Title Page

  • Internal Audit of ProWay Internal WHS Management System

  • 19 Bomen Road Bomen NSW 2650

  • Conducted on

  • Prepared by Nicholas King

  • Personnel



  • To ensure ProWay is continuing to comply with Australian Standard 4801, current NSW legislation and that a culture of contionious improvement is in place


  • The audit applies to all aspects of operations at ProWay, with particular focus of the Work Health and Safety Management System in place, to identify opportunities for improvement.


  • Assessment of the WHS Management System will be conducted by documentation review, workplace inspections, interviews and observations.
    In addition to internal policies, procedures and legislative requirements, the following Australian Standards were used to reference against audit evidence:

    - AS 4801:2001 Occupational Health and Safety Management Systems - Specifications with Guidance for Use

    - AS 4804:2001 Occupational Health and Safety Management Systems - General Guidelines on Principles, Systems and Supporting Techniques

    - Work Heath and Safety Act 2011

    - Work Health and Safety Regulations 2011

Documents Provided

  • The below list of documents were provided during the process of the audit:

  • Select date

4.2 Health and Safety Policy

  • There is a health and safety policy that:<br>1. is appropriate to the nature and scale of the organisation’s health and safety risks;<br>2. has commitment to measurable objectives;<br>3. requires compliance with relevant health and safety legislation;<br>4. documented and communicated to all employees;<br>5. states overall health and safety objectives;<br>6. demonstrates a commitment to the continued improvement of health and safety performance;<br>7. is authorised by the organisation’s top management;<br>8. is available to other parties;<br>9. is reviewed periodically to ensure it remains relevant and appropriate to the organisation’s health and safety risks.<br>

4.3 Planning

  • 10. Planning of identification of hazards, assessment and control of risks.

  • 11. The organisation documents its methodology to reduce health and safety risks through hazard identification, risk assessment and development of risk control measures in accordance with the ‘hierarchy of controls’ and legal requirements.

4.3.2 Legal Requirements and Practical Guidance

  • 12. The organisation identifies all relevant legislation, standards and other requirements relevant to health and safety in its operation and monitors for these changes.

  • 13. The organisation’s procedures, word instructions and work practices reflect the requirements of current health and safety legislation, standards, and other requirements relevant to health and safety.

  • 14. Changes to legislation, standards, and other requirements relevant to health and safety generate a review of the organisation’s procedures.

  • 15. Personnel in the organisation are advised of current health and safety legislation, standards, and other documentation to health and safety.

  • 16. Personnel have ready access to current health and safety legislation, standards and other documentation to health and safety.

  • The organisation and/or individual satisfies legal requirements to undertake specific activities, perform work or operate equipment including any:<br>17. license;<br>18. certificate of competency;<br>19. notifications;<br>20. registration; and/or<br>21. approval.<br>

4.3.3 Objectives and Targets

  • 22. Health and safety objectives and measureable targets have been established for relevant functions and levels within the organisation.<br>These are:<br>23. consistent with the organisation’s health and safety policy;<br>24. appropriate to the organisation’s activities and health and safety hazards and risks;<br>25. incorporate legal requirements, standards and codes;<br>26. consider available technology;<br>27. incorporate any agreements and guidelines;<br>28. consider the operational requirements;<br>29. consider the views of interested parties, e.g. community, employees, head office standards, shareholders.<br>

4.3.4 Health and Safety Management Plans

  • 30. There is a health and safety management plan that defines the means by which the organisation will achieve its objectives and targets and meet its legal requirements.<br>The plan:<br>31. applies to all activities undertaken or proposed to be undertaken by the organisation;<br>32. is based on an analysis of information relevant to the nature of the organisation’s activities, processes, products or services;<br>33. defines the organisation’s priorities;<br>34. sets timeframes;<br>35. allocates responsibility for achieving objectives and targets to relevant functional levels; and<br>36. states how the plan will be monitored.<br>

  • 37. The organisation monitors its progress towards meeting the objectives and target set in the health and safety plan and takes corrective actions to ensure progress is maintained.

  • 38. Health and safety plans are reviewed on a regular basis, to ensure they are kept up-to-date, and when there are changes to the organisation’s activities, processes, products, and services.

4.4 Implementation

4.4.1 Structure and Responsibility Resources

  • 39. Financial and physical resources have been identified and allocated to enable the effective implementation of the organisation’s health and safety plan(s).

  • 40. There are sufficient qualified and competent people to implement the organisation’s health and safety plan(s).

