Willis WHS Risk Profile Audit

Information

Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

WHS RISK PROFILE

Introduction

Background
Scope of Audit
Executive Summary
Key Issues Identified

The audit has identified a number of issues that need addressing as a matter of urgency. These issues either relate to unacceptable or uncontrolled risks with the potential to impact on the health, safety or wellbeing of workers; or expose the organisation to the potential of enforcement action or prosecution by the WHS regulatory authority:
Achievements

There where many good management practices already in place at the time of the audit. These practices have supported the reduction of risk exposure to employees and the efforts of Management should be commended. These practices include:
Recommendations

In order to support the continuous improvement of the safety system, I would encourage the continuation of the current strategic approach. I would recommend that the organisation consider the following key initiatives when considering future safety plans. These simple but important tasks include:

DISCLAIMER OF LIABILITY

Willis Australia Limited believes the information contained within this risk profile report to be correct at the time of publishing. Willis Australia Limited does 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 Willis Australia Limited's representatives during the review and site assessments 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.

CONFIDENTIALITY STATEMENT

In order to maintain the integrity and credibility of the risk assessment processes and to protect the parties involved, it is understood that Willis Australia Limited and its representatives will not divulge to unauthorised persons any information obtained during this risk assessment unless legally obliged to do so.

PROPRIETARY NATURE OF REPORT

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COPYRIGHT 2014

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WHSMS AUDIT

AS/NZS 4801:2001- Section 4

4.1 General Requirements

Has the organisation established a WHSMS, in accordance with the requirements of Clause 4.
Does the WHSMS include all hazards and risks which the organisation has control or exercises control over your which the organisation is able to influence?
Is the purpose of the WHSMS clearly articulated and documented within the system?
Are there any work activities that have been excluded from the scope of the WHSMS?
Recommendations

4.2 Safety Policy

AS/NZS 4801 requires a Work Health and Safety Policy by the organisations Management that clearly states the WHS objectives and demonstrates a commitment to improving WH&S performance.
The policy shall:
• Be appropriate to the nature and scale of the organisation
• Include the commitment to establish measurable objectives and targets to ensure continued improvement
• Include a commitment to comply with relevant WHS legislation
• Be documented, implemented, maintained and communicated to all employees
• Be available to interested parties, and
• Be reviewed periodically.
Has top management authorised a work health safety policy that clearly states the overall work health safety objectives and demonstrates a commitment to improving WHS performance?
Is the policy appropriate for the nature, scale and risks associated with the activities conducted by the organisation?
Is there a commitment to establish measurable objectives to ensure continuous improvement aimed at the elimination of work related injury or illness
Is the policy documented, implemented, maintained and communicated to all employees, including contractors and volunteers?
Is there a commitment to comply with relevant safety legislation, codes of practice or other relevant technical standards?
Is the policy available to interested parties?
Is the policy reviewed periodically to ensure it remains relevant and appropriate to the organisation?
Recommendations

4.3 Planning

4.3.1 Planning identification of Hazards, Risk Assessment and Control of Hazards/Risks

AS/NZS 4801 requires the organisation to establish, implement and maintain documented procedures for hazard identification, hazard/risk assessment and the control of hazard/risks of activities, products and services over which the organisation has control or influence, including activities, products or services of contractors or suppliers.

The organisation shall develop its methodology for hazard identification, hazard/risk assessment and control of hazards/ risks, based on its operational experience and its commitment to eliminate workplace illness or injury. The methodology must be kept up to date.
Has the organisation established, implemented and maintain a documented procedure for the ongoing identification of hazards, risk assessment and determining appropriate controls?
Do the procedures take into account routine and non routine activities?
Do the procedures take into account how the activities or services provided by contractors, volunteers or other service providers?
Does the risk management methodology take into account the organisation's operational experience including prior injuries, work processes, plant and change processes?
Does the procedures relating to control of risk consider the hierarchy of controls appropriately: (1) elimination; (2) isolation; (3) substitution (4) engineering (5) administrative controls;or (6) personal protective equipment
Are the procedures kept up to date?
Recommendations:

4.3.2 Legal and other requirements

AS/NZS 4801 requires an organisation to establish, implement and maintain procedures to identify and have access to all legal and other requirements that are directly applicable to OHS/WHS issues related to its activities, products or services, including relevant relationships with contractors and suppliers.
The organisation shall keep this information up to date.
It will communicate relevant information on legal and other requirements to its employees.
Has a procedure been established, implemented and maintained to identify how access to legal and other requirements (i.e.: Relevant OHS/WHS Act and regulations, Codes of Practice, guidance or technical standards such as Australian/New Zealand or industry standards, manufacturer's specifications) that are applicable to the conduct of the business or undertaking?
How is this requirement achieved?
How does the organisation ensure that the legal and other requirements are kept up to date?
Recommendations

4.3.3 Objectives and Targets

Australian Standard 4801 requires an organisation:
- to establish, implement, and maintain documented WHS objectives and targets for each relevant function and level within the organisation;
- when establishing and reviewing its objectives, to consider its legal and other requirements, its WHS hazards and risks, its technological options, its operational and business requirements and the views of interested parties;
- ensure the objectives and targets are consistent with the WHS policy, including commitment to measuring and improving WHS performance
-
Has the organisation established, implemented and maintained documented WHS objectives?
Have the objectives been established for the relevant functions and levels within the organisation?
Has the organisation established, implemented and maintained a program for achieving its stated WHS objectives?
Are the objectives consistent with the: WHS policy; Legal and other requirements; goals of preventing work related illnesses and injuries: continual improvement
Are the objectives measurable?
When determining the objectives how does the organisation take into consideration legal and other requirements? WHS risks technical options its financial, operational and business needs the views of interested parties
Does the organisation use a mix of both lead (positive) and lag (negative) performance measures?
Is WHS performance reported on in the organisation's Annual Report?
Recommendations

4.3.4 WHS Management Plans

Australian Standard 4801 requires an organisation to
Establish and maintain management plans for achieving its targets and objectives
Management plans need to consider
Designation of responsibility for achieving WHS objectives and targets across all relevant functions and levels of the organisation
Outlining the means and time frames by which objectives and targets are to be achieved

The organisation shall establish procedures to ensure that management plans are reviewed and if necessary amended to address changes at regular and planned intervals, or whenever there are changes to the activities, products, or services of the organisation or significant changes in operating conditions.

