Critical Risk Protocol Audit

Navigator Page
Go to >>>
Front Page
Scoring Guide
Score Table and Graphs
Guideline and Checklist
CRP – 1 Risk and Change Management
CRP – 2 Design, Construction and Commissioning
CRP – 3 Emergency Preparedness, Response and Crisis Management
CRP – 4 Management of Subcontractors, Contractors, Service Providers and Visitors
CRP – 5 Plant and Equipment Specifications, Integrity and Maintenance
CRP – 6 Mobile Vehicle and Pedestrian Interaction
CRP – 7 Mobile Vehicle, Plant and Equipment Operation
CRP – 8 Hazardous Materials Management
CRP – 9 Ground Control and Geotechnical Matters
CRP – 10 Electrical Safeguard
CRP – 11 Isolation of Energy Sources
CRP – 12 Working at Height
CRP – 13 Permits to Work
CRP – 14 Fitness for Work
CRP – 15 Lifting Operations
CRP – 16 Explosives
Library Ref: G-649
Revision Date: 12-Jul-10 Critical Risk Protocol Audit
Audit Detail:
Audit Dates:
Auditor Name(s): Andy McDonald
Audit Reference:
Legislative References:
Project / Site / Location Detail:
Project Code: C692
Project Title: Goldfields TNC
Project Location (eg. State): Western Australia
Project Completion Status %: 98%
Est Project Completion Date: 8/31/2011
Client: Main Roads Western Australia
Contract Reference: 04/00
Resources:
Project Manager: Lars Rasmussen
General Manager:
Project Safety Representative: Minke Kersten
Project Environment Representative: Andrew Milovanovic
State / Division Safety Representative:
State / Division Environment Representative:
National Safety Representative:
National Environment Representative:
Audit Contributors:
List persons and their positions who have contributed to the outcome of this audit.
Name: Job Title:
Meeting Attendees
Entry Meeting Exit Meeting
Relevant to:
Business Unit: All Document Owner: EGM HSEQ
Page 2 of 60
Division(s): All Change Control: Level 1
Site: All
Department: All
Library Ref: G-649
Audit Rating and Ranking
All assessment and audit types shall be subject to a conformance based rating and ranking system, which shall provide
an indication as to the HSEQ ‘conformance or non-conformance' of critical requirements of a project and subsequently
the Business Unit.
The following definitions shall be used to ‘rate’ the audit or self assessment:
Conformance – To have fulfilled the requirement.
Non-conformance – A non-fulfilment of a requirement. These are defined in terms of minor non-conformance and
major non-conformance and therefore determine the severity of that non-conformance.
Observation – Isolated or partial deficiency in compliance with requirements (the intent of the criteria has been
substantially met but the implementation could be improved to provide better assurance of continuing compliance).
Opportunity for improvement – A system / process improvement that will benefit the system, operations or process
being audited and is generally applied to a conformity, therefore the conformity is still rated.
Audits (inclusive of self assessments) shall be rated and ranked as follows:

RATING CALCULATION
The number of points achieved identifies if the assessment or audit The level of implementation is determined by the number of non-
criteria has been met, partially met or not met. conformances and observations found during the audit, which
results in a percentage ranking.
Score 0 – Non-conformance
Total number of score points achieved for the audit
Score 1 – Observation Total number of score points available for the audit x 100 = %
Score 2 – Conformance
Note: Where an OFI is provided during the course of the assessment/audit the rating against that criteria is still applied
(ie. If an OFI is applied to a conformity, then that conformity would still attract a score of ‘2’, regardless of the fact that an
OFI is recommended).
RANKING DESCRIPTION
Low < 49% There is strong, practical evidence that the risks and/or the root
causes of system failures still exist in their operation.
Moderate 50 -74% Particular work groups, jobs and/or tasks are exposed to risks or
they are not to an acceptable standard.
High 75 - 90% The site has good systems that are aligned with their risk profile,
and these systems are practical, sustainable and effective. Some
refinements and improvements are still required.
Excellent > 90% The site has systems that can be described as excellent being well
established and implemented.
Relevant to:
Document Owner: EGM HSEQ
Business Unit: All
Change Control: Level 1
Page 3 of 60
Division(s): All
Site: All
Department: All
Library Ref: G-649
Assessment Table
Actual Self Assess Max Actual Self Assess Actual Ranking

No. Max Rating Rating Rating Ranking % Ranking % Ranking % Assessment
CRP – 1 Risk and Change Management 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 2 Design, Construction and Commissioning 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 3 Emergency Preparedness, Response and Crisis Management 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 4 Management of Subcontractors, Contractors, Service Providers and Visitors 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 5 Plant and Equipment Specifications, Integrity and Maintenance 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 6 Mobile Vehicle and Pedestrian Interaction 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 7 Mobile Vehicle, Plant and Equipment Operation 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 8 Hazardous Materials Management 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 9 Ground Control and Geotechnical Matters 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 10 Electrical Safeguard 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 11 Isolation of Energy Sources 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 12 Working at Height 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 13 Permits to Work 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 14 Fitness for Work 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 15 Lifting Operations 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
CRP – 16 Explosives 0 0 0 100.0% #DIV/0! #DIV/0! #DIV/0!
Total 0 0 0 100.0% #DIV/0! #DIV/0!
CRP Rating
1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
CRP – 4 Management of Subcontractors, Contractors, Service


CRP – 5 Plant and Equipment Specifications, Integrity and Main-
CRP – 3 Emergency Preparedness, Response and Crisis Man-
Providers and Visitors

agement
tenance
Actual Rating Self Assess Rating Max Rating
CRP Ranking (%)

100.0%
90.0%
80.0%
70.0%
60.0%
50.0%
40.0%
30.0%
20.0%
10.0%
0.0%
CRP – 4 Management of Subcontractors, Contractors, Service


CRP – 5 Plant and Equipment Specifications, Integrity and Main-
CRP – 3 Emergency Preparedness, Response and Crisis Man-
Providers and Visitors

agement
tenance
Actual Ranking % Self Assess Ranking % Max Ranking %
Relevant to: Document Owner: EGM HSEQ

Busienss Unit: All Page 4 of 60
Site: All
Department: All
Library Ref: G-649
Guideline and Checklist
Critical Risk Protocols (CRP's) have been developed to outline minimum requirements for the
management of critical risk activities within the organisation. The CRP's (G-367) form a key part of the
way in which we manage safety, health and environment within the operational environment, which
have the potential to adversely affect the safety and health of people, including employees,
contactractors, visitors, the public and damage to the environment.
Use of this audit tool is reliant upon the Auditor being familiar with the Macmahon Occupational Health
and Safety Management System and its' requirements (including that of the CRP's G-367), relevant
legislation, standards, codes of practice and guidelines applicable to the location of operations.
The aim of conducting a CRP audit is to determine:
- What activities are high risk to the operation?
- What risks will have considerable impact?
- Are controls in line with that documented and are they appropriate to prevent an incident
recurrence?
- Can you track the flow of data evidence from one source to another? That is, close the loop
from the beginning of the operation to the end of the operation such that the continuous
improvement loop.
- Can you track data to ensure that all elements of our 'Total Safety Culture' are covered?
The audit shall be conducted by firstly checking that sufficient documentation is in place to meet criteria
and secondly to ensure that it is sufficiently implemented by looking/ observing/ interviewing/ testing
etc.
- Documented Assessment - records that assist to determine the level of implementation
- Observational Assessment - What's actually happening in the field? What did you see? Were they
complying with written requirements? Are they doing what they say they do?
Pre-audit
Auditor to review outcomes of previous audits and site incidents plus site management plans and risk
registers with a view to identify which CRP's are most critical for the operation.
Auditor to have an understanding of legislation, codes of practice, standards and guidelines which are
applicable to the operation.
Auditor to have an understanding of local requirements (where applicable to CRP's) such as
emergency processes, potential environmental conditions etc
Auditor to ascertain any site entry requirements suh as permits, inductions, approvals and
authorisations.
Relevant to:
Page 5 of 60
Site: All
Department: All
Library Ref: G-649
Audit Checklist
Identify areas of interest and corresponding CRP's to be used for auditing.
CRP Area of Interest
Relevant to:
Page 6 of 60
Site: All
Department: All
Critical Risk Protocol Audit
Critical Risk Protocol Audit Template
Site:
Date:
Auditor(s):
Score '0' Non conformance A non-fulfilment of a requirement. These are defined in terms of minor non-conformance and major non-conformance and therefore
determine the severity of that non-conformance.
Score '1' Observation Isolated or partial deficiency in compliance with requirements (the intent of the criteria has been substantially met but the
implementation could be improved to provide better assurance of continuing compliance).
Score '2' Conformance To have fulfilled the requirement. Also used for OFI's where the audit requirement has been met but there are still opportunities for
improvement.
Note: Where an OFI is identified, it shall attract the same rating as that of the item it is representing.
Guide Risk registers; JSEA's; Take 5; evidence of assessment and prioritisation is available; controlls are observed; the continuous improvement loop exists following the identification of a hazard or risk (ie.
Changes/controls are fed back into registers, procedures etc); evidence of communication is available (ie. there is an understanding of the change amongst personnel); how is feedback managed?
Key Doc Refs G-042 Risk Management Policy; G-205 Quarterly Project Managers Risk-Based Safety Review Procedure; G-426 Hazard Identification, Assessment and Control Guideline; G-429 HSEQ Change
Management Procedure; G-495 Health, Safety and Environment Risk Management Procedure; Legislative and regulatory requirements for health and safety; NOHSC:1016 (2005) National Standard
for Construction Work; National Standard for Licensing Persons Performing High Risk Work; AS/NZS 4801 Occupational health and safety management systems - Specification With Guidance For
Use; AS/NZS 14001 Environmental management systems - Requirements with guidance for use
CRP 1: Risk and Change Management

