Critical Element One - Command commitment to safety management practices. (AS/NZS 4801:2001 Sections 4.2, 4.4 & 4.6)

OBJECTIVE: Command is able to demonstrate an active commitment to all areas of health and safety management in the workplace.

1. There is a documented health and safety policy.

  • The current CAF Safety Policy is prominently displayed.

  • The policy statement has been read and understood by personnel and acts as a foundation block for health and safety within the unit.

2. There is a documented unit health and safety policy.

  • A unit safety policy written by the current unit commander is displayed.

3. There is a commitment to continuous improvement in health and safety.

  • There is a statement committing the unit to continuous improvement in the unit health and safety policy.

  • There is evidence that excellence in health and safety exhibited by the staff is formally recognised (e.g. recognition in staff newsletter, RNZAF Well Done Awards, etc.)

4. There is a "Just" safety culture on the unit.

  • There is evidence that incidents are reviewed, individual culpability assessed, and correct post incident actions are performed IAW NZAP201.

Appropriate Questions:

  • How effective is the safety programme on the unit?

  • In what way is it effective?

  • Describe the safety culture of the unit. (Open/Just/Other)

  • How do you show your commitment to health and safety on the unit?

  • With respect to health and safety on the unit what are your Strengths?

  • With respect to health and safety on the unit what are your Weaknesses?

  • What Opportunities do you have to improve health and safety on the unit?

  • What are the Threats to health and safety on the unit?

  • Do you collect safety statistics for your unit?

  • If so, do you use this information in a way that improves safety?

Critical Element Two - Planning, review and evaluation. (AS/NZS 4801:2001 Sections 4.3, 4.4 & 4.5)

OBJECTIVE: The unit has a plan to manage health and safety, regularly reviews its progress and evaluates the outcomes.

1. There is a process to ensure that health and safety management for the unit is reviewed.

  • The unit has a current annual safety plan.

  • There is a means of triggering an annual review of the plan.

2. Health and safety objectives are set and are appropriate to the size and role of the unit, and related to identified hazards (where relevant) (NB: Objectives should be "SMART": Specific, Measurable, Achievable, Realistic, Time-bound.)

  • The plan has SMART objectives.

3. There is a procedure to undertake an annual self-assessment to ensure the programme audit standards can be met and maintained.

  • There is a documented self-assessment procedure.

  • There is evidence that a self-assessment has been undertaken within the previous 12 months (this may be immediately prior to the audit).

Appropriate Questions:

  • Do you have an annual health and safety plan?

  • Who is responsible for carrying it out?

  • When was it last reviewed?

  • When did you carry out your last internal self-assessment?

Critical Element Three - Hazard identification, risk assessment and management. (AS/NZS 4801:2001 Sections 4.3 & 4.4; Health and Safety at Work (General Risk and Workplace Management) Regulations 2016)

OBJECTIVE: The unit has an effective procedure that systematically identifies, assesses and manages the actual and potential hazards in the workplace.

1. There is a systematic procedure to identify and record actual and potential hazards that could give rise to reasonably foreseeable risks to health and safety in the workplace.

  • The unit uses a systematic procedure such as the Unit Safety and Health Checklist to identify hazards facing personnel working on and off site.

  • The unit has a unit hazard register.

  • There is a documented description of the hazards with an OSHBase Risk Score of 200+

3. There are effective controls in place for each hazard based on the hierarchy of control measures in the regulations to either: a) Eliminate risks to health and safety; b) Minimise risks to health and safety so far as is reasonably practicable.

  • There is evidence that the controls that have been developed for hazards that could give rise to reasonably foreseeable risks to health and safety are based on appropriate documentation or advice. (Codes of Practice, Guidelines, etc.)

4. There is a schedule documenting the timetable to review and, as necessary revise, control measures implemented under regulations so as to maintain, so far as is reasonably practicable, a work environment that is without risks to health and safety.

  • Hazards logged in OSHBase are reviewed at least once in every three year period.

5. There are appropriately trained and/or experienced people leading the identification and management of hazards.

  • The unit has sufficient personnel that have undergone USHC training to cater for leave, deployments, etc.

6. There is a procedure for obtaining specialist advice for managing specific hazards, where this competency is not available through internal staff.

  • The USHCs are aware of the resources available through the Base Safety Advisors. (General H&S advice, management of hazardous substances, monitoring of noise levels, assessment of workstations, etc.)

