SAFETY, HEALTH & ENVIRONMENT AUDIT

Business / Site Details:

Auditees Present: Audit Scope, Objective and Criteria:

The scope of this internal audit tool is to review SHE management activities at the xxxxxxxxx site indicated above. The objective is to assess the level of SHE compliance as well as the effectiveness of SHE activities on site against the site relevant criteria outlined in the XXX Best Practice Elements, AS/NZS 4801, AS/NZS14001 and BWS specific SHE document management guidelines. Key Conform Part Conformance Non Conformance Not Applicable

Ref # 4.2
4.2

Element POLICY
Is management familiar with SHE-STD-001?

Evidence

Status

Findings and Correcti

4.2.1

Is area management familiar with XXX Safety, Health and Environmental management within xxxxx's policies? Ask what date on the current policy and the location in xxxxx Management Guidelines Handbook, etc. Are the policies documented Look for copies of adopted and implemented and xxxxx Safety & Health and communicated to all persons Enviornmental Policy working for or on behalf of displayed on noticeboards. the XXX? Ask if copies have been given to team members. Does site management demonstrate a visible support for these safety, health & environment policies? Do managers actively participate in safety meetings and/or tool box talks, do team members speak positively about the safety focus of

nc

4.2.2

PC

4.2.3

4.2.4

4.2.5

Does the management believe existing policies provide this area with a framework for setting and reviewing its safety, health & environmental targets & objectives? Choose a team member and ask them what the policy is or at least where it is located for reference. Check if xxxxx 4801/14001 policies posted on XXX website with notation saying they are adopted

Ask for examples. Has any feedback been passed to senior management to assist reviewing policies in the last 12 months?

PC

PC Ask local management if they are aware of this.

PC

4.3
4.3.1

PLANNING
AS/NZS 4801:2001 & AS/NZS 14001:2004. Identification of hazards, hazard/risk assessment, control of hazards/risk, environmental aspects

4.3.1.a Is management familiar with SHE-STD-007, "Hazard and Risk Management" ?

Ask how how hazards to people, environment or facilities are identified and effectively managed in this area? 4.3.1.b Are procedures established In addition to SiteSafe is on this site to identify there a Major Hazard hazards, assess risks and Register or similar implement control measures? document for this area 4.3.1.c How many safety & health Is the Major Hazard hazards and risks have been Register complete and up identified? to date; are there any recent entries? 4.3.1.d Are these safety & health Ask for an example. assessments considered when setting work objectives for the area? 4.3.1.e Are procedures established Is there an Enviromental in this area to identify Effects register for this site? significant environmental Are there documented aspects? environmental considerations in the SWPs? 4.3.1.f How many environmental aspects and impacts been identified? Has the Environmental Effects Register sheet for the area been completed.

N/A

N/A

N/A

N/A

N/A

N/A

4.3.1.g Have these environmental aspects been considered in setting work objectives for the area? 4.3.1.h Choose a team member and ask them about their sections safety & health hazards & risks. Ask if they understand what significant environmental aspects and impacts are. 4.3.1.i Are there any new processes introduced to the area since the last audit?

Ask for an example. N/A

N/A

If yes have any knew safety, health hazards and risks been identified? Have any new environmental impacts been identified? 4.3.1.j Is a written SHE assessment Sight examples if available. undertaken prior to acquisition or divestment of any goods, services, plant, equipment, etc that may introduce SHE risks to persons, property or the environment? 4.3.1.k Is a SHE risk assessment Sight examples if available. carried out prior to any modification to plant, equipment, process or major site re-layout?
4.3.2

N/A

N/A

N/A

4.3.2.a

AS/NZS 4801:2001 & AS/NZS 14001:2004. Legal and other requirements Is management familiar with How does the area identify

SHE-STD-004, "Legislative Compliance"? 4.3.2.b Has the manager or any team members read page 4.3.2 at 9 of the "SHE Management System Manual" in particular reference to the Legal Update Register maintained by SHE?
4.3.3

& provide access for team members to applicable legal requirements? See if anyone knows how to check the Legal Update Register on the intranet.

N/A

N/A

AS/NZS 4801:2001 & AS/NZS 14001:2004. Objectives, targets(and programmmes)

4.3.3.a Is management familiar with SHE-STD-003, "Planning, Objectives and Targets?

