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
Induction/training Records.
VALIDATION
NO ACTION
• New worker and harvest casual’s inductions not complete.
• No 'Blue Book' sign off completed.
• Current employees have not received induction refresher in the last 2 years.
IN PROGRESS
• Harvest inductions underway, program developed.
• New employee inductions partially completed
• 'Blue Book' records not all complete or signed off.
• Current employee induction refreshers have been scheduled but not completed.
COMPLETE
• All harvest casual induction records completed and forwarded to Learning@GrainCorp
• All new employees have completed company and site SHE inductions and records are kept.
• All current employees have received SHE induction refresher in the last 2 years
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.
VALIDATION
NO ACTION
• SHE Policies not communicated to employees in the last year.
• Policies/ Procedures not displayed on Notice Board.
IN PROGRESS
• SHE policies communicated to employees but no sign off by workers.
• Policies on SHE noticeboards not current versions or incomplete.
COMPLETE
• SHE polices communicated to employees by TBT with 100% sign off by workers.
• All SHE policies & documents displayed on Noticeboard 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 and reviewed at least every 6 months
Site leader's are aware of Hazards/Aspects that affect their site operations (e.g. dust, pest control, noise, trade waste agreements, working at heights etc.)
Hazards/Aspects controls reviewed against most recent significant incident/near miss with SHE committee and register updated.
VALIDATION
NO ACTION
• Site Manager not aware of site related aspects
• Site manager not aware of existence of Legal and Other Requirements Register.
• No review has taken place ever.
IN PROGESS
• Site Manager is aware of the register but cannot describe the purpose of the register and how to use it to identify site related aspects and impacts.
• No review has taken place in the last 6 months.
COMPLETE
• Legal and other requirements e.g. by-laws, license requirements and alike are identified and entered into the SHE legal register/s.
• Register has been reviewed in the last 6 months
• Site Manager can explain where the Legal and other Requirements register is located and has a good understanding of its content.
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
Check for annual training records.
All new employees should be trained in risk assessment (eg Mini Wrac, JSA etc)
Evidence of competency assessment for all employees or all relevant SWI's.
VALIDATION
NO ACTION
• No employees have completed On-line module/s relating to risk management.
• SWI/SWMS/JSA competency assessments not completed.
• No employees have been trained in Mini Wrac.
IN PROGRESS
• Some employees have completed On-line module/s relating to risk management but gaps exist.
• SWI/SWMS/JSA competency assessments in progress.
• Some employees have been trained in Mini Wrac and records are available.
COMPLETE
• All employees have completed On-line module/s relating to risk management in the last 12 months.
• All SWI/SWMS/JSA competency assessments completed and recorded.
• All employees have been trained in Mini Wrac and records are available. -
5. Hazards for area have been identified, risk assessed and entered into Rivo.Hazard checked against Risk Register to ensure consistency of controls.<br>New Hazards communicated to SHE Manager for inclusion in Risk Register. <br>Hazard checked against Risk Register to ensure consistency of controls.<br>
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EVIDENCE
Site Hazards/Aspects are identified, recorded in Rivo and controls implemented.
Risk Hazard/Aspect controls reviewed against most recent significant incident with SHE committee and register updated.
VALIDATION
NO ACTION
• Daily toolbox talks not completed.
• 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)
IN PROGRESS
• Toolbox talks missing some records, no communication of weekly SHE themes.
• Safety alerts signed off, some workers missing or not all alerts signed off by due date
• Not all new hazards recorded in SafeGuard or communicated 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
RA's completed for all key manual handling tasks, plant & equipment and chemicals.
Reviews completed and planned risk assessments.
The Mini Wrac/JSA/SWI process is used if no Safe Operating Procedure/Instruction exists and all bunker activities.
VALIDATION
NO ACTION
• Change management not implemented and no records available.
• No RA completed for non-routine or bunker activities
• Review of SWI/SWMS/JSA not done.
IN PROGRESS
• Change Management records available for some projects
• Can produce records of some SWI/SWMS/JSA reviews. Reviews have occurred but not in the past 3 years.
• Some RA’s completed for non - routine tasks and all bunker activities.