No. Audit Question Documented Assessment Observational Assessment Self Auditor
Assess Rating
Rating
1.1 Hazards and risks assocated with changes, business risk,
general operations and public safety, are identified, assessed,
managed, reviewed, documented and prioritised.
1.2 The risk management process occurs (and is documented) for

the purchasing of goods and services, plant and equipment
(supply, inspection, maintenance, commissioning, isolation)
and labour hire arrangements.
1.3 Risks are assessed in terms of likelihood and consequence to

determine a risk level in alpha numerical terms.
772431297.xls Page 7 of 60
CRP1
CRP 1: Risk and Change Management Critical Risk Protocol Audit
Assess Rating
Rating
1.4 Control measures are established for all identified hazards in
accordance with the ‘hierarchy of controls’ and are
documented.
1.5 The hazard identification, risk assessment and risk control

process is subject to an evaluation of the effectiveness of the
process/controls put in place.
1.6 Changes are communicated.
1.7 Training and education as a result of change is provided.
1.8 A process for the provision of feedback to all personnel can be

identified.
1.9 Feedback is reviewed by the Project Manager and any

requirements for amendments are determined.
Total Rating 0 0
Maximum Score Available 0 0
Percentage #DIV/0! #DIV/0!
Conformance / Opportunity for Improvement 2

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 8 of 60
CRP1
Site:
Date:
Auditor(s):
improvement.
Guide Meeting minutes; documented design reviews; document history (ie. plans/drawings) can be tracked; permits and authorisations are in place for commission / decommission; technical standards / legal
requirements are referenced; observation of site and activities being conducted demonstrates safety design processes that have been used to reduce risk.
Key Doc Refs G-429 Change Management Procedure; C-161 Design Management Procedure; Legislative and regulatory requirements for health and safety; AS/NZS 4801 Occupational Health and Safety
Management Systems - Specification With Guidance For Use; NOHSC:1016 (2005) National Standard for Construction Work; Guidance on the Principles of Safe Design for Work; Relevant building
codes
CRP 2: Design, Construction and Commissioning

Assessme Rating
nt Rating
2.1 There is documented evidence that design risks have been
identified and controlled. (ie. during the concept, development
and planning stages, including that of site facilities and
buildings, plant and equipment; construction and
commissioning, usage, maintenance and modification;
deconstruction, decommissioning, disposal and recycle
stages).
2.2 Procedures are established and maintained for design review

and verification, and for the control of design inputs, outputs
and changes.
2.3 There is evidence that technical standards for design,

specifications, construction and commissioning, legislative
requirements and industry best practice are utilised alongside
sound risk management processes.
772431297.xls Page 9 of 60
CRP2
CRP 2: Design, Construction and Commissioning
Assessme Rating
nt Rating
2.4 Records of all design reviews and subsequent risk
assessments whereby safety design risks are identified are
maintained and are available.
2.5 A document control system is in place to manage change

history effectively.
2.6 There is evidence to suggest that the potential for high risk
activities, such as working at height or those activities subject
to permitted systems, use of plant and machinery or
hazardous substances have been identified as a part of the
design risk assessment process and the need to perform these
activities has either been eliminated, engineered out or
substituted for a lower risk process as far as reasonably
practicable.
2.7 There is evidence that design changes are communicated to

workers.
2.8 There is evidence that permits and authorisations are in place

for the commission and de-commission of plant and
equipment.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 10 of 60
CRP2
Site:
Date:
Auditor(s):
improvement.
Guide Personnel understand their role in an emergency; plans and other equipment are observed, are current and are in good condition around the site; first aid equipment and services are appropriate;
personnel are trained in first aid, emergency response and crisis management (ie. Project Manager). Review incidents and work areas to determine if appropriate first aid / emergency response is
adequate. In the case of crisis management, links back to corporate offices for notification, media statements, legal (etc) must be observed or identified.
Key Doc Refs G-407 Emergency Crisis Management Plan; G-540 Emergency Preparedness and Response Procedure; Legislative and regulatory requirements for health and safety; NOHSC:1016 (2005) National
Standard for Construction Work; Codes of Practice in each state of Australia for the provision of first aid services and facilities; Guidance Note, Preparing for Emergency Evacuations at the Workplace
CRP 3: Emergency Preparedness, Response and Crisis Management

Assessme Rating
nt Rating
3.1 There is evidence that shows potential emergency situations
have been identified and assessed with regard to prevention.
3.2 Emergency plans are documented and regularly reviewed.
3.3 The emergency plan details responsibilities and action details,

includes an evacuation procedure and has a means for
accounting for the number of people on site.
3.4 Who can and can't talk to the media is understood.
772431297.xls Page 11 of 60
CRP3
Assessme Rating
nt Rating
3.5 Emergency response arrangements are communicated to all
personnel, including visitors.
3.6 Emergency drills are planned and carried out.
3.7 There is evidence that designated emergency personnel have

received training and/or training is planned.
3.8 Competent persons have assessed emergency equipment for

suitability, accessibility and location.
3.9 There is evidence that emergency equipment, signage, paths

of travel and alarm systems are inspected, tested (as
applicable) and are maintained at regular intervals.
3.10 There is evidence that dangerous goods and hazardous

substances are managed in accordance with documented
requirements and risk of injury, illness or environmental
damage are minimised.
3.11 Emergency procedures associated with dangerous goods and

hazardous substances are documented and process is
understood.
3.12 There is evidence that first aid requirements have been

assessed and are appropriate to the worksite and
organisational risks.
772431297.xls Page 12 of 60
CRP3
Assessme Rating
nt Rating
3.13 Personnel can demonstrate an understanding of not only the
site emergency procedure but also that of the Crisis
Management Plan requirements.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 13 of 60
CRP3
Site:
Date:
Auditor(s):
improvement.
Guide Employment and management of subcontractors follows a strict evaluation (ie. subcontractor evaluation records) and checking process and that they are observed to be working to and participating in
Macmahon requirements. JSEA's or similar are present and being used at the job site. The process for incident reporting and emergency management is understood etc. There is a process to ensure
that HSEQ plan requirements or other operating or construction instructions / plans / drawings are understood.
Key Doc Refs G-533 Subcontractor Evaluation Questionnaire; G-534 Subcontractor Evaluation - Inspection Visit; G-535 Subcontractor Employee Questionnaire; G-536 Subcontractor Performance Feedback; C-108
Construction HSEQ Management of Subcontractors and Suppliers Procedure
CRP 4: Management of Subcontractors, Contractors, Service Providers and Visitors

