Department of Mines, Industry Regulation and Safety

MANAGEMENT SYSTEMS AUDIT Site: _________________________________

Date conducted:_______________________

1 SAFETY AND HEALTH POLICY

Point Standard Standard met Comments

1.1 There is an approved safety and health policy
(the policy) authorised by the organisation’s
senior management or site senior executive.

1.2 The policy states the organisation's overall

safety and health objectives.

1.3 The policy includes the commitment to

establish measurable safety and health
objectives.

1.4 The policy declares management's

commitment to
comply with relevant OHS legislation.

1.5 The policy has been implemented and

communicated to all employees and relevant
contractors.

1.6 The policy is easily accessible and available to

interested parties.

1.7 The policy indicates the date of issue.

1.8 The policy states a frequency of review.

1.9 The policy document has been reviewed and

re-issued in accordance with the specified
frequency.

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Department of Mines, Industry Regulation and Safety

2 SAFETY MANAGEMENT PLANNING

Point Standard Standard met Comments

2.1 There is a documented safety management
plan (SMP) for achieving the objectives and
targets detailed in the policy.

2.2 The SMP includes the designation of

responsibilities for achieving objectives and
targets at relevant functions and levels of the
organisation.

2.3 Where responsibilities for achievement of

objectives and targets have been designated,
persons / roles responsible are aware of these.

2.4 The SMP includes an outline for the means

and timeframe by which objectives and targets
are to be achieved.

2.5 Progress against the timeframe allocated for

the achievement of objectives and targets is
measured and responded to.

2.6 The SMP is reviewed and amended at regular

intervals as per the site’s document control
procedures or where significant changes in
operations occur.

2.7 The SMP review process requires that

representatives of various work areas and
managerial levels within the organisation
contribute to the review.

2.8 There is a documented procedure, or element

within the SMP, for involvement of, and
consultation with, employees regarding safety
and health issues.

2.9 There is a documented procedure, or element

within the SMP, defining methods for
communicating safety and health matters.
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Department of Mines, Industry Regulation and Safety

2.10 There is a documented procedure, or element

within the SMP, that specifies how employees
and contractors can suggest safety
improvements.

2.11 There are documented procedures, or

elements within the SMP, for hazard
identification, risk assessment and hazard
control (risk management).

2.12 JHAs or similar task assessment documents

are created by persons with appropriate
knowledge of the task, and appropriate
knowledge of task risk assessment.

2.13 JHAs or similar task assessment documents

are approved by a supervisor prior to use.

2.14 JHAs or similar task assessment documents

are quality reviewed.

2.15 Operational procedures are developed with

input from operationally competent employees.

2.16 There is a documented procedure or element

within the SMP, for the identification of, and
access to, all relevant legislative and other
requirements applicable to safety and health.

2.17 Employees are consulted where proposed

changes may affect workplace safety and
health.

2.18 There is an effective and regular means of

communicating safety and health indicators
and trends to all employees and contractors.

3 RESOURCING

Point Standard Standard met Comments

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Department of Mines, Industry Regulation and Safety

3.1 Resources required to implement, maintain

and improve the Safety Management System
(SMS) have been identified.

3.2 Resources required to implement, maintain

and improve the SMS have been provided.

3.3 Resources referred to above include human

resources, specialised skills, technology and
financial resources.

4 ROLES AND RESPONSIBILTIES

Point Standard Standard met Comments

4.1 Up-to-date organisational charts are available
and reflect all positions from corporate through
to operations.

4.2 All required statutory positions have competent

persons appointed.

4.3 Appointments are current for all statutory

appointment holders.

4.4 Senior manager responsibilities for safety and

health are documented and accessible to all
employees.

4.5 Senior managers know and demonstrate what

their safety and health responsibilities are.

4.6 Senior managers regularly allocate time for

discussing safety with supervisors and the
workforce.

4.7 A specific management representative has

been appointed to ensure the SMS
requirements are established, implemented
and maintained.

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4.8 The appointed management representative

understands and demonstrates compliance
with the SMS requirements.

4.9 Safety and health performance forms part of

the performance appraisal for senior
managers.

4.10 Senior manager’s safety and health

performance indicators are consistent with the
policy.

