as4801 contractor audit tool

EXAMPLE OHS Management System Audit Tool (Contractor Management) Utilising the framework of AS/NZS 4801:2001

Proposal for

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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 Reference Description Page

4.2 1 OHS Policy 7

4.2 1.1 OHS Policy 7

4.3 2 Planning 8

4.3.1 2.1 Planning identification of hazards, hazard/risk assessment and control of hazards/risks 8

4.3.2 2.2 Legal and other requirements 9

4.3.3 2.3 Objectives and targets 10

4.3.4 2.4 OHS management plans 11

4.4 3 Implementation 12

4.4.1 3.1 Structure and responsibility 12

4.4.1.1 3.1.1 Resources

4.4.1.2 3.1.2 Responsibility and accountability

4.4.2 3.2 Training and competency 14

4.4.3 3.3 Consultation, communication and reporting 15

4.4.3.1 3.3.1 Consultation 4.4.3.2 3.3.2 Communication 4.4.3.3 3.3.3 Reporting

4.4.4 3.4 Documentation 18

4.4.5 3.5 Document and data control 19

4.4.6 3.6 Hazard identification, hazard/risk assessment and control of hazards/risks 20

4.4.6.1 3.6.1 Hazard Management Procedures (General)

4.4.6.2 3.6.2 Hazard Identification

4.4.6.2 (i) 3.6.2.1 Work Processes

4.4.6.2 3.6.2.2 Workplace Inspection

4.4.6.2 (ii) 3.6.2.3 Design

4.4.6.2 (iii) 3.6.2.4 Plant & Equipment – Installation & Commissioning

4.4.6.2 (vi) 3.6.2.5 Plant & Equipment – Inspection, Testing & Maintenance

4.4.6.2 (iv) 3.6.2.6 Purchasing Goods

4.4.6.2 (v) 3.6.2.7 Sub-Contractor Selection

4.4.6.2 (v) 3.6.2.8 Management of Sub-Contractors prior to the commencement of work

4.4.6.2 (v) 3.6.2.9 Monitoring of Sub-Contractors safety whilst performing work

4.4.6.2 (v) 3.6.2.10 Review of Sub-Contractors performance at the end of contract

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4.4.6.3 3.6.3 Hazard / Risk Assessment

4.4.6.4 3.6.4 Control of Hazards / Risks

4.4.6.5 3.6.5 Evaluation of Risk Controls - 3.6.6 Controls for Major Sources of injury and illness 30 - 3.6.6.1 Manual Handling

- 3.6.6.2 Use of Plant

- 3.6.6.3 Use of Electrical Equipment

- 3.6.6.4 Use of Chemicals

- 3.6.6.5 Working at Heights

- 3.6.6.6 Working in Isolation

- 3.6.6.7 Permits to Work

- 3.6.6.8 Use and Storage of Pressure Vessels

- 3.6.6.9 Provision of Personal Protective Equipment (PPE)

4.4.7 3.7 Emergency preparedness and response 37 4.4.7 3.7.1 Emergency Procedures 4.4.7 3.7.2 First Aid

4.5 4 Measurement and evaluation 38

4.5.1 4.1 Monitoring and measurement

4.5.1.1 4.1.1 General

4.5.1.2 4.1.2 Health surveillance

4.5.2 4.2 Incident investigation, corrective and preventive action

4.5.3 4.3 Records and records management

4.5.4 4.4 OHSMS audit

4.6 5 Management review 43

4.6 5.1 Management Review

Appendices 44

Personnel Interviewed During Audit (List)

Documentation Reviewed During Audit (List)

Auditors Notes (Blank Pages)

Compliance Assessment Methodology

Summary of Key Findings (Template)

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Requirement Evidence of Verification

1. OHS Policy C / NC Findings / Comments 1.1 There shall be an occupational health

and safety policy authorized by theorganization’s top management, that clearly states overall OHS objectivesand demonstrates a commitment toimproving OHS performance.

The policy shall—

(a) be appropriate to the nature and scale of the organization’s risks;

(b) include the commitment toestablish measurable objectives andtargets to ensure continuedimprovement aimed at elimination ofwork-related injury and illness;

(c) include a commitment to comply with relevant OHS legislation and withother requirements placed upon the organization or to which theorganization subscribes;

(d) be documented, implemented,maintained and communicated to allemployees;

(e) be available to interested parties; and

(f) be reviewed periodically to ensure itremains relevant and appropriate to the organization.

The organisation has an OHS Policy that:

- is appropriate to the nature and scale of theorganization’s risks;

- includes a commitment to establishmeasurable objectives and targets to ensurecontinued 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 orto which the organization subscribes;

- is documented, implemented, maintained andcommunicated to all employees;

- is available to interested parties; and

- is reviewed periodically to ensure it remains relevant and appropriate to the organization.

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2. Planning

2.1 Planning identification of hazards, hazard/risk assessment and control of hazards/risks C / NC Findings / Comments

2.1 The organization shall establish, implement and maintain documentedprocedures for hazard identification,hazard/risk assessment and control ofhazards/risks of activities, productsand services over which an organization has control or influence,including activities, products orservices of contractors and suppliers.

