Name of Organization:___________________________________

Risk Management Audit Checklist

DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/ Results Guidance for RM Auditor

Audit Question IP/PI Yes No NA
1 OSH Policy
1.1 Is there a documented WSH policy endorsed by the top DR Policy should be endorsed by current top management.
management? Check if names, position and date of endorsement are
stated.
- Endorsement must be made by the current top
management; Note:
- Is the policy current? If top management comprises of more than one person, all
of them have to endorse on the policy

1.2 Does the WSH Policy show company's commitment to: 1. DR Policy should
manage and reduce risks through effective risk 1. indicate the company’s commitment
management? 2. address both safety and health objectives appropriate to
2. comply with applicable WSH legal requirements? the nature and scale of work undertaken by the company

1.3 Is the WSH Policy displayed, communicated and made IP & PI Interview three persons (one manager, one supervisor and
available to all relevant key stakeholders with the intent that one worker) to check if they are aware of the WSH Policy
they are made aware of their individual WSH obligations? and their WSH obligations/ responsibilities.

Check for evidence- either WSH Policy is dessiminated to

employees, contractors, or posted on a website or notice
board.

2 Preparation
Preparation for hazard identification, risk assessment
and risk control
 Risk Management Audit Checklist
DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/ Results Guidance for RM Auditor

Audit Question IP/PI Yes No NA
2.1 Did the company appoint team leaders and team members DR A multidisciplinary team is in place to manage safety, health
to form RM and/or RA Team (s) to implement risk and wellbeing holistically. This team(s) reports to the senior
management in the company? management.

Did the company appointed sufficient and suitable Sample appointment letter(s) of RA/RM Team Leader(s)
members? and team members

2.2 Are the appointed RA/RM team leaders trained to do Risk
Assessment?
Team leaders must have successfully completed the two-
day Risk Management Course conducted by ATO-WDA
DR Check for training records of the Risk assessment/ Risk
management team leader. Please check on the authenticity
and validity of the certificate(s) for all team leaders with
reference to MOM website for latest list of ATPs.

2.3 Are the RA/RM team members trained/briefed on Risk DR/IP Check training/briefing records of 50% of the team
Management by a Team leader who has completed the Risk members or conduct interviews. Verify the RM competency
Management Course. of the person who conducted the training or briefing.

2.4 Are the RA/RM team leaders and team leads familiar with
the RA methodolgy adopted by the company?
2.5 Does the company's RA methodology provide for
prioritisation of risks?
DR/IP Check for documents that stipulated RA methodology
adopted by the company. E.g. WSH Policy, or RA SOP,
training materials which highlighted the methodology
adopted e.g 3x3 matrix
DR Check whether RA methodology provides for risk
prioritisation
 Risk Management Audit Checklist
DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/ Results Guidance for RM Auditor

Audit Question IP/PI Yes No NA
2.6 Does the company's RA methodology provide for DR Check whether RA methodology provides for
documentation of risks? documentation of risks e.g. categorising, indexing,
referencing, etc

2.7 Is there an inventory of work activities kept by the company?
3 Risk Assessment
Hazard identification, Risk Evaluation and Risk Control
DR A list of all work activities / processes should have been
developed prior to RA. The inventory list should have
included all or most of the company’s daily operation.
Please check for department, workplace, site or project
specific work processes, if applicable.

3.1 Does the company have a procedure for hazard DR Check documents for evidence.
identification and risk assessment?
3.2 Is there a risk register kept at the workplace? PI & Check documents for evidence.
DR
3.3 Are risk assessment conducted for all the work activities, PI & Please verify documents with 3 current activities, where at
corresponding to the inventory of work activities, whether DR least one activity is a non-routine work, in the workplace.
routine or non-routine?
3.4 Are risk assessment conducted specific and relevant to the PI & Check risk assessments of 3 critical/ higher risk activities
work activities in the workplace? DR and workplace for evidence that RA are non generic and
customised to existing workplace conditions.