Assessme Rating
nt Rating
4.1 There is evidence to show that OHS plans, JSEA's (or
equivalent) and/or SOP's are submitted by subcontractors,
contractors and service providers (where applicable) and these
are reviewed and approved by a Supervisor or OHS person
prior to work start. Where these have not been submitted,
steps have been taken to ensure that this or similar is
completed prior to work start.
4.2 There is evidence that all subcontractors / contractors are

inducted to site.
4.3 There is evidence that subcontractors / contractors participate

in inspections of the workplace including that of substances,
plant or equipment and that they participate audits.
4.4 There is evidence that subcontractor equipment is inspected

upon arrival at site and that it is fit for purpose for the work
being performed.
772431297.xls Page 14 of 60
CRP4
CRP 4: Management of Subcontractors, Contractors, Service Providers and Visitors
Assessme Rating
nt Rating
4.5 There is evidence that the subcontractor / contractor has
access to any pertinent instructions, plans or other documents
to complete the job safely and without risk to themselves,
others, equipment or the environment.
4.6 There is evidence that subcontractors attend Macmahon

safety/toolbox and pre-shift talks.
4.7 There is evidence that subcontractors / contractors are

evaluated prior to work start and includes the provision of any
licences, clearances, certifications and a record of previous
safety performance.
4.8 There is evidence that subcontractors / contractors provide the

names and details of all persons who will be performing work
on site, describe the type of work that will be performed,
provide a negative drug and alcohol clearance and any other
HSE requirements that will apply to the work.
4.9 Records of subcontractor / contractor inductions, risk

management (ie. JSEA's, SOP's, management plans),
evaluations, licences and insurances are maintained on files.
4.10 At the time of audit, all visitiors had signed into the visitors
book.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 15 of 60
CRP4
Site:
Date:
Auditor(s):
improvement.
Guide Evidence that equipment complies with Macmahon specifications, standards and legislative requirements (ie. plant registration, sign off on purchases, approvals from plant manager, approval of
modifications from manufacturer etc) and/or appropriate controls are in place to reduce risks/hazards associated with equipment that does not meet requirements. All equipment and parts are fit for
purpose. Maintenance and pre-checks are completed, including that of hire plant and equipment. Safe working / operating instructions are available.
Key Doc Refs P-313 Build Specification 3 Process Procedure; Legislative and regulatory requirements for health and safety; NOHSC: 1010 (1994) National Standard for Plant; Australian, New Zealand and
international standards applicable to plant and equipment type; Manufacturer manuals
CRP 5: Plant and Equipment Specifications, Integrity and Maintenance

Assessme Rating
nt Rating
5.1 Awareness of Macmahon minimum equipment specifications
is understood and applied.
5.2 There is evidence that maintenance, inspection, testing,

certification and the general integrity of plant is maintained at
frequencies required by Macmahon or the manufacturer of the
plant or equipment and legislative requirements.
5.3 There is evidence that operations using plant, light vehicles

and machinery is carried out within the operating design
parameters and capabilities of that equipment.
5.4 Records of pre-start checks are available for plant, equipment

and vehicles.
772431297.xls Page 16 of 60
CRP5
Assessme Rating
nt Rating
5.5 There is evidence that all hire equipment, including plant and
light vehicles and that of subcontractors entering site, is
inspected upon arrival and/or prior to work start.
5.6 Where vehicles that do not meet the minimum specifications

for that site or where the contractor has not completed a site
induction, the vehicles are fully escorted at all times.
5.7 There is evidence that the quality of maintenance

consumables and replacement parts are controlled.
5.8 Records of all maintenance, inspection, testing, modifications

and commissioning are maintained.
5.9 There are records to show that personnel are trained and
competent in the operation of plant and equipment and these
records are available on site.
2.10 Hazards associated with plant and equipment have been

identified and controlled, including those hazards associated
with cleaning, use of chemicals, manual handling injuries,
working from height etc
2.11 Plant and equipment on site is in accorance with Macmahon

minimum plant and equipment specifications as well as site,
manufactuer and client specifications.
2.12 There is evidence that plant and equipment is isolated prior to
maintenance work being conducted and that workers
understand how and when to isolate plant and equipment.
772431297.xls Page 17 of 60
CRP5
Assessme Rating
nt Rating
2.13 Electrical cables are adequately supported and do not appear
to be damaged.
2.14 Classified plant is registered, registration of that plant is

available and a register of classified plant is maintained.
2.15 There is evidence that modifications to plant and equipment

have been done with the approval of the plant manufacturer.
2.16 Incidents involving plant and equipment, including breakage,

failure, distortion or other damage have been investigated,
equipment fixed and appropriate controlls put in place to
prevent a recurrence.
2.17 Fixed plant has platforms and walkways that are provided for
maintenance and/or cleaning purposes - guards, railings and
kickboards must be fitted, the platform/walkway is free of trip
hazards and is no less than 600mm in width.
2.18 Fixed plant has platforms and walkways installed - guards,

railings and kickboards must be fitted, platform/walkway is free
of trip hazards and is no less than 600mm in width.
2.19 Inclined walkways have cleats installed or are fitted with a non-
slip type material.
2.20 Steps and ladders are secure and are in good condition and
are slip resistant.
772431297.xls Page 18 of 60
CRP5
Assessme Rating
nt Rating
2.21 There is evidence that pressure vessels are inspected,
maintained and stored appropriately.
2.22 There is evidence that pressure piping is adequately

supported, in good condition, is labelled in order to identify the
contents, direction of flow and line pressure.
2.23 Flexible hose is rated for the maximum available operating

pressure, is rated for the temperatures and types of fluid to be
conveyed.
2.24 Couplings / connections for rubber hose are adequately

secured so as not to allow unintentionla disconnection.
2.25 All earthmoving equipment is fitted with compliant roll over

protective structures (ROPS) / falling object protective
structures (FOPS) and are fitted with seat belts.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 19 of 60
CRP5
Site:
Date:
Auditor(s):
improvement.
Guide Hazards associated with the movement of plant, equipment and pedestrians are assessed, reviewed and monitored. Traffic management plans are developed and managed, as appropriate.
Key Doc Refs C-067 Safety in Traffic Management Procedure; C-056 Construction Traffic management Policy; M-UG-065 Underground Traffic Control Procedure; M-SF-013 Driving Rules on Mine Sites Procedure;
M-UG-065 Underground Traffic Control Procedure; Legislative and regulatory requirements for traffic management, health and safety; Australian and New Zealand Standards 1742 series, 1906 series
and 1158 series; AS 3845-1999 Road Safety Barrier Systems; Codes of Practice in each state of Australia for traffic management
CRP 6: Mobile Vehicle and Pedestrian Interaction

Assessme Rating
nt Rating
6.1 A Traffic Management Plan is documented, signed/approved
by the client (and or local authority) and there is evidence that
it's requirements are in place. Where it is not practical to
implement a full traffic management plan, procedures must be
in place to ensure that risk of interaction is reduced to as low
as reasonably practicable.
6.2 Workers responsible for implementing traffic management are

suitably licensed and trained.
6.3 As far as practicable, there is evidence that roadways used by

large mobile plant are physically separated by an adequate
barrier from those used by light vehicles and pedestrians.
Pedestrian pathways should be fenced off from any roadway.
772431297.xls Page 20 of 60
CRP6
Assessme Rating
nt Rating
6.4 As far as practicable, pedestrian pathways are separated /
fenced off from any roadway.
6.5 Traffic management is regularly monitored for

tampering/vandalism and is reviewed as the project develops.
6.6 Risks associated with the interaction of mobile vehicle and

pedestrian interaction, including those associated with injury to
persons, damage to equipment or loss to process, have been
identified, assessed and controlled.
6.7 Traffic control devices are in good condition, are appropriate

for the task and location, and are checked regularly during the
course of the project.
6.8 Reflective clothing is worn by all personnel working in the

vicinity of mobile plant, equipment and light vehicles.
6.9 Adequate arrangements for maintaining roadway surfaces in a

safe condition are in place, including the reduction of dust for
improved visibility.
6.10 Mobile equipment critical systems such as brakes and steering

are maintained in a safe condition at all times.
Total Rating 0 0

Observation 1
Non-conformance 0
772431297.xls Page 21 of 60
CRP6
Assessme Rating
nt Rating
Not Applicable NA
772431297.xls Page 22 of 60
CRP6
Site:
Date:
Auditor(s):
improvement.
Guide Persons operating light vehicles, plant or other equipment are appropriately licenced; trainers are appropriately qualified; hazards associated with operations, such as the location of underground
services, are identified and risks reduced to as low as reasonably practicable; site rules are evident; communications between vehicle and equipment operators are applied; equipment is fit for purpose
and a maintenance regime is in place; safe operating procedures are in place.
Key Doc Refs G-556 Training and Development Policy; Legislative and regulatory requirements for health and safety; NOHSC:1006 (2001) National Occupational Health and Safety Certification Standard for Users
and Operators of Industrial Equipment 2004; Equipment operational manuals
CRP 7: Mobile Vehicle, Plant and Equipment Operation