The organization shall develop itsmethodology for hazard identification,hazard/risk assessment and control ofhazards/risks, based on its operationalexperience and its commitment toeliminate workplace illness and injury.The methodology shall be kept up-to-date.

- Documented procedures for reduction ofrisk across the organization and its operations using the process of hazardidentification, risk assessment and risk control

- A documented procedure which requiresthe use of the hierarchy of controls in thedetermination of control measures.

- Reviews should be conducted regularly atappropriate intervals to ensure continuingsuitability and effectiveness of the system to satisfy the organization’s health and safetyneeds 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 / WMShave been revised as a result of changingcircumstances or new information.

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2.2 Legal and other requirements C / NC Findings / Comments 2.2 The organization shall establish,

implement and maintain procedures toidentify and have access to all legaland other requirements that aredirectly applicable to the OHS issuesrelated to its activities, products orservices, including relevant relationships with contractors orsuppliers.

The organization shall keep thisinformation up-to-date. It shallcommunicate relevant information onlegal and other requirements to its employees.

- A documented procedure that specifies howhealth and safety legislation and otherrelevant information is identified andmaintained.

- Associated responsibilities allocated in jobdescriptions.

- Participation in a specialised subscriptionservices that monitors legislative changesand issues updates or bulletins.

- Legislative changes are incorporated intowork practices, procedures and contractwork.

- OHSMS complies with relevant statelegislation and consistent with industrystandards.

- Information relating to applicable legislation is current.

- Evidence of modification/changes made asa result of changes to legislation.

- Review of safety and contract deliveryprocedures include an assessment of any new safety requirements and legislativerequirements.

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2.3 Objectives and targets C / NC Findings / Comments 2.3 The organization shall establish,

implement and maintain documentedOHS objectives and targets, at eachrelevant function and level within theorganization.

When establishing and reviewing itsobjectives, an organization shallconsider its legal and otherrequirements, its hazards and risks, itstechnological options, its operationaland business requirements, and theviews of interested parties.

The objectives and targets shall beconsistent with the OHS policy,including the commitment tomeasuring and improving OHSperformance.

- Statement outlining the organization’sobjectives and targets. e.g. legalrequirement, technical requirement.

- Performance plans which detail targets forhealth and safety and how they will bemeasured.

- Health and Safety Plan which lists targets to be met by particular departments for giventime frame, e.g. quarter.

- Minutes of meetings which recorddiscussion about the selection of suitable health and safety objectives and targets.

- Are the OHS objectives consistent with theOHS policy (including commitment tomeasuring and improving OHSperformance)?

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2.4 OHS management plans C / NC Findings / Comments 2.4 The organization shall establish and

maintain management plans forachieving its objectives and targets. They shall include—

(a) designation of responsibility forachievement of objectives and targetsat relevant functions and levels of theorganization; and

(b) outlining the means and timeframeby which objectives and targets are tobe achieved.

Procedures shall be established toensure that current plans are reviewed, and if necessary amendedto address such changes at regularand planned intervals, and wheneverthere are changes to the activities,products, or services of the organization or significant changes inoperating conditions.

A documented health and safety plan whichincludes objectives and the means by whichthose objectives will be achieved.

Plans include:

- The allocation of resources &responsibilities, and

- Completion dates.

Site-Specific OHS Management Plans

Principal contractors for certain constructionsites are required under legislation to prepare aSite-Specific Occupational Health and SafetyManagement Plan. This plan must include the following: - A statement of responsibilities listing the

names, positions and responsibilities of allpersons who will have specificresponsibilities on the site for OccupationalHealth and Safety.

- Arrangements for ensuring OccupationalHealth and Safety Induction Training isundertaken.

- Arrangements for managing Occupational

Health and Safety incidents, includingnames and contact detail for individuals tocontact in the event of an incident.

- Site safety rules and details of

arrangements for ensuring all persons onsite are informed of the rules,

- Safe Work Method Statements (S.W.M.S.)

for those activities assessed as having risksto health or safety.

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3. Implementation 3.1 Structure and responsibility 3.1.1 Resources C / NC Findings / Comments 3.1.1 Management shall identify and provide

the resources required to implement,maintain, and improve their OHSMS.

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

- How does management identify and providethe resources required to implement,maintain, and improve the organisationsOHSMS?

- Documented health and safety plans thatspecify required resources.

- Reports, minutes of meetings etc thatconfirm resources have been reviewed.

- Physical evidence of the allocation ofresources

- Budget information that demonstratesallocation of resources.

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3.1.2 Responsibility and accountability C / NC Findings / Comments 3.1.2 The organization shall define,

document and communicate the areasof accountability and responsibility(including those imposed by OHSlegislation) of all personnel involved inthe OHSMS’s operation.

Where contractors are involved, theseareas of accountability andresponsibility shall be clarified withrespect to those contractors.

The organization’s top managementshall appoint a specific management representative(s) who, irrespective ofother responsibilities, shall havedefined roles, responsibilities andauthority for—

(a) ensuring that OHSMS requirements are established, implemented and maintained in accordance with this Standard; and

(b) reporting on the performance of theOHSMS to top management for reviewand as a basis for improvement of theOHSMS.

General

- Responsibilities for management andemployees are defined, documented,communicated and understood.

