National Self Insurance Audit Tool V.3

Information

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

Company Disclaimer

The auditor believe the information contained within this audit report to be correct at the time of printing. The auditors do not accept responsibility for any consequences arising from the use of the information herein. The report is based on matters which were observed or came to the attention of the auditor during the day of the audit and should not be relied upon as an exhaustive record of all possible risks or hazards that may exist or potential improvements that can be made.

Information on the current workers compensation and WHS laws can be found at the relevant
State WorkCover/WorkSafe Authority or equivalent international regulatory body.

People Safety

Company Confidentiality Statement

This audit activity is conducted by Safety in accordance with the requirements stipulated in the Policy Manual.

Actions resulting from audit assurance activity are treated as "Commercially in confidence" reports, summaries and corrective action management will be logged and tracked.

Executive Summary

Purpose
Scope
Methodology
Findings

Findings and Recommendations

Element 1: Health and safety policy

1.1 Policy

1.1.1 Senior management in consultation with all employees and/or their representatives shall define and document its policy for, and commitment to, health and safety. The policy shall be endorsed and supported by the most senior management within the organisation – eg the Chief Executive Officer or Managing Director. The health and safety policy shall be developed consistent with relevant legislative requirements and include a commitment to: a. the risk management process and ensure consistency with the nature of workplace activities and scale of health and safety risks b. comply with relevant health and safety legislation and other requirements placed upon the organisation or to which the organisation subscribes c. establish measurable objectives and targets for health and safety to ensure continuous improvement aimed at elimination of work-related illness and injury d. the provision of appropriate health and safety training to all employees e. the consultation process to ensure all employees are included in the decision making where there is an impact on workplace health and safety f. the dissemination of health and safety information to all employees, contractors, labour hire employees and visitors to the workplace g. effective implementation of the health and safety policy.
1.1.2 The health and safety policy is available to other interested parties, including regulatory authorities, suppliers, contractors, and those visiting the workplace.
1.1.3 The health and safety policy is maintained and reviewed periodically to ensure it remains relevant and appropriate to the organisation’s health and safety risks.

Scoring Element 1

Scoring

Element 2: Planning

2.1 Legal requirements and practical guidance

2.1.1 The organisation identifies and monitors the content of all health and safety legislation, standards, codes of practice, agreements and guidelines relevant to its operation.
2.1.2 The organisation’s procedures, work instructions and work practices reflect the requirements of current health and safety legislation, standards, codes of practice, agreements and guidelines.
2.1.3 Relevant personnel in the organisation are advised of, and have ready access to, current relevant health and safety legislation, standards, codes of practice, agreements and guidelines.
2.1.4 The organisation and/or individual satisfies legal requirements to undertake specific activities, perform work or operate equipment including any: a. licence b. certificate of competency c. notification d. registration e. approval or exemption f. other relevant requirements.
2.1.5 Changes to health and safety legislation, standards, codes of practice, agreements and guidelines generate a review of existing procedures.

2.2 Objectives and targets

2.2.1 Health and safety objectives and targets consistent with the organisation’s health and safety policy are documented, are appropriate to the organisation’s activities and consider: a. legal requirements b. standards, codes and guidelines c. health and safety hazards and risks d. past health and safety performance (as defined by the organisation’s system requirements) e. technological developments f. leadership and worker participation.
2.2.2 Specific health and safety objectives and measurable targets have been assigned to all relevant functions and levels within the organisation.
2.2.3 The organisation sets health and safety performance indicators that are consistent with its objectives and targets.