  • 41. Those who represent employees on health and safety matters are provided with time and resources to effectively undertake this role. Responsibility and Accountability

  • 42. A member of the executive or board has been allocated overall responsibility for the health and safety management and reports to that group on its performance.

  • 43. The specific health and safety responsibilities [including legal obligations], of all levels in the organisation have been defined, documented and communicated.

  • 44. Where contractors are utilised, the health and safety responsibilities and accountabilities of the organisation and the contractor(s) have been defined and communicated within the organisation and to the contractor(s) and their employees.

4.4.2 Training and Competency

  • 45. The organisation consults with employees to identify their training needs in relation to performing their work activities safely.

  • 46. Training needs for all personnel, including health and safety training and any training prescribed by legislation have been identified.

  • 47. There is a document competency based training program that provides employees (and volunteers) with the skills to perform their work activities safely and verifies their understanding of that training.

  • 48. The organisation has an induction program for all personnel including management and employees of all contractors, which is based on their likely risk exposure, and provides relevant instruction in the organisation’s health and safety policy and procedures.

  • 49. Tasks are allocated according to the competency of personnel.

  • 50. Persons with appropriate knowledge, skills and experience deliver training.

  • 51. Management has received training or can demonstrate competency in health and safety legislation. Health and safety management principles and practices appropriate to their role and responsibilities.

  • 52. Those representing the employer and the employees on health and safety matters, including representatives on consultative committee(s); receive appropriate training to enable them to undertake their duties effectively.

  • 53. Refresher training (as required) is provided to all personnel to enable them to perform their tasks safely.

  • 54. The training program is reviewed on a regular basis and when there are changes to plant or processes, to ensure that training programs are relevant.

4.4.3 Consultation, Communication and Reporting Consultation

  • 55. There are documented procedures, agreed to by employees, for employee involvement and consultation on health and safety matters, including a procedure for dealing with health and safety issues, and resolving disputes if they arise.

  • 56. The organisation, in consultation with employees has determined the number of employee representatives required to effectively represent all employee work groups

  • 57. The consultative arrangements allow the employees to select those who will represent them on health and safety matters.

  • 58. Details of the consultative arrangements, including the names of their employee and employer representatives for health and safety matters, are communicated to employees

  • 59. Employees or their representatives are involved in the development, implementation and review of procedures for the identification of hazards and the assessment and control of risks.

  • 60. Employees or their representatives are consulted regarding proposed changes to the work environment, processes or practices and purchasing decisions that could affect their health and safety.

  • 61. Health and safety representatives meet regularly and minutes of meetings are available to all employees.

4.4.3 Communication

  • 62. The organisation’s health and safety policy and other relevant information on health and safety are communicated to all employees, in a form that they can understand.

  • 63. The organisation communicates to employees the progress towards the resolution of health and safety disputes.

  • 64. There are procedures for the acquisition and exchange of relevant health and safety information with external parties, including customers, suppliers, contractors, and relevant public authorities. Reporting

  • 65. Health and safety hazards and systems failures are reported and recorded.

  • 66. Workplace, injuries, illnesses, incidents and dangerous occurrences are reported and recorded.

  • 67. Where there is a legislative requirement, injuries, illnesses, incidents and dangerous occurrences are notified to the appropriate authorities.

  • Regular, timely reports on health and safety performance are produced and distributed to management and consultative committee(s) as appropriate, including reports on:<br>68. health and safety inspections;<br>69. status of preventative/corrective actions;<br>70. hazard identification and risk assessments;<br>71. statutory reports;<br>72. performance against the OHS management plan;<br>73. OHS audits and reviews.<br>

4.4.4 Documentation

  • 74. The organisation’s health and safety policy, plans and procedures are documented in a systematic manner that shows the interactions and sequences of the core processes and provide direction to related documentation.

4.4.5 Document and Data Control

  • 75. The organisation has a system for creating, modifying and improving health and safety documents and data, and notifying relevant persons of any changes.

  • 76. Documents and data critical to health and safety shall be clearly identifiable, duly authorised prior to issue, kept legible and include their status.

  • 77. The organisation provides personnel with ready access to relevant health and safety documents and data.

  • 78. Competent persons to ensure that the information is current periodically review documents and data.

  • 79. Obsolete documents and data are identified and retained (where required) for legal and/or knowledge preservation purposes<br><br><br>

  • 80. Obsolete documents are removed from all points to prevent unintended use.