COMPLETE
• All change management closed off for all completed projects
• Risk assessments completed for all non - routine tasks and bunker activities
• Risk assessments reviewed every three years or by exception after significant incident.
Management Plans
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7. Top 3 site risks Identified from risk register and SHE Improvement Plans for these developed with SHE committee.
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EVIDENCE
RA's completed for all key manual handling tasks, plant & equipment and chemicals.
Reviews completed and planned risk assessments.
The Mini Wrac/JSA/SWI process is used if no Safe Operating Procedure/Instruction exists and all bunker activities.
NO ACTION
• Top 3 site risks have not been identified and there is no plan developed.
IN PROGRESS
• Top 3 Hazards and Significant risks are identified but no plans developed to address issues.
COMPLETE
• Top 3 Hazards and Significant risks identified and plan developed.
• Control measures implemented according to hierarchy of control.
• Regular feedback and monitoring documented through SHE Committees and Management meetings.
Operational Control
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8. Permits used for relevant high risk work including confined space entry, control of hot work, working at heights, Hi voltage, wall and excavation penetration etc.
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EVIDENCE
Review quality of completed Permits.
VALIDATION
NO ACTION
• No Permits completed for high risk work
• No risk assessments completed for work
• No evidence that employees are trained and competent to do the work.
IN PROGESS
• Permits completed but incorrectly or missing elements.
• Risk assessments completed for some but not all works.
• Evidence of past employees training but refreshers have lapsed.
COMPLETE
• All permits completed correctly
• Risk Assessment’s completed for work
• All involved workers trained and competent -
9. Relevant Employees have been trained and apply LOTO standard.
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EVIDENCE
Review of training records and observations of LOTO.
VALIDATION
NO ACTION
• No training records’ available
• No isolating equipment available.
IN PROGRESS
• Employees trained in LOTO but not in the last 2 years. Refresher plan in place.
• Incorrect equipment available.
• LOTTO not applied correctly, i.e. incorrect tag or lock, no tag.
COMPLETE
• All relevant workers trained in LOTO process in the past 2 years.
• Evidence that the LOTO process in use at site of task.
• Lockout of controls (individual padlocks) and danger tags (indicating the date of isolation and the person who placed the tag)
Training
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10. Training needs analysis completed and forward training plan in place and being followed.
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EVIDENCE
Training records and risk registers.
VALIDATION
NO ACTION
• No evidence of training needs analysis.
• No training plans in place.
IN PROGRESS
• A Training Matrix has been developed but is not yet implemented.
• Training plan in place but some employees missing or not all competency requirements identified/ included.
COMPLETE
• A Training Matrix has been developed and implemented.
• A training schedule/plan is in place and being used.
• Training records are maintained and up to date. -
11. Safety Day Boards displayed and effectively used.
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EVIDENCE Current and relevant information is displayed/communicated. VALIDATION NO ACTION • No evidence of boards and/or pads being completed daily before commencing work. • There is no evidence of discussion regarding hazards and incidents. IN PROGRESS • Boards and/or pads in place but not completed regularly • Weekly SHE Theme is sometimes discussed. • Contractors and visitors not always participating or reviewing. COMPLETE • All hazards and risks arising from work being carried out are identified and discussed at TBTs. • A focused weekly SHE topic is discussed in each department/shift. • Review of incidents previous shift or relevant from elsewhere • Contractors participate (where relevant) or have reviewed prior to commencing work • Visitors participate or reviewed document.
Communication and Consultation
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12. All employees have been trained in ZIP (Zero Incident Process) introductory principles.
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EVIDENCE
Review attendance training records.
VALIDATION
NO ACTION
• No evidence of training or communication of ZIP toolkit topics.
IN PROGRESS
• Evidence of Sentis ZIP training in progress with some modules completed and records kept.
COMPLETE
• All employees have completed Sentis ZIP training and records kept. -
13. A SHE Committee meeting has been held at least every 3 months and minutes have been communicated to those who did not attend.<br>LLR and SRR performance reviewed at SHE committees and actions developed to address opportunities or non-conformance<br>
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EVIDENCE
SHE meeting minutes/Management Team meetings.
VALIDATION
NO ACTION
• Not reviewed at SHE or management Team meetings.