Identify and provide the resources required to implement, maintain and improve the safety management system,
• Define, document and communicate the areas of accountability and responsibility for employees and contractors.
Has the organisation established and maintained a management plan aimed achieving its stated WHS objectives and targets.
Does the management plan designate responsibility for achieving WHS objectives and targets across all relevant functions and levels.
Does the plan stipulate the means of how the objectives and targets will be met?
Does the management plan stipulate time frames by when the WHS objectives and targets will be achieved?
Has the organisation implemented a procedure to ensure that the WHS Management plan is reviewed at regular planned intervals, and amended as necessary to address any changes; Does the procedure ensure the Management plan is reviewed whenever there are changes to the activities, products or services of the organisation or any significant change in the organisation's operating environment
Recommendations

4.4 Implementation

4.4.1 Structure and Responsibility

4.4.1.1 Resources

Australian Standard 4801 requires an organisation's management to
Identify and provide the resources required to implement, maintain and improve the safety management system,

Resources include Human Resources and specialised skills, technology and financial resources
Has the organisation's management identified and provided suitable resources to implement and maintain the WHSMS?
When considering the resources required to implement and maintain the WHSMS has senior management addressed the need for human resources, specialist skills, technology and financial resources?
Recommendations

4.4.1.2 Responsibility and Accountability

Australian Standard 4801 requires an organisation to define, document and communicate the areas of accountability and responsibility (including those imposed by OHS legislation) of all personnel involved in the OHSMS' operation.
Where contractors are involved, these areas of accountability and responsibility shall be clarified with respect to those contractors.
The organisation's top management shall appoint a specific management representative(s) who, irrespective of other responsibilities, shall have define roles, responsibilities and authority for:
(a) ensuring that OHSMS requirements are established, implemented and maintained in accordance with the Standard; and
(b) reporting on the performance of the OHSMS to top management for review and as a basis for improvement of the OHSMS.
Has the organisation's top management appointed a specific management representative/s who irrespective of any other responsibilities, has defined roles, responsibilities and authority for ensuring that the WHSMS requirements are established, implemented and maintained in accordance with this Standard?
Are the accountabilities formally acknowledged in positions descriptions, performance reviews etc?
Does the organisation's top management receive reports on the performance of the OHSMS?
Do other roles in the organisation have performance requirements/accountabilities in regard to OHS?

4.4.2 Training and Competency

AS/NZS 4801 requires an organisation, in consultation with its workers, to identify training needs in relation to performing work activities competently, including WHS training.
Procedures shall be in place to ensure that WHS competencies are developed and maintained.
Personnel shall be assessed as competent, on the basis of skills achieved through education, training or experience, to perform assigned tasks taking into account the WHS obligations, hazards and risks associated with the work activities.

Procedures shall be developed for providing WHS training. The procedures shall take into account:
a) the characteristics and composition of the workforce which impact on work health and safety management; and
b) responsibilities, hazards and risks.

The organisation shall ensure that all personnel (including contractors and visitors) have undertaken training appropriate to the identified needs.

Training shall be carried out by persons with appropriate knowledge, skills and experience in OHS and training.
Has management in consultation with workers undertaken a training needs assessment in relation to performing work activities competently including WHS training?
Has the organization ensured that all workers and visitors have undertaken training appropriate to the identified needs ?
Are procedures in place to ensure competencies are developed and maintained ?
Is training delivered by persons with appropriate knowledge, skills, experience and training?
Is training assessed to ensure evidence of competency ?
Recommendations

4.4.3 Consultation, communication and reporting

4.4.3.1 Consultation

AS/NZS 4801 requires the organisation to have documented procedures, agreed to by workers, for worker involvement and consultation in WHS issues. Information about the arrangements shall be made to interested parties.

Employees/Workers shall be
(a) be involved in the development, implementation and review of policies and procedures for hazard identification, risk assessment and control of hazards/risks;
(b) be consulted with where there are any changes that affect workplace WHS
(c) select those who represent them on WHS matters;
(d) be informed as to who is/are their worker/employee WHS representatives and specified management representatives.

N.B. Consultative arrangements are legislative requirements WHS/OHS legislation stipulates how, who and when consultation is to take place.

AS4801 also states that those persons representing the workers/employees and the PCBU/Employer shall receive appropriate training to undertake effectively their involvement in the development, implementation and review of WHS/OHS arrangements.

N.B. Australian WHS/OHS legislation specifies the training requiement for HSRs
Have workers been involved in the development, implementation and review of policies and procedures to identify hazards and assess and control hazards/risks?
Have workers been consulted where there are any changes that affect the workplace WHS?
Have workers selected those who will represent them on WHS matters?
Have workers been informed as to who is/are their employee WHS representatives and specified management representatives?
Are the names of local Worker/Management representatives displayed throughout workplace?
Does the consultative mechanism meet the relevant legislative requirements of the WHS/OHS Act and Regulations?
Does the organisation have a documented issue resolution procedure - if so does it meet the elements as suggested in the relevant health and safety legislation?
Recommendations

4.4.3.2 Communication

AS/NZS 4801 requires an organisation to have documented procedures for ensuring pertinent WHS information is communicated to and from employees/workers and other interested parties
Does the organisation have a documented procedure outlining how it disseminates and receives relevant WHS information to and from its workers, including contractors and volunteers?
Does the organisation a documented procedure for ensuring the dissemination of relevant WHS information with interested parties?
Recommendations

4.4.3.3 Reporting

AS/NZS 4801 requires an organisation to establish appropriate procedures for relevant and timely reporting of information to ensure the WHSMS is monitored and perfromance improved.

