Critical Control Accelerator�

Christian Young | Managing Director

My Commitment

In 40 minutes or less I’m going to give you everything you need to implement critical controls in your business.

Critical Control Accelerator

What we will Cover

• Step by step walkthrough of my process for implementing Critical Controls.
• The four foundations to developing a powerful control.
• The 8 Step process for separating Critical Controls from Support Activities and Verification Activities.
• How to calculate the strength of each Critical Control.
• Critical Control Selection Process
• How to know if you have too many Critical Controls and what to do next.

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• Bonus Material (Additional Modules)
• How to replace old Critical Controls with new Critical Controls without leaving gaps in your Management System.
• How to ensure your Critical Controls withstand the test of time.
• How to minimise your risk of an industrial manslaughter charge from lack of Critical Controls

Critical Control Accelerator

Critical Risk Management Framework

CRM Summary

Critical Control Accelerator

Action Management System, Work Management System

New Actions and Work Orders

Completed Actions and Work Orders

Broad Brush RA

Bowtie Analysis

Performance Standard

Materiality Criteria

Verification Sheet

Reporting

Incident Investigations

Control / Risk Owner Appointment Forms

Change Management�Workforce Training

Hazard Description

Critical Controls

Sampling Methodology

Job Planning & Execution

Controls

Control

Effectiveness

Assessment

Critical

Control

Flowchart

Risk Treatment Plans

Implementation Plan

Risk Register

Critical Control Verifications

Modules

Critical Control Accelerator

The four foundations to developing a powerful control

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Objective - Ensure the Control meets all Criteria of a Control

Scenario

• You have identified Controls on a Risk Assessment for a Critical Risk.
• We now need to ensure they meet the four foundations

Critical Control Accelerator

A Control

• Is;
• An act, or,
• An object (engineered), or,
• A technological system (combination of act and object),

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• Must be;
• Intended to prevent or mitigate an unwanted event.
• Specifiable, Measurable and Auditable
• Linked to a management system [impress]

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Adapted from: Rasmussen & Svedung, 2000; Leveson, 2004.

Critical Control Accelerator

Act

• A human ‘act’, which of itself, arrests or mitigates an unwanted event.

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• The defined human act may be derived from;
• A procedure (e.g.. Road rules manual)
• Training content (e.g.. Driver training prior to getting license) or
• Experience in applying specific practices in the given situation (e.g.. slowing down when driving in wet weather).

Critical Control Accelerator

Question?

• Is “Isolation Procedure” an ‘act’ type control for the hazard of “Incorrect isolation” ?

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• No
• The “Isolation Procedure” does not define the ‘act’

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• More appropriate Control Description
• Look inside the procedure for the specific ‘act’ which controls this hazard
• e.g.. “Test the system is de-energised prior to commencing work”
• List this as the control

Critical Control Accelerator

Object

• A physical, ‘engineered’ or designed ‘object’, which of itself, would arrest or mitigate an unwanted event.

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• It can be described as follows;
• Automatically actuated or operated, not relying upon a human act to actuate or operate,
• Passive (e.g.. road side barriers)
• Active (e.g.. airbags, crumple zones),
• Operated based on software (e.g.. Traction control will operate if the car senses a loss of traction)

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Critical Control Accelerator

Question?

• Which of the following are object type controls?
• Seatbelts
• Flashing lights at rail crossings
• Fire sensors and alarm

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• Answer
• Fire sensors and alarm
• The other two require ‘acts’ to enable their success

Critical Control Accelerator

System

• A combination of a act and an object.
• An object control that requires human acts to actuate, operate or respond.
• Also called a ‘technological system’ control.

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• It can be described as follows;
• Technology reliant upon a human act to actuate or operate when required such as a response to an alarm, and
• Passive (e.g.. seatbelts need to be worn) or
• Active (e.g.. reversing sensors prompt driver action).

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Critical Control Accelerator

Question?

• Which of the following are system controls?
• Traffic Lights
• Fire Extinguishers
• Vehicle air bags

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• Answer
• Traffic Lights
• Fire Extinguishers

Critical Control Accelerator

Specific, Measurable, Auditable

• Specificity:
• How would you describe the control to someone else such that they would know what to look for
• E.g.. all drivers must drive a maximum 40km/hr through a school zone

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• Measurability:
• How can you measure if it’s working or not
• E.g.. GPS tracking,

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• Auditability:
• How could you audit its effectiveness
• E.g.. Review GPS logs, in field observations with radar gun

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Critical Control Accelerator

Question?