Assessme Rating
nt Rating
7.1 Training requirements (ie. Training matrix/schedule) have
been assessed to ensure personnel can complete required
tasks.
7.2 Minimum licencing requirements for all plant and equipment on

site are documented.
7.3 Persons required to drive on site on non-gazetted or non-

bitumenised roads have attended an off-road driving course.
7.4 Operators (including subcontractors) are verified as competent

for the equipment they are operating (ie. VOC, licence,
qualifications and any certificates are held on file on site).
Note: a minimum 'C' class licence is required for LV's and 'HR'
class for heavy mobile plant.
772431297.xls Page 23 of 60
CRP7
Assessme Rating
nt Rating
7.5 Training has been provided in hazard identification,
assessment and control.
7.6 Persons who are providing training to operators or verifying

competence hold a Certificate IV Trainer and Assessor
qualification.
7.7 Pre-start inspections are specific to the needs of the type of

plant, and is completed at the designated intervals.
7.8 Traffic movement plans have been developed and local traffic
management controls have been established.
7.9 Warning devices are fitted to mobile plant and equipment and
in good working order.
7.10 Above ground and under ground services have been identified
to prevent inadvertent contact.
7.11 There is a plant and equipment maintenance regime in place.
7.12 All earthmoving equipment is fitted with compliant

ROPS/FOPS, are fitted with seat belts, audible reversing
signals (as appropriate) and any other minimum specifications
for site.
772431297.xls Page 24 of 60
CRP7
Assessme Rating
nt Rating
7.13 A plant risk assessment has been carried out on all items of
plant and safe operating instructions produced which includes
maintenance, service and inspection details.
7.14 Procedures are available for the operation of all plant and
equipment.
7.15 Procedures are available and there is evidence of

implementationfor 'runing into wall, pedestrian and
vehicle/equipment interaction.
7.16 There are site rules, codes of conduct or procedures which

advise: no travelling in the rear of utility vehicles or in the tray
or body of a truck or scraper; riding in any vehicle without a
seatbelt; no riding on any mobile plant or equipment except
where this is required for training or fault finding purposes; not
using a mobile phone whilst driving or operating; not operating
any plant or equipment under the influene of drugs or alcohol,
fatigued, or in any other unfit state.
7.17 Two way radio communication is available in all light and

heavy vehicles and there is evidence of positive radio
communications.
7.18 Personnel shall ensure that vehicle licences remain current.

Changes to licence status are notified to immediate supervisor.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 25 of 60
CRP7
Site:
Date:
Auditor(s):
improvement.
Guide Hazardous materials/chemical registers, MSDS and health risk assessments are available and understood by persons using those hazardous materials. Appropriate PPE, storage requirements,
signage, spill containment and ventilation is available, as appropriate, for each identified hazardous material. Systems are in place to prevent risk to personnel, damage to equipment or the
environment.
Key Doc Refs G-504 Control of Hazardous Substance Procedure; Legislative and regulatory requirements for health, safety and the environment; NOHSC:2012(1994) National Code of Practice for the Labelling of
Workplace Substances; NOHSC:2007 (1994) National Code of Practice for the Control of Workplace Hazardous Substances; NOHSC:10005 (1999) List of Designated Hazardous Substances
CRP 8: Hazardous Materials Management

Assessme Rating
nt Rating
8.1 Hazardous materials are documented on a register and have a
hazardous materials rating listed.
8.2 Health assessments have been conducted of hazardous

substances and controlls to minimise exposure (including
substitution) are in place.
8.3 Personnel are aware of health risks associated with the use or
exposure to hazardous materials.
8.4 MSDS are available for all hazardous materials on site.
772431297.xls Page 26 of 60
CRP8
Assessme Rating
nt Rating
8.5 Appropriate PPE for the handling of hazardous substances is
available and worn.
8.6 Appropriate areas / cabinets are provided for the storage and
segregation of hazardous materials and signage and
placarding is evident.
8.7 Spill containment is available and the management of any

other emergency situations (ie. Contaminated atmosphere)
involving hazardous materials is understood.
8.8 Appropriate personnel can demonstrate an understanding of

the MSDS.
8.9 Significant stores of hazardous materials is not evident.
8.10 There is a system in place to prevent uncontrolled release of

chemicals to the air, water, environment or exposure to
people.
8.11 If asbestos is identified as a site hazard, is there a process

documented and implemented to identify, assess and control
all risks relating to the disturbance or removal of asbestos or
asbestos containing materials?
8.12 If pressurised gas is identified as a hazard/risk, is there a

process documented and implemented to identify, assess and
control all risks relating to it? (ie. Confined space,
environmental, disconnection of services near pressurised gas
lines etc)
772431297.xls Page 27 of 60
CRP8
Assessme Rating
nt Rating
8.13 The location of all underground services (including pressurised
gas pipelines) have been located prior to excavation.
8.14 Workers working on pressurised gas lines, chemical, fuel or

refrigerant lines are suitably qualified.
8.15 Where there is a risk of contaminated / flammable atmosphere

(ie. Storage areas, where chemicals are used), a JSEA has
been developed taking into account the nature of the work,
duration of the exposure and the number of workers exposed
to ensure that ventilation is appropriate and exposure reduced
to ALARP.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 28 of 60
CRP8
Site:
Date:
Auditor(s):
improvement.
Guide The principal sources of geotechnical risk in surface mines are pit wall stability, ore and waste stockpile slope stability and tailing storage facilities. An additional source of risk in some operations
arises from the need to mine through old underground workings. Prior to commencing the audit it is essential to determine precisely who has responsibility and control of geotechnical matters and
whether or not the client uses 'in-house' expertise or employs a consultant. This audit is confined to establishing that a plan exists, is implemented and its application is actively monitored.
Geotechnical engineering is a very specialised topic and no attempt should be made by a HSEQ auditor to traverse any technical issues or to make any findings in relation to them.
Key Doc Refs M-UG-188 Underground Cardinal Rules Standard; Code of Practice, Surface Rock Support for Underground Mines, Department of Mines and Petroleum; Guideline, Geotechnical Considerations in
Open Pit Mines, Department of Mines and Petroleum; Guideline, Geotechnical Considerations in Underground Mines, Department of Mines and Petroleum
CRP 9: Ground Control and Geotechnical Matters

Assessme Rating
nt Rating
9.1 Does a multi-disciplinary, mine design and planning process
exist and is it formally implemented. Intent: To verify that
mine design and planning is an on-going process that is
signed off by relevant personnel and not a series of ad hoc
crisis meetings. The mine planning and design process should
lead production, not the reverse.
9.2 The mine has developed a ground control management plan

(GCMP) relevant to the local ground conditions and mining
strategies. Intent: To verify that a formal ground control plan
exists, meets required standards and is up to date
9.3 The mine has both short and long term production schedules
that take into account the likely geotechnical impacts which
may have an adverse affect on safety. Intent: To verify that
the mine design takes into account the excavation exposure
time, personnel access, and time dependent performance etc.
when considering geotechnical designs.
772431297.xls Page 29 of 60
CRP9
Assessme Rating
nt Rating
9.4 The boundaries of water filled hazards have been accurately
determined and a safe working distance specified according to
the ground conditions and the mine plan. Intent: To verify that
the mine has adequately considered the hazard of working
near large bodies of ground water where the open pit
encroaches onto abandoned and flooded workings.
9.5 Internal water drainage strategies exist for open pits, waste
dumps and haul roads. Intent: To verify that the mine has
implemented suitable drainage measures that minimise
erosion of important structures and pooling of large bodies of
water in critical areas (e.g. at the crest of batter slopes or the
toe of waste dumps). These drainage control structures need
to be applicable for storm events.
9.6 The mine has implemented the ground control management

