EXAMPLE OHS Management System Audit Tool

(Contractor Management)
Utilising the framework of AS/NZS 4801:2001

Date(s) of Audit:

Auditor:

Organisation Name: (Auditee)

Contact Name:

Phone:

Address:

Additional Info:

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THIS PAGE INTENTIONALLY BLANK

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CONTENTS
AS-4801 Reference 4.2

Reference

Description

Page

1 1.1 2 2.1 2.2 2.3 2.4 3 3.1

3.1.1 3.1.2

OHS Policy OHS Policy Planning Planning identification of hazards, hazard/risk assessment and control of hazards/risks Legal and other requirements Objectives and targets OHS management plans Implementation Structure and responsibility
Resources Responsibility and accountability

7 7 8 8 9 10 11 12 12

4.2

4.3

4.3.1

4.3.2

4.3.3

4.3.4

4.4 4.4.1 4.4.1.1 4.4.1.2 4.4.2

3.2 3.3
3.3.1 3.3.2 3.3.3

Training and competency Consultation, communication and reporting

Consultation Communication Reporting

14 15

4.4.3 4.4.3.1 4.4.3.2 4.4.3.3 4.4.4

3.4 3.5 3.6

3.6.1 3.6.2 3.6.2.1 3.6.2.2 3.6.2.3 3.6.2.4 3.6.2.5 3.6.2.6 3.6.2.7 3.6.2.8 3.6.2.9 3.6.2.10

Documentation Document and data control Hazard identification, hazard/risk assessment and control of hazards/risks
Hazard Management Procedures (General) Hazard Identification Work Processes Workplace Inspection Design Plant & Equipment Installation & Commissioning Plant & Equipment Inspection, Testing & Maintenance Purchasing Goods Sub-Contractor Selection Management of Sub-Contractors prior to the commencement of work Monitoring of Sub-Contractors safety whilst performing work Review of Sub-Contractors performance at the end of contract

18 19 20

4.4.5

4.4.6

4.4.6.1 4.4.6.2 4.4.6.2 (i) 4.4.6.2 4.4.6.2 (ii) 4.4.6.2 (iii) 4.4.6.2 (vi) 4.4.6.2 (iv) 4.4.6.2 (v) 4.4.6.2 (v) 4.4.6.2 (v) 4.4.6.2 (v)

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4.4.6.3 4.4.6.4 4.4.6.5 4.4.7 4.4.7 4.4.7 4.5 4.5.1 4.5.1.1 4.5.1.2 4.5.2

3.6.3 3.6.4 3.6.5 3.6.6 3.6.6.1 3.6.6.2 3.6.6.3 3.6.6.4 3.6.6.5 3.6.6.6 3.6.6.7 3.6.6.8 3.6.6.9

Hazard / Risk Assessment Control of Hazards / Risks Evaluation of Risk Controls Controls for Major Sources of injury and illness Manual Handling Use of Plant Use of Electrical Equipment Use of Chemicals Working at Heights Working in Isolation Permits to Work Use and Storage of Pressure Vessels Provision of Personal Protective Equipment (PPE) 30

3.7
3.7.1 3.7.2

Emergency preparedness and response

Emergency Procedures First Aid

37

4 4.1
4.1.1 4.1.2

Measurement and evaluation Monitoring and measurement

General Health surveillance

38

4.2 4.3 4.4 5 5.1

Incident investigation, corrective and preventive action Records and records management OHSMS audit Management review Management Review
43

4.5.3

4.5.4

4.6

4.6

Appendices Personnel Interviewed During Audit (List) Documentation Reviewed During Audit (List) Auditors Notes (Blank Pages) Compliance Assessment Methodology Summary of Key Findings (Template)

44

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Requirement
1.
1.1

Evidence of Verification
C / NC
The organisation has an OHS Policy that: - is appropriate to the nature and scale of the organizations risks; - includes a commitment to establish measurable objectives and targets to ensure continued improvement aimed at elimination of work-related injury and illness; - includes a commitment to comply with relevant OHS legislation and with other requirements placed upon the organization or to which the organization subscribes; - is documented, implemented, maintained and communicated to all employees; - is available to interested parties; and - is reviewed periodically to ensure it remains relevant and appropriate to the organization.

OHS Policy
There shall be an occupational health and safety policy authorized by the organizations top management, that clearly states overall OHS objectives and demonstrates a commitment to improving OHS performance. The policy shall (a) be appropriate to the nature and scale of the organizations risks; (b) include the commitment to establish measurable objectives and targets to ensure continued improvement aimed at elimination of work-related injury and illness; (c) include a commitment to comply with relevant OHS legislation and with other requirements placed upon the organization or to which the organization subscribes; (d) be documented, implemented, maintained and communicated to all employees; (e) be available to interested parties; and (f) be reviewed periodically to ensure it remains relevant and appropriate to the organization.

Findings / Comments

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2. 2.1
2.1

Planning Planning identification of hazards, hazard/risk assessment and control of hazards/risks

The organization shall establish, implement and maintain documented procedures for hazard identification, hazard/risk assessment and control of hazards/risks of activities, products and services over which an organization has control or influence, including activities, products or services of contractors and suppliers. Documented procedures for reduction of risk across the organization and its operations using the process of hazard identification, risk assessment and risk control A documented procedure which requires the use of the hierarchy of controls in the determination of control measures. Reviews should be conducted regularly at appropriate intervals to ensure continuing suitability and effectiveness of the system to satisfy the organizations health and safety needs in all areas of business activity. Dates of reviews found on minutes, memos or other documents. Reports of findings of reviews. Evidence that risk assessments / WMS have been revised as a result of changing circumstances or new information.

