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
WORKING AT HEIGHTS
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1. A working at heights permit is in place.
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EVIDENCE
Person working at heights has been issued a permit to work by an authorised permit issuer and has signed onto the permit to work
VALIDATION
NO ACTION
• Not aware of any conditions or rules or have any permits in place.
IN PROGRESS
• Permit system in place with only periodic use.
• Permits not competently completed.
COMPLETE
• Permit system in place and is implemented.
• Permits are completed accurately. -
2. Persons working at height are trained
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EVIDENCE
Check training records - Training in the proper application of fall protection systems including the use and wearing of fall protection equipment
VALIDATION
NO ACTION
• Employees & contractors conducting work at heights have not been trained.
IN PROGRESS
• Training has been conducted. Not all employees have completed training or missed refreshers.
COMPLETE
• All employees or contractors that conduct work at heights have completed training as per the training skills matrix -
3. Fall and edge protection equipment is fit for use.<br>Controls such as lanyards, toe boards, screens, hole covers, equipment holding bags etc are in place to manage dropped objects such as tools and materials.<br>
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EVIDENCE
Fall protection equipment has a current test tag in place prior to use.
Where elimination is not possible, Exclusion zones and barricading / netting is in place prior to working at heights.
VALIDATION
NO ACTION
• No system in place for monitoring condition of Fall Protection Equipment.
IN PROGRESS
• Register of Fall Protection Equipment is in place but is not completed.
• Equipment is out of test date.
• Equipment not stored in a protective environment.
COMPLETE
• A Register of Fall Protection Equipment is being used.
• Equipment within test date and all tags attached.
• Equipment was in safe location for protection and easy use. -
4. Anchor points and barriers used during working-at-heights are fit for purpose.
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EVIDENCE
Adequate fall prevention controls are in place.
VALIDATION
NO ACTION
• There is no protection around openings/no certification of anchor points
IN PROGRESS
• Anchor points and barriers are available on some work at heights areas but not all.
• There are inadequate anchor points is use.
COMPLETE
• Anchor points and/or barriers are available on all work at heights areas.
• Anchor points are identified in permit to work and evidence of annual certification. (note slings tagged)
• All Barriers in use are in good working condition. -
5. Floor openings are effectively managed
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EVIDENCE
Floor openings have a suitable cover in place or are hard barricaded with appropriate signage?
VALIDATION
NO ACTION
• There is no protection around floor openings
IN PROGRESS
• There is protection around floor openings in some areas, some protection is inadequate.
• Signage to identify hazard is inadequate.
COMPLETE
• Protection around floor openings is adequate.
• Signage to identify hazards is appropriate. -
6. Ground conditions are assessed for EWP (Elevated Work Platforms) operations.
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EVIDENCE
Ground conditions for the EWP activity is fit for purpose and the EWP is set-up in accordance with manufacturers recommendations?
VALIDATION
NO ACTION
• There is no documentation (i.e SWMS/Mini wrac/permit) available or it fails to mention ground conditions for EWP or other plant.
IN PROGRESS
• Documentation (i.e SWMS/Mini wrac/permit) is available and includes ground conditions for EWP or other plant.
• Documentation not properly completed.
COMPLETE
• Documentation (i.e SWMS/Mini wrac/permit) includes ground conditions for EW P or other plant.
• Documentation is properly completed -
7. Operation of plant used for Work at Heights is effectively managed i.e. EWP, scissor lift, mast climbers, swing stage etc.
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EVIDENCE
Person using the EWP has reviewed the SWMS to ensure EWP requirements and working at heights activities are effectively managed and have established exclusion zones and barricades
Where applicable, an Emergency retrieval plan and a Spotter who is trained and competent in EWP retrieval is on hand during operation
VALIDATION
NO ACTION
• No documentation available for any risk assessment or permit to work.
IN PROGRESSS
• A SWMS exists but there is no evidence that the plant user has read it.
• No Rescue plan or spotter for working at heights listed.