Ask how a planned and systematic approach to management of SHE for the area is achieved for the area. 4.3.3.b Have measurable OHS View documentation to targets & objectives been support that this has established and documented occurred. Have legal for the area? requirements been considered? Is it consistent with safety & health policy? 4.3.3.c Have measurable environmental targets & objectives been established and documented for the area? Are objectives and targets consistent with the SHE environmental policy? Do they consider any legal requirements? Is there an Environmental Effects Register? Look for documented evidence of these program(s). Have they ever been reviewed?

N/A

N/A

N/A

4.3.3.d Does the area have program(s) to achieve all those safety, health & environmental targets and objectives? 4.3.3.e Choose a team member and ask them about their sections objectives and targets taking into account safety, health & environmental aspects.
4.3.4

N/A

N/A

AS/NZS 4801:2001 OHS management plans

4.3.4.a Is there a Site SHE Plan?

4.3.4.b Does the Site SHE Plan include documented program(s) to achieve those OHS targets and objectives from 4.3.3?

Check if a Site SHE Plan exists and if OHS responsibility and accountability delegated and documented for relevant functions and levels. Look for documented evidence of these program(s). Do they include timeframes or KPI's? Have they ever been reviewed?

N/A

N/A

4.3.4.c Are the area's OHS plans Look for any changes made reviewed and amended at in the last 12 months. regular and planned intervals and for new developments or modified activities? 4.3.4.d Are amendments to processes documented in procedures and communicated effectively to workers impacted by those changes? 4.3.4.e Are SWPs / SWMSs in place for all hazardous work activities and/or plant & equipment on site, are they posted / accessible in the relevant area of work and have they been reviewed / updated within the last 12 months? 4.3.4.e Choose a team member and ask them about management plans for the area and how they take into account OHS. Look for amended/new procedures and check to see documented discussions at tool box talks, team meetings, etc. Identify any activities / plant & equipment where an SWP/SWMS is not available. Check electronic SWP/SWMS files for the site and assess currency of review dates.

N/A

What is used to measure and impr performance? Are KPI's in place? N/A

N/A

N/A

4.4
4.4.1

IMPLEMENTATION & OPERATION

AS/NZS 4801:2001 & AS/NZS 14001:2004 Structure, resources, roles, responsibility and authority

4.4.1.a Is management familiar with SHE-STD-002 "Organisation, Responsibility and Authority"?

Are the roles, responsibilities and authorities for the SHE in this area defined, documented and communicated to all team members? 4.4.1.b Has the site/business Have SHE representatives assessed and established been appointed and appropriate human resources adequately trained where and structures to ensure SHE legislated and/or are responsibilities and resources available to compliance is achieved? adequately manage site SHE issues?

N/A

N/A

4.4.1.c Has top management appointed a specific management representative with defined roles, responsibility and authority? 4.4.1.d Is there a documented Site SHE Plan and does it define SHE responsibility and accountability at all levels?

Is there a SHE Safety Officer for the area and is he/she trained, competent and aware of his authority and responsibilities? Check if a Site SHE Plan exists and if SHE responsibility and accountability is documented for the site. 4.3.3.e Has responsibility been Have individual KPIs been designated at various levels set for all supervisory and to achieve those targets and management positions? Do objectives? all persons on site have a position description and does it include health and safety accountabilities and responsibilities? 4.4.1.e Does site management demonstrate a visible support for safety, health and environment? Do managers actively participate in safety meetings and/or tool box talks, do employees speak positively about the safety focus of management, is environment a thought about issue? Sight samples of recent reports

N/A

N/A

N/A

N/A

4.4.1.f

Is the performance of SHE for your area reported to top management?

N/A

4.4.2

AS/NZS 4801:2001 & AS/NZS 14001:2004 Training, competence, awareness

4.4.2.a Is management familiar with the requirements of SHESTD-005 "Training, Awareness and Competence"?

Is there a Training Needs Analysis (TNA) for the area that includes SHE? Is it up to date? Has any training required by legislation been identified?

N/A

4.4.2.b Are there SHE training procedures for your area? Have all team members received the appropriate SHE training and are records provided to with HRM?