C / NC

Findings / Comments

The organization shall develop its methodology for hazard identification, hazard/risk assessment and control of hazards/risks, based on its operational experience and its commitment to eliminate workplace illness and injury. The methodology shall be kept up-todate.

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2.2
2.2

Legal and other requirements

The organization shall establish, implement and maintain procedures to identify and have access to all legal and other requirements that are directly applicable to the OHS issues related to its activities, products or services, including relevant relationships with contractors or suppliers. A documented procedure that specifies how health and safety legislation and other relevant information is identified and maintained. Associated responsibilities allocated in job descriptions. Participation in a specialised subscription services that monitors legislative changes and issues updates or bulletins. Legislative changes are incorporated into work practices, procedures and contract work. OHSMS complies with relevant state legislation and consistent with industry standards. Information relating to applicable legislation is current. Evidence of modification/changes made as a result of changes to legislation. Review of safety and contract delivery procedures include an assessment of any new safety requirements and legislative requirements.

C / NC

Findings / Comments

The organization shall keep this information up-to-date. It shall communicate relevant information on legal and other requirements to its employees.

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2.3
2.3

Objectives and targets

The organization shall establish, implement and maintain documented OHS objectives and targets, at each relevant function and level within the organization. When establishing and reviewing its objectives, an organization shall consider its legal and other requirements, its hazards and risks, its technological options, its operational and business requirements, and the views of interested parties. The objectives and targets shall be consistent with the OHS policy, including the commitment to measuring and improving OHS performance. Statement outlining the organizations objectives and targets. e.g. legal requirement, technical requirement. Performance plans which detail targets for health and safety and how they will be measured. Health and Safety Plan which lists targets to be met by particular departments for given time frame, e.g. quarter. Minutes of meetings which record discussion about the selection of suitable health and safety objectives and targets. Are the OHS objectives consistent with the OHS policy (including commitment to measuring and improving OHS performance)?

C / NC

Findings / Comments

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2.4
2.4

OHS management plans

The organization shall establish and maintain management plans for achieving its objectives and targets. They shall include (a) designation of responsibility for achievement of objectives and targets at relevant functions and levels of the organization; and (b) outlining the means and timeframe by which objectives and targets are to be achieved. A documented health and safety plan which includes objectives and the means by which those objectives will be achieved. Plans include: The allocation of resources & responsibilities, and Completion dates.

C / NC

Findings / Comments

Site-Specific OHS Management Plans Principal contractors for certain construction sites are required under legislation to prepare a Site-Specific Occupational Health and Safety Management Plan. This plan must include the following: A statement of responsibilities listing the names, positions and responsibilities of all persons who will have specific responsibilities on the site for Occupational Health and Safety. Arrangements for ensuring Occupational Health and Safety Induction Training is undertaken. Arrangements for managing Occupational Health and Safety incidents, including names and contact detail for individuals to contact in the event of an incident. Site safety rules and details of arrangements for ensuring all persons on site are informed of the rules, Safe Work Method Statements (S.W.M.S.) for those activities assessed as having risks to health or safety.

Procedures shall be established to ensure that current plans are reviewed, and if necessary amended to address such changes at regular and planned intervals, and whenever there are changes to the activities, products, or services of the organization or significant changes in operating conditions.

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3. 3.1 3.1.1
3.1.1

Implementation Structure and responsibility Resources

Management shall identify and provide the resources required to implement, maintain, and improve their OHSMS. How does management identify and provide the resources required to implement, maintain, and improve the organisations OHSMS? Documented health and safety plans that specify required resources. Reports, minutes of meetings etc that confirm resources have been reviewed. Physical evidence of the allocation of resources Budget information that demonstrates allocation of resources.

C / NC

Findings / Comments

Resources include human resources and specialized skills, technology and financial resources.

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3.1.2
3.1.2

Responsibility and accountability

The organization shall define, document and communicate the areas of accountability and responsibility (including those imposed by OHS legislation) of all personnel involved in the OHSMSs operation. General Responsibilities for management and employees are defined, documented, communicated and understood. Safety KPIs based on defined accountabilities are included in all Position Descriptions and contracts with subcontractors.

C / NC

Findings / Comments

Where contractors are involved, these areas of accountability and responsibility shall be clarified with respect to those contractors.

Contractors The Contractor is responsible for completing and supervising tasks in a manner, which does not place the personnel, employees or customers or anyone else at risk. The Head Contractor requests potential sub-contractors to submit a safety management / action plan on a risk basis. All staff and contractors are inducted and induction / training records are maintained. WMS are communicated to sub-contractors and Sub-contractors are trained in WMS. Sub-Contractors safety performance is regularly monitored, including the knowledge and the application of WMS. Documentation showing staff qualifications in health and safety or related fields. How did the organization determine that they have access to sufficient qualified and competent people? What are the qualifications and competencies of the people?

The organizations top management shall appoint a specific management representative(s) who, irrespective of other responsibilities, shall have defined roles, responsibilities and authority for (a) ensuring that OHSMS requirements are established, implemented and maintained in accordance with this Standard; and (b) reporting on the performance of the OHSMS to top management for review and as a basis for improvement of the OHSMS.