• No evidence of use of barricades.
COMPLETE
• Evidence that user of plant has read and signed SWMS.
• Rescue plan or spotter for working at heights listed.
• Barricades in place where required. -
8. Use of ladders is fit for the task. Correct ladder for the job is selected and is inspected for any defects before use.<br>Ladder register is up to date and Ladder test tags are fitted to each ladder<br>
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EVIDENCE
Check Ladder register and inspect test tags.
Discussion with employees (also TBT)
VALIDATION
NO ACTION
• No Ladder Register in use for ladders.
• Ladder test tag or I.D. number not used.
IN PROGRESS
• Register in use for ladders but not all listed
• Ladder test tag or I.D. number not always used.
COMPLETE
• Register in use for ladders with all listed.
• Ladder test tag or I.D. number always used.
CONFINED SPACES
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9. Entry is controlled by a permit system
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EVIDENCE
Person working in confined space has been issued a permit to work by an authorised permit issuer and has signed onto the permit to work.
A Risk Assessment exists for the work activity.
VALIDATION
NO ACTION
• Not aware of any conditions or rules or have any permits in place.
IN PROGRESS
• Permit system in place with only periodic use.
• Permits not competently completed.
COMPLETE
• Permit system in place and is implemented.
• Permits are completed accurately. -
10. A stand-by person is in place at all times there are people inside a confined space.
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EVIDENCE
Stand-by person has been appropriately trained and authorised.
Stand-by person has been trained in the emergency procedures and retrieval processes?
Stand-by person is qualified in CPR.
VALIDATION
NO ACTION
• Site is not aware of a trained standby persons role or requirements.
IN PROGRESS
• Stand by in place.
• Stand by not aware of emergency response plan/no plan in place
• Stand by CPR not current
training plan in place.
COMPLETE
• Stand By person trained, documented in the Confined Space Permit.
• Understands and has sighted the emergency rescue plan.
• CPR current
• Good record keeping for sign in and out of the confined space. -
11. Air monitoring program is in place
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EVIDENCE
Air monitoring has been completed by a trained and competent person and an ongoing air monitoring process is in place while work is being performed inside the confined space.
A third party service provider carries out maintenance/checks on all air monitoring devices as per manufacturer’s instructions.
VALIDATION
NO ACTION
• Site is unaware of any air monitoring requirements.
• Site has no Gas detector available.
IN PROGRESS
• Site has a gas detector but is outside its test date.
• No records of gas detection are in the Confined space permit.
• No Bump test completed.
COMPLETE
• Site has a gas detector within its test date.
• Records of gas detection are in the Confined space permit.
• Bump test completed prior to use. -
12. Person working in the confined space has reviewed the SWMS and familiarised themselves with the emergency procedures. <br>Prior to commencing the work activity, it has been validated if any applicable rescue equipment is available at the Site.
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EVIDENCE
Person working in the confined space has reviewed the SWMS and familiarised themselves with the emergency procedures
Prior to commencing the work activity, it has been validated if any applicable rescue equipment is available at the site.
VALIDATION
NO ACTION
• No Rescue plan in place.
• There is no rescue equipment readily available.
IN PROGRESS
• An emergency rescue procedure is in place but no documentation on what to do.
• Some rescue equipment is available but not enough to be effective.
COMPLETE
• An emergency rescue procedure is in place, documentation on what to do is available.
• The equipment necessary for rescue is available in accordance with the plan.
ENERGY SOURCES
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13. Unless tested for dead, all wires and equipment are to be considered and treated as live. <br>* Contractors shall provide copies of SHE plans / Risk assessments / JSA's
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EVIDENCE
Prior to commencing work on energised plant or equipment a test for dead check has been completed and the equipment is isolated and in a zero-energy state and recorded.
Where there is live work (eg Commissioning), it must be carried out under a permit to work.
VALIDATION
NO ACTION
• No Permit to work and Risk assessment available.
