice Practices and rules

WHS Law and the Safety Case

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Management of Risks

17 Management of risks A duty imposed on a person to ensure health and safety requires the person: (a) to eliminate risks to health and safety, so far as is reasonably practicable; and (b) if it is not reasonably practicable to eliminate risks to health and safety, to minimise those risks so far as is reasonably practicable.

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SLIDE 148

Legal Implications

  • Penalties
  • Negligence
  • Causation
  • Foreseeability
  • Preventability
  • Reasonableness
  • Due Diligence

Due diligence – The effort made by an

  • rdinarily prudent or

reasonable party to avoid harm to another party.

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SLIDE 149

Duties of Designer

22 Duties of persons that design plant, substances or structures The designer must ensure, so far as is reasonably practicable, that the plant, substance or structure is designed to be without risks to the health and safety of persons: (a) who, at a workplace, use the plant, substance or structure for a purpose for which it was designed; or (b) who handle the substance at a workplace; or (c) who store the plant or substance at a workplace; or (d) who construct the structure at a workplace; or (e) who carry out any reasonably foreseeable activity at a workplace in relation to: (i) the manufacture, assembly or use of the plant for a purpose for which it was designed, or the proper storage, decommissioning, dismantling or disposal of the plant; or (ii) the manufacture or use of the substance for a purpose for which it was designed or the proper handling, storage or disposal of the substance; or (iii) the manufacture, assembly or use of the structure for a purpose for which it was designed or the proper demolition or disposal of the structure;

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Duties of manufacturer

22 Duties of persons that manufacture plant, substances or structures The manufacturer must ensure, so far as is reasonably practicable, that the plant, substance or structure is manufactured to be without risks to the health and safety of persons: (a) who, at a workplace, use the plant, substance or structure for a purpose for which it was designed; or (b) who handle the substance at a workplace; or (c) who store the plant or substance at a workplace; or (d) who construct the structure at a workplace; or (e) who carry out any reasonably foreseeable activity at a workplace in relation to: (i) the manufacture, assembly or use of the plant for a purpose for which it was designed or manufactured, or the proper storage, decommissioning, dismantling or disposal of the plant; or (ii) the manufacture or use of the substance for a purpose for which it was designed or manufactured or the proper handling, storage or disposal

  • f the substance; or

(iii) the manufacture, assembly or use of the structure for a purpose for which it was designed or manufactured or the proper demolition or disposal

  • f the structure;
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151

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SLIDE 152

Purpose of Safety Case

The Safety Case has been utilised in the high hazard process industries for over 3 decades. Its use is being more widely accepted and provides an ideal way to collate and present the Safety Case argument for any design or installation, project or task. Constructing a viable Safety Case can draw upon Risk Management and Risk Engineering tools.

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SLIDE 153

Purpose of Safety Case

The Safety Case document goes someway toward recording the Organisation and Workplace climate at the time decisions are made. It then provides a process for maintaining the currency of this document.

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SLIDE 154

Why We Need a Safety Case

The aim of all engineering tasks or projects is always to achieve

  • ptimum safety or level of risk.

When safety is improved we have a productive and efficient workplace. The process used to prepare a Safety Case ensures that superior safety remains the focus.

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Why We Need a Safety Case

  • 1. Legal Requirement:

In a growing number of jurisdictions, it is a legal requirement to prepare a Safety Case, (Safety Plan or a Safety Report). The Safety Case clarifies how and if the level of risk is tolerable or acceptable to the particular legislated requirements.

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Why We Need a Safety Case

  • 2. To provide a systematic process:

for the review of safety requirements throughout the life of a project, facility

  • r enterprise.

This can assist with identifying and then focusing on areas of higher risk to improve safety performance of the system, process, plant or enterprise/organisation.

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SLIDE 157

Why We Need a Safety Case

  • 3. To record: (or log)

all decisions made so that WHS due diligence, residual risk and risk controls (engineering practice) are recorded for future scrutiny and update.

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Why We Need a Safety Case

  • 4. Legal Defence:

To ensure that records of due diligence (engineering practice) are available should the need arise to demonstrate that decisions were made throughout the life of the project or facility with diligence. The Safety Case forms an audit trail throughout the life of a project or facility/process.