IN PROGRESS
• Reviewed at SHE/ Management Team meetings, no actions developed to address opportunities or non-conformance.
COMPLETE
• LLR/SRR performance reviewed at meetings and actions identified to address opportunities or non-conformance -
14. LLR and SRR performance reviewed at SHE committees and actions developed to address opportunities or non-conformance
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EVIDENCE
SHE meeting minutes/Management Team meetings
VALIDATION
NO ACTION
• Not reviewed at SHE or management Team meetings
IN PROGRESS
• Reviewed at SHE/ Management Team meetings, no actions developed to address opportunities or non-conformance
COMPLETE
• LLR/SRR performance reviewed at meetings and actions identified to address opportunities or non-conformance
Emergency Response & Crisis Management
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15. 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 but training refresher overdue
• First aid equipment available but some items out of date.
COMPLETE
• First Aiders training up to date
• Identity of first aiders communicated and known by workers.
• First aid equipment regularly inspected. -
16. Fire and Emergency Controllers appointed and trained to a level relevant to the sites risk. <br>Fire and Emergency Controllers clearly displayed in work area.<br>Annual or more frequent emergency drills are undertaken.<br><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
• No evacuation exercises completed or planned.
IN PROGRESS
• Regions/Ports have completed their emergency response plans, including the level of training to be provided to respond to emergencies.
• No fire or emergency Controllers appointed
• Emergency response equipment is available but overdue for inspection
• Annual emergency response training planned but not yet completed.
COMPLETE
• Fire and Emergency Controllers Appointed
• Emergency equipment is adequate to meet potential emergencies
• At least one evacuation exercise completed in the last 12 months and effectiveness reviewed
• Records of evacuation exercise and reviews kept
• Relevant to site risk annual additional emergency response training completed for:
* environmental emergencies
* confined space rescue
* Heights rescue
Non Conformance, Corrective & Preventative Action
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17. Incidents reported within 24 hours of occurrence and entered into RIVO correctly. <br>SHE Incident Escalation process is followed and SHE incidents are correctly coded in Rivo.<br>
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EVIDENCE
Review of RIVO reports. All fields entered correct. Correct escalation process applied as per definitions. Hard copy SHE Incident Notification (hand written by the notifying employee)
VALIDATION
NO ACTION
• Incidents not raised in Rivo
• Basic information not complete/or incorrect.
IN PROGRESS
• Rivo reports raised but not within 24hrs of occurrence
• Information complete
• Incidents not always escalated as per procedure.
COMPLETE
• All incidents, near misses and hazards reported immediately to the site management and escalated as per procedure
• All incidents correctly classified under the corporate SHE incidents classification matrix -
18. Incident investigations commenced within 48 hours or as agreed with SHE Manager. <br>For all significant incidents or injuries incident scene must be immediately contained and gathering of evidence commenced.<br>For all Medium Level SHE Incidents, a Long form or a Short form Taproot incident investigation must be completed.<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
• Incident scene not secured and investigation not conducted.
IN PROGRESS
• Incident Investigations commenced where required but not within 48 hours.
• Taproot investigation commenced but not completed within 5 working days or as per agreed timeframe with SHE Manager.
• No incident review debrief for level 3 and 4 incidents
• Completed Incident investigations not closed out in Safeguard.
COMPLETE
• Investigations commenced within 48 hrs
• Taproot investigations completed within 5 working days
• Safeguard reports closed off and short form (basic investigation) completed within a reasonable timeframe
• Investigations closed out in Safeguard and debrief completed as per procedure. -
19. Corrective Actions closed out on time. Corrective Actions must be reviewed for their effectiveness once they have been implemented.
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EVIDENCE
Review of corrective actions.
VALIDATION
NO ACTION
• No corrective actions recorded.
IN PROGRESS
• Corrective actions correctively entered into Rivo.
• Corrective actions not completed or overdue.
COMPLETE
• Corrective actions correctly entered into Safeguard.
• Corrective action requiring capital investment escalated as per the SHE capital procedure or Capital planning process
• Closed corrective actions have been reviewed at SHE Committee meetings for effectiveness
Monitor Performance
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20. 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, etc)
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EVIDENCE
Review preventative maintenance schedules and records.