IN PROGRESS
• No Test for dead completed on the risk assessment
• Permits/risk assessment are not completed correctly:
- Missed data
- No close out
- missed isolations
- poor sign off
- missing controls
• Not all site work permits records available were applicable.
COMPLETE
• Test for dead completed and documented on a risk assessment
• Risk assessments has identified all potential energy sources and isolated correctly and test before dead completed before starting work
• Site work permits are fully completed for all commissioning work -
14. Relevant Employees have been trained and apply LOTO standard.
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EVIDENCE
All employee who apply LOTO have attended training and been deemed competent in the last 2 years.
VALIDATION
NO ACTION
• No employees have attended LOTO training and are unaware of the requirement to isolate energy sources.
IN PROGRESS
• Some but not all employees have attended LOTO training
COMPLETE
• Training records verify that all employees have attended LOTO training and been deemed competent to isolate energy sources. -
15. Personnel undertaking electrical work are trained and competent.<br>
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EVIDENCE
Person conducting electrical work holds relevant licences
Prior to any electrical work, a risk assessment, permit to work must be completed.
VALIDATION
NO ACTION
• No evidence of training or licences for personnel who undertake electrical work.
IN PROGRESS
• Personnel undertaking electrical work are unable to produce evidence of license or training, or licence has expired.
COMPLETE
• All personnel conducting electrical work hold relevant training and licence requirements. i.e. additional training/qualification for hi-voltage work or hazardous area assessments. -
16. All circuits and powered equipment have RCD (Residual Current Device) protection.
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EVIDENCE
RCD is within test date and has a test tag in place. RCD are used when using portable powered equipment.
VALIDATION
NO ACTION
• RCD’s are not used.
• Site staff not aware of GrainCorp requirements.
• No test/tag completed on RCDs.
IN PROGRESS
• Some use of RCDs but not all equipment covered
• Completed in register but no tag present.
COMPLETE
• Site inspection identified full use of RCDs.
• Site staff are all aware of GrainCorp requirements for use of RCD'S.
• All RCD test/tag in place and current -
17. Switchboards are compliant and secured.
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EVIDENCE
Switchboards are secured (Board covering all wires) or locked (whilst no work is being done on the switchboard) and there is clear access to the switchboard.
VALIDATION
NO ACTION
• No Switchboards are secured (Board covering all wires) or locked.
• Site Staff not aware of the requirement.
IN PROGRESS
• Some Switchboards are secured.
COMPLETE
• Site inspection identified all restricted access Switchboards are secured. -
18. All energy sources are clearly identified and marked.
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EVIDENCE
Isolation points and energy sources are clearly identified and labelled on plant/equipment that is required to be worked on.
VALIDATION
NO ACTION
• No identification and labelling of isolation points/energy sources
• LOTO not applied for isolation of energy sources.
IN PROGRESS
• Not all isolation points/energy sources identified and correctly labelled
• LOTO is used to clearly identify and control isolations.
COMPLETE
• Appropriate signage in place good access and protection for switchboards.
• All operational access switchboards are correctly labelled
• All isolation points/energy sources identified and correctly labelled
• LOTO is used to clearly identify and control isolations. -
19. Isolation's for all potential harmful energy sources are identified by competent persons.
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EVIDENCE
Each site has undertaken a process to identify energy sources, emergency stops and isolation points. A site diagram exists that clearly marks each of these and or all isolation devices are clearly and consistently.
VALIDATION
NO ACTION
• No energy sources/ Estops/isolation points identified
• No diagrams in place.
IN PROGRESS
• Not all energy sources/ E stops/isolation identified.
• Plan in place/ progressing.
COMPLETE
• All energy sources/ E stops/isolation identified, labelled and diagrams completed.
MOBILE PLANT
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20. Defined exclusion zones are maintained, and entry to work areas is controlled.
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EVIDENCE
* Barricading and exclusion zones are established that provide separation from plant and vehicles within the workplace.