- Safety KPI’s based on definedaccountabilities are included in all PositionDescriptions and contracts with subcontractors.

Contractors

- The Contractor is responsible for completingand supervising tasks in a manner, whichdoes not place the personnel, employees orcustomers or anyone else at risk.

- The Head Contractor requests potentialsub-contractors to submit a safetymanagement / action plan on a risk basis.

- All staff and contractors are inducted andinduction / training records are maintained.

- WMS are communicated to sub-contractorsand Sub-contractors are trained in WMS.

- Sub-Contractors’ safety performance isregularly monitored, including theknowledge and the application of WMS.

- Documentation showing staff qualificationsin health and safety or related fields.

- How did the organization determine that they have access to sufficient qualified andcompetent people?

- What are the qualifications andcompetencies of the people?

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3.2 Training and competency C / NC Findings / Comments 3.2.1 The organization in consultation with

employees shall identify training needsin relation to performing work activitiescompetently, including OHS training.

Procedures shall be in place to ensurethat OHS competencies are developedand maintained.

Personnel shall be assessed ascompetent, on the basis of skilledachieved through education, trainingor experience, to perform assigned tasks taking into account the OHSobligations, hazards and risks associated with the work activities.

Procedures shall be developed forproviding OHS training. Theseprocedures shall take into account—

(a) the characteristics and compositionof the workforce which impact onoccupational health and safetymanagement; and

(b) responsibilities, hazards and risks.

The organization shall ensure that allpersonnel (including contractors andvisitors) have undertaken trainingappropriate to the identified needs.

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

- Health and safety competencies are identified anddocumented as a competency profile for allemployees incl. those with specific responsibilitiessuch as first aiders, fire wardens and safetyrepresentatives, etc.

- Training needs analysis / Task skills matrix showing individual competencies and further training needs.

- Job descriptions detailing skills/competenciesrequired.

- Training plan which contains time frames forrefresher training as appropriate.

- Training and assessment responsibilities should be designated to competent persons and statements ofresponsibility, authority and accountability established. Responsibilities should include trainingdelivery, supervision, assessment and/or verification tasks.

- The competency of employees including anycontractors, or labour hire employees should beassessed prior to their being expected to carry outthe tasks associated with their positionresponsibilities.

- Training program materials that demonstrate attention to differing levels of ability and literacy.

- Training evaluations, which match the documentedrequirements, e.g. completed tests and supervisorevaluations.

- Job specific health and safety training records for allemployees / Records that identify the trainingundertaken by personnel to enable them toundertake their job safely.

- How does the organization confirm that employees,contractors, or labour hire employees understand thewritten and spoken components of their training?

- Relevant training including refresher training isprovided to all staff and contractors (as applicable).

- Contractor General Safety Induction training isprovided for all staff and sub-contractors and recordsof completion are maintained.

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3.3 Consultation, communication and reporting 3.3.1 Consultation C / NC Findings / Comments 3.3.1.1 There shall be documented

procedures, agreed to by employees, for employee involvement andconsultation in OHS issues.Information regarding thearrangements shall be made available to interested parties.

Employees shall—

(a) be involved in the development,implementation and review of policiesand procedures for hazard identification, hazard/risk assessmentand control of hazards/risks;

(b) be consulted where there are anychanges that affect workplace OHS;

(c) select those who will representthem on OHS matters; and

(d) be informed as to who is/are theiremployee OHS representative(s) and specified managementrepresentative(s).

Those representing the employees and employer shall receive appropriatetraining to undertake effectively theirinvolvement in the development, implementation and review of OHSarrangements.

- Employee and management representatives confirmthat meetings are held regularly and according to schedules.

- Minutes of consultative meetings are distributedelectronically or by other means.

- Minutes of meetings demonstrate attendance byemployee representatives across all shifts.

- Health and safety committee terms of reference which refer to meeting schedules.

- Committee meeting calendar.

- Minutes of committee meetings which matchschedules.

- Do employees know where to find copies of current consultative meeting minutes?

- Evidence of employee representative’s participation in:

- Risk assessments;

- Health and safety training;

- Workplace inspection;

- Safety Committee meetings; and

- Incident investigations, etc.

- Do employee representatives confirm that adequatesupport is provided?

- Do employee representatives confirm that they have the time to adequately handle individual employeeheath and safety concerns raised with them?

- Have employee and employer representativesreceived appropriate training to effectively participatein the development, implementation and review ofOHS arrangements?

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3.3.2 Communication C / NC Findings / Comments 3.3.2 The organization shall have

procedures for ensuring that pertinent OHS information is communicated toand from employees and other interested parties.

- A documented procedure for information distribution.

- Minutes of regular ‘tool box’ meetings incorporating ahealth and safety focus.

- An organizational publication which includes regulararticles on health and safety.

- A computer network which provides relevant healthand safety information to all employees.

- Information presented in languages other thanEnglish.

- 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 thecommencement 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 toexternal stakeholders such as sub-contractors.

Meetings It is strongly recommended that Contractorsinclude a “safety moment” at the commencement of all meetings to ensure thatsafety is a key issue.

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

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3.3.3 Reporting C / NC Findings / Comments 3.3.3 Appropriate procedures for relevant

and timely reporting of informationshall be established to ensure theOHSMS is monitored and performance improved.