4.11 Job descriptions are available for all positions

identified in the organisational chart.

4.12 Job descriptions are developed in consultation

with relevant department managers /
supervisors.

5 STATUTORY RESPONSIBILITIES

Point Standard Standard met Comments

5.1 Management carries out its statutory
responsibilities with respect to the inspection of
all workplaces at the mine.

5.2 Management carries out its statutory

responsibilities in respect of the reporting of
health and hygiene sampling results.

5.3 A noise report has been conducted and

notification provided to DMP within the past
five years.

5.4 A noise control plan has been developed

within six months of finalising the noise report.

5.5 Management carries out its statutory

responsibility to ensure that no person shall be
in or on a mine whilst adversely affected by

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alcohol or other drugs.

5.6 Management carries out its statutory

responsibilities in respect of the recording of
notifiable injuries to workers.

5.7 Management carries out its statutory

responsibilities in respect of the recording and
reporting of occurrences and potentially
serious occurrences.

5.8 Management carries out its statutory

responsibilities in respect of the registration,
inspection and maintenance of Classified Plant
(both permanent and itinerant).

5.9 Management carries out its statutory

responsibilities in respect of the licensing,
inspection, maintenance and record keeping
for its electrical installation.

6 DESIGN AND PLANNING

Point Standard Standard met Comments

6.1 Suitably qualified persons or consultants are
used for design and planning aspects of the
operation.

6.2 Design and planning activities include the

involvement of operations and maintenance
personnel.

6.3 Design and planning activities include hazard

and risk analysis to identify where potential
hazards can be engineered out.

6.4 Approved documented standards and

procedures are available and current which
define requirements for design and planning
activities.

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Department of Mines, Industry Regulation and Safety

6.5 Processes are in place to ensure construction

is in accordance with the design.

7 CONTRACTOR MANAGEMENT

Point Standard Standard met Comments

7.1 Approved procedures have been established
and implemented to define process and
standards for the selection and management
of contractors.

7.2 Contractors' Safety and Health policies and

procedures are assessed by the Principal
Employer to ensure consistency with those of
the Principal Employer.

7.3 Contractors’ are required to supply safety and

health performance data from previous
external work, to the Principal Employer, as
part of the selection process.

7.4 The same management criteria are used for

both contractors and direct employee groups
with respect to safety and health matters.

7.5 Contractors know and accept their areas of

accountability and responsibility for safety and
health.

7.6 Contractors are required to comply with the

requirements of the Principal Employer's
Safety and Health policy.

7.7 Contractors' employees are inducted on site

specific safety and health requirements.

7.8 Adequate supervision is provided to all

contract personnel.

7.9 Regular communication of safety and health

matters occurs between the Principal
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Employer and contractors.

8 DUTY OF CARE

Point Standard Standard met Comments

8.1 Personnel are encouraged to accept
responsibility for reporting and correcting
unsafe acts and conditions.

8.2 All required and relevant personal protective

equipment (PPE) is available to all employees
at no cost to the worker.

8.3 There is a system in place that ensures new

plant / equipment is inspected prior to being
placed into service.

8.4 Procedures are in place to ensure action is

taken when equipment or plant does not
conform to the appropriate standard.

8.5 There is a system in place for the recognition

and management of mental health hazards in
the workplace.

8.6 There is a system in place for the identification

and management of bullying and harassment
in the workplace.

8.7 Bullying complaints are recorded and

investigated.

8.8 Bullying investigations are conducted and

actioned by persons not directly linked to
persons being investigated.

8.9 Duty of care requirements are communicated

to all employees.

8.10 Written communications are available at shift

changes.

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Department of Mines, Industry Regulation and Safety

8.11 There is a communication system established

between different working areas where there
may be interaction.

9 TRAINING AND COMPETENCY

Point Standard Standard met Comments

9.1 There is an induction, on-boarding and training
process.

9.2 Safety and health responsibilities for

employees and contractors are included in the
training program.

9.3 Training needs analysis has been conducted

by relevant persons for all organisational
positions on site.

9.4 Employees are assessed as competent to

perform the tasks they will be assigned before
work commences.

9.5 Procedures have been developed and

implemented to ensure safety and health
competencies are achieved and maintained.