plan (GCMP) for pit walls, stockpiles and waste dumps.
Intent: To verify that the GCMP meets required standards, is
up to date and is being followed.
9.7 Are all relevant contractors fully conversant with the plan and
does it guide their activities. Intent: To verify that the plan has
been fully communicated to those whose functions it affects
and that it is understood by them. Verification; Contractor
project manager, Mobile Plant, Drill and Blast and Process
superintendents and supervisors.
9.8 The GCMP has a review period and is signed off by relevant
management bodies each time a modification is made to that
document. Intent: To verify that the GCMP is a "living
document" and includes input from personnel responsible for
key areas of mining that impact on geotechnical performance.
9.9 All relevant personnel understand their roles within this site
GCMP. Intent: To verify that mine management has in place a
working methodology that describes the overall responsibilities
of personnel in the mine with respect to geotechnical
considerations and lists the systems and design strategies
available for each component of geotechnical management
and that the relevant workforce possess the basic knowledge
required.
9.10 The mine has a suitably qualified person(s) to oversee

geotechnical issues or has appropriate visitation by contracted
geotechnical experts with backup from appropriate site
personnel. Intent: To ensure that sufficient human resources
are devoted to geomechanics and that daily issues are
addressed.
772431297.xls Page 30 of 60
CRP9
Assessme Rating
nt Rating
9.11 Where underground workings or natural voids exist, the mine
has developed formal safe working practices for mining
through voids that are formally approved and implemented.
Intent: To verify that SWP and design criteria for minimal floor
thickness exist to minimise exposure to the hazards
associated with working on top of open voids.
9.12 Where areas of significant hazard are identified (e.g.

undertaking cutbacks, areas with high rates of deformation),
suitable safe working practices are developed and
implemented to protect personnel that may work below the
level of the cut-back. Intent: To verify that the mine has in
place a strategy to allow mine personnel safe access below
areas where inadequate safety berms exist and large scale rill
slopes exist
9.13 Emergency action plans or protocols exist in the event of a

potential high risk ground movement event. Intent: To verify
that the mine has in place a strategy to warn mine personnel
working below areas where monitoring indicates potential large
scale ground movements that could overrun containment
structures.
9.14 The mine conducts regular, on-going, checks of pit walls to
determine the need for scaling over time for various types of
work (e.g. installation of reinforcement or monitoring
installation) and documents any rehabilitation work carried out.
Intent: To verify that any working area requiring close access
to walls by persons "on foot” or driving plant (e.g. rock
reinforcement crews, truck operators) is scaled prior to the
work being undertaken, and during the process as required
9.15 A standard drilling and blasting pattern exists, and is always

used, for each geotechnical domain, and influence of
groundwater. Intent: To ensure that rational drill and blast
design procedures are used, rather than relying entirely on
experience as the design tool.
9.16 SWP’s are available for drilling and blasting operations. Intent:
To ensure that blasts are conducted as per the design
guidelines
772431297.xls Page 31 of 60
CRP9
Assessme Rating
nt Rating
9.17 Where applicable, the impact of blasting on nearby structures
e.g. tailings storage facilities or water diversion structures has
been adequately assessed and taken into consideration when
designing all forms of blast. Intent: To ensure that the mine
has taken measures to ensure that blasts will not destabilise
nearby important or hazardous structures over time.
9.18 Written standard work procedures have been developed for

the installation of the various types of rock support and
reinforcement in use at the mine. Intent: To verify that written
standard work procedures exist that describe how the rock
support and reinforcement is to be installed and these
procedures enforced.
9.19 Regular geotechnical inspections are made on foot by suitably
experienced personnel to detect change in ground stability of
the walls and berms and to document the performance of pit
walls with time. Intent: To verify that the mine recognises the
importance of visual observations of slope performance in all
areas of the mine.
9.20 Where appropriate, a seismic monitoring system is installed in

a mine where seismic activity causes damage to the pit walls
and/or the rock support and reinforcement systems in the
mine. Intent: To demonstrate that the mine has the capability
of monitoring seismic events and trends that can be used to
plan and design excavation works, and develop safe work
procedures for relevant personnel.
9.21 The workforce receives on the job training and assessment

covering the recognition of geotechnical hazards. Intent: To
verify the workforce possesses the basic knowledge with
respect to the geotechnical hazards of open pit mining
9.22 Geotechnical hazards and monitoring results are effectively

and regularly communicated to the workforce (including
management). Intent: Geotechnical hazards and monitoring
results are effectively and regularly communicated to the
workforce (including management).
772431297.xls Page 32 of 60
CRP9
Assessme Rating
nt Rating
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 33 of 60
CRP9
Site:
Date:
Auditor(s):
improvement.
Guide Equipment is fit for purpose; isolation and tagging of equipment is evident; access to electrical boards or completion of electrical work is only completed by appropriately licensed and qualified
personnel. Processes are in place to ensure that: all electrical services are de-energised prior to severing; working under or near overhead powerlines or digging near underground services are risk
assessed. Plans / diagrams are available of all electrical services.
Key Doc Refs C-071 Construction Electrical Safety Procedure; M-021 Consideration Prior to Live Electrical Work; M-030 Testing and Commissioning of Electrical Work Checklist; M-039 Electrical Design and
Calculations Work Instruction; M-UG-041 Underground Electrical Equipment Installation Requirements Work Instruction; M-UG-153 High Voltage Electrical Work (General Requirements) Work
Instruction; Legislative and regulatory requirements for electrical safety; Australian and New Zealand Standards 3000 series; AS/NZS 3012:2003 Electrical Installations – Construction and Demolition
Sites; Various state Codes of Practice relating to electrical work for mining and construction
CRP 10: Electrical Safeguard

Assessme Rating
nt Rating
10.1 Workers undertaking electrical works are appropriately
licenced with unrestricted licences. Copies of licences are
available.
10.2 Equipment specific procedures are implemented and licenced

workers undertaking electrical works on that equipment are
verified as competent.
10.3 Electrical equipment and electrical safety devices are

inspected, tested and tagged in accordance with legislative
requirements, standards and safe work procedures.
772431297.xls Page 34 of 60
CRP10
Assessme Rating
nt Rating
10.4 Faulty, unfit or unsafe equipment is tagged 'Out of Service'.
10.5 Isolation of equipment that is not fit for service or to protect

personnel during maintenance activities is completed in
accordance with procedures.
10.6 Electrical panels, enclosures, control centres, substations and

equipment are appropriately guarded, labelled, and made
inaccessible (except for emergency shut off mechanisms) to
unauthorised personnel.
10.7 Electrical leads are up off the ground, adequately protected

and less than 30 metres in length.
10.8 Details of any site electrical work are recorded in an electrical

log book.
10.9 No person is observed to be working within the 'danger zone'

of overhead electrical lines (ie. Within 6m from a >33,000v
line, within 3m of a line between 1,000v and 33,000v; within
0.5m of a line that is <1,000v).
10.10 Where there is an identified risk of having to work near or pass

under overhead powerlines, these risks are shown to be
documented, risks assessed and controlled.
10.11 There is evidence of permits raised for the excavation or

earthworks near buried services and all electrical services are
positively identified prior to excavation work.
772431297.xls Page 35 of 60
CRP10
Assessme Rating
nt Rating
10.12 There is a process and a physical check in place to determine
that an electrical service has a zero energy state, thereby
ensuring that all electrical services are de-energised prior to
severing, which is not limited to relying on drawings and
permits alone.
10.13 All actions resulting from previous electrical incidents (eg. both
from the site being audited and from other sites) are in place.
10.14 All electrical incidents have been reported to authorities, as

appropriate.
10.15 Plans showing the location of high voltage cables and

equipment are available and are maintained.
This section to be conducted by a licenced electrician

only
10.16 Electrical works are undertaken in accordance with legislative
requirements, standards, codes of practice, design criteria and
safe work procedures.
10.17 Procedures are documented, implemented and are maintained

for any electrical work above 50 volts AC and 120 volts DC,
where this work involves construction, maintenance,
decommissioning and demolition of electrical equipment.
10.18 Electrical safety devices such as residual current devices

(RCD's) and overload protection is installed on all final
distribution circuits.
772431297.xls Page 36 of 60
CRP10
Assessme Rating
nt Rating
10.19 VRD's are installed on welders.
10.20 Care and use of 9" grinders on site must comply with written
procedures.
10.21 Single line diagrams are controlled, remain current and identify
equipment details, electrical protection discrimination curves
and cable ratings.
10.22 Procedures are documented, implemented and maintained for

energised electrical work and includes voltage testing
scenarios where no tools are used.
10.23 Untrained personnel are escorted by trained personnel when

entering controlled (electrical) areas and hazards are
communicated.
10.24 Earth leakage protection is provided on all electrical supply

and installations, and where portable generators are used,
earthing mechanisms are employed as necessary.
10.25 Circuit breakers for sub circuits emanating from main and
distribution boards are adequately identified at their origin.
Total Rating 0 0