Reporting procedures shall beestablished to cover the following:

(a) OHS performance reporting(including results of OHS audits andreviews).

(b) Reporting of incidents and system failures.

(c) Reporting on hazard identifications.

(d) Reporting on hazard/risk assessment.

(e) Reporting on preventive andcorrective action.

(f) Statutory reporting requirements.

- Standards and procedures for reporting ofhazards and incidents including near misses, firstaid, property damage, environment incidents and systems failures developed.

- A shift log book for recording hazards and failures.

- Completed injury/incident forms or a register ofinjuries.

- Can employees explain when, how and what type of incidents and hazards are reported andrecorded?

- Report forms available in the workplace.

- Employees and sub-contractors are aware andunderstand the Incident Reporting Process.

- Management knowledge of what constitutes aregulatory Notifiable incident.

- Evidence that incidents on-site are reported.

Reporting Incidents, Injuries and Disease Where a Contractor is required by law to givenotice to W orkCover of an accident of incident occurring on a premise/site under their control, acopy of the notice must be forwarded to theClient 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 Client’s premises/sites then the contractor mustimmediately give a copy of that notice and/or fineto the Client.

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3.4 Documentation C / NC Findings / Comments 3.4 The organization shall establish,

implement and maintain information, ina suitable medium such as in print orelectronic form, to —

(a) describe the core elements of themanagement system and theirinteraction; and

(b) provide direction to relateddocumentation.

- Recording and documenting the system requires thatits planning arrangements, procedures andinstruments (tools and forms) should be documentedand stored in a suitable print and/or electronic form.

- A register identifying all health and safety processcontrol records and documentation relevant to theorganization should be maintained. The registershould also be used to identify review dates ofprocess control records and documentation.

- Health and safety incorporated into quality, corporateor other similar manuals.

- Health and safety information with links to othermanuals.

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3.5 Document and data control C / NC Findings / Comments 3.5 The organization shall establish,

implement and maintain proceduresfor controlling all relevant documentsand data required by this Standard toensure that—

(a) they can be readily located;

(b) they are periodically reviewed,revised as necessary and approved foradequacy by competent andresponsible personnel;

(c) current versions of relevant documents and data are available atall locations where operationsessential to the effective functioning ofthe OHSMS are performed;

(d) obsolete documents and data arepromptly removed from all points ofissue and points of use or otherwiseassured against unintended use; and

(e) archival documents and data retained for legal or knowledgepreservation purposes or both, aresuitably identified.

Documentation and data shall belegible, dated (with dates of revision)and readily identifiable and bemaintained in an orderly manner for aspecified period. Procedures andresponsibilities shall be establishedand maintained concerning thecreation and modification of the various types of documents and data.

The organization shall preclude theuse of obsolete documents.

- Procedures to control system documentationincluding policy, system planning arrangements,procedures and instruments (tools and forms) shouldbe established and maintained. Such procedures ensure:

- the creation, modification and approving healthand safety documents and data, and notifyingrelevant persons of any changes;

- documents are legible, dated (with dates ofrevision), readily; and identifiable and maintained in an orderly manner for a specified period.

- Can managers/employee representatives confirmthat they are informed about changes to documentedstandards?

- What does the organization do with obsoletedocuments?

- How does the organization determine whatdocuments need to be retained?

- Changes to documented procedures are recorded and communicated to employees.

- A master list (document control register) orequivalent control procedure should be established and maintained to identify the current revision ofdocuments.

- A document control procedure which defines thetype of document covered by the procedure and therequired format. Responsibility and authority for thecreation and modification of documents within thesystem should be designated to person(s) in authority or those charged with responsibility forparticular work activities, operations or work areas.Such responsibilities should be documented in position descriptions, system planning arrangements, procedures and instruments (toolsand forms).

- Current copies of relevant documents in user areas.

- Documents which are legible, identified, authorisedand dated in accordance with the organization’sdocument control procedure.

- Electronic or paper distribution lists which confirmthat relevant persons/areas have been notified of, orreceived modified procedures.

- Documents stamped or otherwise identified as‘obsolete’.

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3.6 Hazard identification, hazard/risk assessment and control of hazards/risks 3.6.1 General C / NC Findings / Comments 3.6.1 The organization shall establish,

implement and maintain documentedprocedures to ensure that the followingare conducted—

(a) hazard identification;

(b) hazard/risk assessment;

(c) control of hazards/risks; and then

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

- Health and safety consultants reports for plant,premises, work processes, work environment issues, etc.

- Project reports which describe the implementation ofrisk controls.

- Written safe work procedures for all potentiallyhazardous operations.

- Records of assessment of non-physical hazards.

- Engineering controls, e.g. guarding, acousticdampening, ventilation/extraction systems,mechanical handling devices, etc.

- Minutes of meetings that record discussion ofhazards, risk assessments or proposed controls.

- Work schedules that provide sufficient time andresources to safely perform tasks.

- Can employees confirm their involvement in the process?

- Has information from the organization’s injury/incident records been used to identifyhazards?

- Has the organization sought industry specificknowledge on hazards and causes of injuries andillness?

