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
-
Select date
-
Methodology
-
Audit Team
-
Findings
Findings and Recommendations
Element 1: Health and Safety
Element 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 occupational health and safety.<br>The policy shall be endorsed and supported by the most senior person within the organisation such as the Chief Executive Officer or Managing Director. The health and safety policy shall include a commitment to:<br>a) The risk management process and ensure consistency with the nature of workplace activities and scale of health and safety risks;<br>b) Comply with relevant health and safety legislation and other requirements placed upon the organisation or to which organisation subscribes;<br>c) Establish measurable objectives and targets for health and safety to ensure continuous improvement aimed at elimination of work-related illness and injury;<br>d) Provision of appropriate health and safety training to all employees;<br>e) The consultation process to ensure all employees are included in the decision making processes impacting on workplace health and safety;<br>f) The dissemination of health and safety information to all employees, contractors, labour hire employees and visitors to the workplace;<br>g) Effective implementation of the health and safety policy.
-
1.1.2 The health and safety policy is available to other 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 organisations health and safety risks
Scoring Element 1
-
Scoring
Element 2: Planning
Element 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, code 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:<br>a) licence;<br>b) certificate of competency;<br>c) notification;<br>d) registration;<br>e) approval, exemption and/or <br>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.
Element 2.2 Objectives
-
2.2.1 Health and safety objectives and targets consistent with the organisations health and safety policy are documented, are appropriate to the organisations activities and consider:<br>a) legal requirements;<br>b) standards, codes and guidelines;<br>c) health and safety hazards and risks;<br>d) leadership and employee participation; and<br>e) technological developments
-
2.2.2 Specific health and safety objectives and measurable targets have been established for 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.
Element 2.3 Health and Safety Management Plans
-
2.3.1 There is a health and safety management plan(s) that defines the means by which the organisation will achieve its objectives and targets. The plan(s):<br>a) responds to legal requirements;<br>b) is based on an analysis of information relevant to the nature of the organisations activities, processes, products or services; <br>c) takes account of identified hazards and health and safety management systems failures;<br>d) aims to eliminate or reduce workplace illness and injury;<br>e) defines the organisations priorities;<br>f) sets timeframes;<br>g) allocates responsibility for achieving objectives and targets to relevant functional levels;<br>h) states how the plan will be monitored
-
2.3.2 The organisation documents it methodology to reduce health and safety risks through hazards identification, risk assessment and development of risk control measures in accordance with the 'hierarchy of controls' and legal requirements.
-
2.3.3 The organisation monitors its progress towards meeting the objectives and targets set in the health and safety plan and takes corrective actions to ensure progress is maintained.
-
2.3.4 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 organisations activities, processes, products or services.
Scoring Element 2
-
Scoring
Element 3: Implementation
Element 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 of the organisations health and safety system.
-
3.1.2 There are sufficient qualified and competent people to implement the organisations health and safety system.
-
3.1.3 Those who represent employees on health and safety matters are provided with time and resources to effectively undertake this role.
Element 3.2 Structure and Responsibility - Responsibility and Accountability
-
3.2.1 Senior management can demonstrate an understanding of the organisations legal obligations for health and safety.
-
3.2.2 A member 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 of all levels 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 employees.
-
3.2.5 Personnel are held accountable for health and safety performance in accordance with their defined responsibilities.
Element 3.3 Structure and Responsibility - Training and Competency
-
3.3.1 The specific requirements of tasks are identified and applied to the recruitment and placement of personnel.
-
3.3.2 The organisation has established and implemented procedures for identifying and defining the health and safety training needs (including any prescribed by legislation) for all employees, contractors, labour hire employees or visitors, where relevant. A written training plan/s based on the outcomes of the training needs shall be developed and implemented.
-
3.3.3 The organisation has an induction program for all personnel including management, which is based on their likely risk exposure, and provides relevant instruction in the organisations health and safety policy and procedures.
-
3.3.4 The organisation consults with employees to identify their training needs in relation to performing their work activities safely.
-
3.3.5 The organisation trains personnel to perform their work safely, and verifies their understanding of that training.
-
3.3.6 Training and assessment is delivered by persons with appropriate knowledge, skills and experience.
-
3.3.7 Tasks are allocated according to the capability and level of training of personnel.
-
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 employees on health and safety matters, including representatives on consultative committee/s, receive appropriate training to enable them to undertake their duties effectively.
-
3.3.10 Refresher training (as required) is provided to all personnel 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 to plant or processes in the workplace, to ensure that the skills and competences of personnel remain relevant.
Element 3.4 Consultation, Communication and Reporting - Consultation
-
3.4.1 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 are arise.
