Safety Management System Checklist - National Heavy Vehicle Regulator (Australia)

• Conducted on

  Date

• Prepared by

• Location
  Address

Management commitment

• Does your business have a safety policy that documents the commitment to safety and is supported and signed by the accountable executive officer?

  Yes

  Partially

  No

  N/A

• Is the safety policy readily visible to all employees?

  Yes

  Partially

  No

  N/A

• 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?

  Yes

  Partially

  No

  N/A

• Does your business have sufficient resources (financial, human, material) to support the SMS?

  Yes

  Partially

  No

  N/A

• Has your business identified and documented safety objectives which support the safety policy?

  Yes

  Partially

  No

  N/A

• Are the safety objectives measurable?

  Yes

  Partially

  No

  N/A

• Are the safety objectives periodically reviewed to ensure ongoing relevance?

  Yes

  Partially

  No

  N/A

Safety responsibilities

• Are the roles and responsibilities of managers relating to the SMS documented (e.g. safety manager, transport manager, training manager)?

  Yes

  Partially

  No

  N/A

• Are roles and responsibilities relating to the SMS for all employees in the business clearly documented in position descriptions?

  Yes

  Partially

  No

  N/A

• 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)?

  Yes

  Partially

  No

  N/A

Key safety personnel

• Does your business have a safety manager/officer or someone appointed to implement, manage, communicate and promote the SMS?

  Yes

  Partially

  No

  N/A

• Is there a position description outlining the responsibilities of the safety manager/officer/appointed person?

  Yes

  Partially

  No

  N/A

• Does the safety manager/officer/appointed person have a direct reporting line to the executive officer?

  Yes

  Partially

  No

  N/A

Documentation

• Does your business have an SMS Manual which outlines the safety requirements and direction for the business?

  Yes

  Partially

  No

  N/A

• Are policies, procedures and processes relating to safety and transport activities documented <br>(e.g. drug and alcohol policy, fitness for duty policy, load restraint and working at height procedures)?

  Yes

  Partially

  No

  N/A

• Are all documents current and maintained through document control, version and revision dates?

  Yes

  Partially

  No

  N/A

Third party interactions

• Does your business assess a contractor’s safety performance before engaging their services<br>(e.g. subcontractor company prequalification form and/or interview)?

  Yes

  Partially

  No

  N/A

• Does your business have contracts or service level agreements with third parties and are the safety standards they must meet clearly outlined?

  Yes

  Partially

  No

  N/A

• Does your business regularly audit contractor safety performance for compliance and agreed safety standards?

  Yes

  Partially

  No

  N/A

Safety risk management

Hazard identification

• Does your business have a process in place to identify and record hazards?

  Yes

  Partially

  No

  N/A

• Is the reporting of hazards encouraged by senior management?

  Yes

  Partially

  No

  N/A

Risk assessment and mitigation/treatment

• 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?

  Yes

  Partially

  No

  N/A

• Is the risk register regularly reviewed and updated?

  Yes

  Partially

  No

  N/A

Incident reporting

• Does your business have a formal process in place for reporting incidents and near misses?

  Yes

  Partially

  No

  N/A

• 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?

  Yes

  Partially

  No

  N/A

• Is the reporting of incidents and safety issues encouraged by senior management?

  Yes

  Partially

  No

  N/A

Safety assurance

Internal safety investigations

• Does your business have a process in place to investigate incidents and near misses?

  Yes

  Partially

  No

  N/A

• Does the investigation process aim to identify factors contributing to an incident (e.g. behavioural, organisational, equipment)?

  Yes

  Partially

  No

  N/A

• Does the investigation process take into account the safety duty obligations of parties in the CoR?

  Yes

  Partially

  No

  N/A

• Does the investigation process focus on improving the safety of operations rather than blaming individuals?

  Yes

  Partially

  No

  N/A

Safety performance monitoring and measurement

• Does your business conduct regular checks of work activities associated with documented procedures and processes?

  Yes

  Partially

  No

  N/A

• Does your business have Safety Performance Indicators (SPI) in place to measure the business’s safety performance?

  Yes

  Partially

  No

  N/A

• Are the SPIs monitored and periodically reviewed for relevance?

  Yes

  Partially

  No

  N/A

Change management

• 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)?

  Yes

  Partially

  No

  N/A

• Is the method for managing change documented in a procedure?

  Yes

  Partially

  No

  N/A

• Does the change management procedure include a requirement to assess risks associated with the change?

  Yes

  Partially

  No

  N/A

• Is safety performance monitored after the change?

  Yes

  Partially

  No

  N/A

Continuous improvement

• Are improvements made to the SMS following outcomes of risk management and safety assurance activities?

  Yes

  Partially

  No

  N/A

Safety promotion and training

Safety training and education

• Does your business provide training to employees so they understand their role in the SMS?

  Yes

  Partially

  No

  N/A

• Are employees trained in safety duty obligations and where their role sits as a party in the CoR?

  Yes

  Partially

  No

  N/A

• 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)?

  Yes

  Partially

  No

  N/A

• Are employees encouraged to attend safety-related training?

  Yes

  Partially

  No

  N/A

• Are training records kept for all employees?

  Yes

  Partially

  No

  N/A

• 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)?

  Yes

  Partially

  No

  N/A

• Is there a documented process for evaluating training effectiveness?

  Yes

  Partially

  No

  N/A

• Has your business considered the need for refresher training within their training requirements?

  Yes

  Partially

  No

  N/A

Safety communication

• Does your business conduct ongoing safety promotion activities (e.g. regular briefings, toolbox talks, newsletters, display board)?

  Yes

  Partially

  No

  N/A

• Does your business readily share safety-related information with its employees (e.g. identified safety issues, feedback from hazard and incident reporting)?

  Yes

  Partially

  No

  N/A

Positive safety culture

• Does management/leadership play an active role in ensuring workplace safety is a top priority?

  Yes

  Partially

  No

  N/A

• Do all employees in the business see that the responsibility for working safely is a shared responsibility?

  Yes

  Partially

  No

  N/A

• Do employees have support from management to cease work in the event of an incident or if they have a safety issue or concern?

  Yes

  Partially

  No

  N/A

• Does open two-way communication occur between employees and management regarding

  Yes

  Partially

  No

  N/A