  • The USHCs are aware of the resources available on the DASH website (USHC templates and guides, relevant regulations, codes of practice, safe operating procedures, Safety Data Sheets, etc.)

7. There is active management of relevant hazards or risks associated with any new or modified equipment, material, services or work processes introduced into the workplace.

  • There is evidence that relevant hazards or risks introduced by new or modified equipment, material, services or work processes have been identified and are being managed.

  • The Base Safety Advisors have been consulted about the purchase or implementation of new or modified equipment, material, services or processes (where applicable).

  • There is evidence of health and safety issues being incorporated into purchasing and design decisions (where applicable).

8. There is a process to identify and manage any areas of the workplace requiring specific health monitoring in relation to tasks being undertaken (where applicable).

  • Tasks requiring health monitoring of personnel (such as hearing assessments and lung function tests) have been identified and personnel performing those tasks are tested at the intervals recommended by current guidelines.

9. Work areas, over which the employer has control or influence, are planned so that the exposure of visitors and the general public to workplace hazards that could give rise to reasonably foreseeable risks to health and safety is minimised.

  • There are clear instructions that inform visitors of where to report upon site entry.

  • Where appropriate, visitors are briefed about the specific hazards that could be encountered in the workplace, and any relevant emergency procedures.

  • Briefings are recorded using visitors registers or security log books.

  • Visitors are provided with appropriate personal protective equipment for the site (e.g. hearing protection, hi-viz vests, etc.)

Appropriate Questions:

  • Who maintains your hazard register?

  • What safety training have they had?

  • What significant hazards do you have on site?

  • How are they managed?

  • What tasks do you conduct that have a requirement for personnel to undergo health testing?

  • What hazard management process do you use when you are deployed or on exercise?

Critical Element Four - Information, training and supervision. (AS/NZS 4801:2001 Section 4.4)

OBJECTIVE: Command will ensure that all employees are informed of their own responsibilities and command's responsibilities for health and safety in the workplace. Command will ensure that employees have specific knowledge concerning management of the hazards to which they are exposed through workplace procedures, environment, equipment and materials.

1. There is appropriate health and safety induction training for new employees and employees transferring to a new environment, role or task.

  • There is a formal induction procedure that covers work organisation, security, the range of hazards within the workplace, PPE requirements, competency and supervision requirements and emergency procedures.

  • There are signed employee induction training records (or similar individual verification).

2. Supervision for employees undergoing on the job training is provided by experienced and skilled staff to ensure the employees newness to the task or role does not endanger themselves, others or equipment.

  • There is a structured training programme to ensure personnel are sufficiently trained before they are deemed competent.

  • There are sufficient supervisors available to achieve acceptable levels of supervision.

  • Specific directives are issued to personnel who have yet to undergo primary trade training.

3. There is identification of health and safety needs in relation to hazards associated with specific roles, tasks or areas of work.

  • Formal training within the unit includes Health and Safety requirements.

  • The unit conducts Health and Safety training as part of regular training days.

4. Health and safety information specific to the workplace is available to all employees.

  • Personnel are aware of how to access health and safety information (e.g. DASH website, Codes of Practice, Guidelines, etc.)

Appropriate Questions:

  • What formal process do you use to induct personnel?

  • How often do you conduct unit safety training?

Critical Element Five - Incident, injury and near miss reporting, recording and investigation. (AS/NZS 4801:2001 Sections 4.4 & 4.5)

OBJECTIVE: The employer has an active reporting, recording and investigating system that ensures incidents and injuries and reported and recorded, and the appropriate investigation and corrective actions are taken. The terms incidents and injuries in this context include all "near miss" or "near hit" events, work-related illnesses and injury events that harmed or might have harmed any employee during the course of their work.

1. Employees understand their specific responsibilities to report incidents, injuries and workplace illnesses that have or might have harmed anyone in the workplace.

  • Personnel are aware of how to report near misses and incidents using the Safety Reporting System (SRS).

  • There are published newsletters, notices or team briefings that clarify reporting procedures.

  • There are examples of completed incident and injury reports in an up to date Accident register.

2. When a Notifiable Incident occurs (refer NZAP201 for details), WorkSafe NZ is notified as soon as possible and written notification within 48 hours if requested.