Reporting procedures shall be established to cover the following:
(a) WHS performance reporting (including results of WHS audits and reviews)
(b) Reporting of incidents and system failures
(c) Reporting on hazard identifications
(d) Reporting on hazard/risk assessment
(e) reporting on preventative and corrective action
(f) Statutory reporting requirements
Does the organisation have appropriate procedures for relevant and timely reporting of information established to ensure the WHSMS is monitored and performance improved?
Does the reporting procedure cover WHS performance reporting, including results of WHS audits and reviews?
Does the reporting mechanism consider reporting of incidents and system failures?
Are reports on hazard identification included in the requirements?
Does the procedure require reporting on hazard/risk assessment?
Is reporting on preventative and corrective actions required by the procedures?
Recommendations

4.4.4 Documentation

AS/NZS 4801 requires the organisation to establish, implement and maintain information, in a suitable medium such as print or electronic form to:
(a) describe the core elements of he management system and their interaction;
(b) and provide direction to related documentation
Has the organisation established, implemented and maintained documentation in a suitable medium, that describes the core elements of theWHSMS and how they interact?
Does the information provide direction to related documentation?
Recommendations

4.4.5 Document and Data Control

AS/NZS 4801 requires the organisation to establish, implement and maintain procedures for controlling all relevant documents and data required by this Standard to ensure that:
(a) they can be readily located;
(b) they are periodically reviewed, revised as necessary and approved for adequacy by competent and responsible personnel;
(c) current versions of all relevant documents and data are available at all locations where operations essential to the effective functioning of the WHSMS are performed
(d) obsolete documents and data are promptly removed from all points of issue and points of use or otherwise assured against unintended use; and
(e) archival documents and data retained for legal or knowledge preservation purposes or both, are suitably identified.

Documentation and data shall be legible, dated (with dates of revision) and readily identifiable and maintained in an orderly manner for a specified period. Procedures and responsibilities shall be established and maintained concerning the creation and modification of various types of documents and data.

Th organisation will preclude the use of obsolete documents.
Has the organisation established, implemented and maintained a procedure for the control of documents and data
Does the procedure ensure that documents and data can be readily located?
Are documents revised and approved for adequacy by competent and responsible persons?
Are current versions of documents and data available at all locations where operations relevant to the WHSMS is conducted?
Are obsolete documents or data removed from operational use or other measures implemented to ensure unintended use of obsolete documents or data is controlled?
Are there appropriate mechanisms in place to ensure that obsolete documents or data appropriately identified, are archived for legal or knowledge retention or both?
Is there are procedure requiring regular periodic review of all documents and data?
Is there a procedure in place to establish the how documents and data are produced, identified and revised or modified?
Is a person identified who has accountably for ensuring proper process for the control of documentation and data?
Recommendations

4.4.6 Hazard identification, hazard/risk assessment and control of hazards/risks

4.4.6.1 General

AS/NZS 4801 requires the organisation to establish, implement and maintain documented procedures to ensure the following are conducted:
(a) hazard identification
(b) hazard/risk assessment
(c) control of hazards/risks; and then
(d) evaluation of steps (a) to (c)

N.B. WHS regulations specify the duty to manage risk to health and safety in Part 3.1 of the regulations and legislates hazard identification and control of risk using the hierarchy of controls.

Similar provisions are included in both the Victorian and WA
Has the organisation established, implemented and maintained documented procedures to ensure that: (a) hazards are identified? (b) hazards/risks are assessed? (c) hazards/risks are controlled/ (d) the steps (a) to (c) are evaluated?
Recommendations

4.4.6.2 Hazard Identification

AS/NZS 4801 requires that the organisation takes into account the following when identifying hazards in the workplace:
(a) the situation or events or combination of circumstances that has the potential to give rise to injury or illness:
(b) the nature of potential injury or illness relevant to the activity, product or service; and
(c) past injuries, incidents and illnesses.

The identification process shall also consider:
(i) the way work is organised, managed, carried out and any changes that occur in this;
(ii) the design of workplaces, work processes, materials, plant and equipment;
(iii) the fabrication, installation and commissioning and handling and disposal (of materials, workplaces, plant and equipment);
(iv) the purchasing of goods and services;
(v) the contracting and subcontracting of plant, equipment, services and labour including contract specification and responsibilities to and by contractors; and
(vi) the inspection, maintenance, testing, repair and replacement (of plant and equipment).
Does the identification of hazards take into account:
The situation or events or combination of circumstances that has the potential to give rise to injury or illness?
The nature of potential injury or illness relevant to the activity, product or service?
Past injuries, incidents and illnesses?
Does the identification process also consider:
the way work is organised, managed, carried out and any changes that occur in this?
the design of workplaces, work processes, materials, plant and equipment?
the fabrication, installation and commissioning and handling and disposal (of materials, workplaces and plant and equipment)
the purchasing of goods and services
the contracting and subcontracting of plant, equipment, services and labour, including contract specification and responsibilities to and by contractors and volunteers?
the inspection, maintenance, testing, repair and replacement (of plant and equipment)
Recommendations

4.4.6.3 Hazard/Risk Assessment

AS/NZS 4801 requires (in Australia) that all risks shall be assessed and have control priorities assigned, based on the established level of risk
Have all risks associated with each identified hazard been assessed and have risk control priorities been assigned, based on the established level of risk?
Recommendations

4.4.6.4 Control of Hazards/Risks

AS/NZS 4801 requires (in Australia) all risks, identified through the assessment process as requiring control, shall be controlled through a preferred order of control methods (commonly referred to as a hierarchy), based on reasonable practicability. Elimination shall be the first control method to be considered.

N.B. A considerable number of regulations in Australia regardless of jurisdiction, specify how specific risks must be controlled
Are all risks identified through the assessment process are requiring control, controlled though a preferred order (hierarchy) based on reasonable practicability?
Is Elimination the first method of control considered?
Can the organisation demonstrate that the control methods chosen meet the criteria 'as far as reasonably practicable'?
Recommendations

4.4.6.5 Evaluation

AS/NZS 4801 requires that the processes of hazard identification, hazard/risk assessment and control of hazards/risks shall be subject to a documented evaluation of effectiveness and modified as necessary
Are hazard identification, hazard/risk assessment risk control processes subject to a documented evaluation of effectiveness?
Are the risk management processes modified as a result of evaluation?
Recommendations

4.4.7 Emergency preparedness and response

AS/NZS 4801 requires that all potential emergency situations shall be identified and emergency procedures documented for preventing and mitigating the associated illness or injury.

The organisation shall review, then revise, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of incidents or emergency situations

The organisation shall periodically test such procedures.

N.B. if may not be practicable to test some procedures, in which case training an efficacy should be tested by other means.

