Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
4.2 POLICY
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Is there an occupational health and safety policy authorized by the organizations top management, clearly stating the overall OHS objectives and demonstrates a commitment to improving OHS performance and signed by CEO or manager
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Is this policy prominently displayed for all parties to view
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Is it appropriate to the nature and scale of the organizations's OHS risks?
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Does it include the commitment to establish measurable objectives and targets to ensure continued improvement aimed at elimination of work-related injury and illness?
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Does it include a commitment to comply with relevant OHS legislation and with other requirement placed upon the organization or to which the organization subscribes to?
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Is it documented, implemented, maintained and communicated to all employees?
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Is it available to interested parties?
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Has it been reviewed periodically to ensure it remains relevant and appropriate to the organization?
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Are their elected OHS Representatives and how are they identified?
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Is there an OHS Committee established ?
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If so how are the members Identified?
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Are the minutes recorded and made available to all interested parties
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What form is the evidence collected? (D= Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.3 Identification of Hazards, Hazard/Risk Assessment and Control of Hazards/Risks
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Has the organization established, implemented and maintained documented procedures to identify the OHS hazards and assessed and controlled the associated hazards/risks of activities, products and services over which the organization has control or influence, including activities, products or services of contractors or suppliers?
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Has the organization developed its methodology for hazard identification, hazard/risk assessment and hazard/risk control, based on its operational experience and its commitment to eliminate workplace illness and injury.
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Is this methodology kept up-to-date?
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Are all incidents and injuries reported and how ?
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Are all work methods reviewed regularly and if so how
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Is a system in place for Inducting and monitoring of contractors on site?
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Do Contractors provide a HSE (OHS) Plan for work ?
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Are there documented SWMS or JHA,THA, JSA used and captured in the Risk Register
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Is Induction training given to all employees ?
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Are workplace inspections done and how frequently and are the checklists recorded >
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is a system for notifying the statutory authorities of notifiable incidents implemented?
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Are all incidents and injuries fully investigated ?
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Are safety Warning signs posted in hazard areas ?
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Have risk assessments been carried out of all tasks to identify hazards
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Are controls documented in the hazard risk register
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Is the risk register reviewed and if so what time frame is allocated
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.4 Legal and other requirements
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Has the organization established, implemented and maintained procedures to identify and have access to all legal and other requirements that are directly applicable to the OHS issues related to its activities, products or services, including relevant relationships with contractors and suppliers?
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Has the organization kept this information up-to-date as well as communicated relevant information on legal and other requirements to its employees?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.5 Objectives and Targets
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Has the organization established, implemented and maintained documented OHS obectives and targets at each relevant function and level within the organization?
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When establishing and reviewing its objectives, does the organization consider its legal and other requirements, its OHS hazards and risks, its technological options, its operational and business requirements and the views of interested parties?
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Are the objectives and targets consistent with the OHS policy, including the commitment to measuring and improving OHS performance?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.6 OHS Management Plans
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Has the organization established and maintained management plans for achieving its objectives and targets?
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What was the last review date
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A planned systematic approach to monitor and review
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Has the organization established procedures to ensure that current plans are reviewed, and if necessary amended these procedures to address such changes at regular and planned intervals, and whenever there are changes to the activities, products or services of the organization or significant changes in operating conditions?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
5.0 IMPLEMENTATION
5.1 Structure and Responsibility
5.1.1 Resources
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Has the organization's management identified and provided the resources required to implement, maintain, and improve their OHSMS? (Resources such as human resources, and specialized skills, technology and financial resources?)
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
5.1.2 Responsibility and Accountability
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Has the organization defined, documented and communicated the areas of accountability and responsibility (including those imposed by OHS legislation) of all personnel involved in the OHSMS's operation? ie Organisation Chart
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Where contractors are involved, are these areas of accountability and responsibility clarified with respect to those contractors?
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Has the organization's top management appointed a specific management representative/s who, irrespective of other responsibilities, has defined roles, responsibilities and authority for ensuring that OHSMS requirements are established, implemented and maintained in accordance with this Standard, and reporting on the performance of the OHSMS to top management for review and as a basis for improvement of the OHSMS
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
5.2 Environmental Protection
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Does the company have an Environmental safety Policy signed by the CEO and disseminated to all staff?
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Are work practices designed to reduce impact on the environment?
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Are procedures developed to ensure compliance with the policy?
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Are products and substances used which reduce impact of company operations on the environment
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Are documented procedures available for the disposal of waste and used hazardous substances?
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Are procedures developed to ensure compliance with policy?
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Does the company have a recycling policy?