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3.6.2 Hazard identification C / NC Findings / Comments 3.6.2 The identification of hazards in the

workplace shall take into account—

(a) the situation or events orcombination of circumstances that hasthe potential to give rise to injury orillness;

(b) the nature of potential injury or illness relevant to the activity, productor service; and

(c) past injuries, incidents andillnesses.

- Risk assessments that record or reference thecurrent state of knowledge about the hazard and itspotential effects.

- Risk assessments that refer to information in MSDS.

- Risk assessments that follow Code of Practice and/or advisory standard models.

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3.6.2.1 The identification process shall also include consideration of—

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

- Work practices, standards and procedures forhazard 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 absenceof identified controls. Copies of completed S.W.M.S. may be requiredfor 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.

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The conduct of inspections of placesof work, at regular and plannedintervals by designated, competent staff using appropriate checklists.

- Inspection schedule.

- Inspections are completed to schedule.

- Procedure for conduct of inspections.

- Inspections include:

- Service delivery elements (e.g. fire extinguishers serviced to date, cooling towers);

- Safety performance elements (e.g. availabilityand knowledge of WMS);

- Any site-specific hazards personnel may beexposed to while working onsite.

OHS Inspections The Contractor must conduct regular health andsafety inspections to identify any new hazardsand risks associated with the premises/site andproduce evidence of the inspections. The Contractor must develop an inspectionchecklist to suit the health and safetyrequirements specific to their contractual role.

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The design of workplaces, workprocesses, materials, plant andequipment;

- Procedures should be established and implemented to ensure hazard identification, risk assessment and the development of control measures are undertakenduring the product or process design stage, or whenthe process is modified. Design procedures areimplemented to ensure:

- a) adequate definition of health and safetyrequirements in design documentation

- b) designs and modifications meet specified health and safety requirements and verification obtainedwhere applicable

- c) reviewing the design process.

- Design personnel should be responsible (withauthority and accountability established), forensuring that health and safety requirements are incorporated in design processes.

- This includes ensuring that any products such asplant or facilities comply to legislative requirementsand health and safety specifications.

- Verifiers should be appropriately skilled and/or qualified to identify risk associated with the designprocess.

- Their training, qualification, certification and/orexperience should be defined in positiondescriptions, system planning arrangements and procedures.

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3.6.2.4 The identification process shall alsoinclude consideration of—

The fabrication, installation andcommissioning and handling anddisposal of materials, workplaces,plant and equipment;

- ?????


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

- Maintenance schedules that match manufacturersguidelines and legislative requirements.

- Detailed inspection procedures for all relevant itemsof 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, maintenancehistory, alterations and registration details whereappropriate. The format could be hard copy such asfiles, log books or card index or it may be a computerised maintenance record system,depending on the needs of the organisation.]

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The purchasing of goods, for use byemployees whilst at work;

- Procedures should be developed and implemented for measuring the capacity of suppliers of goods tocomply with health and safety specifications andrequirements as required by the organization’shealth and safety management system and healthand safety legislation, standards or codes ofpractice.

- Processes used to select suppliers of goods mayinclude but are not limited to:

- the identification of applicable health and safetyrequirements in tender documentation;

- submitted tenderer evaluation for health and safetyrequirement compliance;

- evaluation of health and safety documentationsubmitted by the successful tenderer prior to supplyof 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 outlineshow health and safety is to be considered prior to thedecision to purchase.

- Examples of where health and safety has beenexamined prior to the decision to purchase, includingrisk assessments, completed pre-purchase checklists which prompt users to identify additionalneeds, records of meetings with suppliers and usertrials of equipment.

- Purchase orders placed with ‘approved suppliers’, providing that approved suppliers have beenselected on the basis of their ability to supply the selected products to the required standard.

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The selection of Sub-Contractors

- The organization’s purchasing documentation shouldclearly define the required health and safetyspecifications for the services being procured.Where contractors or labour hire employees are tobe admitted to site, documentation should include but is not limited to:

- elements of the health and safety system to beimplemented;

- 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 outlineshow health and safety is considered prior to thedecision to purchase services (which may beincorporated into a quality procedure).

- A preferred supplier listing, with information todemonstrate that all contractors on the list have beeninformed about the organization’s specific health andsafety requirements.

- Contract documents that specify the health andsafety requirements of the contractor’s servicedelivery.

- A tender process which requires information to beprovided about the potential service provider’smanagement of health and safety.

- Can the relevant contract manager / purchasingofficer describe how the purchasing specificationsare determined?

3.6.2.8 The identification process shall alsoinclude consideration of—

The management of sub-contractorsprior to the commencement of work.

-

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Monitoring Sub-contractors safetywhilst performing work.

-


The review of the sub-contractorsperformance at the end of the contract.

-

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3.6.3 Hazard/risk assessment C / NC Findings / Comments 3.6.3 In Australia, all risks shall be assessed

and have control priorities assigned,based on the established level of risk.

In New Zealand, all hazards shall beassessed and have control prioritiesassigned based on the significance ofhazard.

- OHS procedures include a requirement to performrisk assessments on all identified hazards.

- Risk assessments are conducted for identifiedhazards and documented

- Risk assessments are conducted by competent staff trained in risk assessments.