It should also be noted that emergency planning is a specific regulatory requirement under the WHS regulations. WHS Regulations specify that an emergency plan is prepared for the workplace. The emergency plan must provide for:
(a) emergency procedures, including:
(i) an effective response to an emergency; and
(ii) evacuation procedures
(iii) notifying emergency service organisations at earliest opportunity;
(iv) medical treatment and assistance;
(v) effective communication between emergency response coordinator and all persons in workplace
(b) testing the emergency procedures, including frequency of testing;
(c) information, training and instruction given to relevant workers in relation to implementing emergency procedures.
Has the organisation identified all potential emergency situations and prepared documented emergency procedures aimed at preventing and mitigating any injuries or illness associated with the identified emergency situations?
Has the organisation reviewed and where necessary, revised its emergency preparedness and response procedures, particularly after the occurrence of incidents or emergency situations?
Has the organisation periodically tested its emergency procedures?
Recommendations

4.5 Measurement and Evaluation

4.5.1 Monitoring and Measurement

4.5.1.1 General

AS/NZS 4801 requires the organisation to establish, implement and maintain documented procedures to monitor and measure on a regular basis the key characteristics of its operations and activities that can cause illness and injury. The effectiveness of these measures shall be evaluated.

Appropriate equipment for monitoring and measurement related to health and safety risks shall be identified, calibrated, maintained and stored as necessary. Records of this process shall be retained according to the organisation's procedures.

With regard to the WHSMS, the organisation shall, establish, implement and maintain procedures to monitor:
(a) performance, effectiveness of relevant operational controls and conformance with the organisation's objectives and targets; and
(b) compliance with relevant WHS/OHS legislation
Has the organisation established, implemented and maintained documented procedures to monitor and measure on a regular basis, the key characteristics of its operations and activities that can cause illness or injury.
Are the effectiveness of the above measures evaluated?
Has appropriate equipment for monitoring and measurement of health and safety risks been identified, calibrated, maintained and stored as necessary?
Are records of the above process retained in accordance with the organisation's records management procedures?
With regard to the WHSMS, has the organisation established, implemented and maintained procedures to monitor:
(a) performance, effectiveness of relevant operational controls and conformance with the organisation's objectives and targets?
(b) compliance with relevant WHS/OHS legisation?
Recommendations

4.5.1.2 Health Surveillance

AS/NZS 4801 requires the organisation to identify those situations where worker/employee health surveillance is required and to implement appropriate systems.

Workers/Employees shall have access to their own individual results.

Where specified by legislations, the health of workers/employees exposed to specific hazards shall be monitored and recored.
Has the organisation identified all situations where worker/employee health surveillance is required?
Has the organisation implemented appropriate systems to ensure health surveillance of its workers/employees?
Has the organisation introduced a mechanism to ensure workers/employees exposed to specific hazards, health is monitored and recorded?
Do employees/workers have access to their individual results?
Recommendations

4.5.2 Incident Investigation, Corrective and Preventative Action

AS/NZS 4801 requires the organisation to establish, implement and maintain procedures for -
(a) investigating, responding to, and taking action to minimise any harm caused, from incidents:
(b) investigating and responding to system failures; and
(c) initiating and completing appropriate corrective and preventative action

The organisation shall implement and record any changes in the WHSMS procedures resulting from incident investigations and corrective and preventative action.With regard to the WHSMS
Has the organisation established, implemented and maintained procedures for:
Investigating, responding to and taking action to minimise any harm caused from incidents?
investigating and responding to system failures?
Initiating and completing appropriate corrective and preventative actions?
Has the organisation implemented and recorded any changes in the WHSMS procedures as a result of incident investigations and identified corrective or preventative actions?
Does the procedure include for near miss incidents to be investigated?
Does the investigation model consider root cause analysis such as - People, Environment, Equipment, Procedures & Organisation
Are the persons selected to undertake investigation of incidents in the workplace trained in incident investigation?
Do investigation reports make recommendations as to the implementation of corrective/preventative actions?
Are persons assigned responsibility for implementing in a timely manner corrective or preventative actions arising from investigation of incidents?
Are corrective and/or preventative actions included in the organisation's risk register, WHS action or strategic plan?
Are corrective or preventative actions identified in investigation of incidents evaluated to determine their effectiveness?
Recommendations

4.5.3 Records and Records Management

AS/NZS 4801 requires an organisation to have establish, implement and maintain procedures for the identification, maintenance and disposition of WHS records, as well as results of audits and reviews.

WHS records shall be legible, identifiable and traceable to the activity, product or service involved.WHS records shall be stored ad maintained in such a way that they are readily retrievable and protected against damage, deterioration or loss.

Their retention times shall be established and recorded.

Records shall be maintained, as appropriate to the system ad to the organisation, to demonstrate conformance to the requirements of this Standard.
Has the organisation established, implemented and maintained procedures for the identification, maintenance and disposition of WHS records, including results of audits or reviews?
Are WHS records legible, identifiable and traceable to the activity, product or service involved?
Are WHS records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration and loss?
Is the retention time for documents clearly established and recorded?
Are records maintained, as appropriate to the system, and the organisation, to demonstrate conformance with the requirements of this Standard?
Recommendations

4.5.4 WHSMS Audit

AS/NZS 4801 requires an organisation to establish, implement and maintain an audit program and procedures for periodic WHSMS audits to be carried out by a competent person in order to:
(a) determine whether the WHSMS:
(i) conforms to planned arrangements for WHS management including the requirements of this Standard;
(ii) has been properly implemented and maintained; and
(iii) is effective in meeting the organisation's policy as well as objectives and targets for continual improvement
(b) provide information on the results of audits to management, and employees.

