HSE-RiskAssessRisk assessments are used widely across the HSE applications. We probably mostly associate risk assessments with job safety but the Risk Assessments (HSE) application can also be used for operational or business risk assessments and environmental impact assessments.

Risk Assessments are principally used on:

  • Job Plans (HSE) – Details tab, Risks sub tab. The job plan can have one primary risk assessment and multiple supplementary risk assessments. A risk assessment can also be added to each job plan task.
  • Work Order Tracking (HSE) – Details tab, Risks sub tab. The work order can have one primary risk assessment and multiple supplementary risk assessments. A risk assessment can also be added to each work order task.

A single Risk Assessment can also be associated with:

  • Locations (HSE) – Operating Context tab, Risk Categorization section
  • Assets (HSE) – Asset tab, State section
  • MOC (HSE) – Projects and Risks tab, Risks section
  • Audit and Survey (HSE) – Findings tab, Follow-up section in Findings table window
  • Certifications (HSE) – Certification Tab, Certification Details section
  • Operating Policy (HSE) – Operating Policy Tab, Policy Drivers section
  • Incidents (HSE) – Incident Tab, Risk and Consequence section
  • Investigations (HSE) – Investigation Tab, Investigation Details section
  • Bypass Management (HSE) – Hazard Review Tab, Summary section
  • Hazards (HSE) – Hazard Tab, Risk Assessment section
  • Permit to Work (HSE) – Hazards and Isolations Tab, Risk Assessment sub tab
  • Isolation Management (HSE) – Hazards Tab, Risk Assessment sub tab
  • Operator Tasks (HSE) – Activities and Tasks Tab, Risk Assessment section

When you apply a job plan to a work order the risk assessments on both the Details tab as well as the tasks are copied. However, there is a setting in Organizations (HSE) which can default the risk assessment from the location, in this case the job plan risk assessments on the Details tab are not copied.

There are two approaches to performing a risk assessment:

  • Identify the hazards, the consequence/severity and likelihood combination to derive a risk ranking and risk priority which has been defined in the Risk Matrix (HSE) application. This is likely to be used for many job safety related risk assessments.
  • Use the Hazard Review tab and a set of predefined questions created using Standard Actions (HSE) or Standard Action Groups (HSE). The answers given to the questions may include a score. This will be a more appropriate method for other types of risk assessments that do not involve hazards.

In both cases the aim is to determine the values for the Most Significant Risk Ranking and the Most Significant Risk Priority which are entered on the main tab.

Before starting to create job safety related risk assessments then the Risk Matrix (HSE) will normally be set up. The consequence if the hazard occurs is entered and the consequence has an associated severity value. The likelihood of the consequence occurring is then added and with it you enter a risk ranking and risk-based priority. When the Risk Matrix is used you select the consequence and likelihood and the risk ranking and risk-based priority is derived. The Risk Matrix (HSE) application is also used to create risk matrixes for failure modes and incidents.

Risk assessments have a set of statuses, Draft, Completed, Active, Inactive. Fields are editable at Draft and Completed status but at Active and Inactive status the fields become read-only except that the precaution confirmed fields remain editable at Active state.

A useful function of the Risk Assessments (HSE) application is that you can create a Risk Assessment Template. This is achieved by using the action Create Template. When doing so the Template checkbox becomes checked. You then proceed to fill out the fields that you want to copy from the template. You create a risk assessment from the template by using the “Create Risk Assessment from Template” action when you are on the List tab of the application. This opens a dialog box where you pick the template from which you wish to create a risk assessment. Templates remain at Draft status; the status cannot be changed. If you no longer need the template, then use the action Delete Risk Assessment.

One consideration when creating a risk assessment is whether to create it at the system, organization or site level. This really depends on the application where you intend to use it and whether the application’s main object is at the system, organization or site level.