VALIDATION
NO ACTION
• Barricades are not used to define plant exclusion zones.
• Site Staff not aware of the requirement.
IN PROGRESS
• There is random use of barricades, signage etc.
COMPLETE
• Barricades are used to define exclusions zones for all plant. -
21. Plant is inspected on the first time each day of use by each worker using the plant.
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EVIDENCE
Evidence of daily check of days of use
Conduct a verbal check with operators during site walkthrough of their understanding of the requirement to conduct pre-start checks before each use of plant.
VALIDATION
NO ACTION
• No evidence of any plant checks.
• Site Staff not aware of the requirement.
IN PROGRESS
• Some evidence of plant checks.
• Some site Staff are not aware of the requirement.
• Not all staff are competent in doing the Prestart check.
COMPLETE
• There is evidence of plant pre-start check for all plant.
• All staff are competent in doing the Prestart check. -
22. Employees using mobile plant and equipment have been trained and deemed competent for that plant /equipment they use.
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EVIDENCE
Confirm training records.
VALIDATION
NO ACTION
• No training or licenses available.
• Site Staff not aware of the requirement.
IN PROGRESS
• Some training or licenses have expired or have not yet been completed.
• Some site staff aware of the requirement.
COMPLETE
• Training or license records are available for all employees that use mobile plant.
• All training or licenses are current. -
23.New or transferred plant from other sites or mobile plant has a Pre-Mobilisation check carried out before use for the first time
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EVIDENCE
Pre-mobilisation checklist has been completed and records stored at the site.
VALIDATION
NO ACTION
• Pre-Mobilisation check are not carried out
• Site staff are not aware of the requirement.
• Documentation not available.
IN PROGRESS
• Some Pre-Mobilisation checks are carried out
• Not all documents are available for the use or maintenance of the transferred plant.
• Pre-Mobilisation check are carried out for all new or transferred plant.
• All documents are available for the use or maintenance of the transferred plant.
COMPLETE
• Pre-Mobilisation check are carried out for all new or transferred plant.
• All documents are available for the use or maintenance of the transferred plant. -
24. Documented Traffic Management Plans shall exist for each site and at least include: <br>• Entry, exit & direction of flow,<br>• Pedestrian only or exclusion area, and<br>• Site-specific hazards (e.g. bunkers, over head power).<br><br>
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EVIDENCE
Plans need to be in place to reduce any high risk of pedestrian/ traffic or plant interface and a project plan detailing this should be available and tracked through the corrective action process.
VALIDATION
NO ACTION
• No Traffic Management plan is available.
• Site staff not aware of the requirement.
IN PROGRESS
• Traffic Management plan is available but does not match all site changes.
• Site plan missing information.
• Site staff not all aware of the requirement.
COMPLETE
• Traffic Management plan is available and up to date with latest changes.
• Plan has been communicated to employees
ENVIRONMENTAL
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25. Identify and interpret all applicable (including unobtained) environmental regulatory licences, permits, approvals, consents (agreements, leases, commitments etc.), legislative requirements (as per site critical risks and identified environmental values and sensitive receptors)<br><br>Applicable sites include all Malt, Oils and Grains (Primary sites and Port terminals)<br>
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EVIDENCE
All conditional obligations and consents associated with the site to be interpreted and defined to meet that requirement
Site Management/Supervisors can articulate their understanding of their sites sensitive receptors.
VALIDATION
NO ACTION
• Nil progress and site
• Site Management /Supervisors are not aware of the requirement.
IN PROGRESS
• Plan in place and progression towards identifying existing conditions, permit/licence approvals, critical risks and protected values
• Some site Management/ Supervisors can articulate their understanding of their sites sensitive receptors.