4.4.2.c

4.4.2.d

4.4.2.e

4.4.2.e

4.4.2.f

4.4.2.g

Sight examples of procedures utilised to identify induction training, specific task training, general SHE awareness training, formal on the job training, SWP sign off registers and any other training records. Follow up and check with HRM for TNA. Do all persons on site have a Check if position position description and does descriptions exist for all it include safety, health & persons, are current and environmental include safety, health and accountabilities and environmental responsibilities? accountabilities and responsibilities. Can training competence or Sight copies of formal experience be qualifications and demonstrated? competency assessment records for several positions. Is there documented Check employee files / evidence of re-induction induction records. training for long-term employees (3yrs) / contractors (1 yr) / visitors (site dependent)? Have transferred employees, Check files / induction contractors and/or visitors records for transferred been given a site specific workers. induction? Are copies of qualifications, Review employee / licences (motor vehicle, contractor files for evidence forklift), etc been obtained at of licences, etc and regular induction, retained on file and updates for currency. checked regularly for expiration? Have OHS Committee members attended required regulatory training?

N/A

N/A

N/A

N/A

N/A

N/A

N/A

4.4.2.h Are contractors and suppliers selected to ensure that they have the capability to comply with relevant legislative and xxxxx Best Practice Elements requirements?

Is there documented evidence of SHE requirements being requested or identified in tender documentation? Is there a written assessment of the contractors compliance prior to the contract being finalised? Documented evidence of SOP/SWMS training exists as well as documented competency assessments completed by a duly qualified supervisor, training or worker on site.

N/A

4.4.2.i

Have workers been trained in all relevant Safe Operating Procedures (SOPs) and Safe Work Method Statements (SWMS) (including use of all necessary plant and equipment) and have they been assessed as competent prior to performing the task?

N/A

4.4.2.j

Is there a process to ensure that contractor and/or supplier requirements such as staff competency, licences, qualifications and insurances are in place prior to the contractor or supplier commencing work?

Are copies of competency assessments, licences, qualifications and insurances for contractors or suppliers held on file where required?

N/A

4.4.2.k Where contract documents exist, are SHE requirements clearly stated and is there an annual review and resigning of each written contract (except where contractors are obtained via xxxxx preferred supply arrangements)? 4.4.2.l Are contractor employees inducted to the site, trained in the relevant Safe Operating Procedures (SOPs) and/or Safe Work Method Statements (SWMSs) and assessed as competent?

SHE requirements are stated in the contract documents. Contracts are reviewed and resigned annually.

N/A

Evidence of induction and documented competency assessments for SOP / SWMS training and/or use of plant/equipment.

N/A

4.4.2.m Do SHE performance KPIs exist for contractors?

Are KPIs documented either in the contractor or site safety plan. Are the KPIs relevant to the tasks undertaken and is there a balance between both proactive, lead indicators and reactive, lag indicators. Is workplace signage clear, inclusive of emergency exits, hazardous substances information, first aid stations and Personal Protective Equipment Requirements? Are current and accurate SOPs posted near all workstations/equipment. Do bulletin boards have up to date HSE Performance Reports / Statistics posted?

N/A

4.4.2.n Is there adequate visual SHE communication on site in the form of signs, posters, booklets, SOPs or bulletin boards posting up to date and relevant SHE information?

N/A

4.4.3

AS/NZS 4801:2001 & AS/NZS 14001:2004 Communication, consultation and reporting

4.4.3.a Are management familiar with SHE-STD-006 "Communications and Consultation"? 4.4.3.b What procedures do you have for internal communication and what effective mechanisms do you have for communication and consultation on site?

Ask about the responsibilities of line management in relation to Bricks West policies and these STD documents. Look for contributions to SiteNews, memos, noticeboards, etc.

N/A

N/A

4.4.3.c Is there evidence of formal mechanisms established and maintained for effective representation and employee involvement in SHE management, processes, decisions, etc?

Check documentation and interview employees in relation to involvement in the following activities: - tool box talks / team meetings - risk management - plant, process or procedural modifications/changes - safety plan development - improvement suggestions - adequacy of facilities Check documented meeting minutes. Are meetings regular? Are actions raised and closed out in a timely manner? Is employee representation greater than management representation? Is the Chairperson an employee and not a management representative?

N/A

4.4.3.d Are OHS Committee(s) established according to statutory requirements and is representation from both management and employees? [Where OHS Committees are not required (generally if less than 20 persons on site) tool-box talks must take place regularly to discuss OHS issues to achieve Conformance Status] 4.4.3.e Is there a written procedure for dispute resolution and complaints management and are all persons on site aware 4.4.3.f of the procedures do you What process? have for external communication?

