Internal audit for managing contractor OHS obligations (Pro-43)

Information

Document No.
Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

PROCEDURE FAMILIARITY

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

HAZARD IDENTIFICATION AND RISK ASSESSMENT

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?

TENDER/CONTRACT SPECIFICATION REQUIREMENTS

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: a. Requires Notification to external authority. 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: a. Compliance with OHS in respect to this contract. b. Compliance with contractor's OHS Plan. 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.

TENDER EVALUATION

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.
Examination of tenderer's OHS documentation ie. manuals, procedures, SWMS, training records etc.
Review tenderer's insurance provisions.
Verification of the above should include PM examining various records such as. a. H&S audits and inspection records b. Plant maintenance records c. Safety meeting minutes d. Accident investigation reports e. Training records for H&S related items 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.

PRE COMMENCEMENT PLANNING OF WORK

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?
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? a. Relevant hazards identified b. Risks have been appropriately assessed for likelihood/consequence 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: * Summary of major activities and types of work to be performed. * List of tasks or specialist procedures that may require detailed health and safety work procedures and training. * List areas of contract requiring special consideration from an OHS perspective, e.g.: • presence of public • traffic management • work restrictions (work times, confined spaces) • exposure to hazards (noise, dust, elevated heights)
Does the H&S Plan detail the OHS Structure in place and include such things as: a. Contractor H&S policy b. Outline of OHS Structure including names and responsibilities of nominated staff c. Summary of OHS roles/responsibilities of contractor staff involved in project 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: a. Outline of induction process for employees and sub contractors b. Details of induction content c. Register of completed inductees d. Details of OHS training required as part of induction 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: a. List of such made available b. Details of site operations requiring PTW been identified 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?
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?

CONTRACT MANAGEMENT

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?