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3.2
3.2.1

Training and competency

The organization in consultation with employees shall identify training needs in relation to performing work activities competently, including OHS training.
- Health and safety competencies are identified and documented as a competency profile for all employees incl. those with specific responsibilities such as first aiders, fire wardens and safety representatives, etc. - Training needs analysis / Task skills matrix showing individual competencies and further training needs. - Job descriptions detailing skills/competencies required. - Training plan which contains time frames for refresher training as appropriate. - Training and assessment responsibilities should be designated to competent persons and statements of responsibility, authority and accountability established. Responsibilities should include training delivery, supervision, assessment and/or verification tasks. - The competency of employees including any contractors, or labour hire employees should be assessed prior to their being expected to carry out the tasks associated with their position responsibilities. - Training program materials that demonstrate attention to differing levels of ability and literacy. - Training evaluations, which match the documented requirements, e.g. completed tests and supervisor evaluations. - Job specific health and safety training records for all employees / Records that identify the training undertaken by personnel to enable them to undertake their job safely. - How does the organization confirm that employees, contractors, or labour hire employees understand the written and spoken components of their training? - Relevant training including refresher training is provided to all staff and contractors (as applicable). - Contractor General Safety Induction training is provided for all staff and sub-contractors and records of completion are maintained.

C / NC

Findings / Comments

Procedures shall be in place to ensure that OHS competencies are developed and maintained. Personnel shall be assessed as competent, on the basis of skilled achieved through education, training or experience, to perform assigned tasks taking into account the OHS obligations, hazards and risks associated with the work activities.

Procedures shall be developed for providing OHS training. These procedures shall take into account (a) the characteristics and composition of the workforce which impact on occupational health and safety management; and (b) responsibilities, hazards and risks.

The organization shall ensure that all personnel (including contractors and visitors) have undertaken training appropriate to the identified needs.

Training shall be carried out by persons with appropriate knowledge, skills, and experience in OHS and training.

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3.3 3.3.1
3.3.1.1

Consultation, communication and reporting Consultation

There shall be documented procedures, agreed to by employees, for employee involvement and consultation in OHS issues. Information regarding the arrangements shall be made available to interested parties.
- Employee and management representatives confirm that meetings are held regularly and according to schedules. - Minutes of consultative meetings are distributed electronically or by other means. - Minutes of meetings demonstrate attendance by employee representatives across all shifts. - Health and safety committee terms of reference which refer to meeting schedules. - Committee meeting calendar. - Minutes of committee meetings which match schedules. - Do employees know where to find copies of current consultative meeting minutes? - Evidence of employee representatives participation in: - Risk assessments; - Health and safety training; - Workplace inspection; - Safety Committee meetings; and - Incident investigations, etc.

C / NC

Findings / Comments

Employees shall (a) be involved in the development, implementation and review of policies and procedures for hazard identification, hazard/risk assessment and control of hazards/risks; (b) be consulted where there are any changes that affect workplace OHS; (c) select those who will represent them on OHS matters; and (d) be informed as to who is/are their employee OHS representative(s) and specified management representative(s).

Those representing the employees and employer shall receive appropriate training to undertake effectively their involvement in the development, implementation and review of OHS arrangements.

- Do employee representatives confirm that adequate support is provided? - Do employee representatives confirm that they have the time to adequately handle individual employee heath and safety concerns raised with them? - Have employee and employer representatives received appropriate training to effectively participate in the development, implementation and review of OHS arrangements?

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3.3.2
3.3.2

Communication
The organization shall have procedures for ensuring that pertinent OHS information is communicated to and from employees and other interested parties.
- A documented procedure for information distribution. - Minutes of regular tool box meetings incorporating a health and safety focus. - An organizational publication which includes regular articles on health and safety. - A computer network which provides relevant health and safety information to all employees. - Information presented in languages other than English. - Do employees receive other relevant health and safety information? - Health and safety policy displayed on noticeboards. - Staff and sub-contractors are informed of the Clients OHS requirements and expectations prior to the commencement of work on the Clients sites. - Outcomes of risk assessments, audit and inspections results are communicated to staff and sub-contractors - Safety information is communicated effectively to external stakeholders such as sub-contractors.

C / NC

Findings / Comments

Meetings It is strongly recommended that Contractors include a safety moment at the commencement of all meetings to ensure that safety is a key issue.

Monthly Report As part of the monthly management reporting procedures an item on the safety performance of the premises/site needs to be included.

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3.3.3
3.3.3

Reporting
Appropriate procedures for relevant and timely reporting of information shall be established to ensure the OHSMS is monitored and performance improved.
Standards and procedures for reporting of hazards and incidents including near misses, first aid, property damage, environment incidents and systems failures developed. A shift log book for recording hazards and failures. Completed injury/incident forms or a register of injuries. Can employees explain when, how and what type of incidents and hazards are reported and recorded? Report forms available in the workplace. Employees and sub-contractors are aware and understand the Incident Reporting Process. Management knowledge of what constitutes a regulatory Notifiable incident. Evidence that incidents on-site are reported.

C / NC

Findings / Comments

Reporting procedures shall be established to cover the following: (a) OHS performance reporting (including results of OHS audits and reviews). (b) Reporting of incidents and system failures. (c) Reporting on hazard identifications. (d) Reporting on hazard/risk assessment. (e) Reporting on preventive and corrective action. (f) Statutory reporting requirements.

Reporting Incidents, Injuries and Disease Where a Contractor is required by law to give notice to W orkCover of an accident of incident occurring on a premise/site under their control, a copy of the notice must be forwarded to the Client within 24 hours of the incident occurring, any serious incident must be notified immediately. Where WorkCover serves a notice or fine to a Contractor working at one of the Clients premises/sites then the contractor must immediately give a copy of that notice and/or fine to the Client.