• Which of the following are specific, measurable and auditable?
• Everyone must be inducted
• Induction Training Package
• All employees must receive defensive driver training prior to driving a company vehicle.

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• Answer – pretty clear
• How would you describe the control to someone else such that they would know what to look for
• How can you measure if it’s working or not
• How could you audit its effectiveness

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Critical Control Accelerator

Preventative & Mitigating Controls

Preventative Control:

• Prevents the hazard from being realized
• E.g.. Speed limit signage, road markings
• Two objectives;
1. Prevent the cause from occurring, and,
2. If the cause occurs, prevent it from leading to the unwanted event
• Prompt Question to identify preventative controls “How do we prevent the hazard from being released?”, How do we keep control?”

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Mitigating Control:

• Mitigates the consequence of the hazard should it be realized
• E.g.. Guard rails, vehicle crumple zones
• Prompt questions to identified mitigating controls “How do we limit the severity of the unwanted event?”, “How do we minimise the effects?”

Critical Control Accelerator

What good looks like

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Critical Control Accelerator

Outputs

• The Controls in the Risk Assessments comply with the Criteria for a Control

Critical Control Accelerator

Key Takeaways

• Applying the control criteria can help right now
• JSAs
• Risk Assessments
• Incident Investigations
• Audits
• Inspections

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• No point working on Critical Controls if you have deficient Controls

Critical Control Accelerator

8 Step process for Control Confirmation

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Objective - Validate that the intended Control is a True Control as opposed to a Support Activity, Verification Activity, or none of these.

Scenario

• You have Controls that meet Control Criteria defined on a Risk Assessment for a Critical Risk.
• We now need to ensure they are True Controls, and not Support Activities or Monitoring Activities

Critical Control Accelerator

Control Decision Tree

• The decision tree has been constructed to assist with the determination of a control.
• This definition of control means that elements like policies, procedures, “common sense” are NOT controls.

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Critical Control Accelerator

Source: The State of Queensland (Mining Safety and Health Advisory Committee) Risk assessment education resource.

Which of these are Controls, Support Activities, Monitoring Activities, or None

• Induction
• Supervisor Inspections
• Barricading of drop zones
• Hot Work Permit
• Alcohol and Drug Testing
• Emergency Response Plan

Critical Control Accelerator

General Guidance

• Support Activities
• Training - Inductions, ‘Trained Competent Authorised’,
• Authorisations & Appointments
• Management System Documentation – Procedures, Work Instructions, Forms, Templates,
• Maintenance - preventative maintenance programs
• Management Systems – Risk Management, Emergency Response, Change Management,
• Risk Assessments – Bowties, WRACs, JSA, Take 5
• Communication – Pre-shift meetings, In field communications,

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• Verification Activities
• Inspections – pre-start inspection, Supervisor Inspections, Work Area Inspections
• Audits – Internal and External Audits
• Reporting – External Reports, H&S Reporting,
• Monitoring activities – Radars, CITECT
• Management Monitoring - Safety Interactions, Task Observations, Felt Leadership

Critical Control Accelerator

General Guidance

• Where a previous ‘control’ has been identified as a Support Activity, or Verification Activity they should be removed from the list of Controls and listed separately.
• This avoids the ‘long list that makes everyone feel good effect’.

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• You may then need to identify other controls

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Critical Control Accelerator

Outputs

• True Controls only in the Risk Assessment.
• Support Activities and Verification Activities identified.

Critical Control Accelerator

Key Takeaways

• Separating out Controls from Support Activities and Verification Activities is critical for;
• Knowing how well a Risk is controlled.
• Ensuring that only true Controls are considered as Critical Controls.

Critical Control Accelerator

Control Effectiveness Assessment

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Objective - Calculate the Effectiveness of the Control

Scenario

• You have True Controls that meet Control Criteria defined on a Risk Assessment for a Critical Risk.
• We now need to measure their effectiveness (how good is the control).

Critical Control Accelerator

Adequacy of individual controls

• Not all Controls are as effective as each other.
• Controls that will potentially be Critical Controls should have high effectiveness

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Critical Control Accelerator

Control Effectiveness Assessments

• Combination of Control Quality and Control Impact
• Template uses a 3 point scale

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Critical Control Accelerator

Source: M. Hassall, J. Joy, C. Doran and M. Punch, Selection and Optimisation of Risk Controls. ACARP report no C23007, 2015.

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Critical Control Accelerator

Source: M. Hassall, J. Joy, C. Doran and M. Punch, Selection and Optimisation of Risk Controls. ACARP report no C23007, 2015.