The audit program, including any schedule, shall be based on WHS importance of the activity concerned, and the results of previous audits. The audit procedures shall cover the scope, frequency, methodologies and competencies, as well as the responsibilities and requirements for conducting audits and reporting results.
Has the organisation established, implemented and maintained an audit program and procedures for periodic WHSMS audits to be carried out by competent persons?
(a) Does the audit program determine whether or not the WHSMS:
(i) conforms to the planned arrangements for WHS management including the requirements of the Standard
(ii) has been properly implemented and maintained?
(iii) is effective in meeting the organisation's policy as well as objectives and targets for continual WHS improvement?
(b) provides information on the results of audits to management and employees?
Is the audit program, including any schedule, based on the WHS importance of the activity concerned, and the results of previous audits?
Does the audit procedure cover the scope, frequency, methodology to be used for the conduct of audits?
How does the procedure consider the competency of persons selected to conduct audits?
Do the audit procedures stipulate responsibility and the requirements for the conduct of audits and reporting of audit results?
Recommendations

4.6 Management Reivew

AS/NZS 4801 requires that the organisation's top management, at intervals it determines, review the WHSMS, to ensure its continued suitability, adequacy and effectiveness. The management review process shall ensure that the necessary information is collected to allow management to carry out this evaluation. Such reviews are to be documented.

Management shall review the continued relevance of, and change were appropriate, policy, objectives,responsibilities and other elements of th SWHSMS, in light of WHSMS audit results, changing circumstances and commitment to continual improvement.
Has the organisation's top management, at intervals that it determines, reviewed the WHSMS to ensure its continuing suitability, adequacy and effectiveness?
Has top management reviewed processes to ensure the the necessary information is collected to allow management to carry out this evaluation?
Are the review processes documented?
Does the review consider the continued relevance of, and where necessary ensure change, to policy, objectives, responsibilities and other elements of the WHSMS, including in light of previous audit results, changing circumstances and the commitment to continual improvement.
Recommendations

Regulatory Compliance

Specific workplace hazards are subject to regulatory compliance regardless of jurisdiction. The regulations specify how those hazards are to be controlled or elaborate on the general duty of care provisions under the main Work Health Safety Act or Occupation Health and Safety Act of the jurisdiction concerned.

Further guidance on hazards my be found in Codes of Practice or relevant technical standards.

Generally, under the WHS regulations in force in NSW, QLD, SA, TAS, NT, ACT and the Commonwealth, this audit tool considers those general regulations relevant to the majority of workplaces as follows:
Part 3.1 Hazard identification and Risk Control Measures;
Part 3.2 General workplace management
Part 4.1 Noise
Part 4.2 Hazardous Manual Tasks
Part 4.3 Confined Spaces
Part 4.4 Falls
Part 4.7 Electrical Safety & Energised Electrical Work
Part 5 Plant & Structures
Part 7.1 Hazardous Chemicals
Part 7.2 Lead
Part 8 Asbestos

Victoria and WA also regulate these specific hazards.

Due Diligence (Officers obilgations)

Safety responsibilities for Company Officers have always been a part of traditional Occupational Health and Safety laws; however the introduction of harmonised Work Health Safety, as seen the introduction of positive duties at this level, requiring officers to exercise due diligence in regard to work health safety obligations of the organisation.

Due Diligence includes taking reasonable steps:
(a) to acquire and keep up to date knowledge of work health safety matters;
(b) to gain an understanding of the nature of the operations of the PCBU and generally the hazards and risks associated with those operations;
(c) ensuring that the PCBU has available for use appropriate resources and processes to eliminate or minimise the risks to health and safety from the work carried out by the PCBU;
(d) ensuring the PBCU has appropriate processes for receiving and considering information regarding incidents, hazards and risks and responding in a timely way to that information;
(e) ensuring the PCBU has and implements processes for complying with any duty or obligation of the PCBU under the Act;
e.g: reporting notifiable incidents;
consulting with workers;
ensuring compliance with any notices issued under the Act;
ensuring the provision of training and instruction to workers about work health and safety;
ensuring that HSRs receive their entitlements to training.
(f) verifying that the provision and use of resources and processes used to eliminate or minimise risk and ensuring workers have received necessary training and information.
Can Officers of organisation demonstrate their understanding and knowledge of contemporary Work health safety matters? How do they keep up to date ( knowledge of law, legislative changes, codes of practices and industry standards)
Can officers of the organisation demonstrates and knowledge of the hazards, risk and control to address the hazards and risk associated with the workplace? (Knowledge of hazard identification, and risk management processes, regular board reporting on WHS matters, personally conducting workplace inspections, participation in workplace consultative mechanisms)
How do officers check and verify that the resources for safety are adequately, used appropriately and are effective? (safety KPIs key personal, review of audits, WHSMS review)
Does the organisation ensure its officers are aware of the processes for receiving information and responding to incidents, hazards and risks? (accountabilities, board reporting, escalation of issues to senior management)
Has senior management verified the implements and processes for complying with the Act? (Officer/executive sign off on policies, Board reporting and performance indicators)
Recommendations

Incident Reporting

All Australian safety jurisdictions include mandatory reporting of certain incident, injuries or illnesses.

The WHS Act defines a notifiable incident as:
(a) the death of a person;
(b) a serious injury or illness of a person; or
(c) a dangerous incident.

A serious injury or illness is defined as an injury or illness requiring a person to have:
(a) immediate treatment as an in-patient in a hospital; or
(b) immediate treatment for:
(i) the amputation of any part of his or her body;
(ii) a serious head injury;
(iii) a serious eye injury;
(iv) a serious burn;
(v) the separation of his or her skin from an underlying tissue (such as a degloving or scalping);
(vi) a spinal injury;
(vii) the loss of a bodily function;
(viii) serious laceration;
(c) medical treatment within 48 hours of an exposure to a substance.

A dangerous incident means an incident at a workplace that exposes a worker or any other person to a serious risk to a person's health and safety emanating from an immediate or imminent exposure to:
(a) an uncontrolled escape, spillage or leakage of a substance;
(b) an uncontrolled implosion, explosion or fire;
(c) an uncontrolled escape of gas or steam;
(d) an uncontrolled escape of a pressurised substance;
(e) electric shock;
(f) the fall or release from height of any plant, substance or thing;
(g) the collapse, overturning, failure or malfunction of, or damage to, any plant that is required to be authorised for use in accordance with the regulations;
(h) the collapse or partial collapse of a structure;
(i) the collapse or failure of an excavation or of any shoring supporting an excavation;
(j) the inrush of water, mud or gas in workings, in an underground excavation or tunnel;
(k) the interruption of the main system of ventilation in an underground excavation or tunnel;
(l) any other event prescribed by regulations.