  • Work Order Tracking (HSE), Locations (HSE), Assets (HSE), MOC, Bypass Management, Permit to Work (HSE), Isolation Management (HSE), Operator Tasks (HSE) – Records are at site level, you can add a system level risk assessment or one from the same organization or site.
  • Hazards (HSE) – Records are at organization level, you can add a system level risk assessment or one from the same organization, but you cannot associate a site level risk assessment.
  • Job Plans (HSE), Audit and Survey (HSE), Certifications (HSE), Operating Policies (HSE) – Records can be at System, Organization or Site level, if at system level then only system level risk assessments can be applied. If at organization level, then system level risk assessments and risk assessments from the same organization can be applied. If at site level, then system level risk assessments and risk assessments with a matching organization or site can be applied.
  • Incidents (HSE), Investigations (HSE) – Records are at system level, but any active risk assessment can be applied including ones specific to an organization or site, it doesn’t matter whether the Site field on the incident or investigation has a value.

You can create a Risk Assessment from the Job Plan (HSE), Location (HSE), MOC (HSE) and Work Order Tracking (HSE) applications. You can also review risk assessments for the location and its ancestors and children from an action on Operator Log (HSE).

Risk Assessment Tab

  • Risk Assessment – The Risk Assessment number has an autokey. It is part of the unique key with Organization and Site and is mandatory.
  • Description – The description of the risk assessment will be displayed in lookups (100 characters).
  • Organization – The Organization that the risk assessment belongs. It will be read-only after first save. There is a standard lookup. It is part of the unique key with Risk Assessment and Site.
  • Site – The Site that the risk assessment belongs. It will be read-only after first save. There is a standard lookup. It is part of the unique key with Risk Assessment and Organization.
  • Prepared By – The person who prepared the risk assessment. It defaults to the logged in person who created the record. There is a Select Value and Go To People (HSE). Only people at Active state can be selected. The person’s display name is shown alongside.
  • Template – This checkbox is read-only and when checked indicates that this is a risk assessment template. It is checked only on the new record created when the action Create Template is used.
  • Status – The risk assessment status is read-only and defaults on insert to DRAFT. The Change Status action is used to change the status.
  • Status Date – The date/time the current status was set, it is read-only.
  • Owner – The owner of the risk assessment is read-only. It is set by using the Take Ownership or Select Owner actions. Selecting an owner will blank the owner group field.
  • Owner Group – The owner group of the risk assessment is read-only. It is set by using the Select Owner action and picking a record from the Person Group tab. Selecting an owner group will blank the owner field.