4.4.6 Hazard Identification, Risk Assessment and Control of Risks Hazard Identification, Risk Assessment and Control - General

  • 81. Hazards, including public safety hazards, associated with the organisation’s activities, processes, products or services are identified

  • Risks of identified hazards are assessed having regard to:<br>82. the likelihood and consequence of injury, illness or incident occurring;<br>83. available information on the hazard including any record of incidents, illness and disease;<br>84. the potential for emergency situations.<br>

  • 85. Risk controls options are based on the ‘hierarchy of controls’.

  • 86. The hazard identification, risk assessment and risk control process is undertaken by personnel competent in the use of the organisation’s methodology.

  • 87. Health and safety hazards are assigned risk control priorities, having regard to the identified levels of risk. Hazard Identification, Risk Assessment and Control - Specifics

  • ACCESS CONTROL<br>88. The organisation determines those areas where access controls are required and ensures effective controls are implemented and maintained.<br>

  • (USE OF) CONTRACTORS<br>89. Health and safety requirements are identified, evaluated and incorporated into all purchasing specifications for services.<br>

  • 90. The ability to meet health and safety requirements is reviewed and evaluated in the selection of contractors.

  • 91. Contractor health and safety performance is monitored and reviewed to ensure continued adherence to health and safety purchase specifications/services/tasks.

  • DESIGN<br>92. Hazard identification, risk assessment, the development of control measures and identification of Legislation and Standards are undertaken during the design stage for workplaces, processes, materials, plant or equipment or when these are modified.<br>

  • 93. Competent personnel verify that designs and modifications meet specified health and safety requirements.

  • DISPOSAL OF MATERIALS AND SUBSTANCES<br>94. There are procedures to ensure materials and substances are disposed of in a manner that minimises risk of personal injury and illness.<br>

  • EMPLOYEE WELFARE<br>95. Facilities and amenities in the workplace conform, as a minimum, to relevant legislation, standards and codes of practice.<br>

  • HAZARDOUS SUBSTANCES/DANGEROUS GOODS<br>96. The organisation documents procedures or work instructions for the safe storage, handling, transfer and transport of hazardous substances and dangerous goods.<br>

  • 97. Comprehensive health and safety information on all hazardous substances and dangerous goods is readily accessible at the point of use.

  • PERMIT TO WORK<br>98. There are “Permit to Work’ procedures for high-risk tasks.<br>

  • PERSONAL PROTECTICE CLOTHING AND EQUIPMENT<br>99. Where PPE is required, it is provided and appropriate for the task.<br>

  • 100. Provision of PPCE is accompanied by suitable training.

  • 101. Provided PPE is used correctly and maintained in a serviceable condition.

  • PLANT<br>102. Plant and equipment is maintained and a record is kept which included relevant details of inspections, maintenance, repair and alteration of plant.<br>

  • 103. There is a process for unsafe plant and equipment to be identified and quarantined or withdrawn from service.

  • 104. Appropriate controls are used to ensure the safety of persons working on or near plant and equipment that us in the process of being cleaned, serviced, repaired or altered.

  • 105. Competent personnel verify that the plant and equipment is safe before being returned to service after repair and alteration.

  • PURCHASING GOODS<br>106. The organisation determines their health and safety requirements prior to the purchase of goods, and communicates those specifications to the supplier.<br>

  • 107. Purchased goods are checked for conformance to purchasing specifications.

  • SIGNAGE<br>108. Safety signs (including regulatory, hazard, emergency information and fire signs), meet relevant standards and codes of practice, and are displayed in accordance with legal requirements<br>

  • STORAGE AND TRANSPORT OF MATERIALS<br>109. `There are procedures to ensure that materials, cargo, etc., are transported, handled and stored in a safe manner.<br>

  • SUPERVISION<br>110. Individuals are supervised according to their capabilities and the degree of risk to the task.<br>

  • 111. There are supervisory arrangements that ensure that tasks are performed safely and work instructions and procedures are followed.

  • SUPPLY OF GOODS AND SERVICES<br>112. There is a documented process that requires the organisation to identify potential health and safety hazards (including public safety hazards), assess the potential risks and determine appropriate risk control strategies before it accepts a contract to supply its goods or services to others.<br>

  • 113. Where the organisation is required to provide its services at a customer’s workplace, the health and safety hazards affecting the organisation’s employees are identified, risks assessed and appropriate control measures adopted.

  • 114. Customer-supplied goods and services used in the organisation’s work processes are subject to hazard identification, risk assessment, and control prior to use.