2.3 Health and safety management plans

2.3.1 In addition to defining the means by which the organisation will achieve its objectives and targets, the health and safety management plan(s): a. responds to legal requirements b. is based on an analysis of information relevant to the nature of the organisation’s activities, processes, products or services c. takes account of identified hazards and health and safety management system failures d. aims to eliminate or reduce workplace illness and injury e. defines the organisation’s priorities f. sets timeframes g. allocates responsibility for achieving objectives and targets to relevant functional levels h. states how the plan will be monitored.
2.3.2 The organisation monitors its progress towards meeting the objectives and targets set in the health and safety management plan and takes corrective actions to ensure progress is maintained.
2.3.3 The organisation shall ensure health and safety management plans are kept up-to-date by reviewing the plan(s): a. on a regular basis b. when there are changes to the organisation’s activities, processes, products or services.

Scoring Element 2

Scoring

Element 3: Implementation

3.1 Structure and responsibility – Resources

3.1.1 Financial and physical resources have been identified, allocated and are periodically reviewed, to enable the effective implementation and improvement of the organisation’s health and safety management system.
3.1.2 There are sufficient qualified and competent persons to implement the organisation’s health and safety management system as identified through a documented review.

3.2 Structure and responsibility – Responsibility and accountability

3.2.1 Senior management understand the organisation’s legal obligations for health and safety and can demonstrate how they fulfil them.
3.2.2 A member(s) of senior management or the board of directors has been allocated overall responsibility for the health and safety management system and reports to that group on its performance.
3.2.3 The specific health and safety responsibilities (including legislative obligations), authority to act and reporting relationships in the organisation have been defined, documented and communicated.
3.2.4 Where contractors are utilised in the organisation, the health and safety responsibilities and accountabilities of the organisation and the contractor(s) have been clearly defined, allocated and communicated within the organisation and to the contractor(s) and their workers.
3.2.5 Workers are held accountable for health and safety performance in accordance with their defined responsibilities.

3.3 Structure and responsibility – Training and competency

3.3.1 The organisation has a procedure for identifying and defining the health and safety training needs of employees, contractors, labour hire employees or visitors, where relevant.
3.3.2 The organisation consults with employees to identify their training needs in relation to performing their work activities safely.
3.3.3 A documented training plan(s) based on training needs shall be developed and implemented.
3.3.4 The organisation trains workers (as appropriate) to perform their work safely, and verifies their understanding of that training.
3.3.5 The organisation has an induction program for all workers including management, which is based on their likely risk exposure, and provides relevant instruction in the organisation’s health and safety policy and procedures.
3.3.6 Training and assessment is delivered by competent persons with appropriate knowledge, skills and experience.
3.3.7 The health and safety requirements of tasks are identified, applied to the recruitment and placement of workers, and tasks are allocated according to their capability and level of training.
3.3.8 Management has received training in health and safety management principles and practices appropriate to their role and responsibilities within the organisation, and the relevant health and safety legislation.
3.3.9 Those representing the employer and the workers on health and safety matters, including representatives on consultative committee(s), receive appropriate training to enable them to undertake their representative roles effectively.
3.3.10 Refresher training (as identified by the training needs) is provided to all workers to enable them to perform their tasks safely.
3.3.11 The training program is reviewed on a regular basis, and when there are changes in the workplace that impact on the health and safety of workers, to ensure that the skills and competencies of workers remain relevant.

3.4 Consultation, communication and reporting – Consultation

3.4.1 There are procedures agreed to by workers outlining their involvement and consultation in: a. health and safety matters b. health and safety issues c. any proposed changes to the work environment, processes, practices or purchasing decisions that impact on their health and safety.
3.4.2 The organisation has: a. in consultation with workers, determined the number of worker representatives required to effectively represent all work groups b. made arrangements to allow the workers to select those who will represent them on health and safety matters consistent with legislative requirements c. communicated the consultative arrangements to workers, including names of their worker and employer representatives for health and safety matters
3.4.3 Those who represent workers on health and safety matters: a. are provided time and resources to effectively undertake this role b. meet regularly with management about health and safety issues and the minutes of their meetings are available to all workers.
3.4.4 Workers 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.

