Does your business have a safety policy that documents the commitment to safety and is supported and signed by the accountable executive officer?
Is the safety policy readily visible to all employees?
Is there a statement in the policy regarding ‘just culture’ which discourages the business from blaming an individual following an incident and states that disciplinary action is only considered when there is deliberate violation, intentional recklessness, negligent behaviour or wilful misconduct?
Does your business have sufficient resources (financial, human, material) to support the SMS?
Has your business identified and documented safety objectives which support the safety policy?
Are the safety objectives measurable?
Are the safety objectives periodically reviewed to ensure ongoing relevance?
Are the roles and responsibilities of managers relating to the SMS documented (e.g. safety manager, transport manager, training manager)?
Are roles and responsibilities relating to the SMS for all employees in the business clearly documented in position descriptions?
Is everyone in your business clear about their safety duty obligations as a party in the Chain of Responsibility (CoR) under the Heavy Vehicle National Law (HVNL)?
Does your business have a safety manager/officer or someone appointed to implement, manage, communicate and promote the SMS?
Is there a position description outlining the responsibilities of the safety manager/officer/appointed person?
Does the safety manager/officer/appointed person have a direct reporting line to the executive officer?
Does your business have an SMS Manual which outlines the safety requirements and direction for the business?
Are policies, procedures and processes relating to safety and transport activities documented
(e.g. drug and alcohol policy, fitness for duty policy, load restraint and working at height procedures)?
Are all documents current and maintained through document control, version and revision dates?
Does your business assess a contractor’s safety performance before engaging their services
(e.g. subcontractor company prequalification form and/or interview)?
Does your business have contracts or service level agreements with third parties and are the safety standards they must meet clearly outlined?
Does your business regularly audit contractor safety performance for compliance and agreed safety standards?
Does your business have a process in place to identify and record hazards?
Is the reporting of hazards encouraged by senior management?
Does your business have a risk register in place to assess risks created by hazards, develop and implement controls, and ensure the ongoing effectiveness of risk controls?
Is the risk register regularly reviewed and updated?
Does your business have a formal process in place for reporting incidents and near misses?
Does your business have a procedure in place to acknowledge incident reports and provide feedback to the initiator on the outcome(s) of the report?
Is the reporting of incidents and safety issues encouraged by senior management?
Does your business have a process in place to investigate incidents and near misses?
Does the investigation process aim to identify factors contributing to an incident (e.g. behavioural, organisational, equipment)?
Does the investigation process take into account the safety duty obligations of parties in the CoR?
Does the investigation process focus on improving the safety of operations rather than blaming individuals?
Does your business conduct regular checks of work activities associated with documented procedures and processes?
Does your business have Safety Performance Indicators (SPI) in place to measure the business’s safety performance?
Are the SPIs monitored and periodically reviewed for relevance?
Does your business have a method of managing change to ensure safety (e.g. new vehicle type, fleet expansion, new work sites, new work activities)?
Is the method for managing change documented in a procedure?
Does the change management procedure include a requirement to assess risks associated with the change?
Is safety performance monitored after the change?
Are improvements made to the SMS following outcomes of risk management and safety assurance activities?
Does your business provide training to employees so they understand their role in the SMS?
Are employees trained in safety duty obligations and where their role sits as a party in the CoR?
Are employees trained in the business’s safety policies and procedures (e.g. hazard reporting, incident reporting, fatigue management policy, how they can support a positive safety culture)?
Are employees encouraged to attend safety-related training?
Are training records kept for all employees?
Has your business established mandatory and role-specific training requirements (including induction training) for all roles (e.g. a training needs analysis and training matrix)?
Is there a documented process for evaluating training effectiveness?
Has your business considered the need for refresher training within their training requirements?
Does your business conduct ongoing safety promotion activities (e.g. regular briefings, toolbox talks, newsletters, display board)?
Does your business readily share safety-related information with its employees (e.g. identified safety issues, feedback from hazard and incident reporting)?
Does management/leadership play an active role in ensuring workplace safety is a top priority?
Do all employees in the business see that the responsibility for working safely is a shared responsibility?
Do employees have support from management to cease work in the event of an incident or if they have a safety issue or concern?
Does open two-way communication occur between employees and management regarding