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Are recycled products used where ever possible
5.3 Training and Competency
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Has a training needs analysis been completed ?
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Has all completed training been entered into the training matrix?
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Has the organisation a formal induction which is site specific
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Do temporary workers and contractors receive specific induction training before exposure ?
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Has the organization, in consultation with employees, identified training needs in relation to performing work activities competently, including OHS training?
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Is the training and induction reviewed at least annually to ensure that all the information is still relevant?
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Are procedures in place to ensure that OHS competencies are developed and maintained?
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Are personnel assessed as competent on the basis of skills achieved through education, training or experience, to perform assigned tasks taking into account the OHS obligations, hazards and risks associated with the work activities?
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Are procedures developed for providing OHS training? Do these procedures take into account:
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Are suitable venue, facilities and equipment available for training to be effectively conducted
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What are the characteristics and composition of the workforce and how do they impact on occupational health and safety of the workforce
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Have the responsibilities, hazards and risks been identified and controlled is so how ?
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Has the organization ensured that all personnel (including contractors and visitors) have undertaken training appropriate to the needs identified?
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Is this training carried out by persons with appropriate knowledge, skills and experience in OHS and training?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
5.4 Consultation, Communication and Reporting
5.4.1 Consultation
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Have the employees ?
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a) been involved in the development, implementation and review of policies and procedures to identify hazards and assess and control hazards/risks?
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b) been consulted where there are any changes that affect workplace OHS,
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c) selected those who will represent them on OHS matters, and
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d) been informed as to who is/are their employee OHS representative(s) and specified management representatives?
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Are there documented procedures, agreed to by employees, for employee involvement and consultation in OHS issues? ( issue resolution procedure ) Is information regarding the arrangements made available to interested parties?
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Are those representing the employees and employer receiving appropriate training to undertake effectively, their involvement in the development, implementation and review of OHS arrangements?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
5.4.2 Communication
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Does the organisation have procedures for ensuring that pertinent OHS information is communicated to and from employees and other interested parties?
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How is information disseminated to all relevant parties? IE notice board , electronic medium , memo, toolbox
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How is this recored that information has been transferred and understood ?
5.5 Reporting
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Are appropriate procedures for relevant and timely reporting of information established to ensure the OHSMS is monitored and performance improved?
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Are reporting procedures established to cover the following:
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a) OHS performance reporting (including results of OHS audits and reviews)
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b) Reporting of incidents and system failures
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c) Reporting on hazard identifications
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d) Reporting on hazard/risk assessment
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e) Reporting on preventative and corrective actions
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f) Statutory reporting requirements
5.5.1 Documentation
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Has the organisation established, implemented and maintained information, in a suitable medium such as print or electronic form to:
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a) describe the core elements of the management system and their interaction; and
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b) provide direction to related documentation?
5.6 Document and Data Control
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Has the organisation established, implemented and maintained procedures for controlling all relevant documents and data required by this Standard to ensure that:
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a) they can be readily located;
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b) they are periodically reviewed, revised as necessary and approved for adequacy by competent and responsible personnel;
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c) current versions of relevant documents and data are available at all locations where operations essential to the effective functioning of the OHSMS are performed;
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d) obsolete documents and data are promptly removed from all points of issue and points of use or otherwise assured against unintended use; and
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e) archival documents and data retained for legal or knowledge preservation purposes or both, are suitably identified.
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Is this documentation and data legible, dated (with dates of revision) and readily identifiable and maintained in an orderly manner for a specified period? Are procedures and responsibilities established and maintained concerning the creation and modification of the various types of documents and data?
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Has the organisation precluded the use of obsolete documents?
6.0 General
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Has the organisation established, implemented and maintained documented procedures to ensure that:
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a) hazards are identified;
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b) hazards/risks are assessed;
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c) hazards/risks are controlled; and then
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d) steps (a) to (c) are evaluated.
6.1 Lighting
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Has an analysis been made of work and task lighting requirements in all areas
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Is lighting adequate for the tasks being carried out.
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Is additional task lighting provided in areas where building lighting is deemed insufficent?
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Is there a reporting system for faulty lighting?
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Are external areas (car parks, walkways etc) adequately illuminated for security and safety?
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Is lighting provided in areas where natural is insufficient or unavailable ?
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Are regular inspections made of lighting conditions
6.2 Ventilation
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Is a local exhaust ventilation used where harmful contaminates are generated
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Is sufficient ventilation available to remove gas emissions and exhaust gases from machinery?
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Is additional ventilation provided in areas where higher levels of contamination may be encountered ?
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Is adequate ventilation provided in workplaces to provide sufficient fresh air and safety?
