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:
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
4.4.1.13.1.1
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
4.4.3.13.3.1
Consultation
4.4.3.2
3.3.2
Communication
4.4.3.33.3.3
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)
4.4.6.23.6.2
Hazard Identification
4.4.6.2 (i)
3.6.2.1
Work Processes
4.4.6.23.6.2.2
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
4.4.6.3
3.6.3
Hazard / Risk Assessment
4.4.6.43.6.4
Control of Hazards / Risks
4.4.6.53.6.5
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
4.4.73.7.1
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
4.5.1.14.1.1
General
4.5.1.2
4.1.2
Health surveillance
4.5.2
4.2
Incident investigation, corrective and preventive action
4.5.34.3
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)
Requirement
Evidence of Verification
1.
OHS Policy
C / NC Findings / Comments
1.1 There shall be an occupational health and safety policy authorized by the organization’s 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 organization’s 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.
The organisation has an OHS Policy that:
- is appropriate to the nature and scale of the
organization’s 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
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 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. 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-to-date.
- 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 organization’s 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.
2.2
Legal and other requirements
C / NC Findings / Comments
2.2 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.
The organization shall keep this information up-to-date. It shall communicate relevant information on legal and other requirements to its employees.
- 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.
2.3
Objectives and targets
C / NC Findings / Comments
2.3 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 organization’s
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)?
2.4
OHS management plans
C / NC Findings / Comments
2.4 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.
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.
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.
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.
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 and financial resources.
- 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
3.1.2
Responsibility and accountability
C / NC Findings / Comments
3.1.2 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 OHSMS’s operation.
Where contractors are involved, these areas of accountability and
responsibility shall be clarified with respect to those contractors. The organization’s 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.
General
- Responsibilities for management and employees are defined, documented, communicated and understood.
- Safety KPI’s based on defined
accountabilities are included in all Position Descriptions and contracts with
subcontractors.
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
3.2
Training and competency
C / NC Findings / Comments
3.2.1 The organization in consultation with employees shall identify training needs in relation to performing work activities competently, including OHS training. 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.
- 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.
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 and consultation in OHS issues. Information regarding the
arrangements shall be made available to interested parties.
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.
- 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 representative’s participation
in:
- Risk assessments; - Health and safety training; - Workplace inspection; - Safety Committee meetings; and - Incident investigations, etc.
- 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?
3.3.2
Communication
C / NC Findings / Comments
3.3.2 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.
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.
3.3.3
Reporting
C / NC Findings / Comments
3.3.3 Appropriate procedures for relevant and timely reporting of information shall be established to ensure the OHSMS is monitored and performance improved.
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.
- 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.
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 Client’s premises/sites then the contractor must
immediately give a copy of that notice and/or fine to the Client.
3.4
Documentation
C / NC Findings / Comments
3.4 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
3.5
Document and data control
C / NC Findings / Comments
3.5 The organization shall establish, implement and maintain procedures for controlling all relevant documents and data required by this Standard to ensure that—
(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.
- 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 organization’s 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
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 documented procedures to ensure that the following are 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 of
risk controls.
- Written safe work procedures for all potentially
hazardous operations.
- Records of assessment of non-physical hazards. - 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 organization’s
injury/incident records been used to identify hazards?
- Has the organization sought industry specific
knowledge on hazards and causes of injuries and illness?
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 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
3.6.2.1 The identification process shall also include consideration of—
The way work is organized, managed, carried out and any changes that occur in this;
- 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.
3.6.2.2 The identification process shall also include consideration of—
The conduct of inspections of places of work, at regular and planned intervals 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. 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.
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.
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—
The inspection, maintenance, testing repair and replacement (of plant and equipment).
- 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.]
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 organization’s 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.
3.6.2.7 The identification process shall also include consideration of—
The selection of Sub-Contractors
- The organization’s 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 organization’s specific health and safety requirements.
- Contract documents that specify the health and
safety requirements of the contractor’s service delivery.
- A tender process which requires information to be
provided about the potential service provider’s 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.
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.
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 be assessed and have control priorities assigned based on the significance of hazard.
- 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.
- Risk assessments are revalidated as required and
3.6.4
Control of hazards/risks
C / NC Findings / Comments
3.6.4 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.
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.
- 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.
- 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
3.6.5
Evaluation
C / NC Findings / Comments
3.6.5 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
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 risks are assessed and integrated into the design of processes and Work Method Statements (WMS’s).
Staff and sub-contractors are trained in the identification and control of manual handling risks and specific manual handling techniques.
- SWMS’s evidence consideration and controls for
Manual 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 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
- 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 and
subcontractors
- Appropriately completed checklists.
- Evidence that defective equipment noted in the daily
operators checklist has been tagged out of service.
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 Contractor’s awareness of a permit systems
and requirement to use it.
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 sub-contractors. MSDS’s 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. 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.
- 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
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
sub-contractors 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
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.) 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 sub-contractors trained in procedures.
- 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
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
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.
3.7
Emergency preparedness and response
C / NC Findings / Comments
3.7.1 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.
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.
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 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.
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 organization’s 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 organization’s objectives and targets; and (b) compliance with relevant OHS legislation.
- 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.
4.1.2
Health surveillance
C / NC Findings / Comments
4.1.2 The organisation shall identify those situations where employee health surveillance is required and shall implement appropriate systems. Employees shall have access to their own individual results.
Where specified by legislation, the health of employees exposed to specific hazards shall be monitored and recorded.
- Risk assessments which identify the need for health
surveillance.
- Documented policy or procedure for health
monitoring / health surveillance program.
- Schedule for screening and testing.
- Records of health monitoring / health surveillance
which match scheduled arrangements.
- Records that health monitoring is conducted by
competent, and where applicable, approved persons.
- 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.
4.2
Incident investigation, corrective and preventive action
C / NC Findings / Comments
4.2 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.
The organisation shall implement and record any changes in the OHSMS procedures resulting from incident investigations and 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.
- Accountabilities for managing and responding to
CAR’s issued by are assigned
- Corrective action taken for CAR’s is addressed in a
timely manner.
- Review how head contractor implements CAR’,
including learning’s 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
4.3
Records and records management
C / NC Findings / Comments
4.3 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.
4.4
OHSMS audit
C / NC Findings / Comments
4.4 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 organisation’s 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.
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 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?