Safety legislation requires that the regulator is notified by PCBU/Employer immediately after the PCBU/Employer becomes aware of the incident
Notifaction must be given by telephone or in writing (fax or email or other electronic means)

Person giving notice by telephone must provide any details requested by regulator and if request written notice within 48 hours.

Written records must be kept for 5 years.
Has the organisation implemented and maintained a specific procedure to ensure that all notifiable incidents are identified and reported to the regulator in accordance with the relevant Act or regulations?
Have all persons been trained or given information in regard to notifiable incidents and of any person or positon vested with responsibility to notify the regulator
Do the procedures assign responsibility for reporting notifiable incidents?
Are records of notifiable incidents kept for the required 5 years?
Is there a documented procedure in place to consider legal professional privilege in regard to the investigation of notifiable incidents?
Recommendations

Preservation of Incident Sites

Australian WHS/OHS legislation requires a PCBU/Employer in control of a workplace where a notifiable incident occurs to ensure as far as reasonably practicable, that the site is not disturbed until an Inspector arrives as the site or any earlier time that an inspector directs.

N.B The above section does not prevent any action to:
(a) assist an injured person;
(b) protecting the health and safety of a person;
(c) taking essential action to make the site safe or to prevent a further occurrence of an incident.

Under the WHS Act the above also includes actions to:
(a) to remove a deceased person;
(b) that is associated with a police investigation;
(c) or for which an inspector or regulator has given permission.
Does the organisation have procedures in place to ensure workers understand the obligation to preserve the site of a notifiable incident other than to take action to save life, assist injured persons or to make the site safe to prevent further incidents?
Recommendations:

Issue Resolution

An organisation can develop an agreed issue resolution procedure or default to the procedure stipulated by the regulations.

The following minimum requirements must be contained in any agree issue resolution procedure:
(a) must include all steps in default regulation;
(b) is set out in writing;
(c) is communicated to all workers to whom the agreed procedure applies.
Does the organisation have an agreed issue resolution procedure: Does the procedure includes: (a) require the parties to communicate in order to resolve the issue; (b) instruct the parties to consider: (i) the degree and immediacy of the risk of those affected by the issue; (ii) the number of workers affected; (iii) the location of workers affected; (iv) the measures to be implemented to reduce any risk; (v) require written notice of any resolution; (vi) advise the parties that if resolution cannot be achieved in a reasonable time that any party can request an Inspector to attend the workplace to inquire into the matter
Recommendations:

General Working Environment

WHS Regulation 40 sets out obligations in regard to general workplace facilities:
A PCBU must ensure that:
(a) the layout of the workplace allows for persons to enter and exit and to move about without risk to health and safety both under normal and emergency conditions
(b) work areas must have space for the work to be carried out without risks to health and safety
(c) floors and other surfaces are designed, installed and maintained to allow work to be carried out without risk to health and safety
(d) lighting enables:
(i) each worker to carry out work with risks to health and safety
(ii) persons to move within the workplace;
(iii) safe evacuation in an emergency
(e) ventilation enables workers to carry out work without risks to safety
(f) workers carrying out work in extremes of hot or cold are able to cary out the work without risk to health or safety
(g) work in relation to r near essential services does not give rise to a risk to the health and safety of persons at the workplace.

Similar regulations are in force in WA's OSH Regulations.

N.B. While no specific regulations in regard to the general working environment in force in Victoria - the OHS Act requires employers to provide a working environment that is safe and without risk to health.
Are emergency exits clear and freely accessible?
Is emergency signage in place and in good operating order?
Is the workplace kept in a clean and tidy condition free of obstruction?
Are there any notable slips, trips and fall hazards?
Are walkways, aisles etc clear, wide enough and free of obstructions or hazards?
Are floors and other surfaces suitable for the tasks being undertaken at the workplace and maintained in a good or serviceable condition?
Is there provision for prompt attendance to any spills or rubbish build up?
is workplace illumination adequate to the work being conducted?
Does the workplace lighting adequate to allow person to move within the workplace without risks to heath and safety?
Is there provision for suitable emergency lighting?
Is the workplace ventilation suitable for the tasks being undertaken at the workplace?
Is thermal comfort levels within 20 to 26 degrees centrigrade
Are air conditioning units inspected, tested and maintained as required?
Does the organisation have procedures dealing with working in extremes of hot and cold temperatures?
Does the working in extreme heat policy consider: (a) rescheduling work (b) wearing lighter clothing (c) rotating or using extra staff to undertake strenuous jobs (d) providing extra breaks in a cool area (e) provide cool drinking water (f) use of mechanical aids to reduce physical exertion (g) providing information , training to manage fatigue and recognise signs of heat stress and appropriate first aid
Does the working in extreme cold policy consider: (a) the effects of low air temperature - outdoor work in cold weather, indoor work in cold environments; (b) the effects of high air movement - prolonged outdoor activity in cold, wet and windy conditions: both cause risks of hypothermia, loss of consciousness or death. Controls methods should include; (a) thermal/warm clothing; (b) provide shelter; (c) monitoring environmental conditions (d) information, tairng as to risks and warning signs (hands become numb, involuntary shivering; loss of motor coordination, slurred speech, difficultly in thinking clealry and irrational behaviour) (e) provide adequate first aid facilities
Recommendations:

Workplace Amenities

The provision of adequate amenities is included in under the general duty of care provisions of Australian health and safety legistion. The WHS regulations stipulates obligations for PCBU to provide adequate facilities for workers. In Victoria there is a Compliance Code for Workplace Amenitites.

Adequate facilities include:
(a) toilets;
(b) drinking water;
(c) washing facilities
(d) eating facilities

N.B. The Victoria compliance code for workplace amenities also suggests adequate change and personal storage facilities
Are eating and dining areas provided, that are separate for the work area?
Are the eating/dining arrangements suitable for the number of staff?
Is there provision for keeping and heating up meals
Is there access to cool, clean drinking water?
Do all employees have access to clean and hygienic toilet facilites?
Are the toilet facilities adequate considering the number, location and sex of employees
Do workers have access to hand washing facilities, including hot/cold running water, non irritating soap or cleanser and hygienic means of drying hands (ie paper towel or hot air dryers)
Are provisions for changing clothes and storing personal items provided?
Are the amenities kept clean and tidy, with provision for replacing consumable items?
Recommendations:

First Aid

The provision of adequate first aid facilities is included in under the general duty of care provisions of Australian health and safety legislation. Both the harmonised WHS regulations and WA OSH Regulations stipulates obligations for PCBU/employer to provide adequate facilities for first aid. Victoria has issued a Compliance Code for First Aid.