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3.4
3.4

Documentation
The organization shall establish, implement and maintain information, in a suitable medium such as in print or electronic form, to (a) describe the core elements of the management system and their interaction; and (b) provide direction to related documentation.
- Recording and documenting the system requires that its planning arrangements, procedures and instruments (tools and forms) should be documented and stored in a suitable print and/or electronic form. - A register identifying all health and safety process control records and documentation relevant to the organization should be maintained. The register should also be used to identify review dates of process control records and documentation. - Health and safety incorporated into quality, corporate or other similar manuals. - Health and safety information with links to other manuals.

C / NC

Findings / Comments

Page 18 of 56

3.5
3.5

Document and data control

The organization shall establish, implement and maintain procedures for controlling all relevant documents and data required by this Standard to ensure that
- Procedures to control system documentation including policy, system planning arrangements, procedures and instruments (tools and forms) should be established and maintained. Such procedures ensure: - the creation, modification and approving health and safety documents and data, and notifying relevant persons of any changes; - documents are legible, dated (with dates of revision), readily; and identifiable and maintained in an orderly manner for a specified period. - Can managers/employee representatives confirm that they are informed about changes to documented standards? - What does the organization do with obsolete documents? - How does the organization determine what documents need to be retained? - Changes to documented procedures are recorded and communicated to employees. - A master list (document control register) or equivalent control procedure should be established and maintained to identify the current revision of documents. - A document control procedure which defines the type of document covered by the procedure and the required format. Responsibility and authority for the creation and modification of documents within the system should be designated to person(s) in authority or those charged with responsibility for particular work activities, operations or work areas. Such responsibilities should be documented in position descriptions, system planning arrangements, procedures and instruments (tools and forms). - Current copies of relevant documents in user areas. - Documents which are legible, identified, authorised and dated in accordance with the organizations document control procedure. - Electronic or paper distribution lists which confirm that relevant persons/areas have been notified of, or received modified procedures. - Documents stamped or otherwise identified as obsolete.

C / NC

Findings / Comments

(a) they can be readily located; (b) they are periodically reviewed, revised as necessary and approved for adequacy by competent and responsible personnel; (c) current versions of relevant documents and data are available at all locations where operations essential to the effective functioning of the OHSMS are performed; (d) obsolete documents and data are promptly removed from all points of issue and points of use or otherwise assured against unintended use; and (e) archival documents and data retained for legal or knowledge preservation purposes or both, are suitably identified.

Documentation and data shall be legible, dated (with dates of revision) and readily identifiable and be maintained in an orderly manner for a specified period. Procedures and responsibilities shall be established and maintained concerning the creation and modification of the various types of documents and data.

The organization shall preclude the use of obsolete documents.

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3.6 3.6.1
3.6.1

Hazard identification, hazard/risk assessment and control of hazards/risks General

The organization shall establish, implement and maintain documented procedures to ensure that the following are conducted
- Health and safety consultants reports for plant, premises, work processes, work environment issues, etc. - Project reports which describe the implementation of risk controls. - Written safe work procedures for all potentially hazardous operations. - Records of assessment of non-physical hazards.

C / NC

Findings / Comments

(a) hazard identification;

(b) hazard/risk assessment;

- Engineering controls, e.g. guarding, acoustic dampening, ventilation/extraction systems, mechanical handling devices, etc. - Minutes of meetings that record discussion of hazards, risk assessments or proposed controls. - Work schedules that provide sufficient time and resources to safely perform tasks. - Can employees confirm their involvement in the process? - Has information from the organizations injury/incident records been used to identify hazards? - Has the organization sought industry specific knowledge on hazards and causes of injuries and illness?

(c) control of hazards/risks; and then

(d) evaluation of steps (a) to (c).

Page 20 of 56

3.6.2
3.6.2

Hazard identification
The identification of hazards in the workplace shall take into account (a) the situation or events or combination of circumstances that has the potential to give rise to injury or illness; (b) the nature of potential injury or illness relevant to the activity, product or service; and (c) past injuries, incidents and illnesses.
- Risk assessments that record or reference the current state of knowledge about the hazard and its potential effects. - Risk assessments that refer to information in MSDS. - Risk assessments that follow Code of Practice and/or advisory standard models.

C / NC

Findings / Comments

Page 21 of 56

3.6.2.1

The identification process shall also include consideration of

- Work practices, standards and procedures for hazard identification, including the development of Work Method Statements (WMS) for all activities performed on sites. Safe Work Method Statements The Contractor must prepare safe work method statement(s) (S.W.M.S.) for all activities assessed as having a safety risk in the absence of identified controls. Copies of completed S.W.M.S. may be required for review before commencing the services. A Safe Work Method Statement must: - Describes how the work is to be carried out. - Identifies the work activities assessed as having risks to health or safety. - Identifies the health or safety risks. - Describes the control measures that will be applied to the work activities. - Describes the equipment to be used. - Identifies any standards or codes that must be complied with. - Identifies the qualifications and training required for personnel undertaking the work.

The way work is organized, managed, carried out and any changes that occur in this;

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3.6.2.2

The identification process shall also include consideration of

- Inspection schedule. - Inspections are completed to schedule. - Procedure for conduct of inspections.

The conduct of inspections of places of work, at regular and planned intervals by designated, competent staff using appropriate checklists.

- Inspections include: - Service delivery elements (e.g. fire extinguishers serviced to date, cooling towers); - Safety performance elements (e.g. availability and knowledge of WMS); - Any site-specific hazards personnel may be exposed to while working onsite.