Details section

  • Job Plan – The job plan to which this risk assessment applies. It is set when the Create Risk Assessment action is used on Job Plans (HSE) application. There is a Select Value and Go To Job Plans (HSE). Only job plans at Active state can be selected. If the risk assessment is at system level, then only system level job plans can be selected. If the risk assessment is at organization level, then system level job plans and those for the same organization can be selected. If the risk assessment is at site level, then system level job plans and those with a matching organization and site can be selected. The job plan’s description is shown alongside.
  • Job Plan Revision – This is the revision of the job plan that was selected, it is a read-only field.
  • Location – The location to which this risk assessment applies. It is set when the Create Risk Assessment action is used on either Work Order Tracking (HSE), MOC (HSE) or Locations (HSE). The risk assessment created will be for the same site. There is a Select Value and Go To Locations (HSE). If the risk assessment is at the site level, then only locations from the same site can be selected. You can create a risk assessment on a decommissioned or an inactive location. The location’s description is shown alongside.
  • Asset – The asset to which this risk assessment applies. There is a Select Value and Go To Assets (HSE). If the risk assessment is at the site level, then only assets from the same site can be selected. You can create a risk assessment on a decommissioned or an inactive location. The asset’s description is shown alongside.
  • Approved By – The person who approved the risk assessment. This field would not be used if you were going to use the Review and Approval Tab. There is a Select Value and Go To People (HSE). Only people at Active state can be selected. The person’s display name is shown alongside.
  • Approval Date – The date/time of the approval. This field is not filled-out automatically when the Approved By person is selected.
  • Lock Out / Tag Out – The Lock Out / Tag Out Plan that has the required operations that the risk assessment is based on. There is a Select Value and Go To Lock Out / Tag Out Plan (HSE). Only LOTO plan records that are marked as Active and that are for the same site can be selected. If the risk assessment is at the system level, then any LOTO plan that is active can be selected. As LOTO plans are at the site level the risk assessment should probably be for the same site.
  • Classification – A risk assessment can be classified. To be selected a classification needs to be set-up with a Class Use With object of PLUSGRISKASSESS. There is also a Specifications tab for storing the attributes associated with the classification. The standard menu has Select Classification, Clear Classification and Go To Classifications.
  • Class Description – An alternate way of finding the classification by searching on its description, there is a Select Value dialog. When a classification has been found the description is displayed here and the Classification field is populated.
  • Operational Risk Assessment – A checkbox to indicate whether the risk assessment is associated with operational risks, the hazards associated with failure of safety-critical equipment or a long-term isolation.
  • Category – The category of risk assessment has a value list with values of Business Risk, Environmental Risk, Operational Risk, Project Risk, Corporate Reputation, Safety Risk.
  • Type – The type of risk assessment, this is shown in risk assessment lookups. It has a value list with values of Hazard Review, Impact Assessment, Job Safety Review, Location Safety Review, MOC Risk Assessment, Project Risk Assessment, Task Risk Assessment.
  • Most Significant Risk Ranking – The most significant risk ranking is manually entered after the risk assessment has been completed. It could be calculated automatically through configuration. It has a value list with values of Very High, High, Medium, Low.
  • Most Significant Risk Priority – The most significant risk priority is manually entered after the risk assessment has been completed. It could be calculated automatically through configuration. It has a value list with values of 1, 2, 3. Priority 1 would normally be considered highest.

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Risks table window

The risks table window allows you to enter the hazards and evaluate the risks if the hazard occurs and the likelihood of it occurring if no precautions are taken. After reviewing the precautions, the likelihood may be mitigated to a lower risk ranking or risk priority. There is a Select Hazards button to select multiple hazards in one action.

  • Hazard – A hazard associated with the risk assessment. There is a Select Value and Go To Hazards (HSE). The hazard description is shown alongside. You can have the same hazard multiple times for the same risk assessment but not with the same consequence.
  • Consequence – What is the consequence if the hazard occurs? There is a Select Value and Go To Risk Matrix (HSE). The consequence description is shown alongside. To be selected the risk matrix record must be set to Active state. If the hazard is marked as Environmental Aspect then only consequences marked as Environmental Impact can be selected.
  • Severity – The severity of the consequence as defined in the risk matrix record. This field is read-only.
  • Likelihood – How likely will the hazard occur? This field has a dynamic value list that is dependent on the selected consequence and is taken from the records entered in the Risk List on the Risk Matrix (HSE) application.
  • Risk Ranking – The risk ranking is related to the consequence and likelihood and is entered in the Risk Matrix (HSE) application. This field is read-only.
  • Risk-Based Priority – The risk-based priority is related to the consequence and likelihood and is entered in the Risk Matrix (HSE) application. This field is read-only.
  • Comments – Comments about the hazard (200 characters).
  • Mitigated Likelihood – How likely will the hazard occur if the related precautions are applied? This field has a dynamic value list that is dependent on the selected consequence and is taken from the records entered in the Risk List on the Risk Matrix (HSE) application.
  • Mitigated Risk Ranking – The mitigated risk ranking is related to the consequence and mitigated likelihood and is entered in the Risk Matrix (HSE) application. This field is read-only.
  • Mitigated Priority – The mitigated priority is related to the consequence and mitigated likelihood and is entered in the Risk Matrix (HSE) application. This field is read-only.
  • ALARP – A checkbox to indicate that the risk associated with the hazard are mitigated to be as low as reasonably possible.