N/A

Check for procedure and for training through induction, etc. Interview employees about their knowledge of the procedure / process. Look for evidence that

N/A

external complaints related to SHE aspects of Bricks West's operations have been recorded in writing and investigated as incidents. Sight records of 4.4.3.g Is safety performance Check for communicated to employees distribution/communication and contractors? Is good of SHE performance reports safety performance to employees in tool box recognised and celebrated? talks or available on bulletin boards. Seek evidence of recognition of good safety performance.

N/A

N/A

4.4.3.h Where xxxxx materials, processes, products and/or activities have the potential to cause harm to people, property or the environment, is there relevant material or brochures available for employees, customers, contractors, customers and the community?
4.4.4

Brochures, procedural information exists on hazards associated with xxxxx materials, processes, products and/or activities.

N/A

AS/NZS 4801:2001 & AS/NZS 14001:2004 Documentation

4.4.4.a Is management familiar with SHE-STD-007 "Hazard and Risk Management" or SHESTD-010 "Operational Procedures"?

Ask if he/she has read them? Are they familiar with the requirement to identify all hazards and establish and maintain a central Hazard Register and how do they achieve this? Note where policies, major Hazard Register (if it exists), program plans, etc are kept. Are staff trained to access Sitesafe? Can the manager demonstrate how he would access say the "Waste Management Plan" or the "Dangerous Goods Management Plan"?

N/A

4.4.4.b Does your team have access to documentation you have established to describe the core elements of your SHE Management System?

N/A

4.4.4.c Is the management familiar with the SHE Environmental Management Plan (EMP)?

Ask if they have read it? Which areas of the EMP relate to their site?

N/A

4.4.4.d What records do you keep to Sight records and process ensure the effective planning, control if any and comment. operation & control of processes relating the SHE Management System?

N/A

4.4.4.e Is the managment familiar with SHE-STD-018 "Environmental Effects?

Ask about the requirement to identify potential and actual enviromental effects and establish and maintain an Environmental Effects Register? Have they used the Environment Effects Register provided by SHE on the intranet? Are SWP's, JSA's readily accessible? Do they include environmental considerations as well as safety hazards and health risks? Ask how they ensure easy access by team members to all SHE Management System documents they need to perform their work? Are documents uniquely indentified? Is distribution recorded? Are they available at locations where operations essential to effective functioning of OHSMS are performed? Are obsolete documents promptly removed or assured against unintended use? Are they periodically reviewed by competent and responsible personnel?

N/A

4.4.4.f

Are there regularly reviewed SWPs for all recurrent processes at this site?

N/A

4.4.5

AS/NZS 4801:2001 & AS/NZS 14001:2004 Control of documents

4.4.5.a Is management familiar with SHE-GL-008 "Document Control"?

N/A

4.4.5.b Has a "controlled document register" been established for this area? Do local processes comply with the national SHE Manual document control procedure?

N/A

4.4.5.c Do you have a procedure with responsibilities for document creation and modification of documents? 4.4.5.d Select several processes and Check they are maintained look for documentation, in an orderly manner, SWP, JSA, etc. currency, dates of revision, sign-off, environmental considerations, etc
4.4.6 AS/NZS 4801:2001 Hazard identification, risk assessment and control of risks

N/A

N/A

4.4.6.a Is management familiar with SHE-STD-007 "Hazard and Risk Management"?

4.4.6.b

4.4.6.c

4.4.6.d

4.4.6.e

Has this site established and maintained a documented Hazard Register other than SiteSafe? Are SHE records (eg: Hazard Are they up to date? register, hazard reports, risk assessments, training records, incident and investigation reports) readily accessible? Do regular site inspections Look for evidence of take place to an established documented site checklist? inspections against a specific criteria or checklist documenting findings, actions and close out signoff / dates. Are there JSA's for all new Identify any activities / plant processes ? & equipment where a JSA was not conducted if any and query. Are SWPs / SWMSs in place Identify any activities / plant for all work activities and/or & equipment where an plant & equipment on site SWP/SWMS is not that have identified safety & available if any and query. health hazards or risks? , Look for accessibility of these documents and comment. Check electronic SWP/SWMS files for the site and assess currency of review dates. Review PPE requirements and observe personnel to check compliance.

