• Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel


  • Is AUDITEE familiar with Pro-43, Managing contractor OHS obligations?


  • Project Task Breakdown & Risk Identification - Has contract/project manager (PM) identified and broken down key tasks which have OHS impacts?

  • Has the PM undertaken a risk assessment of key tasks identified in previous step as having potential OHS impacts?

  • If so, has PM added these to the Departments OHS Risk Register on the common drive?

  • Has PM provided an overall OHS rating for this project based on the risk assessments undertaken in the previous steps?


  • Have the following OHS elements been included in some format within the tender/contract specifications?

  • Requirement to comply with relevant OHS Legislation (OHS Act 2004 should be included as a minimum)?

  • Tenderer's/contractor's OHSMS must demonstrate compliance with the employers duties section of the OHS Act 2004. This will include references to carrying out work in a safe manner; using proper and safe plant and substances; employing systems of work that are safe; providing adequate information, instruction, training and supervision.

  • Requirement for tenderer to obtain CWW approval prior to utilising sub contractors?

  • Requirement to complete a questionnaire which evaluates the status of their OHS management system?

  • Requirement for successful tenderer to prepare and submit SWMS prior to commencing contract for all identified hazards associated with contract? Reference to complete JSA on the job is also required.

  • Requirement to provide CWW with regular reports associated with H&S performance? Furthermore, successful tendered required to maintain adequate accident, incident reporting, recording and investigation system.

  • Requirement to immediately notify CWW of any incident which:<br>a. Requires Notification to external authority.<br>b. May reasonably result in an investigation by any external authority.

  • Rights to suspend/terminate contract if CWW considers that the contractor is failing to remedy breaches.

  • Proof of workers compensation insurance?

  • CWW has right to review and audit contractor's:<br>a. Compliance with OHS in respect to this contract.<br>b. Compliance with contractor's OHS Plan.<br>c. Procedures or work practices which have OHS implications.

  • Ability to direct contractor to suspend whole or part do services concerned until contractor complies with direction of CWW in cases where non compliance has arisen.

  • Requirement to prepare and submit Health and Safety Plan prior to commencing contract.

  • Requirement to develop proactive OHS KPIs.


  • Evaluation and verification of tenderer's OHS system should have been undertaken and included:

  • Review of completed OHS QUESTIONNAIRE. This may not be required where contractor has certified systems in place.<br>

  • Examination of tenderer's OHS documentation ie. manuals, procedures, SWMS, training records etc.

  • Review tenderer's insurance provisions.<br>

  • Verification of the above should include PM examining various records such as.<br>a. H&S audits and inspection records<br>b. Plant maintenance records<br>c. Safety meeting minutes<br>d. Accident investigation reports<br>e. Training records for H&S related items<br>f. Licences for relevant activities

  • Where a tenderer's OHSMS requires scoring, has this been undertaken based on completed questionnaire?

  • In case of scoring questionnaire, has contractor scored sufficient points based on the rating of the contract ie. 33 points for Minor, 44 points for Major?

  • Has relevant OHS weighting been applied to overall contract scoring ie. 5% for minor, 20% for major.


  • Now that contract has been awarded, and prior to works commencing, have the following items been addressed?

  • Has contractor provided copies of risk assessments, JSA/SWMS, and H&S Plan?<br>

  • Has CWW PM established communication mechanisms including scheduling of site mgmt meetings, contractor toolbox meetings etc.?

  • With regards to submitted SWMS, have reviews been undertaken on these and included consideration of the following?<br>a. Relevant hazards identified<br>b. Risks have been appropriately assessed for likelihood/consequence<br>c. Proposed control measures adequately assessed and supported by additional documentation eg. SOP etc.

  • In cases where SWMS has not been deemed acceptable, has contractor been asked to review this?

  • In cases where a Major risk rated contract has been awarded, has contractor developed a Health and Safety Plan that includes:<br>* Summary of major activities and types of work to be performed.<br>* List of tasks or specialist procedures that may require detailed health and safety work procedures and training.<br>* List areas of contract requiring special consideration from an OHS perspective, e.g.:<br>• presence of public<br>• traffic management<br>• work restrictions (work times, confined spaces)<br>• exposure to hazards (noise, dust, elevated heights)<br> <br>

  • Does the H&S Plan detail the OHS Structure in place and include such things as:<br>a. Contractor H&S policy<br>b. Outline of OHS Structure including names and responsibilities of nominated staff<br>c. Summary of OHS roles/responsibilities of contractor staff involved in project<br>d. Name and position of senior person nominated to liaise with CWW on OHS matters

  • Has Contract induction and safety training been communicated to CWW detailing such things as:<br>a. Outline of induction process for employees and sub contractors<br>b. Details of induction content<br>c. Register of completed inductees<br>d. Details of OHS training required as part of induction<br>e. A register of names/positions detailing authorisations, competency certificates, PTW, licencesvetc.

  • Have all relevant safe work practices and procedures been developed and/or identified in relation to this contract, and if so:<br>a. List of such made available<br>b. Details of site operations requiring PTW been identified<br>c. Details of employees provided with specific SOP/SWMS

  • Has CONTACTOR's risk assessment criteria been discussed and agreed to by CWW.

  • Have details of workplace inspection process been agreed to?

  • Has contractor communicated the H&S consultation process and identified who the HSRs are, safety committee and any reference to issue resolution processes?

  • Have issues related to emergency procedures ie. emergency team structure, register of emergency equipment, first aid officers etc. been satisfactoraly dealt with?<br>

  • Have incident recording and investigation processes been agreed to which include investigation, notification to CWW and others, statistics for compilation and distribution?

  • Have details relating to the monitoring of H&S performance been agreed to ie. how will stats be reviewed by CWW, how is it to be communicated with staff, what internal audit program's are in place to ensure compliance?

  • For contractor's who are likely to engage sub contractors, do they have appropriate contractor management systems in place?

  • Has CWW provided formal approval to the OHS Plan?


  • Has PM determined the level of monitoring and supervision to be undertaken by CWW (via PM & auditors), based upon risk rating and other factors including the potential interaction b/w a number of contractors, public, past performance and duration of contract?

  • Has PM targeted certain parts of the contract as higher risk which therefore requires greater monitoring eg. Contract start up; high risk or complex activities (as detailed in initial hazard ID and risk assessments); high level of interaction with other parties and/or public; introduction of new plant and/or systems etc.?

  • Has regular review of contractor OHS documentation been undertaken?

  • Has regular site inspection to monitor compliance with H&S procedures been undertaken?

  • Has CWW PM provided contractor with sufficient information on related HAZCOMs that may have arisen or feedback on areas of non compliance?

  • Has PM ensured that relevant non compliances have been issued and attended to in an appropriate and timely manner?

  • Has PM reviewed contractor performance via contractor OHS reporting?

  • Have OHS issues been included as part of regular contract review meetings?

  • Has PM ensured that the contractor is undertaking workplace inspections and communicating these to appropriate parties?

  • Has PM gathered sufficient records to demonstrate evidence relating to their appropriate management of a given contract?

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