Contract Safety Review

• Contractor (Audit Title)

• Contractor

• Conducted on

  Date

• Prepared by

• Personnel

Pre-Review Questionnaire

• Is this Contractor a single or multiple operator?

  Single

  Multiple

• List the Contract/s this Contractor operates:

Contract Information

• Service Name

• Contract Number & RTSims Number

• Type of Contract

• What types of contracts does this contractor operate?

  ECM

  TRM

  TRM - Cluster

  TRM - Short Term

  Other

• What type of Contract?

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

Safety Management System

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements
  This section is intended for the assessor to review the contractor's documentation. A series of follow up questions may be needed to clarify information.
  The objective of this review is to determine if the contractor has an implemented system that is appropriate to the size and nature of the business.

1.0 Policies

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements
  Policy - 4.2

• 1.1 - Are there OH & S Policies in place?

  Yes

  No

• 1.1.1 - What policies are in place?

  Select OH & S Alcohol & Other Drugs Fatigue Management & Fitness for Work Injury Management & Return to Work Other

  • OH & S
  • Alcohol & Other Drugs
  • Fatigue Management & Fitness for Work
  • Injury Management & Return to Work
  • Other

• Are the any other policies in place (please list)

• 1.2 - Are the policies; signed by an appropriate person, dated and have a review date?

  Yes

  No

  N/A

• Evidence - Signed Policy Document

  Media

• 1.1.1 - How does the contractor demonstrate their commitment to providing a safe workplace?

  Yes

  No

• Yes

  No

  N/A

• Are the Contractor's policies documented, implemented and reviewed appropriately and in context of the size and nature of their business?

  Compliant

  Partially Compliant

  Not Compliant

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

2.0 - Safety Responsibilities & Legal Obligations

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Legal & Other Requirements 4.3.2 Structure & Responsibility 4.4.1 To determine if the Contractor has a systematic approach to identifying the legal requirements of the business activities and provides access to employees upon request.

• Has the Contractor defined and documented the areas of OSH accountability and responsibility for all personnel?

  Yes

  No

• Have these responsibilities been formally communicated to personnel?

  Yes

  No

• Has the Contractor (including any managers / supervisors) undertaken any OSH training?

  Yes

  No

• Has the Contractor identified the OSH Legal Requirements of their business, i.e. Acts, Regulations, Standards and other relevant information?

  Yes

  No

• Do employees have access to this information?

  Yes

  No

  N/A

• Does the contractor have a mechanism in place to review and update this information?

  Yes

  No

  N/A

• Recommendations?

  No

  Yes

• Recommendations

• Does the Contractor have a mechanism in place that identifies and communicates their legal obligations?

  Compliant

  Partially Compliant

  Not Compliant

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

3.0 - Objectives & Targets

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Objectives & Targets / Safety Management Plan 4.3.3

• Has the Contractor established OSH Objectives & Targets for their business?

  Yes

  No

• Does the Contractor have an OSH Management Plan outlining how the Objectives and Targets will be achieved?

  Yes

  No

• Yes

  No

  N/A

• Recommendations?

  No

  Yes

• Yes

  No

  N/A

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

4.0 - Documentation & Document Control

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Document & Document Control 4.4.4 & 4.4.5

• Has the contractor documented the policies and procedures that outline the core elements of their safety management system?

  Yes

  No

• Are the policies and procedures readily accessible to employees and other interested parties?

  Yes

  No

  N/A

• Does the Contractor have a process to ensure that all policies and procedures remain current and can be easily located?

  Yes

  No

  N/A

• Recommendations?

  No

  Yes

• Yes

  No

  N/A

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

5.0 - Records & Record Management

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Records & Record Management - 4.5.3

• Does the Contractor have a procedure that outlines the identification of all records that must be retained and how these records will be maintained and disposed of?

  Yes

  No

• Yes

  No

• Recommendations?

  No

  Yes

• Yes

  No

  N/A

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

6.0 - Contractor Review of Systems (Internal Review)

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Element Audit & Management Review - 4.5.4 & 4.6

• Does the contractor regularly audit all procedures to ensure compliance with their requirements?

  Yes

  No

• Does the contractor review audit findings to identify deficiencies, prioritise and implement corrective actions?

  Yes

  No

• Recommendations?

  No

  Yes

• Yes

  No

  N/A

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

• Contractor Compliance - Policies

  Compliant

  Partially Compliant

  Not Compliant

Risk Assessment & Hazard Management

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Identification of Hazards, Risk Assessment and Control - 4.3.1 & 4.4.6 Incident Reporting and Investigation - 4.4.3.3 & 4.5.2

• Has the contractor identified hazards associated with their business activities?

  Yes

  No

• How

• What

• Evidence

  Media

• Has this been documented in a hazard register (or similar)?

  Yes

  No

• What

• Evidence

  Media

• Does the contractor have a Hazard Management / Risk Management procedure/?

  Yes

  No

• How

• What

• Evidence

  Media

• Recommendations

  No

  Yes

• Recommendations

• Is the system for identifying, assessing and managing risk and hazards appropriate?