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Precautions table window

The precautions to mitigate the hazard are populated when the hazard is entered. You can create new precautions and delete existing ones. There is a Select Precautions button. Precautions are defined at the site level and only the precautions of the same site will be copied if the risk assessment is also defined at the site level. If new precautions are entered, then you may enter an Action By Group to assess whether the additional precaution is needed.

  • Precaution – A precaution to mitigate the hazard. There is a Select Value and Go To Precautions (HSE). The precautions which are selectable will be dependent on the site.
  • Organization – The organization identifier on the precaution record, this field is read-only.
  • Site – The site identifier on the precaution record, this field is read-only.
  • Category – The category of the barrier used on the precaution. This is a value from the precaution record and is a read-only field.
  • Safety-Critical Element – An element which is critical to safety and associated with a regulation. This is a value from the precaution record and is a read-only field.
  • Comments – A comment about why the precaution is needed which should be added if the precaution was entered rather than copied from the hazard record (200 characters).
  • Action By Group – The group responsible for assessing whether the additional precaution is needed in order to mitigate the hazard. There is a Select Value and Go To Person Groups. This field is only enterable prior to saving the record.
  • Precaution Confirmed – This checkbox indicates that the new precaution is needed. It is editable in Active state. When checked the Confirmed date/time is entered. If unchecked it blanks the Confirmed field.
  • Confirmed – This read-only field shows the date/time when the Precaution Confirmed checkbox was selected.
  • Confirmed By – The person who confirmed that the precaution is needed. There is a Select Value and Go To People (HSE). To be selected a person must be in Active state. This field is editable while the risk assessment is in Active state, it only becomes read-only at Inactive state.

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Hazard Review Tab

The Hazard Review tab allows a standard set of actions to be considered when performing a review, for example a job safety review for general facilities work. This uses a feature of the HSE product called standard actions which has two supporting applications Standard Actions (HSE) and Standard Action Groups (HSE).

A standard action is used for checklists or a set of review actions requiring a yes or no response. A standard action can require the user to provide a Yes, No, or Not Applicable response, an alphanumeric response, a score, or to mark the action as completed. A standard action can also have multiple review items. Standard actions are grouped together to make it easier to apply to other types of record.

Summary section

  • Hazard Summary – A field for providing a short summary (200 characters) of the review actions.
  • Total Score – A numeric field for recording the total score from the scoring provided on the review actions. There is no automatic calculation of the total score.

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Review Actions table window

The icon at the end of the table window indicates that the standard action has one or more review items. QuickRef-ReviewItemIcon The user can update the table window directly. The descriptions below are in the order of that displayed in the table window details section.

  • Standard Action – This mandatory field has a Select Value and a Go To Standard Actions (HSE). The Standard Action must have been previously defined and be in Active state.
  • Description – This read-only field is the description of the Standard Action. It is often written in the form of a question. The long description can be used to provide additional guidance as to the meaning of the standard action.
  • Standard Action Group – This read-only field is populated when the Standard Action Group button is used.
  • Action By – This field is used to indicate the person who has the action. It is supported with a Select Value and a Go To People (HSE) menu. Selecting a person will blank the Action By Group.
  • Action By Group – This field is used to indicate the person group who has the action. It is supported with a Select Value and a Go To Person Group menu. Selecting a person group will blank the Action By field.
  • Repeatable – This read-only checkbox displays whether the standard action can be repeated multiple times when it is applied to a record.
  • Action Category – This read-only field displays the category of the standard action.
  • Review Action – This read-only checkbox indicates whether the standard action is of a review action type.
  • Completed – Use the checkbox to indicate when the review action has been completed and the responses, review items and any comments have been added. It will add todays date and time to the Sign Off field.
  • Sign Off – This read-only field is marked when the Review Action is completed.
  • Comments – This field is used to provide a comment. If required a long description can also be provided.