Observation 1
Non-conformance 0
772431297.xls Page 37 of 60
CRP10
Assessme Rating
nt Rating
Not Applicable NA
772431297.xls Page 38 of 60
CRP10
Site:
Date:
Auditor(s):
improvement.
Guide Lockout / tagout processes are evident; risks associated with energy sources are managed and permanent isolation points are evident on all plant and equipment.
Key Doc Refs M-105 Mining Isolation and Tagging Procedure; C-202 Construction Isolation and Tagging Procedure; Legislative and regulatory requirements for health and safety; AS 4024.1 - 2006 Safeguarding of
Machinery; AS/NZS 4836 – Safe Working on Low-voltage Electrical Equipment; Codes of Practice in each State of Australia relating to high risk functions; Guidance Note, Commission for Occupational
Safety and Health, Isolation of Plant
CRP 11: Isolation of Energy Sources

Assessme Rating
nt Rating
11.1 Procedures are documented, implemented and maintained for
lock-out / tag-out processes for the isolation of electrical
energy sources and are approved by management.
11.2 All potential energy sources have been identified (eg. Check
maintenance, equipment operation, plant and vehicle
operation, lifting operations etc). For example: A risk
assessment must be conducted to identify all energy sources
and may refer to electrical, pneumatic, hydraulic, stored
energy such as batteries, fuels, gravity, springs, heat referring
to steam and hot water, gases under pressure and radiation.
Additionally, other hazards identified as a result of exposure to
an energy source shall be considered (eg. falls, burns,
asphyxiation, impact, contact with hazardous substances or
chemicals, drowning etc).
11.3 The isolation procedure(s) clearly identify the isolation points

to be affected.
772431297.xls Page 39 of 60
CRP11
Assessme Rating
nt Rating
11.4 Plant and equipment are shown to have a permanent isolation
point fitted.
11.5 Compliance of workers to procedure is evident (ie. workers are

observed to have isolated all equipment prior to maintenance
works, such as plant, vehicles, electrical equipment whereby
stored energy has the potential for release).
11.6 Tags and locks (where applicable) are available and easily
accessible on site. As a minimum, personal danger tags, out
of service tags, information tags, testing and adjusting tags,
equipment isolation tags and/or locks shall be implemented.
11.7 There is documented evidence that personnel have been

trained in lock out / tag out / isolation processes.
11.8 Each worker performing maintenance work has affixed their

own danger tag to each isolation point.
11.9 Tags have been filled out correctly with all appropriate detail.
11.10 There is a documented procedure which addresses removal of

personal danger tags both by the person named on the tag
and the Supervisor of the person named on the tag.
11.11 Faulty equipment is tagged 'out of service'.
772431297.xls Page 40 of 60
CRP11
Assessme Rating
nt Rating
11.12 Where there is a requirement under legislation, lock box tags
and locks are implemented.
11.13 Where underground services are exposed during excavation,

whether by intention or inadvertence, the precise status of the
service, (live, pressurised, redundant, etc) was established
beyond all doubt prior to any attempt to cut, disconnect or
otherwise deal with it.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 41 of 60
CRP11
Site:
Date:
Auditor(s):
improvement.
Guide There is a process in place for the management of risk associated with working at height and that these are reduced to ALARP through the hierarchy of controls. Workers are observed to be working
safely at height. All equipment used to reduce the risks of working at height are regularly inspected (certified, where required), listed on a register and maintenance documented. Persons working at
height (and using any associated equipment) are appropriately licenced and/or trained.
Key Doc Refs C-064 Work Permits Procedure; C-074 Construction Working at Heights Procedure; Legislative and regulatory requirements for health and safety; National Standard for Licensing Persons Performing
High Risk Work; Australian and New Zealand Standards 1891 and 1892 series; AS 1657:1992 Fixed platforms, walkways, stairways, and ladders - Design, construction and installation; AS/NZS 4576-
1995 Guidelines for Scaffolding; AS 2250.10 Cranes – Safe Use – Elevating Work Platforms; AS 1418.10 Cranes (Including Hoists and Winches) – Elevating Work Platforms; Code of Practice,
Prevention of Falls at Workplaces; Compliance Code, Prevention of Falls in General Construction
CRP 12: Working at Height

Assessme Rating
nt Rating
12.1 Personnel conducting any working at height are trained in the
correct process and the use of personal protective equipment
(ie. Fall protection equipment)
12.2 Training in response to the condition known as ‘Suspension

Intolerance Trauma’ has been provided and rescue processes
to ensure that the person can be removed from the suspended
position as quickly as possible are planned and implemented.
12.3 The Emergency Response Team are alerted where the

deployment of a fall arrest device is a possibility.
772431297.xls Page 42 of 60
CRP12
Assessme Rating
nt Rating
12.4 Risks associated with work at height have been assessed and
mitigated prior to work being undertaken. This may include
checking workplace surfaces (eg. open holes), levels,
structures, evenness of ground, housekeeping, movement of
plant and equipment, proximity to unsafe areas etc.
12.5 Risks associated with working at height have been considered

in the design and planning of plant, equipment, facilities and
structures and the need to work at height has been reduced to
as low as practicable (eg. Working over water or near open
holes). This may include the use of railing, edge protection,
scaffolding, elevated work platforms, work boxes or man
cages, enclosed ladders, safety nets, safety mesh, catch
platforms, floor meshing, etc.
12.6 Environmental hazards have been identified (ie. Weather,

wind) where working at height activities are conducted.
12.7 Fall prevention strategies and permits are in place where there
is a risk of a person falling more than two metres from a safe
ground level.
12.8 Fall restraint and protection equipment has been provided (eg.
static lines, sala blocks etc) where it is impracticable to employ
fixed fall protection measures.
12.9 Fall arrest equipment is only used in conjunction with other fall
prevention devices.
12.10 There is a maintenance and inspection schedule for fall

prevention equipment.
772431297.xls Page 43 of 60
CRP12
Assessme Rating
nt Rating
12.11 Attachment points are installed by suitably qualified persons
and are regularly inspected.
12.12 Scaffolding onsite is regularly inspected and is only erected by

suitably qualified personnel.
12.13 Correct use of ladders and stairs is observed. (ie. Three

points of contact, securing of ladders etc)
12.14 Safe access and egress from work areas, including access
ladders which extend 1m past the work platform, are observed.
12.15 Adequate protection structures have been installed to prevent

the risk of falling objects.
12.17 Work boxes or man cages attached to a forklift carriage are

engineer-designed and constructed in accordance with
Australian Standards.
12.18 Elevated Work Platforms, including scissor lifts and cherry

pickers, must be registered and a pre-start check completed
daily when in use.
12.19 Where operation of plant is required for working at height, the

operator must hold a National Licence for Performing High
Risk Work.
772431297.xls Page 44 of 60
CRP12
Assessme Rating
nt Rating
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 45 of 60
CRP12
Site:
Date:
Auditor(s):
improvement.
Guide Required permits are identified in the site management plans and current/completed permits are have been approved by an appropriate person and records are available. Personnel (including
subcontractors) are observed to be working to permit requirements. Emergency procedures are adequate for work environment. Persons using permits (including subcontractors have been
appropriate trained in permit requirements. All high risk activities generally requiring permits are identified in the risk register and permit requirements have been applied.
Key Doc Refs C-064 Work Permits Procedure; Legislative and regulatory requirements for health, safety and environment; AS/NZS 2865:2001 Safe Working in a Confined Space; AS 1674.1-1997 Safety in Welding
and Allied Processes - Fire precautions; NOHSC:1016 (2005) National Standard for Construction Work
CRP 13: Permits to Work