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

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3.6.4 Control of hazards/risks C / NC Findings / Comments 3.6.4 In Australia, all risks, identified through

the assessment process as requiringcontrol, shall be controlled through apreferred order of control methods(commonly referred to as a hierarchy),based on reasonable practicability. Elimination shall be the first controlmethod to be considered.

In New Zealand, all hazards identifiedas being significant through theassessment process, shall be controlled through a preferred order of control methods (commonly referred toas a hierarchy) based on reasonable practicability. Elimination shall be thefirst control method to be considered.

- Are all risks identified through the assessmentprocess as requiring control, controlled through a preferred hierarchy of control methods based onreasonable practicability?

- Risk reduction plans/action plans.

- Accountabilities for implementation assigned and listed.

- Timeframes for implementation.

- A risk control plan based on the determined level ofrisk of each hazard.

- Minutes of meetings that record discussion aboutpriorities.

- Risk controls are communicated to all relevantpersonnel and sub-contractors.

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3.6.5 Evaluation C / NC Findings / Comments 3.6.5 The processes of hazard identification,

hazard/risk assessment and control ofhazards/risks shall be subject to a documented evaluation ofeffectiveness and modified as necessary.

- Does the organisation conduct a documentedevaluation of hazard identification, risk assessmentand risk control to ascertain the effectiveness ofcontrols and make modifications as required?

- Is the implementation of risk reduction plans isreviewed?

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3.6.6 Controls for Major Sources of injury and illness C / NC Findings / Comments 3.6.6.1 Manual Handling

Ergonomic and Manual Handling risksare assessed and integrated into the design of processes and Work MethodStatements (WMS’s).

Staff and sub-contractors are trainedin the identification and control ofmanual handling risks and specificmanual handling techniques.

- SWMS’s evidence consideration and controls forManual Handling risks.

- Manual handling training records and curricula.

- Operators trained in the use of mechanical aids.

3.6.6.2 Use of Plant

Inspection and maintenance of plant,equipment and tools is carried out toschedule.

Staff are trained and assessed ascompetent to operate plant.

Staff hold licenses/certificates ofcompetency to operate plant as required.

Defective plant is taken out of serviceand is tagged and disabled.

Documented procedures for operatingplant and equipment exist and are implemented.

Contractor provides own equipment and equipment is not to be used.

Mobile plant inspected daily prior tooperation.

- 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).

- WMS’s evidence controls for use of plant.

- Evidence of such communication to contractors andsubcontractors

- Appropriately completed checklists.

- Evidence that defective equipment noted in the dailyoperators checklist has been tagged out of service.

- Unsafe plant tagged out of service.

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3.6.6.3 Use of Electrical Equipment

Electrical hazards have been identified, risk assessed and controlled(any work).

Electrical contractor holds appropriateelectricians licences/qualifications.

All portable electrical equipmentincluding all electrical leads and rodsused by the contractor on sites istested and tagged.

Contractor trains its employees and subcontractor in safe work practices inrelation to the use of electricalequipment.

Non-conductive ladders are usedwhere electrical hazards exist (voltage in excess of 50 V DC or 120 V AC).

An appropriate permit system is usedfor electrical work (includingHazardous work permit)

- Risk assessments consider specifictasks/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 Contractor’s awareness of a permit systemsand 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 ofdangerous goods and hazardoussubstances (DG & HS) on sites havebeen identified, risk assessed and controlled.

A Material Safety Data Sheet (MSDS)Register is developed, current andaccessible to all staff and sub-contractors. MSDS’s are no more than5 years old.

Procedures are developed for:

- Use

- Handling

- Spills Management

- Control of emissions

- Disposal of dangerous goodsand hazardous substances.

Contractor personnel are trained andcompetent to handle dangerous goodsand hazardous substances.

SWMS are developed for all activitiesthat involve the use of chemicals onsites.

Contractor knows procedures relatedto the use of chemicals on sites(approved by site Manager, MSDS)and the requirement to advise the sitemanager when the use of a substance may impact on safety of site.

- 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 hascommunicated/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 contractorpersonnel, including subcontractors

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3.6.6.5 Working at Heights

Hazards associated with working fromelevated positions and platforms havebeen identified, risks assessed andcontrolled.

- Risk assessments conducted for specific tasks/operations including ladders, platforms, roofs,forklift cages, high rise pickers.

- Procedures for work at heights are appropriate torisk, are available to and are understood by contractor personnel.

- Staff are trained in the use of equipment for work atheights (e.g. ladders, fall protection equipment)curricula and training records.

3.6.6.6 Working in Isolation

Hazards associated with working inisolation have been identified, risksassessed and controlled.

- Documented risk assessments.

- All situations where contractor staff and sub-contractors may work in isolation have been identified (e.g. ceiling space) and procedures developed.

- Communication process for staff / sub-contractorsworking alone, e.g. maintenance in roof space

- Curricula, training records and staff knowledge ofprocedures relevant to work in isolation.

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3.6.6.7 Permits to Work

A Work permit system has beenimplemented for:

- Hot work;

- Confined space entry;

- Fire protection equipmentimpairment;

- Hazardous works (roof access,trenching, crane operations, energy isolation, electrical etc.)

Operating procedures and toolsdeveloped for activities requiring workpermits (in accordance with legislation and requirements).