3.5 Consultation, communication and reporting – Communication

3.5.1 The organisation’s health and safety policy and other relevant information on health and safety are communicated to all workers, and consider language and standards of literacy.
3.5.2 The organisation regularly communicates to workers about the progress towards the resolution of health and safety disputes.
3.5.3 There are procedures for the exchange of relevant health and safety information with external parties, including customers, suppliers, contractors and relevant public authorities.
3.5.4 There is a procedure that encompasses health and safety issues for dealing with formal and informal complaints received from external parties.

3.6 Consultation, communication and reporting – Reporting

3.6.1 Workplace injuries and illnesses, incidents and health and safety hazards, dangerous occurrences and system failures, are reported and recorded in accordance with relevant procedures.
3.6.2 Where there is a legislative requirement, injuries, illnesses, incidents and dangerous occurrences are notified to the appropriate authorities within the stipulated timeframes.
3.6.3 Reports on health and safety inspections, testing and monitoring, including recommendations for corrective action, are produced and forwarded to senior management and worker representative(s) as appropriate.
3.6.4 Regular, timely reports on health and safety performance, including reports against health and safety objectives, targets and management plans are produced and distributed within the organisation.
3.6.5 Reports of audits and reviews of the health and safety management system are produced and distributed within the organisation.
3.6.6 The organisation’s annual report or an equivalent document includes information about health and safety performance.

3.7 Documentation

3.7.1 The organisation’s health and safety policy, plans and procedures are documented in a planned and organised manner.
3.7.2 Specific instructions and safe work procedures associated with particular products, processes, projects or sites have been developed where appropriate.

3.8 Document and data control

3.8.1 The organisation has a system for creating, modifying and approving health and safety documents and data, and notifying relevant persons of any changes. Obsolete documents and data are identified and retained (where required) for legal and/or knowledge preservation purposes and are removed from all points to prevent unintended use.
3.8.2 Documents and data critical to health and safety shall be clearly identifiable, duly authorised prior to issue, kept legible and include their issue status.
3.8.3 The organisation provides workers with ready access to relevant health and safety documents and data and advises them of its availability.
3.8.4 Documents and data are regularly reviewed by competent persons to ensure their effectiveness, suitability and the currency of the information.

3.9 Health and safety risk management program

3.9.1 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.
3.9.2 The organisation has identified the hazards, including public safety hazards that are associated with its activities, processes, products or services; assessed the risks involved; and implemented suitable control measures in accordance with the organisation’s methodology.
3.9.3 The hazard identification, risk assessment and risk control process is undertaken by persons competent in the use of the organisation’s methodology.
3.9.4 The organisation documents all identified hazards, risk assessments and risk control plans.
3.9.5 Risks of identified hazards are assessed in consultation with workers having regard to the likelihood and consequence of injury, illness or incidents occurring, taking into consideration: a. legal requirements b. evaluation of available information c. records of incidents, illness and disease d. the potential for emergency situations.
3.9.6 The level of risk is assessed and used to prioritise the implementation of risk control measures.
3.9.7 Risk management methodology and its associated procedures shall be reviewed and revised where necessary to ensure relevance, adequacy and compliance with health and safety management system requirements.
3.9.8 The organisation has a program for identifying and managing change that may impact on health and safety.