N/A

N/A

N/A

N/A

N/A

4.4.6.f

Are all SWPs / SWMSs posted or accessible in the relevant area of work? 4.4.6.g Have all SWPs / SWMSs sighted been reviewed / updated and signed off within the last 12 months? 4.4.6.h Is appropriate Personal Protective Equipment (PPE) used/worn by all persons as required on site?

N/A

N/A

N/A

4.4.6.i

Does the site have a current and effective traffic management plan?

4.4.6.j

Traffic management plan must consider speed limits, traffic flow, right of way, pedestrian safety, use of high vis clothing or other PPE, designated parking, loading/unloading areas, guidelines for wet weather/high wind, etc as a minimum. Is there a material safety Review the hazardous data sheet (MSDS) available substances register and for all chemicals and check that an MSDS exists hazardous substances on for all listed products (all site that may cause harm and should be no older than 5 is each substance recorded years). Check that all on a hazardous substances chemicals on site are listed register which includes a risk on the register. assessment.

N/A

N/A

4.4.6.k Do operators conduct daily inspection of forklifts using an specific inspection checklist and do operators wear seat belts at all times?

Inspect forklifts in operation to check compliance to xxxxx's seat belt policy and ask to see copy of the inspection checklist for the day. 4.4.6.l Are hazardous work permits Generally a hazardous work in use for hot work, work at permit for these activities is heights or work in confined required where an SWP spaces? doesn't exist. Check documented evidence for either the SWP or the permit. 4.4.6.m Are schedules for Are schedules readily maintenance, inspections, accessible? Do supervisors tests and calibration and management developed and implemented demonstrate an in accordance with the understanding of specific associated risk, industry requirements for individual standards, manufacturers plant? Are schedules and requirements? actual maintenance up to date?

N/A

N/A

N/A

4.4.6.n Is a SHE risk assessment carried out prior to any modification to plant, equipment, process or major site re-layout? 4.4.6.o Are all amendments to processes documented in procedures and communicated effectively to workers impacted by those changes? 4.4.6.p Has all electrical equipment been inspected, tested and tagged in accordance with Australian Standards?

Risk assessments complete and actions implemented for modifications undertaken on site Look for amended / new procedures and check to see documented discussions at tool box talks, team meetings, etc Check for current tags on all equipment. (Generally industrial electrical equipment is to be tested / tagged every six months [office equipment less often and construction site equipment more often).

N/A

N/A

N/A

4.4.6

AS/NZS 14001:2004 Operational control

4.4.6.a Is management familiar with SHE-STD-010 "Operational Control"?

4.4.6.b Have all operations for this area associated with significant environmental aspects been identified? 4.4.6.c Does this area have Look at documented control documented procedures for procedures applied to these control of those identified procedures and comment. operations to ensure they are carried under specified conditions and maintain environmental impacts within acceptable limits? 4.4.6.d Are team members and contractors aware of these operational procedures and environmental consequences of deviation from such procedures? Look for documented evidence, inductions, training records, sign off of SWP's, etc.

Ask how they ensure all work activities which have potential to cause harm to the environment are carried out? Check Environmental Aspects Register for area.

N/A

N/A

N/A

N/A

4.4.6.e Are these procedures regularly reviewed?

Look for amended/new procedures and check for sign off and dates of review. Sight several JSA's and SWP's and see if environmental considerations included.

N/A

4.4.6.f

Have all your JSA's and SWP's considered environmental impacts?

N/A

4.4.7

AS/NZS 4801:2001 & AS/NZS 14001:2004 Emergency preparedness and response

4.4.7.a Is management familiar with SHE-STD-014, "Emergency Preparedness and Response"? 4.4.7.b Have all foreseeable emergencies and situations of threat been identified and documented in a Site Risk Register? 4.4.7.c Look to see if the area has any documented procedure(s) to identify and respond to these foreseable emergency situations and potential accidents. 4.4.7.d Have these emergency response procedures been communicated to all appropriate team members? 4.4.7.e Are these procedures reviewed on a regular basis and after actual emergencies? 4.4.7.f Ask a team member about an identified emergency procedure? 4.4.7.g Are, where practicable, these emergency procedures tested and how often?

Ask what would happen in the event of an emergency.

N/A

View the Site Risk Register. N/A

Sight documentation. N/A

Look for evidence of this, training records, noticeboards, minutes of meetings, etc. Look to see if corrective/preventative action for records up to date.