-
3.4.2 The organisation, in consultation with employees, has determined the number of employee representatives required to effectively represent all employee work groups.
-
3.4.3 The consultative arrangements allow the employees to select those who who will represent them on health and safety matters.
-
3.4.4 Details of the consultative arrangements, including the names of their employee and employer representatives for health and safety matters, are communicated to employees.
-
3.4.5 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.
-
3.4.6 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.
-
3.4.7 Employee representatives and management meet regularly about health and safety issues and minutes of their meetings are available to all personnel.
Element 3.5 Consultation, Communication and Reporting - Communication
-
3.5.1 The organisations health and safety policy and other relevant information on health and safety are communicated to all employees, and consider language and standards of literacy.
-
3.5.2 The organisation regularly communicates to employees the progress towards the resolution of health and safety disputes.
-
3.5.3 There are procedures for exchange of relevant health and safety information with external parties, including customers, suppliers, contractors and relevant public authorities.
-
3.5.4 There is a documented complaints procedure that encompasses health and safety issues for dealing with formal and informal complaints received from external parties.
Element 3.6 Consultation, Communication and Reporting - Reporting
-
3.6.1 Workplace injuries and illnesses, incidents and health and safety hazards, dangerous occurrences and systems failures are reported and recorded in accordance with documented procedures.
-
3.6.2 Where there is a legislative requirement, injuries, illnesses, incidents and dangerous occurrences are notified to the appropriate authorities.
-
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 employee representatives as appropriate.
-
3.6.4 Regular timely reports on health and safety performance are produced and distributed within the organisation.
-
3.6.5 Reports of audits and reviews of the health and safety system are produced and distributed within the organisation.
-
3.6.6 The organisations annual report or an equivalent document includes information about health and safety performance.
Element 3.7 Documentation
-
3.7.1 The organisations 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.
Element 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 personnel with ready access to relevant health and safety documents and data and advises them of its availability.<br>
-
3.8.4 Documents and data are regularly reviewed by competent persons to ensure the adequacy and currency of information
Element 3.9 Health and Safety Risk Management Program
-
3.9.1 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. The risks shall be eliminated or otherwise controlled and monitored in accordance with hierarchy of controls and legal requirements.
-
3.9.2 The hazard identification, risk assessment and risk control process is undertaken by personnel competent in the use of the organisations methodology.
-
3.9.3 The organisation documents all identified hazards, risk assessment at and risk control plans.
-
3.9.4 Risks of identified hazards are assessed in consultation with employees having regard to the likelihood and consequence of injury, illness or incident occurring, based upon the;<br>a) legal requirements;<br>b) evaluation of available information;<br>c) records of incidents, illness and disease; and<br>d) the potential for emergency situations.
-
3.9.5 Identified control measures shall be implemented in accordance with the assigned risk control priorities.
-
3.9.6 Risk management procedures shall be reviewed and revised where necessary to ensure relevance, currency and compliance to health and safety system requirements.
-
3.9.7 The organisation has a process for identifying and managing change that may impact on health and safety.<br>
Element 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 organisations health and safety requirements or specifications.
-
3.10.5 The organisation determines their 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 conform to health and safety requirements, and any non-conformances shall be 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 products, buildings or processes, or when the design is modified.
-
3.10.8 Competent personnel verify that designs and modifications meet 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 documents procedures or work instructions for the safe handling, transfer and transport of hazardous substances and dangerous goods.
-
3.10.12 Comprehensive health and safety information on all hazardous substances and dangerous goods is readily accessible
-
3.10.13 The organisation ensures that hazardous substances and dangerous goods are safely stored.
-
3.10.14 There are "permit to work" procedures for high risk tasks.
-
3.10.15 Where PPE is required, it is appropriate for the task, its provision is accompanied by suitable training, and it is used correctly and maintained in a serviceable condition.
-
3.10.16 Plant and equipment is maintained and a recorded is kept which includes relevant details of inspections, maintenance, repair and alteration of plant.
-
3.10.17 There is a process for unsafe plant and equipment to be identified and quarantined or withdrawn from service.
-
3.10.18 Appropriate controls are used to ensure the safety of persons working on or near plant and equipment that is in the process of being cleaned, serviced, repaired or altered.
-
3.10.19 Competent personnel verify that plant and equipment is safe before being returned to service after repair or alteration.
-
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.
-
3.10.21 There are procedures to ensure that materials are transported, handled and stored in a safe manner.
-
3.10.22 Individuals are supervised according to their capabilities and the degree of risk of the task.
-
3.10.23 There are supervisory arrangements that ensure that tasks are performed safely and work instructions and procedures are followed.