Note 1: if not available, permits shouldbe used.

Note 2: It is important that the contractor understand the FireProtection Equipment ImpairmentNotice System.

Energy isolation (tag out/lock out)procedures developed andimplemented.

Contractor personnel and sub-contractors trained in procedures.

- Check contractor uses or own permit system (bothacceptable)

- Permits system enforced by and contractor andalways completed prior to starting work

- Impairment procedures understood by contractor.

- View register and examples where relevant

- Verify lock out tag out equipment is available withcontractor when onsite / store

- View records and communications.

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3.6.6.8 Use and Storage of PressureVessels

Hazards associated with the use andstorage of plant under pressure e.g.Compressed gas is identified and risksassessed and controlled.

Controls for plant under pressure areselected from the hierarchy of controland are implemented.

- Risk assessments for specific tasks/operationsinclude:

- 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 maintenancerecords.

- Gas cylinder storage on sites:

- Individually chained and upright

- Out of direct sunlight in controlled temperature, wellventilated 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 aredocumented in operatingprocedures/WMS.

Personnel is trained in correct use ofPPE and management monitor correct use.

Safety signs and equipment isprovided 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 staffworking.

- 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 Emergency preparedness and response C / NC Findings / Comments 3.7.1 All potential emergency situations shall

be identified and emergencyprocedures documented for preventingand mitigating the associated illnessand injury.

The organisation shall review, then revise, where necessary, its emergency preparedness andresponse procedures, in particular, after the occurrence of incidents or emergency situations.

The organisation shall periodically testsuch procedures.

- The Head Contractor has communicated to its staff and sub-contractors of:

- The requirement to complete a site-specificorientation in addition to the online General SafetyInduction;

- Understanding of requirements not to restrict orimpede emergency evacuation routes or access tothe fire extinguishers, hoses or doors.

- Evidence of this communication is available.

3.7.2 First aid needs have been identified and assessed for the type ofwork/service performed and associated risk. Relevant first aid isprovided 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. Contractorsshould know where and how to obtain First Aid ifneeded.

- 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. Measurement and evaluation 4.1 Monitoring and measurement 4.1.1 General C / NC Findings / Comments 4.1.1 The organization shall establish,

implement and maintain documentedprocedures to monitor and measure ona regular basis the key characteristicsof its operations and activities that cancause illness and injury. Theeffectiveness of these measures shallbe evaluated.

Appropriate equipment for monitoring and measurement related to healthand safety risks shall be identified,calibrated, maintained and stored asnecessary.

Records of this process shall beretained according to theorganization’s procedures.

With regard to the OHSMS, the organization shall establish, implementand maintain procedures to monitor—

(a) performance, effectiveness of relevant operational controls andconformance with the organization’sobjectives and targets; and

(b) compliance with relevant OHSlegislation.

- The test and inspection system planning arrangements, procedures, instruments (tools andforms) should be reviewed regularly to ensureongoing relevance and maintenance in accordancewith health and safety system requirements.Corrective actions should be implemented whereidentified.

- Documented procedures for inspection that includeschedules and checklist(s) covering all locations(including mobile and temporary) and hazards, and which requires that persons are assignedresponsibility 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 cycleand according to procedural requirements.

- Does the organisation evaluate the effectiveness ofthese measures?

- Is appropriate equipment present for the monitoringand measurement of health and safety risks in theorganisation? Is this equipment calibrated,maintained and stored as necessary?

- Records of health and safety inspection, testing andmonitoring should be maintained and made availableto personnel. Persons responsible for the keeping oftesting and inspection records should be identifiedand their responsibilities defined.

- Procedures for workplace environmental monitoring, including confined space entry.

- The inspection, testing & monitoring program mayuse statistical measures of health and safety system performance.

- The cause of adverse trends should be analysed andhealth and safety program priorities revised toensure adequate resources and processes to reverse such trends.

- Procedures for the review of testing and inspectionrecords should be implemented to ensureconformance verification and identify correctiveactions where non-conformance is recorded.

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4.1.2 Health surveillance C / NC Findings / Comments 4.1.2 The organisation shall identify those

situations where employee healthsurveillance is required and shallimplement appropriate systems.

Employees shall have access to theirown individual results.

Where specified by legislation, thehealth of employees exposed tospecific hazards shall be monitoredand recorded.

- Risk assessments which identify the need for healthsurveillance.

- Documented policy or procedure for health monitoring / health surveillance program.

- Schedule for screening and testing.

- Records of health monitoring / health surveillancewhich match scheduled arrangements.

- Records that health monitoring is conducted bycompetent, and where applicable, approved persons.

- Contracts with providers of health monitoringservices.

- How has the organization determined therequirements for health surveillance?

- Do employees have access to their own individualresults?

- Can employees confirm that results of medical testsare provided and explained to them?

- Records that include details such as name andposition of employee, type of monitoring conducted,testing procedure, test provider, and requirementsspecified in the relevant legislation.

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4.2 Incident investigation, corrective and preventive action C / NC Findings / Comments 4.2 The organisation shall establish,

implement and maintain proceduresfor –

(a) investigating, responding to, andtaking action to minimize anyharm caused from, incidents;

(b) investigating and responding tosystem failures; and

(c) initiating and completingappropriate corrective and preventive action.