  • TRACEABILITY AND IDENTIFICATION<br>115. Where product is transported and there is the potential for that product to cause public health and safety concerns, there are documented procedures to enable the product to be traced to the point of transport origin.<br>

  • 116. All substances in containers and transfer systems are identified and clearly labelled to avoid inadvertent or inappropriate use Evaluation of the Hazard Identification, Assessment and Control Process

  • 117. The identification, assessment and control methodology is kept ‘up-to-date’.

  • 118. There is a document evaluation of the effectiveness of the hazard identification, risk assessment and control process with corrective actions where required.

4.4.7 Emergency Preparedness and Response

  • 119. Potential emergency situations have been identified.

  • 120. Emergency procedures are documented and regularly reviewed.

  • 121. The organisation has allocated overall responsibility for control of emergency situations to specified individuals and communicated this information to all personnel.

  • 122. Employees receive training and practice in emergency procedures appropriate to their allocated emergency response responsibilities and the degree of risk.

  • 123. Competent persons have assessed the suitability, location and accessibility of emergency equipment.

  • 124. Emergency and fire protection equipment, exit signs and alarm systems are inspected, tested and maintained at regular intervals.

  • 125. A dangerous good/hazardous substances manifest or inventory is in operation

  • 126. The organisation has assessed its first aid requirements.

  • 127. The first aid system in place is appropriate to the organisational risks.

  • 128. The organisation has systems in place to assist employees who are exposed to critical incidents

4.5.1 Monitoring and Measurement - General

  • 129. There is a program to monitor and verify compliance with relevant health and safety legislation.

  • There is a documented health and safety inspection program that:<br>130. defines intervals for inspection based on risk or statutory equipment;<br>131. incorporated a reporting and corrective action process;<br>132. uses workplace specific checklist(s) where appropriate;<br>133. monitors workplace changes, the effectiveness of control measures, compliance with work procedures and site safety rules;<br>134. complies with any statutory requirements for inspections e.g. plant, pressure vessels, etc.;<br>135. seeks input and involvement from the personnel in the work area being inspected.<br>

  • 136. Engineering controls, including safety devices, are regularly inspected and tested to ensure their integrity.

  • 137. There is a documented program for monitoring of the workplace environment (general and personal) where appropriate, and records of the results are maintained.

  • 138. Inspection, measuring and test equipment related to health and safety is appropriate identified, calibrated, maintained and stored. Monitoring and Measurement – Health and Surveillance

  • 139. Where specified by legislation, the health of employees exposed to specific hazard is monitored, recorded, reported and action is taken to address any adverse effects.

  • 140. The organisation has identified those situations where employee health surveillances should occur and has implemented systems to conduct this surveillance.

4.5.2 Incident Investigation and Corrective Action

  • 141. There is a procedure, which includes involvement of operational line management, for the investigation of hazards, injuries, illnesses, incidents and other system failures impacting on health and safety.

  • Investigations shall:<br>142. be undertaken by a competent person(s);<br>143. identify the factor(s) that led to the hazard, injury, illness, incident or other system failure;<br>144. review the identified hazards, assessed risks and effectiveness of the control measures;<br>145. recommend appropriate control measures.<br>

  • 146. There is a procedure for recording and monitoring of corrective actions resulting from inspections, incident investigations hazard reports, internal audits or other processes.

  • 147. The procedure assigns responsibility for implementing and reviewing the effectiveness of corrective actions.

  • 148. Corrective actions are discussed with personnel affected prior to implementation.

4.5.3 Records and Record Management

  • There are systems for management of health and safety records including their:<br>149. identification and traceability;<br>150. collection, indexing, filing;<br>151. access;<br>152. confidentiality;<br>153. retention and maintenance;<br>154. protection against damage, deterioration or loss;<br>155. retrieval; and <br>156. disposal.<br>

4.5.4 Health and Safety Management System Audit

  • Scheduled health and safety management system audits are carried out to verify whether activities:<br>157. comply with planned arrangements’<br>158. have been properly implemented and maintained; and <br>159. are contributing toward the effectives of the system.<br>

  • 160. The audit program takes into consideration the significances of health and safety risks and the results of previous audits.

  • The audit procedures cover:<br>161. scope;<br>162. frequency;<br>163. methodologies;<br>164. auditor selection and competencies;<br>165. responsibilities; and<br>166. reporting of results.<br>

4.6 Management Review

  • 167. Top (Executive Board) management oversee a comprehensive documented review of health and safety management system at defined intervals:<br>168. Appropriate to the size and risk exposure of the organisation;<br>169. Ensure its continuing suitability and effectiveness is satisfying the organisation’s stated health and safety objectives.<br>

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