-
3.10.24 There is a documented process which requires the organisation to identify potential health and safety hazards, (including public safety hazards), assess the potential risks and determine appropriate risk control strategies when it provides goods or services to others whether under contract or otherwise.
-
3.10.25 Customer supplied goods and services used in the organisations work processes are subject to hazard identification, risk assessment and control prior to use.
-
3.10.26 All substances in containers and transfer systems are identified and clearly labelled to about inadvertent or inappropriate use.
Element 3.11 Emergency Preparedness and Response
-
3.11.1 Potential emergency situations have been identified and emergency procedures are documented and 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 personnel.
-
3.11.3 Employees receive training and practice emergency procedures appropriate to their allocated emergency response responsibilities and the degree of risk.
-
3.11.4 Competent persons have assessed the suitability, location and accessibility of emergency equipment.
-
3.11.5 Emergency and fire protection equipment, exit signs and alarm systems are inspected, tested and maintained at regular intervals.
-
3.11.6 A dangerous goods and/or hazardous substances manifest or inventory system is in place and accordance with legal requirements.
-
3.11.7 The organisation has assessed its first aid requirements, and the first aid system in place is appropriate to the organisational risks.
-
3.11.8 The organisation has systems in place to assist employees who are exposed to critical incidents at work.
Scoring Element 3
-
Scoring
Element 4: Measurement and Evaluation
Element 4.1 Monitoring and Measurement - General
-
4.1.1 There is a documented health and safety inspection, testing and monitoring program's that:<br>a) meets legal requirements;<br>b) defines intervals based on identified risk;<br>c) incorporates a reporting and corrective action process;<br>d) uses workplace specific checklist/s;<br>e) monitor conformance to the organisations safe working procedures; and <br>f) monitor the effectiveness of control measures
-
4.1.2 Inspections seek input and involvement from the personnel who are required to undertake the tasks being inspected.
-
4.1.3 Engineering controls, including safety devices, are regularly inspected and tested 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.
Element 4.2 Monitoring and Measurement - Health Surveillance
-
4.2.1 The organisation has identified those situations where employee health surveillance should occur and has implemented systems to conduct this surveillance. The health of employees exposed to specific hazards is monitored, recorded, reported and action is taken to address any adverse effects.
Element 4.3 Incident Investigation, Corrective and Preventative Action
-
4.3.1 There is a procedure, which includes operational line management, for the investigation of injuries, illnesses, incidents and other systems failures impacting on health and safety.
-
4.3.2 Investigations shall:<br>a) be undertaken by a competent person/s in accordance with the organisations procedure/s;<br>b) identify the factor/s that led to the injury, illness, incident or other systems failure;<br>c) review the identified hazards, assessed risks and effectiveness of the control measures; and<br>d) recommend appropriate control measures and corrective actions.
-
4.3.3 Responsibility is assigned to identified personnel for implementing and reviewing the effectiveness of corrective actions arising from investigations.
-
4.3.4 Corrective actions are discussed with personnel affected prior to implementation.
Element 4.4 Records and Records Management
-
4.4.1 There are effective systems for management of health and safety records including their;<br>a) identification and traceability;<br>b) collection, indexing, filing;<br>c) access and confidentiality;<br>d) retention and maintenance;<br>e) protection against damage, deterioration or loss;<br>f) retrieval; and <br>g) disposal
Element 4.5 Health and Safety Management System Audits
-
4.5.1 There is a health no safety management systems audit procedure that covers;<br>a) audit scope;<br>b) audit frequency;<br>c) audit methodologies;<br>d) auditor selection, independence, competencies and responsibilities;<br>e) input from a representative sample of personnel; and<br>f) the reporting of results
-
4.5.2 Scheduled audits are conducted to verify whether the health and safety management systems;<br>a) comply with planned arrangements;<br>b) have been properly implemented and maintained; and<br>c) are effectively implemented across the organisation.<br>The audit program takes into considerations the significance of health and safety risks and the results of previous audits.
-
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 Senior management oversee a comprehensive documented review of the health and safety management system at defined intervals to ensure its continuing suitability and effectiveness in satisfying the organisations stated health and safety objectives and targets. The reviews take into account health and safety management systems audit results, performance indicators, resources, business continuity, changing circumstances and a commitment to continual improvement.
-
5.1.2 Recommendations arising from health and safety management systems reviews generate actions to improve performance.
Scoring Element 5
-
Scoring
Non Conformances and Opportunities for Improvement
Scoring - Totals
-
Scoring Totals
Non Conformances
-
Non Conformances
Opportunities for Improvement - OFI
-
OFIs