Responses

The fields displayed in this section are dependent on the response settings on the associated Standard Action.

  • Yes, No, Not Applicable – These three check boxes are displayed if the Yes or No response is selected on the Standard Action. The check boxes act like a radio button only one of them can be checked.
  • Alphanumeric – This field is displayed if the Alphanumeric response is selected on the Standard Action. It does not have a lookup.
  • Score – This integer field is displayed if the Score response is selected on the Standard Action. It does not have a lookup and it does not increment the total score field. Negatives are allowed.

Review Items

  • This table window will display the Review Items of the associated Standard Action, if any. You cannot add additional review items, only respond to the defined responses and add a short comment. The response types are the same as those described for the standard action above. The scores do not total to the score field on the standard action.

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At the bottom of the screen is a button to take the user to the Operational Actions (HSE) application.

Review and Approval Tab

This tab is used for a multi-stage review and approval process. There are two table windows, one for reviewers and one for approvers. A reviewer cannot also be an approver. If you are using this tab, then you probably do not want to use the Approved By on the main tab. The risk assessment has to be at Draft status to enter reviewers and approvers.

At the end of each table window is a button  Icon-Email which when pressed will open the Create Communication dialog box with the To recipient being the email address of the reviewer or approver. There is also a button below each table window called Group Email which adds all the reviewers or approvers to the recipient list. In both cases the Send From is the email of the current logged in user but it is enterable and could be changed. Emails are copied to the Communication Log.

There is a setting in Organization (HSE) action Oil and Gas/HSE Manager Shared Options – Risk Assessment – Options which can set the reviewers and approvers to those people who have been marked as performing that role in People (HSE) application.

At the top of the tab is a repeat of the Classification and Class Description fields.

Reviewers table window

  • Reviewer – A reviewer of the risk assessment. There is a Select Value and Go To People (HSE). For a person to be selected they need to be in Active state and they need to have the “Authorized for Risk Assessment Review or Approval” field checked on their person record in People (HSE) – Details tab. They cannot be referenced twice or referenced as an Approver. The display name of the person is shown alongside.Person-AuthorizedReviewApprove
  • Person’s Location, Person’s Site, Job Code, Employee Type, Technical Authority, Technical Authority Type – These fields are read-only and reference the fields from the associated person record.
  • Comments – The reviewer’s comments (200 Characters).
  • Reviewed – When the reviewer has completed their review they use this checkbox. The current date/time is then entered in the Sign Off field. There isn’t a check to ensure that the reviewer is the person who marked the Reviewed checkbox, but this could be provided through configuration.
  • Sign Off – The date/time when the reviewer completed their review and used the Reviewed checkbox.

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Approvers table window

  • Approver – An approver of the risk assessment. There is a Select Value and Go To People (HSE). For a person to be selected they need to be in Active state and they need to have the “Authorized for Risk Assessment Review or Approval” field checked on their person record in People (HSE) – Details tab. They cannot be referenced twice or referenced as a Reviewer. The display name of the person is shown alongside.
  • Person’s Location, Person’s Site, Job Code, Employee Type, Technical Authority, Technical Authority Type – These fields are read-only and reference the fields from the associated person record.
  • Comments – The approver’s comments (200 Characters).
  • Approved – When the approver has completed their assessment they use this checkbox to approve. The current date/time is then entered in the Sign Off field. There isn’t a check to ensure that the approver is the person who marked the Approved checkbox, but this could be provided through configuration.
  • Sign Off – The date/time when the approver completed their review and used the Approved checkbox.

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Checklist Tab

The check list tab creates a series of activities to be performed for the risk assessment. The activities are created using standard actions and multiple standard actions can be applied in one action by using a standard action group. If you use the checklist on a template, then this can be very useful for users who create a risk assessment from the template. It helps to ensure that they have considered everything for the type of risk assessment they are creating.