  • Personnel are aware of the requirement to preserve evidence and to immediately contact the Base Safety Advisors in the event of a serious harm injury to enable investigation and reporting to occur.

3. The employee has a procedure to investigate incidents and injuries that harmed or might have harmed and employee.

  • There is a robust incident investigation in accident reports.

4. There is a procedure to ensure corrective action is undertaken in relation to any deficiencies identified during an investigation.

  • There is evidence that recommendations raised in unit accident reports have been actioned.

5. Injury and incident data is reviewed to identify trends and provide information to managers and employees that can be used in injury prevention initiatives.

  • The USHC carries out basic trend analysis as and when incidents occur.

Appropriate Questions:

  • How many incidents have you had on the unit within the last year?

  • Are you aware of the extra actions you must take if there is a serious harm injury on your unit?

  • What level of near miss reporting is there on your unit?

  • How are trends reported to senior management?

  • Are you satisfied with the depth of investigation that has taken place with regard to your incidents?

Critical Element Six - Employee participation in health and safety management. (AS/NZS 4801:2001 Section 4.4)

OBJECTIVE: The employer will ensure that all employees have ongoing opportunities to be involved and to have their interests represented in the development, implementation and evaluation of safe workplace practices.

1. There is a forum (or series of forums) to enable communication between the employer, employees and union and other nominated employee representatives on issues of interest and concern related to health and safety.

  • Trained Unit Safety & Health Co-ordinators are appointed and have directives IAW NZAP201.

  • The unit has a functional safety committee.

  • The safety committee meets at least every six months.

  • There are regular unit meetings where personnel can raise safety concerns.

2. There is a process agreed to by employees to support union and other nominated employee representative involvement in health and safety development, monitoring and review.

  • There is a process whereby the USHC can raise safety concerns with unit command.

3. Health and safety training is provided to employees actively involved in health and safety management to assist in the development and establishment of safe workplace practices.

  • Evidence that the USHC has undertaken extra health and safety training within the last two years.

Appropriate Questions:

  • How many USHCs do you have on your unit?

  • Do your safety personnel hold current directives?

  • Do your USHCs communicate with command in an effective manner?

  • Do you hold regular meetings where personnel can communicate safety concerns?

Critical Element Seven - Emergency planning and readiness. (AS/NZS 4801:2001 Section 4.4)

OBJECTIVE: The employer has an effective general emergency plan to manage emergencies likely to occur within any part of the organisation's operation and to comply with legislative requirements.

1. There is a documented emergency plan that identifies potential emergency situations and meets relevant emergency service requirements.

  • There are emergency plans that cater for the range of emergencies that are likely to take place within the workplace (e.g. Fire, Improvised Explosive Devices, HAZMAT spills, etc.)

2. Emergency procedures have been implemented and communicated with all employees and contract staff.

  • There is evidence that the emergency procedures have been implemented and communicated (e.g. signage, induction training, briefings, etc.)

3. Designated employee/s or wardens for each work area trained to take control in an emergency.

  • There is a system in place that designates responsibilities in an emergency.

  • There is evidence that military personnel have undertaken Core Military Skills refresher training within the previous year.

  • There is evidence that designated civilian staff in areas where there are no military personnel have undertaken specific emergency training (e.g. civil defence training, advanced first aid certificates, etc.)

4. There is periodic testing of emergency evacuation procedures at regular intervals - of no greater than six months apart.

  • There are records of emergency evacuation drills.

5. There is a review of emergency response procedures after any practice drills or actual emergency events.

  • There are records of review meetings, particularly post-critical event.

Appropriate Questions:

  • What are the likely emergencies you may encounter?

  • Are your response plans effective?

Critical Element Eight - Protection of employees from on-site work undertaken by contractors and subcontractors. (AS/NZS 4801:2001 Section 4.4)

OBJECTIVE: The employer has a systematic approach to ensure that contractors, subcontractors and their employees do not cause harm to the employees of the principal while undertaking the work required by the contract. (NB: There are other specific duties required of the employer as a principal under the terms of the health and safety in employment legislation which are not part of this audit's requirements.)

1. Induction to on-site health and safety procedures is co-ordinated by a designated person(s) for all contracted staff, including one-off maintenance contractors or similar.

  • There is a process for inducting contractors and their staff on to site to inform them of the hazards presented by the unit.