9.6 Competent personnel conduct training and

assessment.

9.7 Records of each employee’s training history

are maintained.

10 MAINTENANCE

Point Standard Standard met Comments

10.1 There is a system for managing preventative

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maintenance.

10.2 There is a system in place for the identification

of, and accessibility to, critical components.

10.3 There is a system/procedure for formal

reporting of equipment or plant faults.

10.4 There is a system for prioritising and

completing the repair of reported equipment
and plant faults.

10.5 There is a system in place to conduct risk

assessments prior to repairs being undertaken.

11 RISK REGISTER AND ASSOCIATED MANAGEMENT PLANS

Point Standard Standard met Comments

11.1 A hazard analysis for the site/operation has
been conducted.

11.2 The hazard / risk register has considered all

aspects of the operation.

11.3 The method of hazard analysis used for site

risks aligns with the method specified in the
SMP and associated risk management
documents.

11.4 The site’s ‘Principal Hazards’ have been

identified and a management plan created to
address the principal hazards.

11.5 Accountability for site hazards has been

delegated to appropriate management
representatives / specialists.

11.6 The likelihood and consequence for each

hazard in the hazard register has been
assessed.

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11.7 The hazard register is updated in accordance

with document control requirements.

11.8 The hazard register is updated whenever a

planned change in operational / mining
activities takes place.

11.9 Relevant elements of the hazard register are

reviewed and if necessary updated, whenever
an accident or incident takes place.

11.10 Control priorities for identified hazards are

appropriate to the assigned risk level (using
the hierarchy of controls).

11.11 The controls assigned to each hazard are

clearly defined as existing or future controls.

11.12 Controls for ‘principal hazards’ are clearly

aimed ‘above the line’ (engineering or above)
in the hierarchy of controls.

11.13 Controls for identified hazards include

information as to the monitoring and review of
current / existing controls.

11.14 An Emergency Management Plan (EMP) /

Emergency Response Plan (ERP) has been
developed for the operation.

11.15 The EMP/ERP lists all potential / foreseeable

emergency situations.

11.16 The specified emergency situations align with

emergency situations identified in the hazard /
risk register.

11.17 The EMP/ERP is site specific.

11.18 The EMP/ERP is complied with across the

operation.

11.19 Emergency response resources available at

site are adequate to the defined emergency
response procedures.

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Department of Mines, Industry Regulation and Safety

11.20 The EMP/ERP and associated procedures

have been updated in accordance with
document control requirements.

11.21 A Traffic Management Plan (TMP) has been

developed for the operation.

11.22 The TMP has been updated and re-issued in

accordance with document control
requirements.

11.23 The TMP has been reviewed and updated

following traffic incidents.

11.24 A Fatigue Management Plan has been

developed for the operation.

11.25 Work rosters have been risk assessed in

relation to fatigue.

11.26 If/where appropriate, management plans have

been developed for geotechnical
considerations (including ground control, rock
fall, tailings storage facilities, reservoirs, etc.).

11.27 If/where appropriate, management plans have

been developed for underground operations
(including ventilation management, inrush,
fires, emergency egress, thermal stress, etc.).

11.28 If/where appropriate, management plans have

been developed for explosives (including
storage, transport and use).

11.29 If/where appropriate, management plans have

been developed for infrastructure (including
fixed plant, storage of fuel and hazardous
substances, rotating and moving equipment,
shafts, winders, dredges, village infrastructure,
airports, etc.).

11.30 If/where appropriate, management plans have

been developed for processing operations
(including chemical reactions, exposure to
hazardous substances, pressurised systems,

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molten metal, confined spaces, etc.).

11.31 If/where appropriate, management plans have

been developed for mobile plant and
equipment management (including
maintenance, isolation of hazardous energies,
fires, tyre incidents, etc.).

11.32 If/where appropriate, management plans have

been developed for electrical safety (including
maintenance, isolation, stored energy,
electrocution, explosion, lightening, etc.).

11.33 Other relevant management plans have been

considered and where appropriate have been
developed for the operation.

12 OCCUPATIONAL HEALTH AND HYGIENE

Point Standard Standard met Comments

12.1 A survey (or similar) of the workplace has been
conducted for the purposes of identifying all
occupational health and hygiene hazards.