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Is dust extraction equipment used where dust is generated by machinery or processes?
6.3 Electrical
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Is testing carried out at specified intervals
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Is a register kept of all electrical
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Are power tools, leads, etc, checked before use how is this inspection captured
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Are all work circuits protected by RCD?
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Are all safety switches used with portable tools
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Are only approved outlets used and not overloaded by using power boards
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Are emergency switches clearly marked
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Are records kept of all testing and repairs
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Is electrical work only carried out by licensed electrical personal only? how is this documented ?
6.4 Noise Control
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Have all areas been assessed for the presence of harmful noise levels. ?
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Have surveys been conducted to determine any identified noise exposure areas
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Are all persons in identified areas of noise hazards been issued the appropriate hearing protection
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Has training been completed for the use of the hearing protection
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Are record kept for base line results of Audiometric Testing Completed
6.5 Workplace Ergonomics
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Is work stations design and seating meet Australian Standards ?
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Has surveys been completed for any identified areas of concern ?
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Is where possible twisting of the body been eliminated or minimised and by what method has this been achieved and recorded?
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Have workers received the required training.
6.6 Manual Handling
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Are risk Assessments done for all manual handling tasks ?
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Are mechanical aids provided and used where heavy loads are moved regularly?
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Are workers trained in safe lifting practices?
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Is assistance available when the task will be too hazardous for a person attempting to lift a heavy load
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Is Suitable PPE provided where rough, sharp,hot or cold objects are to handled
6.7 Materials Storage & Handling
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Are pallet racks and shelves in good condition and show SWL as per AS/NZ
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Are all stored items in stable containers and clearly labeled with weight and contents
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Are small and loose items stored in a way to prevent them from falling
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Are heavier items stored on the lower racks
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Are floors and aisles kept clear and clean
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Are Hazardous goods clearly identified
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Are pallets and drums in good condition
6.8 Hazardous Processes
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Are tasks such as welding, use of paints, coatings blast cleaning etc assessed to identify risks and suitability of effective controls
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Are documented safe work procedures available for all hazardous processes?
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Are procedures reviewed to ensure that they are not affected by material or process change
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Have all persons engaged in hazardous processes been instructed in the safe work procedures for the task?
6.8 Hazard Identification
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Does the identification of hazards in the workplace take into account:
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a) the situation or events or combination of circumstances that has the potential to give rise to injury or illness;
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b) the nature of potential injury or illness relevant to the activity, product or service; and
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c) past injuries, incidents and illnesses?
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Does the identification process also include consideration of:
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a) the way work is organised, managed, carried out and any changes that occur in this;
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b) the design of workplaces, work processes, materials, plant and equipment;
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c) the fabrication, installation and commissioning and handling and disposal (of materials, workplaces and plant and equipment);
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d) the purchasing of goods and services;
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e) the contracting and subcontracting of plant, equipment, services and labour, including contract specification and responsibilities to and by contractors; and
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f) the inspection, maintenance, testing, repair and replacement (of plant and equipment).
6.9 Confined Spaces
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Are all hazardous process areas clearly identified and entry restricted to authorised personal only
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Have all confined spaces on site been identified, labelled and entered in a confined space register?
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Has a risk assessment been carried out for each confined space and entered onto the confined space hazard register
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Are confined space entry permits used ?
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Are there confined space procedures and what is the review date
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Are all workers who work in confined space entry trained in accordance to AS/NZ 2865
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Is all rescue and emergency equipment available on site when a confined space entry is required
6.10 Hot Works
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Have risk assessments been carried out for all operations where hot works are being performed
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Are hot work procedures developed and implemented for those tasks
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Do procedures include arrangements for emergencies such as fire etc
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Are hot work permits used for hazardous hot work tasks
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Is a register kept of all hazardous process training
6.11 Spray Painting
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Are current MSDS available for all paints and coating used
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Is protective equipment provided for spray painting suitable for the types of identified hazards
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Is spray painting carried out in a spray booth where practicable to do so
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When spray painting is conducted outdoors is it done in such a way to minimise effects to any other workers
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Are means provided to prevent contamination by waste and spilt materials
6.11 Hazardous Substance - Administration
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Are hazardous material identified and required control measures advised where they are to be used?
