Title Page
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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Summary
SHE System
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1. Teams have been trained in SHE Management System
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EVIDENCE
* Completed induction records
* Records sent to HR and/or learning @graincorp
* E Learn modules completed
VALIDATION
No Action:
* New worker inductions not complete.
* Workers have been engaged without completing induction and training.
* No 'Blue Book' sign off sent to 'Learning@GrainCorp'.
In Progress:
* Harvest inductions underway, program developed.
* Evidence of 'Blue Book' records completed, not all complete and sent to 'Learning@GrainCorp'
Complete:
* All harvest induction records complete and received by HR by set date (to be confirmed with HR).
* No workers have been engaged without completing induction and training.
* All 'Blue Book's' Complete and sent to 'Learning@GrainCorp'
Policies & Responsibilities
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2. SHE Policies must be communicated at least annually and displayed on noticeboards.
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EVIDENCE
* Toolbox Talk (needs to include a note of attendees). Noticeboard is up-to-date with current relevant polices
* Recently communicated Policies displayed on safety notice board
VALIDATION
No Action:
* Annual policy/procedure communication program not developed.
* Policies/Procedures not displayed on 'Notice Board'
In Progress
* Annual policy/procedure communication plan developed and communicated to Site Leaders.
* Percentage of completion should reflect a progressive score towards 100% e.g. 5 of 10 procedures communicated to all workers would equal 50% complete.
* Policies/Procedures not current
Complete:
* Annual policy/procedure communication plan on track with 100% sign off by workers.
* TBT communication records of policies/procedures available
* All documents displayed on Notice Board are current.
Legal & Other Requirements
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3. Legal and other requirements understood by line managers for items relative to their site.
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EVIDENCE
* Legal Registers populated by SHE Team.
* Site leaders are aware of aspects that affect their site operations (e.g. waste dust, pest control, noise, trade waste agreements etc.)
* Sites that have Environment Protection Licence have implemented licence controls and reporting
VALIDATION
No Action:
* Site Leader not aware of site related aspects
* Aspects controls not implemented
* Trade waste agreements not developed with local councils
* No waste disposal records
In Progress:
* Site Management can describe the purpose of the register and how to use it to identify site related aspects and impacts.
* Trade waste agreements in place where required
* Not all records available in relation to site Aspects (e.g. waste, Trade Waste monitoring, controls etc.)
Complete:
* Site Management has identified and communicated all relevant aspects and impacts to site team.
* Evaluation of compliance for each identified aspect has been completed by site management.
* All records available in relation to site Aspects (e.g. waste, Trade Waste monitoring, controls etc.)
Hazard ID & Assessment
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4. All employees trained in site Hazard ID and site risk management systems/procedures and SWI's
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EVIDENCE
* Annual risk management training records
* SWI Competency assessments
* Online training module records
VALIDATION
No Action:
* On-line module/s not completed
* SWI competency assessments not completed
* F2F Mini WRAC training not completed
In Progress:
* Not all employees have completed On-line module/s, insert percentage of site personnel completed.
* SWI competency assessments underway, can produce records of completed documents
* F2F Mini Wrac training completed not all records available
Complete:
* All employees have completed On-line module/s relating to risk management, can be verified by Learning at GrainCorp
* All SWI competency assessments completed and sent to controlling authority (HR or Learning?)
* All F2F Mini Wrac training completed, records available -
5. Hazards for area have been identified, risk assessed and entered into SafeGuard.<br><br>Hazard checked against Risk Register to ensure consistency of controls.<br><br>New Hazards communicated to SHE Manager for inclusion in Risk Register
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EVIDENCE
* Site Hazards are identified, recorded in SafeGuard
* controls implemented and actions closed
VALIDATION
No Action:
* Daily toolbox talks not completed showing new hazards are communicated.
* Safety Alerts not signed off.
