AS4801 Gap Analysis

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

4 OHSMS Requirements

4.1 General Requirements

• Has an OHSMS been documented?

  Yes

  No

  N/A

4.2 OHS Policy

• 4.2 (a) Is the policy appropriate to the nature & scale of the Organisation's risks?

  Yes

  No

  N/A

• Does the policy clearly state the overall OHS objectives?

  Yes

  No

  N/A

• Does the policy demonstrate a commitment to improving OHS performance?

  Yes

  No

  N/A

• Does the policy encourage the Organisation to continually improve its OHS performance?

  Yes

  No

  N/A

• 4.2(b) include commitment to establish measurable objectives/targets?

  Yes

  No

  N/A

• Aimed to ensure continued improvement and elimination of work-related injury?

  Yes

  No

  N/A

• Is the policy authorized by top management?

  Yes

  No

  N/A

• 4.2(c) includes commitment to comply with legislation or other legal obligations?

  Yes

  No

  N/A

• 4.2(d) is documented, implemented, maintained?

  Yes

  No

  N/A

• And communicated to all employees?

  Yes

  No

  N/A

• 4.2(e) available to interested parties? Can be understood by interested parties?

  Yes

  No

  N/A

• 4.2(f) is reviewed periodically to ensure it remains relevant and appropriate?

  Yes

  No

  N/A

4.3 Planning

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

• Have procedures been established, implemented and maintained to identify hazards?

  Yes

  No

  N/A

• Is the method to identify hazards appropriate?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained for hazard/risk assessment?

  Yes

  No

  N/A

• Has criteria been established to assess risk?

  Yes

  No

  N/A

• Are assessments performed by suitably qualified persons?

  Yes

  No

  N/A

• Are others consulted in the risk assessment process?

  Yes

  No

  N/A

• Is the frequency of assessment appropriate?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained for control of hazards/risks?

  Yes

  No

  N/A

• Can it be demonstrated that the methodology for hazard identification, assessment and control is based on operational experience?

  Yes

  No

  N/A

• Can it be demonstrated that the methodology for hazard identification, assessment and control is based on legislative requirement?

  Yes

  No

  N/A

• Can it be demonstrated that the methodology for hazard identification, assessment and control is based on a commitment to reduce illness and injury?

  Yes

  No

  N/A

• Do these procedures cover all activities, services and products over which the Organisation has control or influence (including activities, services and products of contractors and suppliers)?

  Yes

  No

  N/A

4.3.2 Legal and other requirements

• Have procedures been established, implemented and maintained to identify and access all legal and other requirements applicable to the activity, services or products of the Organisation?

  Yes

  No

  N/A

• Does this include relevant relationships with contractors and suppliers?

  Yes

  No

  N/A

• Are relevant matters involving legal and other requirements communicated to all employees?

  Yes

  No

  N/A

4.3.3 Objectives and targets

• Have procedures been established, implemented and maintained to identify OHS objectives and targets at each relevant function and level within the Organisation?

  Yes

  No

  N/A

• Are the objectives based on legal and other requirements?

  Yes

  No

  N/A

• Are the objectives based on identified hazards and risks?

  Yes

  No

  N/A

• Are objectives using technological options?

  Yes

  No

  N/A

• Do objectives fit with operational and business requirements?

  Yes

  No

  N/A

• Do objectives consider interested parties?

  Yes

  No

  N/A

• Are objectives consistent with the policy (including a commitment to measure and improve OHS performance)?

  Yes

  No

  N/A

4.3.4 OHS Management plans

• Are plans established and maintained to achieve objectives and targets?

  Yes

  No

  N/A

• Do they clearly designate responsibility for achievement at relevant functions and levels of the Organisation?

  Yes

  No

  N/A

• Do they outline the means and timeframe by which the objectives will be achieved?

  Yes

  No

  N/A

• Are there procedures to review and amend OHS Management plans at regular and planned intervals?

  Yes

  No

  N/A

• Have procedures been established, implemented and maintained to address changes which will impact on the OHS Management plan?

