Risks and Controls

A Safety Manager records a risk against the operating unit where the hazard matters. Its title, likelihood, impact and scale version capture the assessment method being used. A control points back to that risk, identifies its owner and states when it became effective. Control status distinguishes a draft measure from one in use or one retired from use.

Suppose an operating unit identifies a vehicle movement hazard. The manager records the risk against that unit and assigns an owner. The related control describes the separation measure and its effective date. A Control Tester can record its code and reference the control in a test, then describe a failed result in a finding under the same assessment. That chain helps a reviewer understand which measure was tested, rather than reading an exception without context.

• Risk ownership. The operating unit and named team member hold the hazard context.
• Control lifecycle. Draft, Active and Retired show whether a measure is current.
• Test connection. A control test references the measure and carries the observed result.

A control’s owner is separate from the person who tests it. A finding connects to both the assessment and control, so the manager can see where a gap appeared. Keep retired controls available for past findings and tests; changing current practice should not erase the older explanation. The scale version makes comparisons of likelihood and impact more understandable when the team updates its method.

Agree the meaning of likelihood and impact scores and record the scale version. Decide when a control becomes Active, how an effective date is chosen and who can retire a control. Choose control codes that a tester can reliably enter or select. Keep operating-unit ownership current when people or site responsibilities change.

Choose a hazard from one operating unit. Record its score and owner, then connect an Active control. Add a test result with an exception and raise a finding. The reviewer should be able to move from the finding back to the same control, risk and operating unit. If the control is retired later, the past test must still be interpretable through its original reference. Ask the Control Tester to compare the entered control code with the linked control before presenting that test to the reviewer.

• Active controls — Measures currently in use, with owner and risk context.
• Tests with exceptions — Failed tests that need attention.

See assessment and testing for control checks and finding to action for exceptions.