3.5 Does the risk assessment identify all foreseeable risks and PI & Check 3 risk assessments and workplace for evidence.
hazards (both safety and health) associated with the work DR
activities carried out in the workplace?
 Risk Management Audit Checklist
DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/ Results Guidance for RM Auditor

Audit Question IP/PI Yes No NA
3.6 Does the risk assessment take into account human factors PI & Refer to tab "Human Factors & other"
(e.g. fatigue and health management, operational DR
demands, communications, procedure design and Check 3 risk assessments and workplace for evidence.
implementation, etc) which may influence safety and health
outcomes? Interview the relevant personnel

3.7 Does the risk assessment take into account job factors (e.g. PI & Check 3 risk assessments and workplace for evidence.
shift design, mental demands of jobs, equipment design and DR
condition, signage and labels, etc) which may influence
safety and health outcomes?
3.8 Does the risk assessment take into account individual risk PI & Check 3 risk assessments and workplace for evidence.
factors (factors e.g. physical fitness, strength, hearing, DR
eyesight, knowledge, pre-existing conditions, etc) which
may influence safety and health outcomes?
3.9 Does the the risk assessment take into account activities of DR Check procedures for evidence.
all persons having access to the workplace (including
visitors to the workplace)?
3.10 Does the risk assessment take into account of identified DR Check procedures and documents for evidence.
hazards originating outside the workplace capable of
adversely affecting the safety and health of persons under
the control of the occupier within the workplace;

3.11 Does the risk assessment take into account hazards DR Check procedures and documents for evidence.
created in the vicinity of the workplace by work-related
activities under the control of the occupier?
3.12 Are existing legislation, Approved Codes of Practice and DR Sample 3 RAs for evidence
relevant guidelines taken into account in the development of
SWP and selection of control measures stated in the risk
assessment for work activities?
 Risk Management Audit Checklist
DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/ Results Guidance for RM Auditor

Audit Question IP/PI Yes No NA
3.13 Are the risks evaluated accuracy in accordance to the DR/PI Sample 3 risk assessments for evidence. Verify that PPE is
hierachy of risk controls? chosen as the last resort after other options are considered,
or PPE is not considered at all. Inspect the workplace to
verify that risk controls selected are available on site.

3.14 Are the responsible persons to implement control measure
specified in the RA?
Are there deadlines for implementation of the control
measure or SWP specified in the RA?
DR Sample 3 risk assessment for evidence and interview
corresponding implementer on his knowledge of the
appointment and deadline for implementation.

3.15 Are RAs dated and signed by the RA team? DR Please sample RA of 3 current work activities that are of
higher risk.
3.16 Are RAs approved and endorsed by the management? DR Check 3 RA for management's approval and endorsement.

4 Implementation
 Risk Management Audit Checklist: Human Factors & Other considerations
DR = Document Review
IP = Interview Personnel
PI = Physical Inspection

S/No. DR/IP/PI
Sector / Activity `
1 Logistics & System driver behaviour e.g. Pay-per-trip IP & DR
Transportation basis affecting safety MUST be assessed.

2 Logistics & Health e.g. fatigue affecting safety MUST be IP & DR

Transportation assessed.
onsiderations

Results Guidance for RM Auditor

Yes No NA
- Refer to Section 3 of WSH Guidelines:
Workplace Traffic Safety Management

-Refer to Section 3 of WSH Guidelines:

Workplace Traffic Safety Management
 Supporting Evidence

- Attach RA evidencing this factor;

- Interview stakeholder on arrangement of
pay-per-trip

- Attach RA evidencing this factor

- Interview with stakeholder on measures
taken in overcoming fatigue
Date of Interview
Name of Interviewer
Name of Interviewee
Position of Interviewee
Job Description of Interviewee
Reference Question
WSH Policy displayed, communicated and made
1.3 available to all relevant key stakeholders. They are made
aware of their individual WSH obligations.

The RA/RM team members trained/briefed on Risk

2.3 Management by a Team leader who has completed the
Risk Management Course.

The RA/RM team leaders and team leads are familiar

2.4
with the RA methodolgy adopted by the company.

The workers are briefed and are aware of the hazards,

4.5 the control measures and SWP for the work activities
they are involved in.

RAs and SWP made available in the workplace to all

4.6
workers.

The company have procedures for communicating

5.7
changes in RA to stakeholders after review.

Relevant stakeholders are informed and are aware of the

5.8
changes to risk assessment after it was changed.

System driver behaviour e.g. Pay-per-trip basis affecting

HF1
safety MUST be assessed.

HF2 Health e.g. fatigue affecting safety MUST be assessed.

Response Question
Response Question
Response