OHS Inspections The Contractor must conduct regular health and safety inspections to identify any new hazards and risks associated with the premises/site and produce evidence of the inspections. The Contractor must develop an inspection checklist to suit the health and safety requirements specific to their contractual role.

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3.6.2.3

The identification process shall also include consideration of

The design of workplaces, work processes, materials, plant and equipment;

- Procedures should be established and implemented to ensure hazard identification, risk assessment and the development of control measures are undertaken during the product or process design stage, or when the process is modified. Design procedures are implemented to ensure: - a) adequate definition of health and safety requirements in design documentation - b) designs and modifications meet specified health and safety requirements and verification obtained where applicable - c) reviewing the design process. - Design personnel should be responsible (with authority and accountability established), for ensuring that health and safety requirements are incorporated in design processes. - This includes ensuring that any products such as plant or facilities comply to legislative requirements and health and safety specifications. - Verifiers should be appropriately skilled and/or qualified to identify risk associated with the design process. - Their training, qualification, certification and/or experience should be defined in position descriptions, system planning arrangements and procedures.

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3.6.2.4

The identification process shall also include consideration of

- ?????

The fabrication, installation and commissioning and handling and disposal of materials, workplaces, plant and equipment;

3.6.2.5

The identification process shall also include consideration of

- Maintenance schedules that match manufacturers guidelines and legislative requirements. - Detailed inspection procedures for all relevant items of plant and equipment including timetables, checklists, etc. - A plant register or record for all relevant items of plant and equipment. [The record(s) should include, as a minimum, inspection details, maintenance history, alterations and registration details where appropriate. The format could be hard copy such as files, log books or card index or it may be a computerised maintenance record system, depending on the needs of the organisation.]

The inspection, maintenance, testing repair and replacement (of plant and equipment).

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3.6.2.6

The identification process shall also include consideration of

The purchasing of goods, for use by employees whilst at work;

- Procedures should be developed and implemented for measuring the capacity of suppliers of goods to comply with health and safety specifications and requirements as required by the organizations health and safety management system and health and safety legislation, standards or codes of practice. - Processes used to select suppliers of goods may include but are not limited to: - the identification of applicable health and safety requirements in tender documentation; - submitted tenderer evaluation for health and safety requirement compliance; - evaluation of health and safety documentation submitted by the successful tenderer prior to supply of the goods. - Organization of purchasing documents & records should clearly define the required health and safety specifications for the goods being procured. - A documented purchasing procedure that outlines how health and safety is to be considered prior to the decision to purchase. - Examples of where health and safety has been examined prior to the decision to purchase, including risk assessments, completed pre-purchase checklists which prompt users to identify additional needs, records of meetings with suppliers and user trials of equipment. - Purchase orders placed with approved suppliers, providing that approved suppliers have been selected on the basis of their ability to supply the selected products to the required standard.

Page 26 of 56

3.6.2.7

The identification process shall also include consideration of

The selection of Sub-Contractors

- The organizations purchasing documentation should clearly define the required health and safety specifications for the services being procured. Where contractors or labour hire employees are to be admitted to site, documentation should include but is not limited to: - elements of the health and safety system to be implemented; - reference to site specific health and safety risk; - provisions for health and safety induction; - inspection, test or audit records; - reports indicating a review of health and safety performance. - A documented purchasing procedure that outlines how health and safety is considered prior to the decision to purchase services (which may be incorporated into a quality procedure). - A preferred supplier listing, with information to demonstrate that all contractors on the list have been informed about the organizations specific health and safety requirements. - Contract documents that specify the health and safety requirements of the contractors service delivery. - A tender process which requires information to be provided about the potential service providers management of health and safety. - Can the relevant contract manager / purchasing officer describe how the purchasing specifications are determined?

3.6.2.8

The identification process shall also include consideration of

The management of sub-contractors prior to the commencement of work.

Page 27 of 56

3.6.2.9

The identification process shall also include consideration of

Monitoring Sub-contractors safety whilst performing work.

3.6.2.10

The identification process shall also include consideration of

The review of the sub-contractors performance at the end of the contract.

Page 28 of 56

3.6.3
3.6.3

Hazard/risk assessment
In Australia, all risks shall be assessed and have control priorities assigned, based on the established level of risk.
- OHS procedures include a requirement to perform risk assessments on all identified hazards. - Risk assessments are conducted for identified hazards and documented - Risk assessments are conducted by competent staff trained in risk assessments.

C / NC

Findings / Comments

In New Zealand, all hazards shall be assessed and have control priorities assigned based on the significance of hazard.

- Risk assessments are revalidated as required and procedures/WMS modified accordingly.

Page 29 of 56

3.6.4
3.6.4

Control of hazards/risks
In Australia, all risks, identified through the assessment process as requiring control, shall be controlled through a preferred order of control methods (commonly referred to as a hierarchy), based on reasonable practicability. Elimination shall be the first control method to be considered.
- Are all risks identified through the assessment process as requiring control, controlled through a preferred hierarchy of control methods based on reasonable practicability? - Risk reduction plans/action plans. - Accountabilities for implementation assigned and listed. - Timeframes for implementation.

C / NC

Findings / Comments

In New Zealand, all hazards identified as being significant through the assessment process, shall be controlled through a preferred order of control methods (commonly referred to as a hierarchy) based on reasonable practicability. Elimination shall be the first control method to be considered.

- A risk control plan based on the determined level of risk of each hazard. - Minutes of meetings that record discussion about priorities. - Risk controls are communicated to all relevant personnel and sub-contractors.