* No Safeguard entries for new 'Hazards'
* No records of communication of new hazards to relevant stakeholders (site team, Regional Management and SHEM) Toolbox talks implemented missing some records
In Progress:
* Safety alerts signed off, some workers missing or not all alerts signed off by due date
* Not all new hazards recorded in SafeGuard
* Some records of communication to relevant stakeholders (site team, Regional Management and SHEM)
Complete:
* Toolbox talks conducted each day, sign off on TBT by all people present on site
* All Safety Alerts Signed off within 7 days by all employees
* New hazards reported in SafeGuard and controls communicated to relevant stakeholders (site team, Regional Management and SHEM) -
6. Risk assessment culture embedded to ensure ongoing application of the hazard ID & risk assessment process
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EVIDENCE
* Review completed and planned risk assessments for current month
VALIDATION
* Change management not implemented
* Annual review program for SWI's not developed (see comment in 28C)
In Progress:
* Change Management records available for current projects
* Can produce records of SWI reviews according to schedule
Complete:
* All change management closed off for all completed projects
* All risk reviews up to date with schedule -
7. The Mini Wrac/JSA/SWI/Take5 Process is used if no Safe Operating Procedure/Instruction exists
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EVIDENCE
* Review of Mini Wrac/JSA/SWI/Take5 book. Note quality.
VALIDATION
No Action:
* Mini WRACs not completed
In Progress:
* Mini WRACs completed for non-routine tasks
Complete:
* Mini WRAC records available showing sign off by workers
Management Plans
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8. Top 3 Hazards Identified and SHE Improvement Plans for these developed AND actively managed. Also needs to include improvement planning for significant risks.
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EVIDENCE
* Improvement Plans communicated and reviewed by team, SHE Representative & committee.
VALIDATION
No Action:
* No plan developed
In Progress:
* Plan developed and communicated to region/port.
* Plan identifies regional port areas of concern.
* Top 3 Hazards and Significant risks controls and improvements are identified and communicated through Regional Meetings and SHE Committees
Complete;
* Plan under way with regular feedback and monitoring through SHE Committees and regional/port management meetings
Operational Control
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9. Operational controls identified in SWI's and legal registers must be in place to effectively control/manage risk.
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EVIDENCE
* Operational control standards and SWI's are readily available for High Risk work.
Review understanding & effectiveness of operational controls that are in place & correlate to SHE Risk & Aspects Register’s
VALIDATION
No Action:
* Individual competency assessment not completed
In Progress:
* Individual competency assessments initiated and underway.
* Plan developed to complete assessments over time (training assessment matrix)
Complete:
* Individual Competency assessments completed to schedule. -
10. WRAC/SWI/Work Permits (PTW’s) used for relevant high risk work including confined space entry, control of hot work, working at heights etc.
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EVIDENCE
* WRAC/SWI/Work Permits (PTW’s) consistently utilised for non-routine work
* Review quality of completed WRAC/SWI/Work Permits (PTW’s)
VALIDATION
No Action:
* Permits to work not completed
* No records available
In Progress:
* Permits to work in place and operational.
* Records are available.
* Permits to work in use and available at site of task
Complete:
* All permits to work signed off and closed
* Quality control review process in place by Site Leaders to review PTW's and ensure correct processes are followed. -
11. Employees have been trained and apply LOTO properly.
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EVIDENCE
* Review of training records
* Task observations of LOTO being applied
VALIDATION
No Action:
* Isolation of energy and LOTO process not applied.
* No training plan to ensure competency.
In Progress:
* LOTO training rolled out to workers.
* Competency assessment records available and recorded with HR or Learning?
Complete:
* All relevant workers trained in LOTO process.
* LOTO process in use at site of task.
* Refresher Training completed each 2 years
Training
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12. SWI's used for training for high risk tasks.
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EVIDENCE
* Training records available including competency assessments
* Risk registers record SWI/WRAC Number
VALIDATION
No Action:
* No training records
* Toolbox talks not recorded
In Progress:
* Individual competency assessments initiated and underway.
* Plan developed to complete assessments over time (training assessment matrix)
Complete:
* Training Matrix implemented
* Training schedule maintained -
13. Training needs analysis completed and forward training plan in place and being followed
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EVIDENCE
* Training needs analysis, forward training plan and training records
VALIDATION
No Action:
* No training needs assessment completed
* No training matrix developed
In Progress:
* Training needs assessment complete
* Training Matrix complete with role descriptions and workers training plan developed
* Some gaps in training identified (not all completed to schedule, can show action plan to rectify)
Complete:
* Training Matrix implemented
* Training schedule maintained
Communication and Consultation
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14. SENTIS Safety Day Boards Displayed and effectively used. Where these are not practical then the minimum standard is the Notice Board Pack
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EVIDENCE
* SENTIS Ref Guide being followed.