N/A

N/A

N/A Has an emergency response drill (including debriefing) been undertaken involving all personnel within the last 6 months?

N/A

4.4.7.h Is there an effective communication process in place to warn all personnel on site of an emergency evacuation? 4.4.5.i Do you have an MSDS log and is it up to date? Is there a material safety data sheet (MSDS) available for all chemicals and hazardous substances on site and is each substance recorded on a hazardous substances register which includes a risk assessment. 4.4.5.j Are Safety Alerts and details of incidents and associated key learning's communicated and discussed with relevant personnel?

Ask a team member how he/she would be advised of an emergency.

N/A

Review the hazardous substances register and check that an MSDS exists for all listed products (all should be no older than 5 years). Check that all chemicals on site are listed on the register.

N/A

N/A

4.4.7.k Does a documented business continuity / recovery plan exist? 4.4.7.l Is all emergency response equipment in good working order, within expiration dates and accessible?

N/A Check for spill kits and that they are properly stocked. Look for first aid kits, eye wash basins, fire fighting equipment, etc.

N/A

4.5
4.5.1 4.5.1.1

MEASUREMENT & EVALUATION/CHECKING

AS/NZS 4801:2001 Monitoring & measurement General

4.5.1.a Is management familiar with SHE-STD-016, "Monitoring the Working Environment"?

How does management ensure that risks associated with the working environment are as far as practicable eliminated or reduced?

N/A

4.5.1.b Does your area have procedure(s) to monitor and measure key characteristics of your operations that have the potential to cause injury, illness, or affect health?

N/A

4.5.1.b How is the effectiveness of these procedures evaluated? 4.5.1.c Is there evidence of planning for SHE activities on site where key performance indicators (KPIs), responsibilities and timeframes are allocated for each activity? 4.5.1.d Is the Site SHE Plan reviewed on a regular basis and is there evidence of the Plan being reviewed where there are changes to activities, products or significant changes in operating conditions? 4.5.1.e Are Site SHE Performance Reports displayed prominently and discussed during tool box talks, etc? Does site SHE Strategic Plan or Safety Plan exist showing activities listed for safety management on site, responsibility and completion timeframes for each activity? The Site SHE Strategic Plan or Safety Plan should be current with all activities completed / KPIs achieved as per schedule. Is there evidence of plan reviews occurring at non-routine times to reflect major site/operational changes. Do current safety statistics showing both lead and lag indicators are posted on bulletin boards and/or evidence of discussion during tool box talks / team meetings? Documented evidence of KPIs established for supervisory/mgmt roles preferably in position descriptions Sight calibration certificates if available. Sight examples of data. Check notice boards or other easily accessible source for procedures, phone numbers, etc.

N/A

N/A

N/A

N/A

4.5.1.f

Have individual KPIs been set for all supervisory and management positions?

N/A

4.5.1.g Do you use calibrated or verified monitoring? 4.5.1.h Has data been recorded to track performance? 4.3.4.k Are documented procedures available/posted for injury and emergency management outlining the process to be followed and emergency contact numbers for ambulance, doctor, police, etc. 4.3.4.l Do workers on site have access to injury management / rehabilitation information such as a policy, procedure

N/A N/A

N/A

Check notice boards, reception for policy and request other available documentation.

N/A

4.3.4.n Are all personnel aware of the xxxxx Employee Assistance Service (BEAP) and is there information about this service posted to bulletin boards.

4.3.4.e Are first aid kits available in an accessible location(s) and stocked with appropriate supplies that are all within expiry dates? 4.3.4.f Are at least two qualified first aiders available on site at any one time?

Ask staff if they are familiar with the BEAP counselling program available to employees and their families for any work or nonwork related counselling and support or for anyone involved in a traumatic workrelated incident. BEAP Check first aid boxes /

N/A

cabinets and check contents against stock list. Check expiry dates on all perishable items. Check bulletin boards for posters, etc identifying first aiders. First aid qualifications are Senior First Aid Training with St. John Ambulance or equivalent. 4.3.4.g Are all injuries being Check the injury / incident recorded / documented on an report documentation and incident report form and/or in also ask employees about a first aid register? recent injuries and see if a formal report exists.
4.5.1.2 Health surveillance

N/A

N/A

N/A

4.5.1.2.a Are appropriate health

checks being undertaken as required (eg: hearing tests).

