Field Leadership GRM Layered Audit

• Layered Audit

• Document No.

• Conducted on

  Date

• Prepared by

• Location
  Address

• Other Personnel involved

• What:
  * Narrow and deep focus on a particular topic
  * The topic selected for the Layered Audit should enable the leader to focus on areas of their business where they have safety issues or want to verify HSEC systems and standards
  * As part of your preparation, refer to our high level documentation for example, GLDs, site procedures, legal registers to establish the system complies with business expectations and legal requirements

• Process - Pre-Audit meeting
  * Review last audit including action close-out
  * Identify and discuss topic - dig deep into the topic but maintain a narrow focus
  * Assign roles - senior leader usually undertakes lead auditor role
  * Develop audit plan for area, people and questions
  * Discuss applicable documents (GLDs, standards, procedures)

• Process: Conduct Layered Audit
  * Observe work activities in the field - engage with workers to validate and verify their understanding of the topic
  * Use the Take Time Talk model when engaging with people in the field
  * Check records

• Process: Post Audit meeting
  * Discuss observations and identify most significant gaps
  * Agree actions and assign with timing for completion (enter into SAP)

• Outcomes:
  * Gaps identified with two or three SMART actions
  * Observer to provide feedback to the lead auditor on process and safety leadership
  * Record field leadership data on this form
  * Raise actions in SAP as required

Pre-Audit Meeting

• Discuss last audit and actions (Enter comments)

• Was the last audit discussed?

  Yes

  No

  N/A

• Are actions from the last audit available?

  Yes

  No

  N/A

• Are actions from the last audit closed out or progress discussed?

  Yes

  No

  N/A

• Identify and discuss topic for this Layered Audit (Enter comments)

• Has a topic been selected for this Layered Audit?

  Yes

  No

  N/A

• Is the topic relevant and specific?

  Yes

  No

  N/A

• Roles assigned (Enter comments)

• Are there at least two levels of line management present?<br>(E.g. GM/Manager, Manager/Superintendent, GM/Head of)

  Yes

  No

  N/A

• Have you identified the Lead Auditor and Team Members?

  Yes

  No

  N/A

• Have you identified a Process Checker and Time Keeper?

  Yes

  No

  N/A

• Applicable documents discussed (Enter comments)

• Have you identified relevant GLDs, Standards, Procedures or FRCs?

  Yes

  No

  N/A

• Have you identified any relevant risk bow-ties, CDAs, CCVs, CETs or other risk management tools?

  Yes

  No

  N/A

• Have you identified any relevant legislation?

  Yes

  No

  N/A

• Have you developed the Audit Test Plan?<br>Have you identified the area, people and questions?

  Yes

  No

  N/A

Observe Field Practices

• Observe Work Area (Enter comments)

• Did the team follow all HSE rules in the field?

  Yes

  No

  N/A

• Did they miss any key hazards / risks?

  Yes

  No

  N/A

• Did the team respond appropriately to situations?

  Yes

  No

  N/A

• Interaction process (Enter comments) * Observe behaviour during an activity * Safety Stop Activity - introduce self and ask the participant to explain the task and associated risks * Commend positive behaviours and discuss at risk behaviours * Get commitment to work safely * Thank the participant and action findings and provide feedback

• Was good interaction processes followed in the field?

  Yes

  No

  N/A

• Check records (Enter comments)

• What records were checked?

• Did those records correlate with the Audit Test Plan?

  Yes

  No

  N/A

Post Audit Meeting

• Observations discussed (Enter comments)

• Were gaps in expected standards discussed and expectations clearly set?

  Yes

  No

  N/A

• Was enough time allocated to the Audit?

  Yes

  No

  N/A

• Did the Lead Auditor ask for feedback to improve?

  Yes

  No

  N/A

• Actions closed-out (Enter comments)

• Were actions discussed and agreed?

  Yes

  No

  N/A

• Were SMART actions assigned and prioritised (max 5 actions)?

  Yes

  No

  N/A

• Were links to the risk register, Management of Change or SEs made where needed?

  Yes

  No

  N/A

• Lead Auditor

  Sign

• Team Member

  Sign

• Team Member

  Sign

• Team Member

  Sign

• Select date

  Date