Assessme Rating
nt Rating
General
13.1 The risk register and HSE management plans identifies
activities requiring permits to work.
13.2 Persons are appropriately trained for work requiring permits,

such as that for confined space, working at height, hot works
(where required) and working over water (ie. Persons are
required to be competent swimmers), workers within the
excavation are required to be trained and aware of emergency
procedures etc
13.3 Permits to work are completed for activities requiring permits
and may include permit types may include, but are not limited
to excavation, hot works, confined space, working over water
and working at height.
772431297.xls Page 46 of 60
CRP13
Assessme Rating
nt Rating
13.4 Emergency procedures have been developed and
implemented for all work requiring a permit.
13.5 Work classified as being ‘high risk’ in nature is subjected to a

permit system and is controlled. Note: the need for a permit
may be defined by regulation or client requirement. Where
such a requirement is absent, the need for a permit must be
evaluated by a rigorous risk assessment on a case by case
basis.
13.6 Each permit must clearly indicate: the location, nature and
scope of the work to be carried out in relation to the plant and
equipment involved; that all hazards are identified and that
appropriate controls are in place prior to work commencing
and that they remain in place during work progress, including
emergency or rescue procedures; informs, where necessary,
the on-coming shift of what work is outstanding, what work has
been done and where work has been carried out; provides,
where necessary, a formal hand over / hand back process to
ensure the work area is safe to return to normal operation
when work is completed; specifies PPE appropriate to the
work; other permits required for the scope of work to be
completed.
13.7 Appropriate barriers, signage and fencing has been

established in and around areas where permit work is
conducted.
13.8 Procedures are developed and implemented for all permit

types.
13.9 First aid and emergency equipment is available for all permit
activities.
13.10 Permits are signed by the permit holder, an authorising person

and the permit issuer and are reviewed by the site safety
represenative/advisor.
772431297.xls Page 47 of 60
CRP13
Assessme Rating
nt Rating
13.11 Permits are cancelled upon appropriate/adequate completion
of work and areas have been inspected, deemed safe for
others to return to the area for further works.
13.12 Permits are valid for the day of issue only.
13.13 Communication are appropriate and communications

equipment is available for the activity being undertaken.
Excavation Permit
13.14 Risks associated with any excavation works are assessed and
controlled prior to any activity commencing. This may include
potential emergency situations, appropriate PPE is available,
there is safe access and egress, above ground and
underground services have been identified, other mobile plant
and equipment in the vicinity, potential water sources are
identified and the risk of flooding removed, the safety of
surrounding structures and areas has been assessed etc
13.15 Above ground and underground services have been have

been identified and made safe.
13.16 Excavation trenches are regularly inspected bya competent

person to ensure controls are used and remain adequate.
13.17 A JSEA (or similar) has been developed and is available at the
site where the work is being conducted.
Confined Space Permit
772431297.xls Page 48 of 60
CRP13
Assessme Rating
nt Rating
13.18 Risks associated with confined space entry are assessed and
controlled prior to any activity commencing. This may include
extremes of heat and cold, flooding, gases, noise, radiation,
toxic liquies or solides, dusts, oxygen deficiencies / excess, etc
13.19 An entry / exit log is evident.
13.20 A process and equipment for communications during confined

space entry is in use.
13.21 Atmospheric testing is conducted before entry, and where

required, at intervals indicated on the permit.
Hot Work Permit

13.22 Risks associated with hot works are assessed and controlled
prior to any activity commencing. This may include the
combustible products (oils, chemicals, rags, paper etc),
weather conditions etc
13.23 Fire suppression tools are available for all hot works related
activities.
13.24 Welders are fitted with RCD / VRD as appropriate.
13.25 VRD's are tested prior to each use.
772431297.xls Page 49 of 60
CRP13
Assessme Rating
nt Rating
13.26 Flashback arrestors are used.
13.27 All portable equipment used for grinding and other heat or
spark producing operations are RCD protected.
Working Over / Adjacent to Water

13.28 Risks associated with working over/adjacent to water are
assessed and controlled prior to any activity commencing.
This may include the potential falls from height, weather
conditions, electrical hazards, other personnel or water
vessels, lighting levels, loose slippery surfaces, collapse of
water logged ground or other structures etc
13.29 Spill kits are available to prevent the spread of a spill both on
land and in the water.
13.30 Weather and tide conditions are monitored (as appropriate)
13.31 Where appropriate, areas below workers (land and water) are
cleared of other persons and exclusion zones are established.
772431297.xls Page 50 of 60
CRP13
Assessme Rating
nt Rating
13.32 Vessel movements have been identified.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 51 of 60
CRP13
Site:
Date:
Auditor(s):
improvement.
Guide Fitness for work risks are identified and there is an observed process in place for managing associated risks. Drug and alcohol testing is regularly conducted and warnings issued where required;
information on counselling and drug and alcohol awareness information is evident.
Key Doc Refs G-596 Fitness for Work Policy; G-463 Fitness for Work Guideline; G-236 Drug and Alcohol Procedure; G-435 Workers Compensation and Rehabilitation Procedure; G-Operational Workplace
Rehabilitation Guideline; AS3547-1997 – Breath Alcohol Testing Devices for Personal Use; AS4760-2006 – Procedures for Specimen Collection and the Detection and Quantitation of Drugs in Oral
Fluid; AS4308-2008 – Procedures for Specimen Collection and the Detection and Quantitation of Drugs Abuse in Urine
CRP 14: Fitness for Work

Assessme Rating
nt Rating
14.1 Procedures for the prevention of issues or provision of
information associated with fitness for work have been
developed.
14.2 Risks associated with fitness for work have been identified,
assessed and controlled. Risks may include those associated
with drugs and alcohol, physical fitness (ie. Age, weight,
general health diet, smoking) and mental stress.
14.3 A Fitness for Work management plan is available, provides

awareness information on fitness for work issues at an
agreed/scheduled frequency and includes the management of
fatigue.
14.4 Shifts, rosters and travel are scheduled appropriately so as to

reduce the risk of fatigue to as low as reasonably practicable.
772431297.xls Page 52 of 60
CRP14
CRP 14: Fitness for Work
Assessme Rating
nt Rating
14.5 Drug and alcohol testing is conducted at an agreed and
appropriate frequency.Testing will be supported by the
disciplinary process.
14.6 There is evidence to show that the drug and alcohol testing is
shown to be supported by the disciplinary process.
14.7 Pre-employment medical assessments and drug and alcohol

screenings are conducted of all prospective employees.
14.8 Counselling is available and information is provided for

personnel who are deemed unfit for work where this is a result
of a positive D&A screen or a work related injury that prevents
a worker returning to work to pre-injury duties.
14.9 A rehabilitation programme is implemented for all injured

workers who are unable to return to their pre-injury duties (ie.
Return to work plan)
14.10 A list of medication taken by employees is available on site

and has been risk assessed according to the type of work that
employee is performing.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 53 of 60
CRP14
Site:
Date:
Auditor(s):
improvement.
Guide There is a process in place to ensure that risks associated with lifting people or equipment are managed and that associated records are available. Personnel are observed to be conducting lifts safely
and that mechanisms for positive communication are evident. All personnel conducting lifting activities are appropriately trained. All lifting equipment is maintained, is listed on a register and is
regularly inspected.
Key Doc Refs C-092 Crane Lift Plan and Study Procedure; Legislative and regulatory requirements for health and safety; Australian and New Zealand Standards 2550 series, 2359 series and 1418 series
CRP 15: Lifting Operations

Assessme Rating
nt Rating
15.1 Procedures and appropriate tools have been developed and
implemented for conducting lifts of people and materials.
15.2 Risks associated with lifting operations and the use of

equipment for raising personnel or material, have been
identified, assessed and controlled. This may include lifting
techniques, the maintenance and use of associated equipment
and the interaction of lifting operations with other activities (ie.
operation of other vehicles and equipment).
15.3 All lifts are subjected to a risk assessment (ie. JSEA, lift study
etc), which is undertaken prior to the lift and involves
personnel competent in lifting operations. Evidence of a
documented assessment is available, which may include a lift
study/plan, Take 5/Mac 5, JSEA etc
772431297.xls Page 54 of 60
CRP15
Assessme Rating
nt Rating
15.4 Heavy or complex lifts or where earth moving equipment is
used for lifting, have a lift procedure, lift plan/study and a
written risk assessment available. The following shall be
covered in documentation: assessment of the load mass and
radius, positioning of the load for lift and the final location of
the load position, lift calculations, the type of equipment that
will be used, use of spotters, rigging requirements and the
location of drop zones to ensure protection of workers and
others.
15.5 Where a lift is observed involving a lift study, the lift equipment
is shown to be rigged as per the plan drawing.
15.6 All persons conducting lifts shall be trained, qualified and

competent.
15.7 For lifts requiring a lift study and where there is more than one
rigger involved, a rigger has been identified as the rigger in
charge of the lift by the person authorising the lift (generally
the site engineer, Project Manager etc)
15.8 Lifting equipment shall be regularly inspected and records of

maintenance, inspection or modification maintained.
15.9 Lifting attachments (ie. chains, hooks, etc.,) are tested and
tagged as certified and records of certification shall be
maintained and current. Certification tags are attached to all
lifting attachments and are current. Equipment, which is not
current, tagged or is damaged has been removed from service
and is clearly identified as being out of service by way of
tagging and/or segregation.
15.10 Signage, barriers or other methods of segregation are in place

during a lift.
772431297.xls Page 55 of 60
CRP15
Assessme Rating
nt Rating
15.11 Classified plant used to conduct lifting activities are registered
and are subjected to maintenance and inspections governing
that plant and category of equipment.
15.12 Radio communication (if used) is exclusive. Communication

via signalling is only conducted where the operator and the
person controlling the signal is in line of sight at all times.
15.13 Spotters are observed to be in place during the lift.
Total Rating 0 0