* References to Mateship
VALIDATION
No Action:
* No Sentis Board displayed
* No Notice Board Pack
In Progress:
* Sentis board not up to date.
* Notice board not up to date, missing standard items.
Complete:
* Sentis board up to date, actively used to communicate safety messages, focuses on 'Mateship'.
* Notice board complete, information up to date. -
15. All team members have attended ZIP toolkit sessions (rewording to ensure everyone attends)
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EVIDENCE
* Review attendance, and evidence of "mateship” included in content
VALIDATION
No Action:
* ZIP toolkit not implemented
In Progress:
* ZIP Toolkit in place
Complete:
* ZIP toolkit roll out includes focus on mateship -
16. A SHE Committee meeting has been held within the past month and minutes have been communicated to those who did not attend.
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EVIDENCE
* Minutes and diary Note of communication.
VALIDATION
No Action:
* No records of communication of safety committee actions
In Progress:
* Safety committee actions communicated and displayed
Complete:
* Safety communication includes SHEGC minutes and lessons learned from other regions.
* SHE Committee Members names on display in the workplace -
17. Employee Reps involved with trend improvement/risk reduction activities
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EVIDENCE
* Review the quality of projects and correlated to risk assessments and / or issues raised
VALIDATION
No Action:
* No records of communication of safety committee actions
In Progress:
* Safety committee actions communicated and displayed
Complete:
* Safety communication includes SHEGC minutes and lessons learned from other regions.
* SHE Committee Members names on display in the workplace -
18. Employee Reps involved in Department's SHE Leadership Review
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EVIDENCE
* Rep in attendance during review.
VALIDATION
No Action:
* No records of communication of safety committee actions
In Progress:
* Safety committee actions communicated and displayed
Complete:
* Safety communication includes SHEGC minutes and lessons learned from other regions.
* SHE Committee Members names on display in the workplace
Emergency Response & Crisis Management
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19. First aid services are made available for all injuries from trained first aider.
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EVIDENCE
* Review of SHE notification reports
VALIDATION
No Action:
* No first aiders appointed
* No First aid equipment available
In Progress:
* First aiders appointed
* First aid equipment available
Complete:
* First Aiders training up to date.
* First aid equipment regularly inspected.
* Identity of first aiders communicated and known by workers. -
20. Fire and Emergency Controllers appointed and trained and displayed in work area.<br><br>There is currently no legislated compulsory Warden training. However Nationally recognised training is the easiest way to provide skills to Wardens.<br><br>A legal requirement is that a persons are responsible for emergency response.
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EVIDENCE
* Review of training register.
* Adequate drills have taken place with actions/outcomes identified
VALIDATION
No Action:
* No Fire and Emergency Controllers appointed
* No emergency equipment or evacuation plans
In Progress:
* Regions/Ports have identified their Emergency Planning Committee (EPC) and developed their emergency response plans, including the level of training to be provided to respond to emergencies
* Fire and Emergency Controllers appointed
* Emergency response equipment is available that meets potential emergencies
* Annual emergency response training planned
Complete:
* EPC meets at least annually to keep under review the Regional/Ports emergency plans, practices, response capability and training.
* Fire and Emergency Controllers Appointed
* Emergency equipment is adequate to meet potential emergencies
* Annual evacuation exercise completed
* Annual additional emergency response training completed for:
* environmental emergencies
* confined space rescue
* safe evacuation of personnel
Non Conformance, Corrective & Preventative Action
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21. Incidents reported as they occur, and coordinator assesses the risk at point of occurrence, with the employee, to complete injury notification.<br>
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EVIDENCE
* Review of hard copy SHE Incident Notification (hand written by the notifying employee)
VALIDATION
No Action:
* Safeguards not raised
* Basic information not complete
* No incident review
In Progress:
* Safeguard reports raised
* Information complete
* Incident Investigations commenced where required
Complete:
* Safeguard reports closed off
* Information complete
* Investigations closed off -
22. Incident investigations completed within 48 hours.<br><br>Changes to time-frames will need to be defined once the new Taproot system is deployed and changes made to the Incident Investigation procedures and processes
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EVIDENCE
* Review investigation documents and risk register
VALIDATION
No Action:
* Safeguards not raised
* Basic information not complete
* No incident review
In Progress:
* Safeguard reports raised
* Information complete
* Incident Investigations commenced where required
Complete:
* Safeguard reports closed off
* Information complete
* Investigations closed off -
23. Corrective Actions closed out on time.<br><br>'On time' needs to be clarified to enable this to be measured and reported
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EVIDENCE
* Review of corrective actions in RIVO.