The Standard Actions for a checklist should not have a required response or any review items as a Checklist tab is unable to display these response fields. When applied there is just a Completed checkbox to use.

Checklist Actions table window

Below the table window there are buttons for Select Actions and Select Action Group both of which allow multiple records to be created in one action.

  • Standard Action – This mandatory field has a Select Value and a Go To Standard Actions (HSE). The Standard Action must have been previously defined and be in Active state.
  • Description – This read-only field is the description of the Standard Action. It is often written in the form of a question. The long description can be used to provide additional guidance as to the meaning of the standard action.
  • Standard Action Group – This read-only field is populated when the Standard Action Group button is used. Its description is shown alongside.
  • Action By – This field is used to indicate the person who has the action. It is supported with a Select Value and a Go To People (HSE) menu. Selecting a person will blank the Action By Group.
  • Action By Group – This field is used to indicate the person group who has the action. It is supported with a Select Value and a Go To Person Group menu. Selecting a person group will blank the Action By field.
  • Repeatable – This read-only checkbox displays whether the standard action can be repeated multiple times when it is applied to a record.
  • Action Category – This read-only field displays the category of the standard action.
  • Completed – Use the checkbox to indicate when the action has been completed and any comments have been added. It will add todays date and time to the Sign Off field.
  • Sign Off – This read-only field is marked when the Review Action is completed.
  • Comments – This field is used to provide a comment. If required a long description can also be provided.

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Environmental Risk Tab

This tab may be used for environmental impact assessments. If the Environmental Impact Assessment is checked then only hazards that are marked with an Environmental Aspect can be selected and the consequence (risk matrix record) must be marked with Envrionmental Impact to be selected.

  • Environmentally Critical – This checkbox shows whether the location has been marked as environmentally critical, it is a read-only field.
  • Environmentally Critical Element – This shows the environmentally critical element associated with the location, it is a read-only field.
  • Environmental Impact Assessment – This checkbox is used to indicate that an environmental impact assessment will be performed.

Activities, Products and Services section

  • Project – The project associated with the risk assessment. There is a Select Value and Go To Cost Management application. Projects are defined at the site level and this may restrict the records that can be selected. There is no restriction based on the status of a project, but this could be configured to avoid the selection of a cancelled project. The project description is shown alongside.
  • Service Item – The services that you purchase may be associated with a risk assessment. There is a Select Value and Go To Service Items application. Service items are defined at the Organization level for selection purposes and this may restrict the records that can be selected. Service items at Pending Obsolescence and Obsolete cannot be selected. The service item description is shown alongside.
  • Configuration Item – The configuration item (CI) that is associated with the risk assessment. There is a Select Value and Go To Configuration Items application. CIs at Decommissioned state cannot be selected. The CI description is shown alongside.
  • Product – The product associated with the risk assessment (500 characters). There is a long description, but the button is not displayed, easily configured.
  • Activity Type – The type of activity associated with the risk assessment. There is a value list with values of construction, decommissioning, operations, product, project, service.
  • Details – A long description for the details of the risk assessment. It is the long description of the Details field and not the Description field.

References section

  • Regulation – The regulation associated with the risk assessment. There is a Select Value and Go To Regulatory Compliance (HSE). Only regulations at Active state can be selected. There is no restriction based on the regulation’s Applies To field. The regulation’s description is shown alongside.
  • Certification – The certificate or permit associated with the risk assessment. There is a Select Value and Go To Certifications (HSE). Only certificates or permits at Active state can be selected. Certifications can exist at the System, Organization or Site level and this may restrict the records that can be selected. The certificate’s description is shown alongside.

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Assessment Tab

This tab is used for recording the technical team that will assess the risk assessment. As they perform their assessment they may come-up with a set of actions that need to be performed in order to ensure plant and personnel safety, these are entered in the Checklist Tab. The assessment precedes the review and approval. The risk assessment needs to be in Draft state to add or modify the records.