  Yes

  No

  N/A

4.4 Implementation

4.4.1 Structure and responsibility

4.4.1.1 Resources

• Have Human resources been identified and provided to implement, maintain and improve the OHSMS?

  Yes

  No

  N/A

• Have technogical resources been supplied to support the OHSMS?

  Yes

  No

  N/A

• Have sufficient funds been allocated to support the OHSMS?

  Yes

  No

  N/A

4.4.1.2 Responsibility and accountability

• Have all areas of accountability and responsibility been defined, documented and communicated for all personnel involved in the OHSMS operation?

  Yes

  No

  N/A

• Has this been clearly defined for contractors and suppliers?

  Yes

  No

  N/A

• Has top management appointed a representative who has denied roles, responsibilities and authority for<br>(a) ensuring the OHSMS requirements are established, implemented and maintained to AS4801<br>(b) reporting on the performance of the OHSMS to top management for review and improvement?

  Yes

  No

  N/A

4.4.2 Training and competency

• Have training needs been determined in consultation with employees?

  Yes

  No

  N/A

• Is there a procedure to identify OHS competencies (via education, training or experience) to perform assigned tasks?

  Yes

  No

  N/A

• Does the procedure take into consideration the obligations, hazards and risk associated with these activities?

  Yes

  No

  N/A

• Does the training procedure take into consideration the characteristics and composition of the workforce impacting on the OH & S Management?

  Yes

  No

  N/A

• Does the training procedure take into consideration the responsibilities, hazards and risks?

  Yes

  No

  N/A

• Have all employees undertaken training appropriate to their identified needs?

  Yes

  No

  N/A

• Have all contractors undertaken training appropriate to their identified needs?

  Yes

  No

  N/A

• Have all visitors undertaken training appropriate to their identified needs?

  Yes

  No

  N/A

• Have all volunteers undertaken training appropriate to their identified needs?

  Yes

  No

  N/A

• Is training delivered by people with appropriate knowledge, skills or experience in OHS training?

  Yes

  No

  N/A

4.4.3 Consultation, communication and reporting

4.4.3.1 Consultation

• Is there a procedure documenting the consultation process for employees - agreed to by the employees?

  Yes

  No

  N/A

• Are employees involved in the development, implementation and review of policies and procedures for hazard identification, hazard/risk assessment and control of hazards/risks?

  Yes

  No

  N/A

• Are employees consulted where there are any changes which affect workplace OHS?

  Yes

  No

  N/A

• Are employees involved in the selection of who will represent them in OHS matters?

  Yes

  No

  N/A

• Are employees informed as to who is/are their employee OHS representative(s) and specified management representative(s)?

  Yes

  No

  N/A

• Do these representatives receive suitable training to undertake effectively their involvement in the development, implementation and review of these OHS arrangements?

  Yes

  No

  N/A

4.4.3.2 Communication

• Do procedures exist to ensure pertinent OHS information is communicated to employees and other interested parties?

  Yes

  No

  N/A

• Do procedures exist to ensure pertinent OHS information is communicated from employees and other interested parties?

  Yes

  No

  N/A

4.4.3.3 Reporting

• Are procedures established to report the monitoring and performance of the OHSMS?

  Yes

  No

  N/A

• Are these things reported in a timely manner?

  Yes

  No

  N/A

• Does the reporting include (a) OHS performance reporting?

  Yes

  No

  N/A

• Does the reporting include (b) exporting on incidents and system failures?

  Yes

  No

  N/A

• Does the reporting include (c) reporting on hazard identification?

  Yes

  No

  N/A

• Does the reporting include (d) reporting on hazard/risk assessment

  Yes

  No

  N/A

• Does the reporting include (e) reporting on preventative & corrective action?

  Yes

  No

  N/A

• Does the reporting include (f) reporting on statutory requirements?

  Yes

  No

  N/A

4.4 Documentation

• Is there a system in either print or electronic form to describe the core elements of the management system?

  Yes

  No

  N/A

• Is the system established, implemented and maintained?

  Yes

  No

  N/A

• Does the system provide direction to related documentation?

  Yes

  No

  N/A

4.4.5 Document and data control

• Is there a procedure to control all relevant documents and data required?