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Critical Control Accelerator

Source: M. Hassall, J. Joy, C. Doran and M. Punch, Selection and Optimisation of Risk Controls. ACARP report no C23007, 2015.

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Control Effectiveness Assessments

• If an individual control is assessed as not being effective, then the following action should be taken;
• Identify strategies to improve effectiveness, or,
• Replace the control with a more effective control and / or,
• Supplement the control with additional controls.

Critical Control Accelerator

Output

Critical Control Accelerator

Outputs

• All Controls in the Risk Assessment have an Effectiveness Score

Critical Control Accelerator

Key Takeaways

• Not all controls are effective.
• Not all controls are as effective as each other.
• Control Effectiveness assessments allows us to identify this.
• Only Controls that meet minimum effectiveness criteria should be considered for Critical Control Selection.

Critical Control Accelerator

Determine Critical Control Eligibility

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Objective - Determine if the Control meets the Critical Control Eligibility Criteria

Scenario

• You have identified the effectiveness of each Control, and your Control Effectiveness threshold.
• We now need to determine which controls are eligible for selection as a Critical Control.

Critical Control Accelerator

Definition

Must be Critical

• Critical to preventing a Major Unwanted Event (MUE) or minimising its consequences.
• It’s the only control to prevent or mitigate the unwanted event.
• It’s absence or failure would significantly increase the risk despite the existence of the other controls.
• Prevents more than one cause leading to a loss of control event or mitigates more than one consequence. Or is across multiple bowties.
• It is independent of other controls to perform its intended function.

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ACARP C23007 Selection and optimisation of risk controls

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Critical Control Accelerator

Must be a Control

• An act, object (engineered), or technological system (combination of act and object), intended to arrest or mitigate an unwanted event.

Critical Control – selection flowchart

Critical Control Accelerator

Outputs

• All Controls eligible for Critical Control Selection have been identified.

Critical Control Accelerator

Key Takeaways

• There are several considerations for Critical Control Selection
• Not all controls will make it through the pathway.

Critical Control Accelerator

Finalise Critical Controls

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Objective – Define the final list of Critical Controls for the Hazard

Scenario

• You now have a list of Eligible Critical Controls
• We now need to distill this down to the final list.

Critical Control Accelerator

The Finalisation Process

• Select a maximum of 5 (at the start)
• Ask yourself “if there was one control, I could not live without which would it be?”

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• If unable to easily do this, then perform the following;
• Re-validate Control through the CC flowchart.

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• Review the hazard to confirm the hazard context requires a full suite of CCs
• E.g., snake bite Vs LV collision

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• Consider grouping and consolidation.
• E.g., Instead of listing Airbags, ABS, Crumple zones consolidate into Vehicle is 5-Start ANCAP Rated

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• Consider likelihood of the cause and consequence scenarios
• Not all will have the same likelihood e.g. Mobile Equipment Fire Vs Building Fire
• Are there eligible CCs on low likelihood pathways that could be downgraded, and eligible CCs on high likelihood pathways that can be upgraded.

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• Some CCs can be downgraded, however additional monitoring strategies can still be implemented if seen as important

Critical Control Accelerator

Outputs

• You will have a final list of 5 True Critical Controls for the Critical Risk ready for Implementation.

Critical Control Accelerator

Key Takeaways

• Choose a maximum of 5 Critical Controls (Less is More).

Critical Control Accelerator

Wrap Up

Critical Control Accelerator

Bonus Materials

• My list of generic Critical Controls
• Copy of Control Decision Tree framework
• Copy of Control Effectiveness Assessment Matrix
• Video Module - How to ensure lifetime performance of your Critical Controls.
• Video Module - How to minimise your risk of being charged with industrial manslaughter
• Video Module - How to replace old Critical Controls with new Critical Controls without leaving gaps in your Management System.
• Critical Control Audit checklist – how to audit any Critical Control to see if it passes the test.

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Critical Control Accelerator

Next Steps

• Review the Bonus Materials
• If you have a Risk Assessment for the Critical Risk (i.e. Bowtie Analysis) that has identified the controls, then apply this process to implement Critical Controls.
• If you do not have a Risk Assessment, work on this first to ensure the right Controls are identified.
• If you need assistance check out our Bowtie Analysis training module.
• We’ve covered a lot in the past x minutes, if you’d like help with your specific situation please book your free 15-minute critical controls audit with the link below this video.

Critical Control Accelerator

THANKYOU!

Critical Control Accelerator