COMPLETE
• 100% of all existing conditions have been entered into the register (template to be provided) and all elements (other columns)
• All other permits/licences approvals etc identified
• All critical risks and environmental protected values specific to site defined as per the legislative requirement
• Site Management/ Supervisors can articulate their understanding of their sites sensitive receptors. -
26. All liquid chemical, oil or environmental hazardous liquids must be stored within secondary containment that meets the requirements of local jurisdiction.<br>The site must have a current spill and counter measure response plan, training and supplies the fulfils all appropriate legal requirements and hazards posed by potential liquids that could be spilled onsite.<br>
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EVIDENCE
Site inspection confirms all liquid chemicals are stored in appropriate secondary containment
Check emergency response plans and emergency response drills with a spill simulation.
VALIDATION
NO ACTION
• No bunding in place
• No monthly inspections completed
• No emergency response plan completed or employees trained
• No spill kits in place.
IN PROGRESS
• Some bunding in place/not compliant with standard or authority stipulations
• Some monthly inspections completed.
COMPLETE
• All liquid chemical/hazardous liquids contained by bunding with capacity of 110% of largest tank (Or as per local authority requirements)
• Monthly site inspections of storages completed and non - conformances identified and actioned
• Emergency spill response plan completed and all employees trained
• Spill kit audit conducted and appropriate containment materials stored -
27. Aspects & Impacts and Legal registers reviewed and developed for each site <br><br>Applicable sites include all Malt, Oils and Grains (Primary sites and Port terminals)<br>
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EVIDENCE
Top risk sites (To be nominated) to review and update current Environmental Management Plans or to develop and complete an EMP if they don’t currently have one
Legal registers reviewed on a regular basis and understood by site management.
VALIDATION
NO ACTION
• Nil progress in identifying aspects/impacts and site Staff not aware of the requirement.
IN PROGRESS
• Plan in place and progression in populating aspects and impacts register with key stakeholder involvement
COMPLETE
• Aspects and impacts register developed for each site through risk workshop with key stakeholders -
28. Site has conducted general environmental awareness training for all staff
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EVIDENCE
Register of the attendees, record of sign on sheet completed the course and copy of the associated training.
VALIDATION
NO ACTION
• Not included in induction and no employees trained.
IN PROGRESS
• Some employees complete and training plan in place to capture all employees.
COMPLETE
• Included in induction for all new employees.
• 100% of current employees completed. -
29. As a minimum, at least one member of the site's Management team (Cannot delegate SHE Manager as a member of the sites management team) has completed environmental responsibilities awareness training.
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EVIDENCE
Register of the attendees, record of sign on sheet completed the course and copy of the associated training.
VALIDATION
NO ACTION
• No training completed with at least one site management Team member and site Staff not aware of the requirement.
IN PROGRESS
• Not complete but training is scheduled.
• Site Management has an awareness of the requirement.
COMPLETE
• 100% complete one per site (package to be developed and provided) -
30. Site has commenced waste/recycling tracking.
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EVIDENCE
Waste tracking register (updated monthly)
VALIDATION
NO ACTION
• No waste plans in place and tracking has not commenced.
IN PROGRESS
• Some waste tracked but not 100% of all waste leaving site.
COMPLETE
• 100% of all waste leaving site tracked in a register and up to date -
31. All nuisance issues or incidents (regarding noise, odour, particulates etc) reported, investigated and followed up.
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EVIDENCE
Rivo
VALIDATION
NO ACTION
• Nuisance issues or incidents not entered into RIVO or correctly escalated.
IN PROGRESS
• Not all nuisance issues, visits by local authorities or incident reports entered into RIVO within 24 hrs.
COMPLETE
• All reports entered into RIVO within 24 hrs and escalated relevant to risk, this includes visits by local authorities or regulators. -
32. Site/Port/ Region to include Environment agenda in their SHE committee meetings and review environmental performance.
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EVIDENCE
Check committee meeting records
(Criteria to be advised)
VALIDATION
NO ACTION
• Environment is not reported at SHE meetings or actioned.
IN PROGRESS
• Some elements reported at SHE minutes, not all actioned.
COMPLETE
• Environment added to SHE meeting agenda and all elements as above reviewed and actioned.