WHS Regulations require a PCBU to ensure:
(a) the provision of first aid equipment for the workplace;
(b) thta each worker has access to the first aid equipment;
(c) access to facilities for the administration of first aid.

The PCBU must also ensure that:
(a) adequate numbers of workers are trained to administer first aid;
(b) workers have access to adequate number f other persons who have been trained to administer first aid.

The PCBU must consider the following matters when determining first aid requirements:
(a) the nature of the work carried out at the workplace;
(b) the nature of the hazards at the workplace;
(c) the size and location of the workplace;
(d) the number and composition of workers and other persons at the workplace.
Has the organisation conducted a risk assessment considering the following: (a) the nature of the work carried out; (b) the hazards present at the workplace; (c) the size and location of the workplace; (d) the number and composition of the workforce to determine its first aid requirements?
Are the first aid facilities provided adequate considering the above requirements?
Are first aid officers appropriately qualified?
Do workers have access to first aid equipment?
Are suitable facilities provided for the administration of first aid?
Are first aid officers identified and first aid facilities suitably signposted?
Recommendation:

PPE

Both WHS regulations and WA OSH regulations stipulate condition around the use, provision and care of PPE.

Under WHS regulations (applies when PPE is required under Reg 36 relating to hierarchy of control)
PCBU must provide PPE,unless PPE has been provided by another person
PPE must be:
(a) selected to minimise risk
(b) is suitable having regard to nature of work and hazards associated with work
(c) is a suitable size, fit and reasonably comfortable for the worker who is to wear or use it
(d) maintained, repaired or replaced so it continues to minimise the risks, including ensuring PPE
(i) clean & hygienic
(ii) in good working order
(e) used or worn by worker

PCBU must provide worker with information, instruction and training in the:
(a) proper use and wearing of PPE
(b) the storage & maintenance of PPE

In WA the regulation specifies that PPE must comply with AS/NZS Standards:
Safety Helmets AS/NZS 1801
Eye protection AS/NZS 1337 & 1338
Gloves AS/NZS 2161
Footwear AS/NZS 2210
Sunscreen AS/NZS 2604
Clothing (heat/Flame) AS/NZS ISO 2801 & AS/NZS 4501.1
Clothing (toxic/volatile chemicals) AS 3765.

Victoria has no specific regulatory requirement sin regard to PPE.
Is PPE suitable to minimise the particular hazard associated with the work?
Is the PPE supplied of suitable size and fit and reasonably comfortable for the worker who wears of uses it?
Is there a process in place to ensure that PPE is maintained, repaired or replaced to ensure it continues to minimise the risk for which it is supplied, including being kept in clean and hygienic and in good working order?
Are workers given necessary information, instruction & training in regard to the proper use and wearing and storage and maintenance of PPE?
Is the correct use and care of PPE supervised?
Recommendation:

Remote/Isolated work

Both WHS and WA OSH regulations include requirements for remote or isolated work.

WHS Regulations require a PCBU to manage risks associated with remote/isolated workers as per risk management prcess stipulate under regs.

In minimising risk to any worker working remotely or in isolation the PCBU must provide a system of work that includes effective communication with the worker.
Has the organisation assessed the hazards and introduced appropriate risk controls associated with remote/isolated work?
Has the organisation introduced and maintained a safe system of work that includes an effective means of communication?
Recommendation

Monitoring Airborne Contaminats

WHS regulations require a PCBU to manage any airborne contaminants.

A PCBU must that no person at a workplace is exposed to a substance or mixture in an airborne concentration that exceeds the exposure standard for that substance or mixture.

A PCBU must ensure that air monitoring is carried out to determine the airborne concentration of a substance or mixture at the workplace to which an exposure standard applies, if:

(a) not certain that the airborne concentration exceeds the exposure standard; or
(b) monitoring is necessary determine whether there is a risk to health.

Records of the results of air monitoring undertaken under this regulation must be retained for 30 years

The results of air monitoring must be readily accessible to persons at the workplace who may be exposed to the substance or mixture.
Has the organisation ensured no person a the workplace is exposed to airborne concentrations of a substance or mixture in the workplace above the exposure standards for the substance or mixture?
Is air monitoring conducted where it is uncertain that the airborne concentration exceeds the exposure standards or when it is necessary to determine whether there is a risk to health?
Are records of the results of air monitoring kept for 30 years?
Do persons who may be exposed to the substance or mixture have ready access to the results of air monitoring?
Recommendation:

Hazardous Atmospheres & Ignition Sources

PCBU must manage risks associated with any hazardous atmosphere at the workplace.

A hazardous atmosphere is one where there is no safe oxygen level or the concetration of oxygen increases the fire rsik or the concettration of flammable gas, vapour, mist or fumes exceeds 5 % of LEL for the gas, vapour etc, or combustable dust in a quantity and form that would result in a hazardous area.

A PCBU must manage the risks to health and safety associated with any ignition source in a hazardous atmosphere.
Has the organisation managed any risks associated with hazardous atmospheres and ignition sources?
Recommendations:

Storage of flammable and combustable materials

Under WHS regulations flammable and combustable materials must be kept to the lowest possible quantity needed by the workplace.

In Victoria The Dangerous Goods (Storage & Handling) Regulations 2012 apply and require the preparation of manifests, emergency plans, segregation, spill containment and signage as well as secure storage.
Have quantities of flammable and/or combustable materials at the workplace been reduced to the minimum quantity required?
Do the quantities of dangerous goods at the workplace exceed the schedule manifest quantities?
Has a manifest been prepared in accordance with the regulations?
Are written emergency planning requirements, considering the view of the relevant emergency service authority prepared and available?
Are placards requirements met and is the signage displayed prominently and maintained in good condition?
Are the spill containment measures appropriate for the quantity of dangerous goods stored and handled on site?
Is equipment used in clean up of any spills, escapes or leaks of dangerous goods adequate, maintianed and readily accessible at all times?
When there is a possibility of traffic or movement of vehicles and other plant near the storage facility has adequate impact protection been provided?
Are different classes of dangerous goods properly segreated?
Is the storage of dangerous goods secure?
Recommendations:

Management of Falling Objects

WHS Regulations require a PCBU to manage any risks associated with objects falling on a person if the falling object is likely to injure a person.