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Are MSDS available for all substances used in the workplace
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Is there a chemical risk register ( when was last review date)
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Is there a MSDS register and review dates ( Not older than 5 years)
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Has risk assessments been carried out for all hazardous chemicals <br><br>
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What is the risk Matrix that has been used for this assessment
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Are workers trained in the safe handling of hazardous substances
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Are storages constructed to required Standards and secured against unauthorised entry
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Are large storages placarded to Dangerous goods regulations requirements
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Are all substances stored in correctly labelled approved containers
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Are all fire and ignition risks properly controlled
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Is all PPE stored and maintained correctly
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Is appropriate emergency equipment (eye wash, shower, spill kit, extinguisher) available and in good serviceability order
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Do user follow correct personal hygiene procedures
6.12 Working at Heights
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Have all areas where a person could fall from heights been identified and assessed
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Is there a heights register
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Have risk assessments been carried out for all heights risks
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Is there a heights permit system in place
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Are all edges from which a person could fall from one level to another been protected by a certified edge protection
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Are Ladders and walkways provided and erected in compliance with regulatory standards
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Are work procedures developed and implemented for all tasks where a person may be at risk of falling
6.13 Height access equipment
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Are pre and post start safety checks carried out before use
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Are safety harness attachment points provided in all EWP units
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Are certification of operators evidence captured on site
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Are pre start sheets completed on all EWP equipment before operation
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Are workers trained in safe procedures for work at heights including heights rescue procedures
6.14 Vehicle and Trucks
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Is a register kept of all licensed drivers
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Are pre start log books provided for all vehicles and filled out correctly
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Is this audited
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Is private use of the vehicle (allowed) Monitored
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Is a maintenance schedule provided with each vehicle
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Is their a fleet controller
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Are all mechanical inspections undertaken by qualified personal
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Is there tare capacity and GVM marked on load carrying vehicles
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Are all insurances for vehicles suitable for the class of vehicle and for the drivers of them
6.15 Protective Clothing and Equipment
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Have risk assessments been conducted for all work areas and processes to determine the appropriate PPE
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Are these requirements documented in the form of task based areas using SWMS,JSA,THA,or JHA
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Are the mandatory safety signs displayed in areas where PPE is required to be worn.
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Is PPE available to all persons who work or enter into areas where PPE is required to be worn
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Are all persons who use PPE instructed in the use and care of the PPE and is this training documented
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Is the use of the PPE Monitored , documented and reviewed
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Are records kept of PPE issue and replacement
7.0 Visitor Controls
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Are visitor controls clearly displayed to all persons coming on or into the workplace?
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Are visitors formally required to sign in and out of site
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Is there a means of identifying visitors implemented
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Is there a visitors induction in place
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Are marked walkways provided for visitors to find their way around safely
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Are there clearly defined areas where visitors are not permitted?
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Is there suitable PPE provided for visitors in the workplace
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Are visitors advised of emergency procedures
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Is there a separate area for visitors car parking
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Is there special disable car parking areas available if required
7.1 Contractor Management
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Are contractors aware of company OHS policies and rules before commencing work
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Are contractor site inductions carried out before work is commenced on site
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Is drug and alcohol testing completed for contractors before work commences
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Are copies of contractor SMP sighted and signed off on prior to starting contract
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Are all tools and Electronic equipment tagging checked prior to work commencing
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Are copies of all certifications required to do the task on site
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Are copies of all contractor insurances on site ?
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Are work plans required to specify controls to protect public and environmental concerns
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Are scope of work plans required to include procedures for reinstatement of work sites ie clean up
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Has risk assessments been completed to interface with site SMP
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Has a safe access to work areas been provided for contractors
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Has checks been made of contractors equipment for compliance and safety
7.2 First Aid and Injuries
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Is a first aid kit or room readily available for every employee or worker
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Are the first aid rooms clearly marked and easily identifiable
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Are the first aid kits and rooms clearly marked?
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Are first aid kits properly maintained
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Are the names of the first aiders displayed ?
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Do First Aiders hold current First Aid Certificates ?
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Are First Aid kits provided in vehicles and on worksites
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Are these kits kept up to date and replenished?
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Is this data captured (how)
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Are all workplace injuries reported using the correct company protocols ?
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Are the mechanics and mechanisms of injuries being captured so as to work out trends of injury data
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Are the outcomes of incidents discussed at management meetings ?
7.3 Injury Management Systems
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Does the company have a documented return to work and rehabilitation policy
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Is a case manager or RTW/Rehab. Officer appointed
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Are cases discussed with employees and their supervisors
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Are suitable alternative duties available for employees returning to work?
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Are employees returning to work from injury or illness closely monitored
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Are all rehabilitation cases fully documented
7.4 Workplace Amenities
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Are separate eating areas provided
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Are suitable and sufficient tables and chairs provided for all employees to be seated to consume their meals?
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Are eating areas cleaned regularly after each meal
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Are there facilities for keeping and reheating meals available ?
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Are sufficient toilets provided for each gender ?