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Why We Need a Safety Case

  • 4. Legal Defence:

If decisions have been made with diligence then it becomes much more problematic for prosecuting authorities to prove negligence.

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Why We Need a Safety Case

  • 5. Change Management:

To provide for a rational basis for making improvements to equipment, plant items, people processes, systems or their components. It helps document change when and as it happens throughout the

  • lifecycle. The Safety Case can also

assist with the communication of change.

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SLIDE 161

Why We Need a Safety Case

  • 6. Communication & marketing:

Safety is often publically scrutinised. This can be before a project is implemented or after an event. The Safety Case can assist with communication to the public and help manage outrage.

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Why We Need a Safety Case

  • 6. Communication & marketing:

Safety also sells and is utilised by many manufacturers to provide a sales edge over competitors. A Safety Case can provide a resource to support such representations.

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Why We Need a Safety Case

It can also be said, that for a project to be handled with diligence, then all these factors are covered in any case. The project file will contain all the necessary information and can be collated to meet the needs of the Safety Case over time.

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Why We Need a Safety Case

The Safety Case is to both ensure safety and to record compliance with the law.

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Safety Case Content

Communication The Safety Case is about communication: communicating well about the safety of the plant/equipment/facility/enterprise being engineered.

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– Safety Case Content

3 Areas:

  • 1. Description:
  • 2. Safety Management System:
  • 3. Assessment:
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Level of Detail

Due diligence Approach:

Step 1. Hazard Identification – Identify all Credible Critical Issues Step 2. Criticality – Establish Critical Hazards. Step 3. Preventability – Identify all Practicable Precautions Step 4. Reasonableness – Determine which Practicable Precautions are Reasonable Step 5. Implementation – Precaution Implementation Step 6. Monitoring and Review – Quality Assurance

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SLIDE 168

Structure/Layout Executive Summary Description:

Introduction or Summary of engineered plant/equipment/facility Assumptions and boundaries Progress (Where applicable)

Safety Management System (SMS) Assessment:

Safety Case Steps 1 – 6 Emergency/Contingency preparedness Any independent reports or audits/scrutiny/review/legal opinion

Conclusions/recommendations/outstanding issues/concerns References Appendices

Level of Detail

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SAFETY CASE -

The Role of Contractual Due Diligence Specifications for an Engineering Project.

Townsville Regional Group

Geoff Hurst 0426 881 322 ghurst10@live.com

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Top-down

THREATS

OPPORTUNITIES

EXTERNAL /INTERNAL FACTORS

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Top-down - SWOT

THREATS

OPPORTUNITIES

EXTERNAL /INTERNAL FACTORS

VULNERABILITIES

ORGANISATION

STRENGTHS

VALUE ADDS

WEAKNESSES

STRATEGY

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CHAIR

Construction and Demolition Maintenance and Repair

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CHAIR

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CHAIR

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CHAIR

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CHAIR

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Managing Construction Safety Risk

Geoff Hurst 0426 881 322 ghurst10@live.com

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Due Diligence vs Risk Assessment/Target

Precaution based due diligence (WHS Act) ≠ Hazard based risk assessment (ISO 31000)

SFAIRP ALARP

Precaution focused by testing all practicable precautions for reasonableness, that is, on the balance of the significance of the risk is disproportionate when considering the effort required to reduce it. Hazard focused by comparison to acceptable or tolerable target levels

  • f risk.

From the definition in AS/NZS ISO 31000: 2.24 risk evaluation process of comparing the results

  • f risk analysis (2.21) with risk criteria (2.22) to

determine whether the risk (2.1) and/or its magnitude is acceptable or tolerable.”

Establish the context Risk assessment (precaution based): Identify credible, critical issues Identify precautionary options Risk-effort balance evaluation Risk action (treatment) Establish the context Risk assessment (hazard based): (Hazard) risk identification (Hazard) risk analysis (Hazard) risk evaluation Risk treatment Criticality driven Usual interpretation of WHS Act & common law. Risk (likelihood and consequence) driven Usual interpretation of AS/NZS ISO 31000 After Robinson 2013