Page 30 of 56

3.6.5
3.6.5

Evaluation
The processes of hazard identification, hazard/risk assessment and control of hazards/risks shall be subject to a documented evaluation of effectiveness and modified as necessary.
- Does the organisation conduct a documented evaluation of hazard identification, risk assessment and risk control to ascertain the effectiveness of controls and make modifications as required? - Is the implementation of risk reduction plans is reviewed?

C / NC

Findings / Comments

Page 31 of 56

3.6.6
3.6.6.1

Controls for Major Sources of injury and illness

Manual Handling Ergonomic and Manual Handling risks are assessed and integrated into the design of processes and Work Method Statements (WMSs). Staff and sub-contractors are trained in the identification and control of manual handling risks and specific manual handling techniques.
- SWMSs evidence consideration and controls for Manual Handling risks. - Manual handling training records and curricula. - Operators trained in the use of mechanical aids.

C / NC

Findings / Comments

3.6.6.2

Use of Plant Inspection and maintenance of plant, equipment and tools is carried out to schedule. Staff are trained and assessed as competent to operate plant. Staff hold licenses/certificates of competency to operate plant as required. Defective plant is taken out of service and is tagged and disabled. Documented procedures for operating plant and equipment exist and are implemented. Contractor provides own equipment and equipment is not to be used. Mobile plant inspected daily prior to operation.

- Inspection and maintenance records and register. - Training curricula and records - Current licenses/certificates of competency to operate plant. - Evidence of plant taken out of service and tagged (Tag out register). - WMSs evidence controls for use of plant. - Evidence of such communication to contractors and subcontractors - Appropriately completed checklists. - Evidence that defective equipment noted in the daily operators checklist has been tagged out of service. - Unsafe plant tagged out of service.

Page 32 of 56

3.6.6.3

Use of Electrical Equipment Electrical hazards have been identified, risk assessed and controlled (any work). Electrical contractor holds appropriate electricians licences/qualifications. All portable electrical equipment including all electrical leads and rods used by the contractor on sites is tested and tagged. Contractor trains its employees and subcontractor in safe work practices in relation to the use of electrical equipment. Non-conductive ladders are used where electrical hazards exist (voltage in excess of 50 V DC or 120 V AC). An appropriate permit system is used for electrical work (including Hazardous work permit)

- Risk assessments consider specific tasks/operations. - Verify licences are current - View register of electrical portable equipment. - SWMS & Training records - Equipment register - Inspection of tooling in use at site / store - Check Contractors awareness of a permit systems and requirement to use it. - Lock out / tag out procedures

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3.6.6.4

Use of Chemicals Hazards associated with the use of dangerous goods and hazardous substances (DG & HS) on sites have been identified, risk assessed and controlled. A Material Safety Data Sheet (MSDS) Register is developed, current and accessible to all staff and subcontractors. MSDSs are no more than 5 years old. Procedures are developed for: Use Handling Spills Management Control of emissions Disposal of dangerous goods and hazardous substances.

- Documented risk assessments consider all phases of product life cycle purchase, storage, use, disposal, spill, and emergency. - View MSDS register - MSDS with contractor while on site / store - View procedures and how contractor has communicated/trained its personnel - Spill kits with contractor while at store /site - Training curricula is appropriate for level of risk. - Records of training for applicable staff. - View generic WMS. - View such communication to/training of all contractor personnel, including subcontractors

Contractor personnel are trained and competent to handle dangerous goods and hazardous substances. SWMS are developed for all activities that involve the use of chemicals on sites. Contractor knows procedures related to the use of chemicals on sites (approved by site Manager, MSDS) and the requirement to advise the site manager when the use of a substance may impact on safety of site.

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3.6.6.5

Working at Heights Hazards associated with working from elevated positions and platforms have been identified, risks assessed and controlled.

- Risk assessments conducted for specific tasks/operations including ladders, platforms, roofs, forklift cages, high rise pickers. - Procedures for work at heights are appropriate to risk, are available to and are understood by contractor personnel. - Staff are trained in the use of equipment for work at heights (e.g. ladders, fall protection equipment) curricula and training records.

3.6.6.6

Working in Isolation Hazards associated with working in isolation have been identified, risks assessed and controlled.

- Documented risk assessments. - All situations where contractor staff and subcontractors may work in isolation have been identified (e.g. ceiling space) and procedures developed. - Communication process for staff / sub-contractors working alone, e.g. maintenance in roof space - Curricula, training records and staff knowledge of procedures relevant to work in isolation.

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3.6.6.7

Permits to Work A Work permit system has been implemented for: Hot work; Confined space entry; Fire protection equipment impairment; Hazardous works (roof access, trenching, crane operations, energy isolation, electrical etc.)

- Check contractor uses or own permit system (both acceptable) - Permits system enforced by and contractor and always completed prior to starting work - Impairment procedures understood by contractor. - View register and examples where relevant - Verify lock out tag out equipment is available with contractor when onsite / store - View records and communications.

Operating procedures and tools developed for activities requiring work permits (in accordance with legislation and requirements). Note 1: if not available, permits should be used. Note 2: It is important that the contractor understand the Fire Protection Equipment Impairment Notice System. Energy isolation (tag out/lock out) procedures developed and implemented. Contractor personnel and subcontractors trained in procedures.

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3.6.6.8

Use and Storage of Pressure Vessels Hazards associated with the use and storage of plant under pressure e.g. Compressed gas is identified and risks assessed and controlled. Controls for plant under pressure are selected from the hierarchy of control and are implemented.