At the end of the table window is a button  Icon-Email which when pressed will open the Create Communication dialog box with the To recipient being the email address of the assessor. There is also a button below the table window called Group Email which adds all the assessors to the recipient list. In both cases the Send From is the email of the current logged in user but it is enterable and could be changed. Emails are copied to the Communication Log.

Team Members table window

  • Person – An assessor of the risk assessment. There is a Select Value and Go To People (HSE). For a person to be selected they need to be in Active state. The display name of the person is shown alongside.
  • Phone, E-mail, Person’s Location, Person’s Site, Title, Department, Status – These fields are read-only and reference the fields from the associated person record.
  • Role – This is the role that the assessor is performing. There is a value list with values of Assessor, Team Member, Team Leader.

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Specifications Tab

This is the standard Specifications screen seen elsewhere in Maximo. The Class Use With object for the classification is PLUSGRISKASSESS.

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Related Records Tab

The Related Records tab has a Tickets and Work Orders table window, the same seen in ticket and work order based applications. You can insert and delete records at any status of the risk assessment including Inactive state. There is no automatic population of the relationship when a risk assessment is used on an incident, investigation, MOC or work order.

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Log Tab

The standard log tab has two sub tabs for the Work Log and the Communication Log. There is a Modify/Delete Work Log action for those users who have been granted privilege to modify or delete work log records.

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Actions

  • Change Status
  • Select Owner
  • Take Ownership
  • View Risk Assessment HistoryRiskAss-Action-StatusHistory
  • Create Communication
  • Create Template
  • Modify/Delete Work Log
  • Create Risk Assessment From Template (List tab action)RiskAss-Action-CreateRisk

Risk Assessment Details Report

The format of the report changes depending on whether the risk assessment is an Operational Risk Assessment or an Environmental Impact Assessment.

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Organizations (HSE)

There are two Oil and Gas/HSE Shared Option actions that effect Risk Assessments.

  • Work Order Risk Assessment has a single checkbox which when checked will default the location’s risk assessment to the primary risk assessment on the Details tab in Work Order Tracking (HSE). When a Job Plan is applied only the risk assessments on job plan tasks will be copied over. The default is unchecked which means that the risk assessments on the Details tab of Job Plans (HSE) are copied, both the primary and supplementary risk assessments.Org-WorkorderRiskAssessOptions
  • Risk Assessment Options also has a single checkbox which when checked will limit the people who can be selected as reviewers and approvers on the Review and Approval Tab to those that have the “Authorized for Risk Assessment Review or Approval” option checked on their person record.Org-RiskAssessOptions

Risk Matrix (HSE)

A risk matrix is used with:

  • risk assessments to evaluate the risks of hazards
  • incidents to evaluate the consequence of the hazard encountered
  • locations and assets to evaluate the risks associated with a mode of failure

The Risk Matrix is used in the following applications:

  • Risk Assessments (HSE) – Risk Assessment tab – Risks table window.
  • Incidents (HSE) – Incident tab – Risk and Consequence section
  • Locations (HSE) – Failure Analysis tab – Failure Modes table window – Risk and Consequence section.
  • Assets (HSE) – Failure Analysis tab – Failure Modes table window – Risk and Consequence section.

A risk matrix has two dimensions, consequence severity against probability or likelihood. In the Risk Matrix (HSE) application you identify the consequences if the hazard, failure or incident occurs and allocate a severity to this. The probability is entered as a likelihood value. For each consequence/severity pair and likelihood you can add a risk ranking and risk priority. This creates a two-dimensional matrix for each consequence (severity and likelihood). The ranking might be something simple, very high, high, medium, low – but the risk priority could be any number of integer values, you will need to decide whether 1 is considered high or low. For example, the risk priority could be 1, 2, 3, or it may be a larger range.