  Compliant

  Partially Compliant

  Not Compliant

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Incident Management

• Does the contractor have a procedure that outlines the incident reporting process?

  Yes

  No

• How

• What

• Evidence

  Media

• Does the incident reporting process include reporting requirements to third parties, such as WorkSafe and PTA?

  Yes

  No

• How

• What

• Evidence

  Media

• Is there evidence to support that the incident reporting procedure is followed?

  Yes

  No

• How

• What

• Evidence

  Media

• Does the contractor have a procedure that outlines the incident investigation process?

  Yes

  No

• How

• What

• Evidence

  Media

• Is there evidence to support that the incident investigation procedure is followed?

  Yes

  No

• How

• What

• Evidence

  Media

• Does the incident investigation identify contributing factors to the incident?

  Yes

  No

• How

• What

• Evidence

  Media

• Does the incident process identify control measures?

  Yes

  No

• How

• What

• Evidence

  Media

• Are relevant staff trained in the incident investigation process?

  Yes

  No

• How

• What

• Evidence

  Media

• Has the contractor completed JSA's / Risk Assessments for the tasks that they undertake?

  Yes

  No

• How

• What

• Evidence

  Media

• Has the contractor developed Safe Working Procedures for the activities that they undertake?

  Yes

  No

• How

• What

• Evidence

  Media

• Do the JSA's and Safe Working Procedures include control measures for all identified hazards?

  Yes

  No

• How

• What

• Evidence

  Media

• Does the contractor review their control measures to ensure they are effective?

  Yes

  No

• How

• What

• Evidence

  Media

• Recommendations

  No

  Yes

• Recommendations

• Is the system for identifying, assessing and managing risk and hazards appropriate?

  Compliant

  Partially Compliant

  Not Compliant

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Personnel

Induction

Fitness for Work

Training & Competencies

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Training & Competency - 4.4.2

• Has the contractor, in consultation with employees, identified the training required in order to conduct their business activities?

  Yes

  No

• Is there a training program in place to ensure competencies are obtained and maintained?

  Yes

  No

• Does the contractor provide an induction to their employees that includes information related to specific hazards in the workplace and to their role?

  Yes

  No

• Are records of training retained by the employer?

  Yes

  No

• Recommendations

  No

  Yes

• Recommendations

• Compliant

  Partially Compliant

  Not Compliant

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Communication & Consultation

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Consultation & Communication - 4.4.3

• Does the contractor have a procedure in place that outlines how they will consult with employees?

  Yes

  No

• Is there evidence to support that this procedure has been implemented (i.e. Toolbox meeting minutes, Safety Committee meeting minutes)?

  Yes

  No

• Recommendations

  No

  Yes

• Recommendations

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Emergency Management

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Emergency Preparedness & Response - 4.4.7

• Has the contractor identified all possible emergency situations and documented an Emergency Preparedness and Response Plan?

  Yes

  No

• Does the contractor test the Emergency Preparedness and Response Plan on a regular basis?

  Yes

  No

• Yes

  No

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Monitoring & Inspection

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements Monitoring & Inspection - 4.5.1

• Does the contractor regularly conduct workplace inspections including vehicle and garaging and depot, wheel chair tracking, hoists (servicing program)?

  Yes

  No

• Does the contractor have a documented workplace inspection checklist/s?

  Yes

  No

• Is there evidence that corrective actions are identified and implemented?

  Yes

  No

• Does the contractor have a process by which employees can report hazards?

  Yes

  No

• Is there evidence to support that hazard reports are assessed and corrective actions are identified and implemented?

  Yes

  No

• Has the contractor identified all requirements for test and maintenance of plant and equipment and where required are records of this retained?

  Yes

  No

• Yes

  No

1.0 - Depot / Workshop

• Does the contractor operate from a depot?

  Yes

  No

• Does the contractor operate a workshop where mechanical repairs are conducted/

  Yes

  No

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Injury Management & Return to Work

• Scope - Information for Assessor

• Does the contractor have an Injury Management Policy?

  Yes

  No

• Has the contractor appointed someone in their organisation to be responsible for injury management and is this person identified as part of the injury management system?

  Yes

  No

• Does the contractor seek to provide suitable alternative duties and establish return to work plans where an employee has sustained an injury?

  Yes

  No

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Performance - Service Related (Non-Safety)

Administration

• Scope - Information for Assessor & Compliance - AS/NZ 4801 Elements

• 1.0 - Do you update your bus staff details on the School Bus Services website when they change?

  Yes

  No

• Corrective Actions Required?

  No

  Yes

• Corrective Action

• Action Date

  Select Specify Date Immediate 1 Week 2 Weeks 1 Month Ongoing

  • Specify Date
  • Immediate
  • 1 Week
  • 2 Weeks
  • 1 Month
  • Ongoing

• Select date

  Date

Summary of Findings

• Observations

• Follow Up Actions - Assessor

• Corrective Actions

• Assessor's Signature

  Sign

• Select date

  Date

Student Behaviour Management

Student Behaviour Management

• Do you use the PTA's Student Behaviour Management Guidelines

  Yes

  No

• Do you issue BMNs

  Yes

  No