Internal Audit of Proway WHS Management System - duplicate - duplicate

• Internal Audit of ProWay Internal WHS Management System

• 19 Bomen Road Bomen NSW 2650

• Conducted on

  Date

• Prepared by Nicholas King

• Personnel

Objectives

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

Scope

• 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.

Methodology

• 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

  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>

  Yes

  No

  N/A

4.3 Planning

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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>

  Yes

  No

  N/A

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>

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

4.4 Implementation

4.4.1 Structure and Responsibility

4.4.1.1 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).

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.1.2 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

4.4.3 Consultation, Communication and Reporting 4.4.3.1 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

4.4.3.3 Reporting

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.6 Hazard Identification, Risk Assessment and Control of Risks 4.4.6.1-3 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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 87. Health and safety hazards are assigned risk control priorities, having regard to the identified levels of risk.

  Yes

  No

  N/A

4.4.6.4 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

• 116. All substances in containers and transfer systems are identified and clearly labelled to avoid inadvertent or inappropriate use

  Yes

  No

  N/A

4.4.6.5 Evaluation of the Hazard Identification, Assessment and Control Process

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.7 Emergency Preparedness and Response

• 119. Potential emergency situations have been identified.

  Yes

  No

  N/A

• 120. Emergency procedures are documented and regularly reviewed.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.5.1 Monitoring and Measurement - General

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 138. Inspection, measuring and test equipment related to health and safety is appropriate identified, calibrated, maintained and stored.

  Yes

  No

  N/A

4.5.1.2 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.

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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>

  Yes

  No

  N/A

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>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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>

  Yes

  No

  N/A

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>

  Yes

  No

  N/A