The severity and likelihood may be the same for two different consequences, but those consequences might be very different. Consider the consequences from a valve leak.

Consequence Severity Likelihood Risk Ranking Risk-based Priority
Major leak in a Safety Critical System Major Unlikely High 2
Major water leak Major Unlikely Low 20

For example, an Unlikely-Major leak in a Safety-Critical system would be considered higher priority than an Unlikely-Major leak in the office water supply. One is potentially dangerous and might have environmental consequences with the likely reputational damage, the other is inconvenient and may be something claimable on insurance.

On the Incident (HSE) application there is no likelihood and hence no risk ranking or risk-based priority. In the Locations (HSE) and Assets (HSE) application the consequence is associated with a failure mode and its likelihood is assessed, there is a risk ranking but the risk-based priority is not displayed.

The Risk Matrix records have a status of Draft, Active or Inactive. Only Active records can be selected in the other applications. At active and inactive state, the record becomes read-only. Risk Matrix records are defined at the Organization level.

Consequences Tab

  • Consequence – The identifier for the consequence record. Part of the unique key with organization and severity and cannot be changed after save.
  • Description – The description of the consequence/severity. It has a long description which is not the same field as the Summary field.
  • Organization – The organization is mandatory and is defaulted to the organization of the user’s insert site. It is part of the unique key with consequence and severity and will be read-only after save.
  • Summary – The summary should provide guidance as to when the consequence/severity should be applied (200 characters).
  • Status – The status field is read-only and is changed using the Change Status action. Values are Draft, Active or Inactive.
  • Status Date – The status date is read-only and is filled when a record is created, or the status is changed.
  • Severity – The severity of the consequence. It has a value list with values of Critical, Significant, Major, Minor. This is the same list that will need to be used for all consequence records. It is part of the unique key with consequence and organization and will be read-only after save. The description is displayed alongside.
  • Reference Standard – A reference to a standard that may have defined this risk matrix (16 characters).
  • Duration of Exposure – An integer value for the duration that is used with the units, example 30 Months.
  • Units – A unit of time. There is a value list with values of Years, Months, Weeks, Days, Hours, Minutes.
  • Display Sequence – The display sequence used in the Risk Matrix report. The highest value appears in the first column of the report. It must be unique for a combination of organization, consequence and severity and it is read-only after save.
  • Environmental Impact – Does the consequence have the potential to impact the environment? If checked the consequence/severity would be used on environmental impact assessments. If unchecked it can be used on other types of risk assessments.

Risk List table window

One of each Likelihood value should be used for each Organization, Consequence and Severity combination. The same Row Sequence should be maintained for the same value of Likelihood.

  • Row Sequence – The sequence used on screen and on the risk matrix report. A value of 1 is considered the highest.
  • Likelihood – An assessment of how likely the consequence and severity will occur. There is a value list with values of Almost Certain, Probable, Significant, Unlikely, Rare. This is the same list that will need to be used for all records.
  • Risk-Based Priority – An integer value to be given for the combination of Consequence, Severity and Likelihood. The values are controlled by a numeric domain PLUSGRISKPRIORITY with default values of 1,2,3.
  • Risk Ranking – The ranking to be given for the combination of Consequence, Severity and Likelihood. There is a value list, ALN domain PLUSGRISKRANKING, with values of Very High, High, Medium, Low.

Matrix-Consequences

Log Tab

The standard log tab has two sub tabs for the Work Log and the Communication Log. There is no Modify/Delete Work Log action.

Matrix-Log

Actions

  • Change Status
  • Create Communication
  • Run Risk Matrix Report

Run Risk Matrix Report

When running the report, the Organization and Severity are mandatory. The report then shows the consequences which have this severity and their likelihood, risk base priority (RRP) and risk ranking values (RR). Consequence is a parameter, so you can limit the report to one column.

Matrix-Report