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Is adequate supply of cool drinking water available for workers in all workplaces
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Are toilets and showers cleaned daily ?
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Are sufficient consumables made available in washrooms and toilets
7.5 Plant and equipment Administration
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Is WWL clearly marked on lifting equipment ?
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Are warnings and instructions clearly displayed
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Are warning devices and controls clearly marked ?
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Has a pre-start system been developed and implemented?
7.6 Plant and Equipment - Use and Maintenance
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Are all operators fully trained and licensed?
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Are daily inspection checks made before use ?
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Are records of inspections and checks kept?
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Are safe work procedures available for all plant?
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Are PPE needs for plant use identified?
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Is a plant risk assessment completed before the purchase of equipment to ensure that it is fit for task?
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Are operating practices satisfactory?
7.7 Plant and Equipment - Lock Out procedures
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Ia all machinery capable of being locked out?
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Are all machines locked out before maintenance?
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Are lockout procedures strictly enforced
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Are all lock outs issued keyed independently?
7.8 Load Shifting Equipment
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Are pre-starts completed and records kept?
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Are reversing alarms and flashing lights operating?
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Are all operators competency checked and recorded in site training matrix?
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Are load charts fitted to all cranes and excavators?
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Are ropes, slings , and fittings checked regularly and tested by an accredited tester annually?
7.9 Hazard/Risk Control
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Are all hazards/risk, identified through the assessment process as requiring control, controlled through a preferred order of control methods (hierarchy of controls), based on reasonable practicality? Is ELIMINATION the first method of control considered?
7.9.1 Evaluation
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Are hazard identification, hazard/risk assessment and control processes subject to a documented evaluation of effectiveness and modified as necessary?
8.0 Emergency Preparedness and Response
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Are all potential emergency situations identified and emergency procedures documented for preventing and mitigating the associated illness and injury?
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Has the organisation reviewed then revised, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of incidents or emergency situations?
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Has the organisation periodically tested such procedures? (NOTE: it may not be practicable to test some procedures, in which case training and efficacy should be tested by other means)
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Are these procedures prominently displayed ?
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Are training drills carried out at least annually ?
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Have all persons been instructed in the procedures
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Have persons in each work area been trained in the use of fire extinguishers?
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Are fire appliances checked every 6 months
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Are fire exits marked and unobstructed ?
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Are fire alarms and emergency warning systems tested at least monthly?
8.1 Health Surveillance
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Has the organisation identified those situations where employee health surveillance is required and implemented appropriate systems? Do employees have access to their own individual results?
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Where specified by legislation, is the health of employees exposed to specific hazards monitored and recorded?
8.2 Incident Investigation, Corrective and Preventative Action
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Has the organisation established, implemented and maintained procedures for:
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a) investigating, responding to , and taking action to minimise any harm caused from incidents;
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b) investigating and responding to system failures; and
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c) initiating and completing appropriate corrective and preventative action.
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Has the organisation implemented and recorded any changes in the OHSMS procedures resulting from incident investigations and corrective and preventive action?
8.3 Records and Record Management
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Has the organisation established, implemented and maintained procedures for the identification, maintenance and disposition of OHS records, as well as the results of audits and reviews?
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Are OHS records legible, identifiable and traceable to the activity, product or service involved? Are OHS records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration and loss? Are their retention times established and recorded?
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Are records maintained, as appropriate to the system and to the organisation, to demonstrate conformance to the requirements of this Standard?
9.0 OHSMS Audit
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Has the organisation established, implemented and maintained an audit program and procedures for periodic OHSMS audits to be carried out by a competent persons, in order to:
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a) determine whether the OHSMS:
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i) conforms to planned arrangements for OHS management including the requirements of this Standard;
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iii) is effective in meeting the organisation's policy as well as objectives and targets for continual OHS improvement; and
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b) provide information on the results of audits to management and employees.
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Is the audit program, including any schedule, based on the OHS importance of the activity concerned, and the results of previous audits? Does the audit procedure cover the scope, frequency, methodologies and competencies, as well as the responsibilities and requirements for conducting audits and reporting results?
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ii) has been properly implemented and maintained; and
9.1 MANAGEMENT REVIEW
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Has the organisation's top management, at intervals that it determines, reviewed the OHSMS to ensure its continuing suitability, adequacy and effectiveness?
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Has the management reviewed processes to ensure that the necessary information is collected to allow management to carry out this evaluation? Is this review documented?
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Does management review the continued relevance of, and change where appropriate, policy, objectives, responsibilities and other elements of the OHSMS, in the light of OHSMS audit results, changing circumstances and the commitment to continual improvement?
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