VALIDATION
No Action:
* No corrective actions recorded
* No responsible person nominated
In Progress:
* Corrective actions agreed
* Review of controls planned
* Responsible person nominated
* % of corrective actions closed out
Complete:
* 100% Corrective actions closed out by due date
* Review of controls complete
* Monitored through SHE Committee -
24. Corrective Actions effectiveness reviewed
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EVIDENCE
* Evidence that corrective actions have controlled the risk and not introduced new hazards
VALIDATION
No Action:
* No corrective actions recorded
* No responsible person nominated
In Progress:
* Corrective actions agreed
* Review of controls planned
* Responsible person nominated
* % of corrective actions closed out
Complete:
* 100% Corrective actions closed out by due date
* Review of controls complete
* Monitored through SHE Committee
Monitor Performance
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25. Preventative maintenance plans in place for safety critical items of equipment (such as mobile plant, electrical equipment, lifting equipment, fire extinguishers, gas monitors, emergency equipment is etc.)
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EVIDENCE
* Review preventative maintenance schedules and records
VALIDATION
No Action:
* No maintenance
In Progress:
* Schedule developed in SAP
Complete:
* Weekly dashboard provided to Regional management showing % of work completed -
26. Workplace SHE Inspection completed by Department each month (Manager with SHE Rep)
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EVIDENCE
* Review quality of Workplace Inspection actions/Corrective Actions
VALIDATION
No Action:
* Site inspections not conducted
In Progress:
* Site inspections completed
* Not all hazards entered in SafeGuard
* Responsible person Nominated
Complete:
* Inspections and Corrective actions entered into SafeGuard
* Actions closed out
* Performance to expectations monitored and reported -
27. Safety Observation/ Interactions undertaken and effective rectification plans developed
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EVIDENCE
* Completed Safety Observation/ Interactions
VALIDATION
No Action:
* Safety Interaction not undertaken
In Progress:
* Safety Interaction Program planned and communicated
* Mechanisms in place to record observations / interactions to reinforce safe behaviour and correct at risk behaviour.
Complete:
* Safety interactions undertaken to meet schedule
* Interactions entered in SafeGuard -
28. Teams trained in safety interaction / observation program rectification plans developed
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EVIDENCE
* Completed Safety Observation/ Interactions
VALIDATION
No Action:
* No training in safety interactions
In Progress:
* Leaders trained in safety interactions
Complete:
* All Leaders training and engaged in conducting safety interactions
Injury Management
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29. Employees understand initial Injury Management process, absence from work reporting, immediate notification, 1st Aid, preferred medical provider, suitable duties etc.
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EVIDENCE
* Toolbox talk records
VALIDATION
No Action:
* No toolbox talks completed
In Progress:
* Toolbox talk completed and employees have signed (including casuals). Calendar schedule in place to complete remaining.
Complete:
* Toolbox talks delivered and ALL employees have signed (including casuals) -
30. Injury case management - Weekly contact with employees off work, daily for employees on RTW program
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EVIDENCE
* Diary/case notes
* Emails
VALIDATION
No Action:
* No diary notes, email or other confirmed communication with worker
In Progress:
* Some notes available
Complete:
* Detailed notes for all cases sighted -
31. Plans are in place to assist all employees who are restricted in some capacity to resume the performance of their full duties.
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EVIDENCE
* Return to work plan that is current and signed by all parties
VALIDATION
No Action:
* No RTW Plan in place
* RTW Plan expired and does not cover relevant period;
* RTW Plan not signed by worker
In Progress:
* RTW plan covers relevant period
* Signed by worker +1 other party
* RTW covers some duties performed
* RTW considers applicable restrictions
Complete:
* RTW plan covers relevant period
* Signed by all parties
* RTW covers all duties performed
* RTW considers applicable restrictions -
32. Ensure all employees and workers are aware of EAP services.
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EVIDENCE
* Toolbox talk conducted in the preceding 12 months.
* EAP contact details on display in a general area/noticeboard.
VALIDATION
No Action:
* No EAP information provided to workers
In Progress:
* EAP Toolbox talk completed
Complete:
* EAP Documents e.g. cards, etc. available to employees