  • There is a process for inducting contractors and their staff on site to inform the unit of hazards that will be introduced by the contractor.

  • There is evidence of completed contractor inductions (signed contractor induction forms, visitors register, etc.)

Appropriate Questions:

  • What is the process you follow to ensure contractors are briefed before they perform work within the unit?

  • What actions would you take if you noted that the contractor was working unsafely?

Critical Element Nine - Physical Inspection/Observation of Workplace; confirmation of safe systems of work.

OBJECTIVE: This section is broken into 22 sub-sections that need to be observed during the course of the audit. This will provide some indication of how the documented systems work in practice. (NB: This is NOT a detailed site inspection and should not be relied on to satisfy legal compliance with other health and safety obligations.)

1. Floors, aisles, exits and stairs. (REF: Building Act 2004; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 2.14)

  • Floors clean, dry, free of spills, cables, even surfaces, etc.<br>

  • Floor openings/drains covered.

  • Aisles marked and clear of obstructions.

  • Aisle wide enough for ease of traffic.

  • Exits marked, well lit, access clear inside/outside.

2. Fire protection. (REF: Fire safety and evacuation of buildings regulations 2006; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 1.17)

  • Fire emergency instructions displayed.

  • Extinguishers position clearly marked, and within test date.

  • Exit doors easily opened from inside.

  • Flammable and explosive materials correctly stored and handled. Fire hazard symbols in place.

  • Adequate direction notices for fire exits (arrows, etc.)

  • Have staff completed Fire Lectures in the last 12 months.

3. First Aid and Rescue Facilities. (REF: DOL First aid for workplaces - A good practice guide; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 1.8)

  • Who are listed as First Aiders?

  • First aid kits available and stocked.

  • Emergency phone numbers posted and correct.

  • Instructions for accident and near miss reporting posted.

  • Eyewash/Emergency showers clean, operational and within test date.

4. Computer Work Stations (Where User Usage is > 50% of day). (REF: ACC Guidelines for using computers)

  • Operator familiar with OOS avoidance exercises/techniques.

  • Has advice been sought from the Occupational Health Specialist?

  • Chair has adjustable height, backrest, swivel 360 deg.

  • Monitors brightness/contrast is okay, image sharp.

  • Monitor tilts/swivels and is stable.

  • Minimum 600mm from front edge of screen to edge of desk.

5. Hygiene. (REF: Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sects 1.10, 1.11 & 1.14)

  • Toilets and washrooms in clean, tidy condition.

  • Food and drink preparation areas clean and tidy.

6. Buildings and Surrounds.

  • Stairs/landings clean, free of oil/grease and unobstructed.

  • Stair treads not worn or broke.

  • Handrails in good repair.

  • Safety signs where needed, legible and well positioned.

  • Refuse bins provided, used and emptied.

  • Separate metal refuse bins available for oil soaked rags.

  • Separate metal refuse bins available for solvent soaked rags.

7. Lighting and Ventilation. (REF: NZS 6703:1984; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sects 1.12 & 1.13)

  • Walkways, stairs and exits adequately illuminated.

  • Work area lighting levels suitable for tasks performed.

  • Natural ventilation adequate and/or fans working.

  • Ventilation systems for hazardous chemicals/gases monitored and in good working order.

8. Personal Protective Equipment.

  • Is the required PPE available and being worn? (Eye protection, ear protection, safety footwear, etc.)

  • WAH harnesses & lanyards within test date and being used.

  • Other ...........................................

  • Process to prove trained in correct use? (includes WAH equipment)

  • Cleaning and storage facilities provided and used (includes WAH equipment).

  • Mandatory PPE signs in place.

9. Activities.

  • No smoking areas indicated and observed (including e-cigarettes)

10. Machinery and Equipment. (REF: Machinery - Best practice guidelines for safe use of machinery)

  • Machinery guarding risk assessments completed and present.

  • Adequate working space.

  • Necessary guards provided and fitted securely.

  • Emergency stop controls accessible and clearly marked.

  • Spill containment provided for oil leaks.

  • Provision to store and dispose of waste.

  • Noise level satisfactory - measured.

  • Mechanical handling equipment provided and used.

  • Operating instructions available.

  • Danger, Caution and Out Of Service tags available and used.

  • Provision for lockout of machinery and other energy sources.