- Risk assessments for specific tasks/operations include: - Gas cylinders - Use of air tools - Compressors - Oxy acetylene cutting sets - Hot work permit used - Procedures and WMS for the use of gas cylinders, compressors, air tools etc. - Pressure vessels inspected and maintained by competent person inspection and maintenance records. - Gas cylinder storage on sites: - Individually chained and upright - Out of direct sunlight in controlled temperature, well ventilated area

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3.6.6.9

Personal Protective Equipment Procedures for the purchase, issue, management and replacement of PPE are developed and implemented. Areas and tasks requiring PPE are documented in operating procedures/WMS. Personnel is trained in correct use of PPE and management monitor correct use. Safety signs and equipment is provided where necessary (used as identified by WMS/risk assessment).

- Procedures includes: - Purchasing PPE - Issuing PPE - Cleaning and storing PPE - Reporting of defective PPE and - Replacement of PPE. - PPE is available and in use. - PPE is appropriate for task e.g. observe staff working. - PPE issued is controlled and documented. - Relevant signage and defined PPE areas. - PPE needs documented in WMS/procedures. - Training records. - Staff knowledge of care and use of PPE.

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3.7
3.7.1

Emergency preparedness and response

All potential emergency situations shall be identified and emergency procedures documented for preventing and mitigating the associated illness and injury. The organisation shall review, then revise, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of incidents or emergency situations. The organisation shall periodically test such procedures.
- The Head Contractor has communicated to its staff and sub-contractors of: - The requirement to complete a site-specific orientation in addition to the online General Safety Induction; - Understanding of requirements not to restrict or impede emergency evacuation routes or access to the fire extinguishers, hoses or doors. - Evidence of this communication is available.

C / NC

Findings / Comments

3.7.2

First aid needs have been identified and assessed for the type of work/service performed and associated risk. Relevant first aid is provided based on risk.

- First aid needs assessed and documented to business standards including: - Type of workplace (includes remote areas) - Type of work - Hours of work. - Note: First Aid is provided on sites. Contractors should know where and how to obtain First Aid if needed. - However, if the risk is high and higher level of first aid is required (for example on construction sites), this first aid should be provided by the Contractor.

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4. 4.1 4.1.1
4.1.1

Measurement and evaluation Monitoring and measurement General

The organization shall establish, implement and maintain documented procedures to monitor and measure on a regular basis the key characteristics of its operations and activities that can cause illness and injury. The effectiveness of these measures shall be evaluated.
- The test and inspection system planning arrangements, procedures, instruments (tools and forms) should be reviewed regularly to ensure ongoing relevance and maintenance in accordance with health and safety system requirements. Corrective actions should be implemented where identified. - Documented procedures for inspection that include schedules and checklist(s) covering all locations (including mobile and temporary) and hazards, and which requires that persons are assigned responsibility for ensuring that corrective actions are implemented. - Records of inspections undertaken at regular intervals. - Monitoring procedures should be planned and implemented at key times in the operational cycle and according to procedural requirements. - Does the organisation evaluate the effectiveness of these measures? - Is appropriate equipment present for the monitoring and measurement of health and safety risks in the organisation? Is this equipment calibrated, maintained and stored as necessary? - Records of health and safety inspection, testing and monitoring should be maintained and made available to personnel. Persons responsible for the keeping of testing and inspection records should be identified and their responsibilities defined. - Procedures for workplace environmental monitoring, including confined space entry. - The inspection, testing & monitoring program may use statistical measures of health and safety system performance. - The cause of adverse trends should be analysed and health and safety program priorities revised to ensure adequate resources and processes to reverse such trends. - Procedures for the review of testing and inspection records should be implemented to ensure conformance verification and identify corrective actions where non-conformance is recorded.

C / NC

Findings / Comments

Appropriate equipment for monitoring and measurement related to health and safety risks shall be identified, calibrated, maintained and stored as necessary. Records of this process shall be retained according to the organizations procedures.

With regard to the OHSMS, the organization shall establish, implement and maintain procedures to monitor

(a) performance, effectiveness of relevant operational controls and conformance with the organizations objectives and targets; and

(b) compliance with relevant OHS legislation.

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4.1.2
4.1.2

Health surveillance
The organisation shall identify those situations where employee health surveillance is required and shall implement appropriate systems.
- Risk assessments which identify the need for health surveillance. - Documented policy or procedure for health monitoring / health surveillance program. - Schedule for screening and testing.

C / NC

Findings / Comments

Employees shall have access to their own individual results.

- Records of health monitoring / health surveillance which match scheduled arrangements. - Records that health monitoring is conducted by competent, and where applicable, approved persons.

Where specified by legislation, the health of employees exposed to specific hazards shall be monitored and recorded.

- Contracts with providers of health monitoring services. - How has the organization determined the requirements for health surveillance? - Do employees have access to their own individual results? - Can employees confirm that results of medical tests are provided and explained to them? - Records that include details such as name and position of employee, type of monitoring conducted, testing procedure, test provider, and requirements specified in the relevant legislation.

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4.2
4.2

Incident investigation, corrective and preventive action

The organisation shall establish, implement and maintain procedures for (a) investigating, responding to, and taking action to minimize any harm caused from, incidents; (b) investigating and responding to system failures; and (c) initiating and completing appropriate corrective and preventive action.
- Standards and procedures for incident investigation have been developed and responsibilities are defined and allocated, including line management involvement. - All reported incidents are investigated and identify contributing factors related to the incident. - Managers are involved in the review and implementation of recommendations made by incident investigation teams. - Staff responsible for conducting incident investigations are trained in investigation methods and procedures. - Incident investigations identify hazards and assess risk.