FIRE & EXPLOSION
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33. Hazardous areas shall be designated ex-zones in line with standards.
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EVIDENCE
Check assessment methods and / or physical zoning of areas. An assessment by an appropriately qualified party of all areas must be undertaken to reach this conclusion and take into account at least the following:-
- the amount of dust/vapours produced
- the lower explosive limit of the generated dust/vapour
- the level of ventilation under all conditions
-the temperature class of the zone.
VALIDATION
NO ACTION
• Identification of Hazardous Areas has not yet begun and is not scheduled.
IN PROGRESS
• Identification of Hazardous Areas is in progress.
COMPLETE
• Hazardous Areas identified and documented by an appropriately qualified person. -
34. All Hazardous Zones will have a verification dossier readily available for all persons required to enter and/or work in the area. in line with standards, AS/NZS 60079.10.2: 2011.
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EVIDENCE
This dossier needs to include at least:-
- all classification documents
- risk assessments
- equipment classification certificates
- inspection reports
- completed drawings
- Dossiers need to be audited externally every 5 years.
If a dossier does not exist then a plan must be developed and adhered to; for this to be completed (all sites are required to have a completed dossier by end of 2017/2018 - note records appropriate funding/resourcing and engagement of outside parties, if necessary, will need to be recorded to verify).
VALIDATION
NO ACTION
• No Dossier is available.
• Site Staff not aware of the requirement.
IN PROGRESS
• No Dossier is available.
• Site Staff not aware of the requirement.
COMPLETE
• The Dossier is present, fully maintained and updated.
• Hard copy and electronic copy available. -
35. Controls shall be used to prevent the formation of combustible atmospheres.
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EVIDENCE
Check for ventilation extraction systems, maintenance records and housekeeping cleaning schedules.
Ongoing inspection should be undertaken of these areas - especially to ensure hygiene standards maintained so that there is no build-up of grain dust, flammable vapours or other potentially explosive atmospheres
Oily rags and materials should be stored separately in a identified suitable container with a lid and away from direct sunlight or high temperature
VALIDATION
NO ACTION
• No evidence of controls implemented to prevent the accumulation of combustible materials.
• Site Staff not aware of the requirement.
IN PROGRESS
• Controls implemented but some evidence minor areas of combustible accumulation of materials.
• Oily rags bins in place but evidence of not enforced.
• House Keeping not evident in all areas.
COMPLETE
• Controls in place and no evidence of areas of combustible accumulation of materials.
• Oily rags bins in place and enforced.
• House Keeping evident in all areas. -
36. Expandable Polystyrene (EPS) shall be labelled and hot cutting, drilling and other hot maintenance tasks shall be prohibited on structures made from EPS
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EVIDENCE
Review by physical inspection, check procedures or permit to work systems.
VALIDATION
NO ACTION
• EPS identified on site but no use of EPS Labelling.
• Staff not trained in permit to work and risk assessment.
• Site Staff not aware of the requirement.
IN PROGRESS
• EPS identified on site and some use of EPS Labelling.
• Staff not all trained in permit to work and risk assessment.
COMPLETE
• EPS on site and full use of EPS Labelling.
• Staff trained in permit to work and risk assessment -
37. Management shall partner with emergency services to develop and test emergency response plans.
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EVIDENCE
Emergency services have been briefed of the fire / explosion risks at the site.
A record of the emergency services attending the site/area within the last 24 months (or a record of a formal invitation to attend), either for a specific tour to cover these risks or to run a mock emergency rescue needs to available.
VALIDATION
NO ACTION
• No emergency responses /drills completed.
• Site Staff not aware of the requirement.
IN PROGRESS
• No emergency responses /drill completed in the last 12 months but evidence of previous drills.
• Emergency services not invited to attend exercise and drills.
COMPLETE
• An emergency responses /drill has been completed in the last 12 months.
• Emergency services invited and attend exercise and drills.
• Emergency service have received a copy of the sites emergency plan. -
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