AGGA Safety Management System Self Assessment

This self-assessment provides an overview of the Safety Management System (SMS), identifying whether the system satisfiesAGGA’s requirements.

Rating / Performance
Yes - Complies / An element is deemed to be compliant when it is demonstrated that the element requirements have been addressed fully. All documentation is current and complete.
Minor – minor non-conformance / Satisfies minimum requirements - A minor non-conformance occurs if requirements have only been partially implemented.
No - major non-conformance / A major non-conformance is where many of the element requirements have not been met. Areas of high risk that have not been effectively controlled would also constitute a major non-conformance.

Organisation: ______Date: ______

AUDITOR(S):…………………………………………………………………………………………………..

PART A -Assessment and Rating Table – Summary of Findings

- indicates a mandatory element
- recommended, but not mandatory
- only required if applicable to organisation
Element / Documentation
Reviewed
(Yes/No) / Rating
Planning and review
WHS Policy
Objectives & Targets
Responsibility & Accountability
Consultation
Training & Competency
Contractors (IF APPLICABLE)
Hazard Identification
Risk Assessment and Control
Emergency Preparedness & Response
Return to Work
Incident Investigation, Corrective & Preventative Action
Records & Records Management
Auditor’s note:
  • List all documents sighted in ‘Comments’ sections, as evidence.
  • List only evidence that is sighted

Part B – WHS Management Systems Audit

1a WHS Policy / Rating
Does the organisation have aWorkplace Health and Safety Policythat:
  • demonstrates a commitment to continued improvement in WHS performance;
  • commits to complying with WHS legislation and other requirements;
  • is communicated to all employees, accessible to all interested parties; and
  • is signed, and dated within 2yrs?

Provide copy of your policy, or photo.
Comments:
1b, 5 Planningand review / Rating
Does the organisation carry out WHS planning, and reviewWHS performance?
Provide copy of minutes.
Comments:
1c Objectives and Targets / Rating
Does the organisation set WHS performance targets / objectives?
Supply copy of targets and objectives.
Comments:
2a Responsibility and Accountability / Rating
Has the organisation defined and communicated all personnel’s WHS responsibilities?
Supply evidence such as: PDs with WHS inclusions; WHS Induction; copies of notices posted.
Comments:
2b Consultation / Rating
Are employees consulted on WHS issues? How?
  • Are records available? (agendas, minutes, diary notes, etc.)

Supply most recent minutes, or other record.
Comments:
2c Training and Competency / Rating
Has the organisation identified and delivered appropriate WHS training?
Supply training plan or other supporting documentation.
Comments:
2d Contractors (IF APPLICABLE) / Rating
Are there processes in place to ensure that contractors are qualified and insured?
Are contractors engaged and inducted appropriately?
Supply a completed contractor induction form.
Comments:
3a Hazard Identification / Rating
Are hazards systematically identified, with consideration given to:
  • incident and hazard reports;
  • materials and chemicals;
  • plant & equipment (eg. inspection, maintenance, testing, repair, replacement)?

Supply: copies of 3 Incident / Hazard Reports, AND another piece of supporting documentation.
Comments:
3b, 3c Risk Assessment and Control / Rating
Are risks assessed, where required? Are controls as per hierarchy of controls?
(1Elimination 2 Substitution3 Isolation4 Engineering5 Administration6 PPE)
Provide a copy of a recent Risk Assessment.
Comments:
3d Emergency Preparedness and Response / Rating
Has the organisation identified potential emergency situations and developed suitable emergency procedures?
Provide a copy of notes / record of most recent Emergency exercise (eg. evacuation)
Comments:
3e Return to Work (RTW) / Rating
Isthere a process for RTW planning? If 3rd party is used, name them.
If information is posted, supply photo. If not, name RTW planning Officer or provider.
Comments:
4a Incident investigation, corrective and preventative action / Rating
Are incident / hazard reports promptly investigated and responded to?
Provide copies of 3 incident / hazard investigations.
Comments:
4.b Records and records management / Rating
Are WHS records maintained and readily located?
Provide copy of Record matrix, or similar evidence that records are filed / stored systematically.
Comments:

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