C / NC

Findings / Comments

The organisation shall implement and record any changes in the OHSMS procedures resulting from incident investigations and corrective and preventive action.

- Accountabilities for managing and responding to CARs issued by are assigned - Corrective action taken for CARs is addressed in a timely manner. - Review how head contractor implements CAR, including learnings implemented across the business (e.g. if a National contract). - Implementation of a procedure for recording changes in health and safety system resulting from corrective actions

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4.3
4.3

Records and records management

The organisation shall establish, implement and maintain procedures for the identification, maintenance and disposition of OHS records, as well as the results of audits and reviews. OHS records shall be legible, identifiable and traceable to the activity, product or service involved. OHS records shall be stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration or loss. Their retention times shall be established and recorded. Records shall be maintained, as appropriate to the system and to the organisation, to demonstrate conformance to the requirements of this Standard.
- Do established, implemented and maintained procedures exist for the identification, maintenance and disposition of OHS records, as well as the results of audits and reviews? - OHS records are legible, identifiable and traceable to the activity, product or service involved - Are OHS records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration and loss? - Has the organisation established and recorded retention times for OHS records? - Some examples of records that should be kept by an organization are listed below: - qualifications, skills, knowledge, competency and certifications; (induction and training) - inspection and test reports; - audit reports, internal management system review reports; - minutes of management review meetings; - incident reports/accident reports and investigations; - minutes of health and safety meetings, including health and safety executive meetings relating to health and safety - statistical analysis of health and safety data; - health and safety action plans; - safety equipment records; - hazardous substances and dangerous goods inventories; - design reviews and approvals; - risk management documentation. - records pertaining to the engagement of contractors and their compliance with health and safety requirements - records associated with supplier compliance including suppliers of goods, services and labour hire.

C / NC

Findings / Comments

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4.4
4.4

OHSMS audit
The organisation shall establish, implement and maintain an audit program and procedures for periodic OHSMS audits to be carried out by a competent person, in order to(a) determine whether the OHSMS (i) conforms to planned arrangements for OHS management including the requirements of this Standard; (ii) has been properly implemented and maintained; and (iii) is effective in meeting the organisations policy as well as objectives and targets for continual OHS improvement; and (b) provide information on the results of audits to management, and employees. The audit program, including any schedule, shall be based on the OHS importance of the activity concerned, and the results of previous audits. The audit procedures shall cover the scope, frequency, methodologies and competencies, as well as the responsibilities and requirements for conducting audits and reporting results.
- Has the business sought external accreditation of its safety system for example AS/NZS 4801, Safety Map or equivalent? - The company should be able to produce reports and explain or demonstrate the qualifications, training or experience of those persons conducting audits. - Action plans are developed, monitored and implemented following Internal / External Audits (including ). - Evidence is provided of an audit program & schedule, in which audits are conducted regularly by competent persons - Evidence is provided of an audit program & procedures, which define the audit scope, frequency, methodology and competencies of auditors.

C / NC

Findings / Comments

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5.
5.1

Management review
The organizations top management shall, at intervals that it determines, review the OHSMS, to ensure its continuing suitability, adequacy and effectiveness. The management review process shall ensure that the necessary information is collected to allow management to carry out this evaluation. This review shall be documented. Management shall review the continued relevance of, and change where appropriate, policy, objectives, responsibilities and other elements of the OHSMS, in the light of OHSMS audit results, changing circumstances and the commitment to continual improvement.
- Comprehensive health and safety management system review procedure - Schedule of reviews - Records of reviews - Reports of health and safety management system reviews which include recommendations for action. - Minutes of health and safety management system review meetings which record the discussion of health and safety issues raised by audit results, business, industry or supplier/customer requirements, legal issues and the overall health and safety performance of the organization. - Health and safety plans which schedule activities/actions arising from recommendations - Evidence of changes made as a result of management reviews, e.g. organization restructure, changes to assignment of responsibilities, changes to policy, reallocation of resources, etc. - Is management's review of the OHSMS documented? - Does the organisations management review the continued relevance of, and change where appropriate, policy, objectives, responsibilities and other elements of the OHSMS, in the light of OHSMS audit results, changing circumstances and the commitment to continual improvement?

C / NC

Findings / Comments

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List of Personnel Interviewed During Audit

NAME ROLE / POSITION

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List of Documentation Reviewed

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List of Documentation Reviewed (cont.)

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Compliance Assessment Methodology

Result Conformance ( YES ) Performance An element is deemed to have met conformance when it can be demonstrated that the element requirements have been effectively implemented for a substantial period of time (i.e. greater than twelve months). Satisfies minimum requirements of the indicator. Minor Non-Conformance ( NO Partial ) Basic documentation can be produced if specified in the indicator. A minor non-conformance occurs if all requirements have only been partially implemented. A major non-conformance is where many of the element requirements have not been met or are in the early stages of development. Areas of high risk that have not been effectively controlled would also constitute a major non-conformance. A judgement made by an auditor that because of the nature of the operation of the organisation, the requirements of particular audit criteria do not need to be met. A situation where there is evidence of a suitable system in place but because of the infrequent need to use the system there are no recent records or other form of verification available.

Major Non-Conformance ( NO Major )

Not Applicable ( N/A )

Not Able To Be Assessed ( N/Ax )

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Summary of Key Findings

Good Management Practices

Opportunities for Improvement

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