Where workers are exposed to health risks such as excessive noise, health checks such as hearing tests must be undertaken. Check files for documented evidence that such testing is occurring for workers on site (hearing tests must be undertaken every 2 years).

N/A

4.5.1.2.b Do all new workers

Review employee files undertake pre-placement note that auditors may not medical assessments view results of medicals due including drug screening prior to confidentiality to employment and restrictions. commencement?

N/A

4.5.1.2.c Does the site actively

participate in initiatives or programs to promote health and wellbeing (eg: B Well, etc). 4.5.1.2.d Have all site health risks been identified and documented on the site risk register?
4.5.1

Seek evidence to establish that majority of workforce participates.

N/A

Check site risk assessment to see if all health hazards are listed with documented controls in place

N/A

AS/NZS AS/NZS 14001:2004 Monitoring & measurement

N/A N/A
4.5.2 AS/NZS 4801:2001 Incident investigation, corrective and preventative action

4.5.1.a Is management familiar with SHE-STD-008, "Incident Investigation"? 4.5.1.b Are incidents investigated to an appropriate level in accordance with the business' Incident Classification Matrix? 4.5.1.c Have the incident's root causes been identified correctly and have actions been developed and fully implemented in a timely manner? 4.5.1.d Is there a site system for corrective actions arising from: - committee meeting minutes - hazard / site inspections - health / hygiene monitoring - internal and external audits - behavioural safety observations - incident reports and investigations - audits of contractors and/or labour hire - complaints from workers / public / community

How does management ensure that all incidents are identified, reported and thoroughly investigated?

N/A

N/A

N/A

N/A

4.5.2

AS/NZS 14001:2004 Evaluation of compliance

4.5.2

Is management familiar with SHE-GL-002, "Legislative Compliance"?

How do you ensure consistent compliance with SHE legal requirements? Look at procedure

N/A

4.5.2.a Does your area have procedure(s) to evaluate compliance with legal requirements? 4.5.2.b Has your area agreed to comply with any other requirements? 4.5.2.c Have OHS Committee members attended required regulatory or legal training?

N/A Look for evidence of compliance In some States, legislation requires that training is given to safety committee members or safety representative/s and management staff. Check SHE Manual for requirements specific to the State/site.

N/A

N/A

4.5.3/5.4 AS/NZS 4801:2001 Records and records management AS/NZS 14001:2004 Control of records

4.5.3.b Are records kept, maintained Sight examples of records & disposed of in an appropriate manner for corrective/preventative actions? 4.5.3.a Do you have procedure(s) to deal with non-conformities?
4.5.3 AS/NZS 14001:2004 Nonconformity, corrective action and preventative action

N/A

N/A

Do you have procedures to investigate, respond to and minimise harm from incidents?
4.5.4 AS/NZS 4801:2001 OHSMS Audit AS/NZS 14001 Internal audit

N/A

4.5.4.a Is management familiar with SHE-STD-020, "Reviews, Audits and Inspections"? 4.5.4.b Is there plannned schedule for these internal audits? 4.5.4.c Are regular audits / reviews undertaken of contractor and contract performance.

Are internal audits/reviews of your area conducted?

N/A N/A N/A

4.5.4.d Have action plans been developed for all prior internal / external audits and are/have actions been closed out in a timely manner? 4.5.4.e Have internal audits for this site been conducted according to the schedule without any major delays.

N/A

N/A

4.6
4.6

MANAGEMENT REVIEW
Is there evidence of input to Senior Management Reviews? Does this input address possible needs to make policy or program changes or improvments? Is there evidence of a formal annual review of SHE performance and site SHE systems? N/A

4.6.a

N/A

4.6.b

N/A

Tota

Plant & Equipment Av Plant & Equipment Perc

Executive Summary

Audit Close-Out Meeting Notes

Attendees at Close-Out Meeting:

ONMENT AUDIT

Audit Date:
Status Score C 2 PC 1 NC 0 N/A 2

Findings and Corrective actions

Score

is used to measure and improve the OHS mance? Are KPI's in place? 2

2
4

2
4

10

2
2

2
18

2 2

172

2 2 2
2

2
4

2
6

Total Score Out of 146 Percentage Score Plant & Equipment Avg Score Out of 36 Plant & Equipment Percentage Avg Score TOTAL AUDIT SCORE

#REF! #REF! 0 0.00 #REF!