  Yes

  No

  N/A

• (a) Does this allow documents and data to be readily located?

  Yes

  No

  N/A

• (b) Are documents periodically reviewed, revised and approved?

  Yes

  No

  N/A

• Is review, revision and approval by competent and responsible personnel?

  Yes

  No

  N/A

• (c) Are current versions of relevant documents available at all locations where operations essential to effective functioning of the OHSMS is performed?

  Yes

  No

  N/A

• (d) Are obsolete documents and data promptly removed from all points of issue or otherwise prevented for unintended use?

  Yes

  No

  N/A

• (e) Are archival documents and data retained for legal or knowledge preservation purposes?

  Yes

  No

  N/A

• Are such documents suitably identified?

  Yes

  No

  N/A

• Is documentation and data legible, dated (with date of revision) and readily identifiable?

  Yes

  No

  N/A

• Are documents maintained in an orderly fashion for a specified period?

  Yes

  No

  N/A

• Is there a procedure to create and modify the documents and data required for the OHSMS?

  Yes

  No

  N/A

• Is there a system to ensure obsolete documents SHALL not be used?

  Yes

  No

  N/A

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

4.4.6.1 General

• Has the Organisation established documented procedure to ensure (a) hazard identification is conducted?

  Yes

  No

  N/A

• Has the Organisation established documented procedure to ensure (b) hazard/risk assessment is conducted?

  Yes

  No

  N/A

• Has the Organisation established documented procedure to ensure (c) control of hazards/risks is conducted?

  Yes

  No

  N/A

• Has the Organisation established documented procedure to ensure (d) evaluation of steps (a) to (c) is conducted?

  Yes

  No

  N/A

4.4.6.2 Hazard identification

• Identification of a hazard takes into account (a) the situation or combination of circumstances with the potential, to give rise to injury or illness?

  Yes

  No

  N/A

• Identification of a hazard takes into account (b) the nature of the potential injury or illness in relation to the activity, product or service?

  Yes

  No

  N/A

• Identification of a hazard takes into account (c) past injuries, incidents and illnesses?

  Yes

  No

  N/A

• The identification process includes (i) the way in which work is organised, managed, carried out and any changes involved?

  Yes

  No

  N/A

• The identification process includes (ii) the design of workplaces, work processes, materials, plant and equipment?

  Yes

  No

  N/A

• The identification process includes (iii) fabrication, installation and commissioning and handling and disposal (of materials, workplaces, plant and equipment)?

  Yes

  No

  N/A

• The identification process includes (iv) the purchasing of goods or services?

  Yes

  No

  N/A

• The identification process includes (v) the contracting and subcontracting of plant, equipment, services and labour including contract specification and responsibilities to and by contractors?

  Yes

  No

  N/A

• The identification process includes (vi) inspection, maintenance, testing repair and replacement (of plant and equipment)?

  Yes

  No

  N/A

4.4.6.3 Hazard/risk assessment

• Have all risks been assessed?

  Yes

  No

  N/A

• Have control priorities been assigned to identified risks?

  Yes

  No

  N/A

• Are control priorities assigned based on the established level of risk?

  Yes

  No

  N/A

4.4.6.4 Control of hazards/risks

• Is the hierarchy of control used to control hazards/risks?

  Yes

  No

  N/A

4.4.6.5 Evaluation

• Is there a documented procedure for hazard identification, assessment and control?

  Yes

  No

  N/A

• Is this procedure reviewed for effectiveness and modified as necessary?

  Yes

  No

  N/A

4.4.6.7 Emergency preparedness and response

• Have potential emergency situations been identified?

  Yes

  No

  N/A

• Have processes to deal with these emergency events been documented?

  Yes

  No

  N/A

• Have these procedures been assessed to determine if they mitigate the associated injury or illness?

  Yes

  No

  N/A

• Have theses procedures been reviewed after the occurrence of incidents or emergency situations?

  Yes

  No

  N/A

• Have these procedures been tested periodically?

  Yes

  No

  N/A

4.5 Measurement and evaluation

4.5.1 Monitoring and measurement

4.5.1.1 General

• Yes

  No

  N/A

• Yes

  No

  N/A