VALIDATION
NO ACTION
• No maintenance schedule/plan
• Safety critical equipment, i.e. firefighting equipment, electrical test tag, lifting equipment etc overdue for inspection and no contingencies in place.
IN PROGRESS
• Schedule developed and is distributed but it is incomplete or incorrect.
• Equipment overdue for maintenance but hazard notifications entered into Rivo for overdue inspections of safety critical equipment.
COMPLETE
• Weekly maintenance schedule including safety critical items of equipment is in place and distributed
• All safety critical equipment inspections/testing in date and labelled/tagged -
21. Workplace SHE Inspection completed by Department each month
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EVIDENCE
Review quality of Workplace Inspection actions/Corrective Actions.
VALIDATION
NO ACTION
• No evidence that site inspections are conducted.
IN PROGRESS
• Site inspections completed but infrequently
• Hazards not entered in Rivo
• Site/Area Manager/Supervisor or SHE Rep/employee not participating in inspections.
COMPLETE
• Open sites are inspected monthly
• Site/Area Manager, SHE reps and/or employees participate in inspections
• Corrective actions entered into Rivo
• Inspection reports reviewed at SHE meetings -
22. Safety Observation/ Interactions undertaken for agreed designated SHE theme.
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EVIDENCE
Completed Safety Observation/ Interactions and effective rectification plans developed.
VALIDATION
NO ACTION
• Safety Interactions not undertaken.
IN PROGRESS
• Safety Interaction theme communicated
Mechanisms in place to record observations / interactions to reinforce safe behaviour and correct at risk behaviour.
COMPLETE
• Safety interactions undertaken to meet schedule
• Findings reported and unsafe conditions/acts entered into Rivo with corrective actions assigned
• Positive behaviours recognised and acknowledged at toolbox talks -
23. Teams trained in safety interaction / observation program rectification plans developed.
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EVIDENCE
Completed Safety Observation/ Interactions.
VALIDATION
NO ACTION
• No nominated leaders trained in safety interactions.
IN PROGRESS
• Some nominated leaders trained in safety interactions.
COMPLETE
* Completed Safety Observation/ Interactions.
Injury Management
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24. Employees understand initial Injury Management (IM) 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 IM toolbox talks delivered
• Injury Management pack not used for injury management
• No nominated RTW Coordinators training not completed/ overdue.
PROGRESSING
• Toolbox talk completed with % of employees and have signed (including casuals). Calendar schedule in place to complete remaining
• RTW Coordinators nominated and training plan in place
• Injuries reported immediately
COMPLETE
• IM Toolbox talks (5) delivered and ALL employees have signed (including casuals)
• Injury Management Pack used for all injuries
• All RTW Coordinators training current
• Injuries reported immediately and assessment/treatment initially provided by designated first aider -
25. Injury case management - Plans are in place to assist all employees who are restricted in some capacity to resume the performance of their full duties. Weekly contact with employees off work, daily for employees on RTW program.
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EVIDENCE
Return to work plan that is current and signed by all parties. Diary/case notes.
VALIDATION
NO ACTION
• No diary notes, email or other confirmed communication with worker
• No RTW Plan in place;
• RTW Plan expired and does not cover relevant period;
• RTW Plan not signed by worker
• RTW Coordinator or injury management specialist not involved in process
IN PROGRESS
• RTW plan covers relevant period
• Signed by worker +1 other party
• RTW covers some duties performed
• RTW considers applicable restrictions
COMPLETE
• • RTW Coordinator and injury management specialist involved in process
• RTW plan covers relevant period
• Signed by all parties
• RTW covers all duties performed
• RTW considers applicable restrictions
• Continued monitoring and reviewing the performance of the program with employee and plan updated weekly -
26. Ensure all employees and workers are aware of EAP services.
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EVIDENCE
EAP contact details are covered during induction and are on display in a general area/noticeboard.
VALIDATION
NO ACTION
• No EAP information provided to workers
IN PROGRESS
• EAP Toolbox talk not completed but scheduled.
• EAP documentation is either absent or incorrect.
COMPLETE
• Current EAP Documents e.g. cards, etc. available to employees
• EAP TBT has been delivered in last 12 months and employees have signed.