Observation 1
Non-conformance 0
Not Applicable NA
772431297.xls Page 56 of 60
CRP15
Site:
Date:
Auditor(s):
improvement.
Guide There is a process in place to ensure that all risks associated with blasting, handling, transporting, storage are managed. Approvals and licences are in place. Personnel are appropriately trained and
are competent to conduct tasks associated with explosives.
Key Doc Refs C-059 Use of Explosives Procedure; M-SF-078 Surface Storage, Magazines & Transportation of Explosives Procedure; M-SF-091 Safe Use and Handling of Explosives; M-UG-188 Underground
Cardinal Rules; M-SF-004 Surface Golden Rules Poster; Legislative and regulatory requirements for Dangerous Goods; Australian Standards 2187 series; Codes of Practice in each state for the
storage and handling of dangerous goods; ADGC, Australian Code for the Transport of Dangerous Goods by Road and Rail; AE Code, Australian Code for the Transport of Explosives by Road and
Rail
CRP 16: Explosives

Assessme Rating
nt Rating
16.1 There is a demolition / construction plan which identifies all
hazards and assigns risks and controls to each identified
hazard.
16.2 Building structure and materials have been considered in the

plan, before the explosives are used.
16.3 The location of all services has been identified and

documented, and the relevant services have been
disconnected or made safe by a suitably qualified person prior
to using explosvies.
772431297.xls Page 57 of 60
CRP16
CRP 16: Explosives
Assessme Rating
nt Rating
16.4 There are controls in place to prevent noise contamination to
workers and the public.
16.5 There are appropriate protective systems in place to prevent

persons being injured and plant being damaged by flying
debris.
16.6 There is a documented system to ensure that the transport,

storage, handling, use and disposal of explosives is carried out
in a safe manner so as to minimise risk of injury to personnel,
damage to equipment or loss to process.
16.7 Tools have been developed to ensure compliance with

dangerous goods legislation. This may include appropriate
checklists, inspections, audits etc
16.8 An Explosives Management Plan (EMP) has been developed

and includes emergency response; training, licensing and
competency; signage and security; risk and incident
management; legal and other requirements; monitoring,
records and reporting (internal and regulatory); transport,
storage and disposal.
16.9 A Blast Plan (BP) has been developed and and written blast
records are in place prior to any blasting being undertaken. As
a minimum, the BP shall detail the objectives for the project or
task; identify and mitigate risks with a view to eliminate risk to
personnel, damage to equipment and property or loss to
process; and outline any site-specific requirements (ie.
permits, clearances, notifications).
16.10 Requirements of the EMP and BP are shown to have been

communicated to all persons with responsibilities within the
plans.
772431297.xls Page 58 of 60
CRP16
CRP 16: Explosives
Assessme Rating
nt Rating
16.11 Procedures are in place for blast design, initiation, monitoring
and evaluation and misfire treatments to ensure that blast
objectives are met and risks are reduced to as low as
reasonably practicable (ALARP).
16.12 Magazines have been designed, located and managed in

accordance with the requirements of dangerous goods
legislation and Australian Standards, and shall take into
consideration and mitigate environmental (eg. lightening, fire)
and man made influences (eg. other vehicle traffic, mobile
phones or radio’s).
16.13 Vehicles used for the transport of explosives on site are
maintained in a good mechanical and roadworthy condition,
and be appropriately sign posted.
16.14 Only trained, licensed and competent persons have access to

explosives.
16.15 Only trained, licensed and competent persons assist in blast

management.
16.16 Processes are in place to ensure that no person approaches a

misfired blast until the area has been assessed by the Blast
Manager.
16.17 Rules or processes are in place to ensure that persons do not

bore into any butts; fire outside firing times unless authorised
to do so; enter blasting delineation unless directly associated
with blasting operations; smoke in a magazine compound or
within 8 metres of an explosives ute.
Total Rating 0 0

Observation 1
Non-conformance 0
772431297.xls Page 59 of 60
CRP16
CRP 16: Explosives
Assessme Rating
nt Rating
Not Applicable NA
772431297.xls Page 60 of 60
CRP16

Critical Risk Protocol Audit

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Critical Risk Protocol Audit

Uploaded by

Copyright:

Available Formats

Navigator Page

Audit Rating and Ranking

Audits (inclusive of self assessments) shall be rated and ranked as follows:

Actual Self Assess Max Actual Self Assess Actual Ranking

CRP – 8 Hazardous Materials Management

CRP – 12 Working at Height

CRP – 9 Ground Control and Geotechnical Matters

CRP – 11 Isolation of Energy Sources

CRP – 15 Lifting Operations

CRP – 7 Mobile Vehicle, Plant and Equipment Operation

CRP – 13 Permits to Work

Providers and Visitors

Actual Rating Self Assess Rating Max Rating

CRP Ranking (%)

CRP – 8 Hazardous Materials Management

CRP – 12 Working at Height

CRP – 9 Ground Control and Geotechnical Matters

CRP – 11 Isolation of Energy Sources

CRP – 15 Lifting Operations

CRP – 7 Mobile Vehicle, Plant and Equipment Operation

CRP – 13 Permits to Work

Providers and Visitors

Actual Ranking % Self Assess Ranking % Max Ranking %

Relevant to: Document Owner: EGM HSEQ

Guideline and Checklist

CRP 1: Risk and Change Management

1.2 The risk management process occurs (and is documented) for

1.3 Risks are assessed in terms of likelihood and consequence to

1.5 The hazard identification, risk assessment and risk control

1.6 Changes are communicated.

1.7 Training and education as a result of change is provided.

1.8 A process for the provision of feedback to all personnel can be

1.9 Feedback is reviewed by the Project Manager and any

Conformance / Opportunity for Improvement 2

CRP 2: Design, Construction and Commissioning

2.2 Procedures are established and maintained for design review

2.3 There is evidence that technical standards for design,

2.5 A document control system is in place to manage change

2.7 There is evidence that design changes are communicated to

2.8 There is evidence that permits and authorisations are in place

Conformance / Opportunity for Improvement 2

CRP 3: Emergency Preparedness, Response and Crisis Management

3.2 Emergency plans are documented and regularly reviewed.

3.3 The emergency plan details responsibilities and action details,

3.4 Who can and can't talk to the media is understood.

3.6 Emergency drills are planned and carried out.

3.7 There is evidence that designated emergency personnel have

3.8 Competent persons have assessed emergency equipment for

3.9 There is evidence that emergency equipment, signage, paths

3.10 There is evidence that dangerous goods and hazardous

3.11 Emergency procedures associated with dangerous goods and

3.12 There is evidence that first aid requirements have been

Conformance / Opportunity for Improvement 2

CRP 4: Management of Subcontractors, Contractors, Service Providers and Visitors

4.2 There is evidence that all subcontractors / contractors are

4.3 There is evidence that subcontractors / contractors participate

4.4 There is evidence that subcontractor equipment is inspected

4.6 There is evidence that subcontractors attend Macmahon

4.7 There is evidence that subcontractors / contractors are

4.8 There is evidence that subcontractors / contractors provide the

4.9 Records of subcontractor / contractor inductions, risk

Conformance / Opportunity for Improvement 2

CRP 5: Plant and Equipment Specifications, Integrity and Maintenance

5.2 There is evidence that maintenance, inspection, testing,