12.2 A site based risk assessment of occupational

health and hygiene hazards has been
conducted.

12.3 A health and hygiene management plan

(HHMP) has been developed.

12.4 A health and hygiene management plan

(HHMP) has been implemented.

12.5 Implemented controls are monitored and

maintained for continuing effectiveness.

12.6 Employees and contractors have access to

their own health surveillance and sampling
results.

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Department of Mines, Industry Regulation and Safety

13 DOCUMENT CONTROL

Point Standard Standard met Comments

13.1 An approved document control procedure is
implemented.

13.2 Current approved documents associated with

the SMS are available and accessible to the
workforce.

13.3 There is clear linkage / alignment between

safety management system documentation.

13.4 All obsolete documents and data are promptly

removed to prevent unintended use.

13.5 All obsolete documents and data being

archived for legal or knowledge preservation
purposes are suitably identified.

13.6 There is a documented system for creating

and authorising written work procedures.

13.7 Relevant employees are involved in

determining and creating written work
procedures.

13.8 Written work procedures are authorised as per

document control requirements.

13.9 There is a documented process for

implementation of written work procedures
once approved.

13.10 Implementation of work procedures occurs as

per the documented process.

13.11 The written work practices are reviewed in

accordance with document control practices.

13.12 A confidential database recording each

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employee’s medical history is maintained.

13.13 A database for employee personal details is

maintained.

14 SAFETY AND HEALTH – REPRESENTATIVES, MEETINGS, INITIATIVES, COMMITTEES

Point Standard Standard met Comments

14.1 A safety and health representative is available
to workers.

14.2 All elected safety and health representatives

have completed the required training within
twelve months of their election.

14.3 SHReps conduct all required duties.

14.4 There is a Safety and Health Committee on

site that meets regularly.

14.5 Employees and contractors are proportionally

represented on Safety and Health Committees.

14.6 There is a defined communication path

available for the work force to bring safety and
health matters to the attention of supervisors
and management.

14.7 There is a formally defined method of

communicating on safety and health matters.

14.8 There is a defined and utilised communication

path for safety initiatives / improvement
suggestions, and for management feedback.

14.9 Safety and health meetings are held in each

operating section of the site / operation.

14.10 Matters raised at safety and health meetings

are minuted and made known to the workforce.

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Department of Mines, Industry Regulation and Safety

14.11 An action list with assigned responsibilities is

raised as a result of concerns expressed at
safety and health meetings.

15 INCIDENT AND OCCURRENCE REPORTING AND INVESTIGATION

Point Standard Standard met Comments

15.1 Documented procedures have been developed
and implemented for accident / incident /
occurrence / injury reporting and investigation.

15.2 Management, supervision, safety and health

representatives and relevant employees are
involved in the accident / incident investigation
processes.

15.3 There is a system which ensures that

corrective actions are implemented to the
required standard.

15.4 There is a system which ensures that

contributory factors, root causes and corrective
actions are identified and made known to the
workforce.

15.5 There is a system in place to ensure the

monitoring of implemented actions.

15.6 Procedures have been developed and

implemented for injury management and
follow-up.

15.7 Procedures for injury reporting and

management provide clear definitions for injury
classifications.

15.8 Injury management procedures include return

to work (RTW) planning.

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Department of Mines, Industry Regulation and Safety

16 AUDITING, MONITORING AND REVIEW

Point Standard Standard met Comments

16.1 An internal audit program has been
established for periodic assessment of the
SMS elements.

16.2 Internal audits are conducted as per the

planned schedule.

16.3 The findings of SMS audits are communicated

to senior management and the system is
reviewed for continuing suitability, adequacy
and effectiveness.

16.4 Findings of previous SMS audits are reviewed

as part of current audit programs.

17 SAFETY CULTURE AND BEHAVIOUR

Point Standard Standard met Comments

17.1 Surveys are conducted to assess the attitude
of employees towards safety and health.

17.2 Disciplinary procedures are in place for

unacceptable behaviour and unsafe acts.

17.3 Disciplinary procedures for unsafe acts are

consistently enforced by management.

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