3.10 Hazard identification, risk assessment and control of risks

3.10.1 The organisation determines those areas where access controls are required and ensures effective controls are implemented and maintained.
3.10.2 Health and safety requirements are identified, evaluated and incorporated into all purchasing specifications for services.
3.10.3 The ability to meet health and safety requirements is assessed in the selection of contractors and labour hire employees.
3.10.4 Contractor health and safety performance is monitored and reviewed to ensure continued adherence to the organisation’s health and safety requirements or specifications.
3.10.5 The organisation determines its health and safety requirements prior to the purchase of goods, and communicates those specifications to the supplier.
3.10.6 Procedures shall be established and implemented for verifying that purchased goods meet health and safety requirements and any discrepancies identified are addressed before the goods are put into operational use.
3.10.7 Hazard identification, risk assessment and the development of control measures are undertaken during the design stage of plant, products, buildings or processes, or when the design is modified.
3.10.8 Competent persons verify that designs and modifications meet specified health and safety requirements.
3.10.9 There are procedures to ensure that materials and substances are disposed of in a manner that minimises risk of personal injury and illness.
3.10.10 Facilities and amenities in the workplace conform, as a minimum, to relevant legislation, standards and codes of practice.
3.10.11 The organisation has a program for the safe use, handling, transfer, inventory management and transport of hazardous chemicals.
3.10.12 Comprehensive health and safety information on all hazardous chemicals is readily accessible.
3.10.13 The organisation ensures that hazardous chemicals are stored safely and in accordance with legislative requirements.
3.10.14 The organisation has permit to work procedures for use when required.
3.10.15 Where personal protective equipment is required, it is appropriate for the task, its provision is accompanied by suitable training or instruction, and it is used correctly and maintained in a serviceable condition.
3.10.16 Plant and equipment is maintained to ensure safe operational use and a record is kept which includes (but is not limited to) relevant details of inspections, maintenance, repair and alteration of plant.
3.10.17 There is a procedure for unsafe plant and equipment to be identified and quarantined or withdrawn from service.
3.10.18 Controls are implemented to ensure the safety of persons (including members of the public) while plant and equipment is in the process of being cleaned, serviced, repaired or altered.
3.10.20 Safety signs, including regulatory, hazard, emergency information and fire signs, meet relevant standards and codes of practice, and are displayed in accordance with legal and organisational requirements.
3.10.19 Competent persons verify that plant and equipment is safe before being returned to service after repair or alteration.
3.10.21 There are procedures to ensure that materials are transported, handled and stored in a safe manner.
3.10.22 Workers are supervised according to their capabilities and the degree of risk of the task they are undertaking, to ensure that tasks are performed safely and work instructions and procedures are followed.
3.10.23 The organisation has a program to effectively manage the safety of its workers when working at workplaces not under the control of the organisation.
3.10.24 Customer-supplied goods and services used in the organisation’s work processes are subject to hazard identification, risk assessment and control prior to use.
3.10.25 All substances in containers and transfer systems are identified and clearly labelled to avoid inadvertent or inappropriate use.

3.11 Emergency preparedness and response

3.11.1 Potential emergency situations have been identified and an emergency plan is: a. developed for the organisation and its workplaces b. in accordance with legislative requirements c. regularly reviewed.
3.11.2 The organisation has allocated overall responsibility for control of emergency situations to specified individuals and communicated this information to all workers.
3.11.3 Workers receive training and practice in the emergency plan appropriate to their allocated emergency response responsibilities.
3.11.4 Competent persons have periodically assessed the suitability, location and accessibility of emergency equipment, including where changes to layout, equipment or process have occurred.
3.11.5 Emergency and fire protection equipment, exit signs and alarm systems are inspected, tested and maintained at regular intervals.
3.11.6 The organisation has a system in place to ensure emergency authorities are informed of relevant hazards on-site (including hazardous chemicals) when attending an emergency.
3.11.7 The organisation has assessed its first aid requirements and the first aid program is in place.
3.11.8 The organisation has a procedure(s) to assist workers who are exposed to critical incidents at work.

Scoring Element 3

Scoring

Element 4: Measurement and evaluation

4.1 Monitoring and measurement – General

4.1.1 There is a health and safety inspection, testing and monitoring program that incorporates timely and effective corrective action processes.
4.1.2 Inspections seek input and involvement from the workers who are required to undertake the tasks being inspected.
4.1.3 Engineering controls, including safety devices, are regularly inspected and tested (where appropriate) to ensure their integrity.
4.1.4 Monitoring of the workplace environment (general and personal) is conducted where appropriate and records of the results are maintained.
4.1.5 Inspection, measuring and test equipment related to health and safety monitoring is appropriately identified, calibrated, maintained and stored.