11. Hand and Portable Tools. (REF: Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 2.13)

  • Air hoses, electrical cords, plus and switches in good condition.

  • Tool storage provided and used.

  • Guards and safety devices serviceable.

  • Earth leakage systems permanent and portable serviceable and in use.

  • Load rating sufficient for the tasks.

  • All tools that have electric cords and plugs have been "tested", tagged and are "in test".

12. Ladders. (REF: DOL Preventing falls from height)

  • Ladders in use comply with AS/NZS1892.1 industrial rated, ANSI-ASC A14.2 duty rating Heavy Duty IA or Special Duty IAA.

  • Ladders are serviceable and being used in the correct manner.

  • Non-metallic ladders (wooden, fibreglass, etc.) available and used for electrical work.

13. Electrical Power Systems. (REF: Electrical Interlocking - Guidance notes for electrical interlocking for safety in industrial processes)

  • Are personnel aware of the dangers of working with High Voltage?

  • High voltage and control panels identified, accessible and secured.

  • General condition of wiring, insulation and fixtures.

  • Flexible cords free of splices.

  • Provision for keyed lockout available.

  • Permit, Caution, Danger and Out Of Service tags available and used. (LOTO)

  • Emergency stop controls marked and operational.

  • Emergency power/lighting operational.

14. Hazardous Chemicals/Materials. (REF: DFO53)

  • Does Sqn/Unit have an approved handler?

  • Safe storage, handling and disposal procedures available and complied with.

  • Safety Data Sheets and NZDF Product Safety cards available at point of use.

  • All materials correctly labelled.

  • Warning signs and systems in place and operational.

  • Adequate natural and/or mechanical ventilation for paints, solvents, welding fumes, etc.

  • Sufficient bunding and/or other spill containment in place or readily available.

15. Mobile and Materials Handling Equipment. (REF: DOL Safe Stacking and Storage)

  • Handling equipment load testing and recording.

  • Cables, slings, ropes and chains in good repair, free from wear, kinks and twists. (Rating _____ Date of Last Inspection _____)

  • Hooks not damaged, safety latches operational.

  • Controls permit full, unrestricted operation.

16. Compressed Gas Cylinder Storage. (REF: EPA Guide to Gas Cylinders)

  • Are personnel aware of the dangers of working with compressed gases?

  • Cylinders stored upright and secured against falling.

  • Stored away from heat sources and well ventilated.

  • Segregated by contents and warning signs in place.

  • Correct labelling and material safety data available.

17. General Storage. (REF: DOL Safe Stacking and Storage; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 2.14)

  • Aisles (walkways) and access clear for authorised personnel.

  • All stacks stable and secured against movement.

  • Load limits for racking and platforms (SWL) posted and observed.

  • Heavy items stored at lower levels with access for mechanical handling.

  • Items stored at high levels well secured.

  • Area clear of flammable and other rubbish and unnecessary items.

  • Access control for other than store personnel.

18. Roadways and Grounds.

  • Vehicular traffic routes marked.

  • Pedestrian walkways clearly designated.

  • Metal scrap contained in rubbish skips and removed periodically.

19. Security.

  • Security log books, visitor register (or similar) are provided and used.

  • Controls for vehicular and pedestrian traffic in place.

20. Unit Risk Assessment and Hazard Registers.

  • Are all the hazards you have located/noted on this assessment identified on the Master Hazard Register held by the USHC?

  • Are all hazard reviews up to date?

  • Are the relevant portions of the Hazard Register held in this section/unit?

  • Are there control measures in place for all hazards identified?

21. Miscellaneous.

  • Induction programme includes safety briefing on hazards in the workplace and control measures in place.

  • What training have the unit S&H reps received?

22. Manual Handling - if any of these factors are present in the task, indicate "at risk" and refer to the risk score assessment sheet. REF: DOL Code of practice for manual handling; Guidelines for the provision of facilities and general health & safety in commercial and industrial premises, Sect 2.10)

  • Twisted, stooped, awkward, asymmetrical postures.

  • Fixed, sustained, rigid, prolonged postures.

  • Unvaried, repetitive movements.

  • Sudden, uncontrolled or jerky movements.

  • Using high or sustained force.

  • Handling heavy or awkward loads.

  • Whole body vibration or upper limb vibration.

  • Handling that goes too long without a break.

  • Handling or reaching away from the body.

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