The organisation shall implement andrecord any changes in the OHSMSprocedures resulting from incident investigations and corrective andpreventive action.

- Standards and procedures for incident investigationhave been developed and responsibilities are defined and allocated, including line managementinvolvement.

- All reported incidents are investigated and identifycontributing factors related to the incident.

- Managers are involved in the review andimplementation of recommendations made byincident investigation teams.

- Staff responsible for conducting incidentinvestigations are trained in investigation methodsand procedures.

- Incident investigations identify hazards and assess risk.

- Accountabilities for managing and responding toCAR’s issued by are assigned

- Corrective action taken for CAR’s is addressed in atimely manner.

- Review how head contractor implements CAR’,including learning’s implemented across thebusiness (e.g. if a National contract).

- Implementation of a procedure for recording changesin health and safety system resulting from correctiveactions

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4.3 Records and records management C / NC Findings / Comments 4.3 The organisation shall establish,

implement and maintain proceduresfor the identification, maintenance anddisposition of OHS records, as well asthe 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 andmaintained in such a way that they arereadily retrievable and protected against damage, deterioration or loss.Their retention times shall beestablished and recorded.

Records shall be maintained, asappropriate to the system and to theorganisation, to demonstrateconformance to the requirements of this Standard.

- Do established, implemented and maintainedprocedures exist for the identification, maintenanceand disposition of OHS records, as well as theresults of audits and reviews?

- OHS records are legible, identifiable and traceable tothe activity, product or service involved

- Are OHS records stored and maintained in such away that they are readily retrievable and protectedagainst damage, deterioration and loss?

- Has the organisation established and recordedretention times for OHS records?

- Some examples of records that should be kept by anorganization are listed below:

- qualifications, skills, knowledge, competency and certifications; (induction and training)

- inspection and test reports;

- audit reports, internal management systemreview reports;

- minutes of management review meetings;

- incident reports/accident reports andinvestigations;

- minutes of health and safety meetings, includinghealth 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 goodsinventories;

- design reviews and approvals;

- risk management documentation.

- records pertaining to the engagement ofcontractors and their compliance with health andsafety requirements

- records associated with supplier complianceincluding suppliers of goods, services andlabour hire.

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4.4 OHSMS audit C / NC Findings / Comments 4.4 The organisation shall establish,

implement and maintain an auditprogram and procedures for periodic OHSMS audits to be carried out by acompetent person, in order to- (a) determine whether the OHSMS—

(i) conforms to plannedarrangements for OHSmanagement including the requirements of this Standard; (ii) has been properly implemented and maintained; and (iii) is effective in meeting theorganisation’s policy as well asobjectives and targets forcontinual OHS improvement; and

(b) provide information on the results of audits to management, andemployees. The audit program, including anyschedule, shall be based on the OHSimportance 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 forconducting audits and reporting results.

- Has the business sought external accreditation of its safety system for example AS/NZS 4801, SafetyMap or equivalent?

- The company should be able to produce reports andexplain or demonstrate the qualifications, training orexperience of those persons conducting audits.

- Action plans are developed, monitored andimplemented following Internal / External Audits (including ).

- Evidence is provided of an audit program &schedule, in which audits are conducted regularly bycompetent persons

- Evidence is provided of an audit program &procedures, which define the audit scope, frequency,methodology and competencies of auditors.

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5. Management review C / NC Findings / Comments 5.1 The organization’s top management

shall, at intervals that it determines,review the OHSMS, to ensure itscontinuing suitability, adequacy and effectiveness. The managementreview process shall ensure that thenecessary information is collected to allow management to carry out thisevaluation. This review shall be documented. Management shall review thecontinued relevance of, and change where appropriate, policy, objectives,responsibilities and other elements of the OHSMS, in the light of OHSMSaudit results, changing circumstancesand the commitment to continualimprovement.

- Comprehensive health and safety managementsystem review procedure

- Schedule of reviews

- Records of reviews

- Reports of health and safety management systemreviews which include recommendations for action.

- Minutes of health and safety management systemreview meetings which record the discussion ofhealth and safety issues raised by audit results,business, industry or supplier/customer requirements, legal issues and the overall health andsafety performance of the organization.

- Health and safety plans which schedule activities/actions arising from recommendations

- Evidence of changes made as a result ofmanagement reviews, e.g. organization restructure, changes to assignment of responsibilities, changesto policy, reallocation of resources, etc.

- Is management's review of the OHSMSdocumented?

- Does the organisations management review thecontinued relevance of, and change whereappropriate, policy, objectives, responsibilities andother elements of the OHSMS, in the light of OHSMSaudit results, changing circumstances and thecommitment to continual improvement?

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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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Compliance Assessment Methodology

Result Performance

Conformance ( YES )

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).

Minor Non-Conformance ( NO – Partial )

Satisfies minimum requirements of the indicator. Basic documentation can be produced if specified in the indicator. A minor non-conformance occurs if all requirements have only been partially implemented.

Major Non-Conformance ( NO – Major )

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.

Not Applicable ( N/A )

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.

Not Able To Be Assessed ( N/Ax )

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.

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Summary of Key Findings Good Management Practices

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Opportunities for Improvement

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