4.2 Monitoring and measurement – Health surveillance

4.2.1 The organisation has identified those situations where workers’ health surveillance should occur and has procedures to conduct this surveillance. The health of workers exposed to specific hazards is monitored, recorded, reported and action is taken to address any adverse effects.

4.3 Incident investigation and corrective action

4.3.1 There are procedures (incorporating appropriate methodologies) for investigating and implementing corrective action following injuries, illnesses, incidents and other system failures impacting on health and safety.
4.3.2 Investigations shall: a. be undertaken by a competent person(s) in accordance with the organisation’s procedure b. identify the factor(s) that led to the injury, illness, incident or other system failure c. review the identified hazards, assessed risks and effectiveness of the control measures d. recommend appropriate control measures and corrective actions.
4.3.3 Corrective actions are: a. determined in consultation with affected workers b. implemented in a timely manner c. assessed for their effectiveness by assigned personnel.

4.4 Records and records management

4.4.1 The organisation has a program for management of health and safety records including: a. identification and traceability b. collection, indexing and filing c. access and confidentiality d. retention and maintenance e. protection against damage, deterioration or loss f. retrieval g. disposal.

4.5 Health and safety management system audits

4.5.1 There is a health and safety management system audit program to verify the effectiveness of the organisation’s health and safety management system. The audit program takes into consideration health and safety risks and the results of previous audits.
4.5.2 The organisation ensures that scheduled audits are performed to verify that: a. workplace activities comply with health and safety procedures b. procedures are properly implemented and maintained c. procedures are effectively implemented across the organisation.
4.5.3 Deficiencies highlighted by the audits are prioritised and progress monitored to ensure corrective action is implemented.

Scoring Element 4

Scoring

Element 5: Management review

5.1.1 The organisation has a health and safety management system review program to ensure the continuing suitability and effectiveness of the system. The review program is undertaken with senior management and officer involvement, and takes into account: a. health and safety management system audit results b. objectives, targets and performance indicators c. changing circumstances d. opportunities for continuous improvements.
5.1.2 Recommendations arising from health and safety management system reviews generate actions to improve performance and those actions are implemented.

Scoring Element 5

Scoring

Non Conformances and Opportunities for Improvement

Scoring - Totals

Scoring Totals

Non Conformances

Non Conformances

Opportunities for Improvement - OFI

OFIs

National Self Insurance Audit Tool V.3

Free National Self Insurance Audit Tool V.3 Checklist

Go digital today!

Convert your paper checklists into digital forms

Company Disclaimer

Company Confidentiality Statement

Executive Summary

Findings and Recommendations

Element 1: Health and safety policy

1.1 Policy

Scoring Element 1

Element 2: Planning

2.1 Legal requirements and practical guidance

2.2 Objectives and targets

2.3 Health and safety management plans

Scoring Element 2

Element 3: Implementation

3.1 Structure and responsibility – Resources

3.2 Structure and responsibility – Responsibility and accountability

3.3 Structure and responsibility – Training and competency

3.4 Consultation, communication and reporting – Consultation

3.5 Consultation, communication and reporting – Communication

3.6 Consultation, communication and reporting – Reporting

3.7 Documentation

3.8 Document and data control

3.9 Health and safety risk management program

3.10 Hazard identification, risk assessment and control of risks

3.11 Emergency preparedness and response

Scoring Element 3

Element 4: Measurement and evaluation

4.1 Monitoring and measurement – General

4.2 Monitoring and measurement – Health surveillance

4.3 Incident investigation and corrective action

4.4 Records and records management

4.5 Health and safety management system audits

Scoring Element 4

Element 5: Management review

Scoring Element 5

Non Conformances and Opportunities for Improvement

Scoring - Totals

Non Conformances

Opportunities for Improvement - OFI

Related checklists