Where such a rsik exists the PCBU must provide adequate protection: including rovindign and maitining a safe system of work that:
(a) preventing an object falling freely;
(b) if it is not reasonably practicable to prevent the free fall on an object then providing a system that would arrest the fall of a falling object.

The regulations produce examples of means of controlling the risk as:
1 providing a secure barrier;
2 providing a safe means of raising and lowering objects; and
providing exclusion zones where persons are prohibited from entering.
Has the organisation assessed any risks of falling objects injuring a person?
Has the organisation implemented and maintained a safe system of work that would prevent the free fall of any falling object, such as a secure barrier, safe means of lowering or lifting objects and /or an exclusion zone ?
Recommendation:

Noise

All Australian Health and Safety jurisdictions have specific regulations in regard to Noise.
WHS Regulations require that a PBCU manage risks in accordance with the 'risk management' requirements under part 3.1 of the regulations in regard to the risk of hearing loss associated with noise.

A PCBU must ensure that workers are not exposed to noise in the workplace that exceeds the exposure standard for noise.

Where a worker is required by the PCBU to use PPE (hearing protection) to protect that worker form the risk of hearing loss associated with noise that exceeds the exposure standard the PCBU must provide audiometric testing for the worker:
(a) within 3 months of the worker commencing work; and
(b) in any event at least every 2 years.

The legislation is similar in both Victoria & WA
Has the workplace been assessed to ensure that noise, including noise generated by plant or work processes does not exceed the exposure standards?
Have workers/employees exposure to noise been levels been monitored?
If noise levels have been determined to exceed the exposure standards have controls measures to eliminate the noise or reduce the noise levels in accordance with the hierarchy of controls been introduced?
Are workers required to wear hearing protection?
Are employees exposed to noise or required to wear hearing protection subject to audiometric testing?
Are records of audiometric tests kept confidentially and retained for as required by regulations?
Are signs posted in the workplace or work areas in regard to the requirement to wear hearing protection in areas were the noise assessment reveals the noise may exceed the exposure standards?
Recommendation

Hazardous Manual Tasks

All Australian heath and safety jurisdictions have specific regulations dealing with hazardous manual tasks or hazardous manual handling.

WHS Regulations require that a PBCU manage risks in accordance with the 'risk management' requirements under part 3.1 of the regulations in regard to the risk of a musculoskeletal disorder associated with a hazardous manual task.
In determining the control measures a PCBU must have regard to all relevant matters that may contribute to a musculoskeletal disorder, including:
(a) postures, movements, forces, vibration relating to the hazardous manual task;
(b) the duration and frequency of the hazardous manual task;
(c) workplace environmental conditions that may affect the hazardous manual task or the worker performing it;
(d) the design of the work area;
(e) the layout of the workplace:
(f) the systems of work used; and
(g) the nature, size, weight or number of persons, animals,or things involved in carrying out the hazardous manual task.
Have all hazards associated with manual tasks conducted in the workplace been identified?
Have all tasks involving hazardous manual handling been identified?
Has a documented risk assessment been prepared for all hazardous manual tasks?
Do the measures implemented to control the risks associated with hazardous manual tasks follow the hierarchy of controls or reduce the risks as far as reasonably practicable?
Does the organisation review the chosen risk control measures following: (a) any reported instance of a musculoskeletal disorder, (b) before any alteration to the work place or system of work involving hazardous manual task (c) when any additional information becomes available about hazardous manual handling associated with a task (d) after any reportable incident involving hazardous manual task (e) when requested to by a HSR (f) if the risk control measures are ineffective.
Are the mechanical aids in use suitable to reduce the risk?
Have all workers exposed to risks of musculoskeletal disorder received relevant information, instruction and training in regard to the risks, and the controls to eliminate or reduce the risks AFARP?
Have workers been given necessary information and instruction in order to set up their individual workstation ergonomically?
Recommendations

Confined Spaces

Entry into confined spaces is subject to specific regulations in all Australian jurisdictions.

WHS Regulations require that a PBCU manage risks in accordance with the 'risk management' requirements under part 3.1 of the regulations in regard to the risks associated entering, working in, on or in the vicinity of a confirmed space, including a person inadvertently entering a confined space.

PCBU must ensure that a risk assessment is undertaken by a competent person
That the risk assessment must be in writing
PCBU must in assessing the risks have consideration of the following:
(a) whether the work can be carried out without the need to enter the confined space;
(b) the nature of the confined space;
(c) if the hazard is associated with the concentration of airborne contaminants in the confined space - any change that may occur in that concentration;
(d) the work required to be carried out in the confined space, the ranges of methods by which the work can be carried out, and the proposed method of work;
(e) the type of emergency procedures, including rescue procedures, required;

The risk assessment must be reviewed and revised as necessary by a competent person.

Confined Space Entry Permit

A PCBU must not direct a worker to enter a confined space to carry out work unless the person has issued a confined space entry permit for the work.

A confined space entry permit must be completed in writing by a competent person.

The permit must specify the following:
(a) the confined space to which the permit relates;
(b) the names of the persons permitted to enter the space;
(c) the period of time during which work in the space will be carried out;
(d) measures to control the risk associated with the proposed work in the space
(e) contain space for an acknowledgement that work in the confined space has been completed and that all persons have left the confined space.

The control measures specified in the permit must:
(a) be based on the risk assessment, and include;
(b) control measures for safe entry;
(c) details of the system of work to ensure continuous commucation with the worker from WHS Regulations require that a PBCU manage risks in accordance with the 'risk management' requirements under part 3.1 of the regulations in regard to the risk of hearing loss associated with noise. the confined space and safety monitoring of the conditions by a standby person

PCBU must ensure that when work has been completed that:
(a) all persons have left the confined space:
(b) the competent person has completed the acknowledgment on the permit that work has been completed and that all persons have left the confined space.

Signage
PCBU must ensure that signage is erected immediately before work in a confined space commences and remains oin palce during the work.

Signage must:
(a) identify the confined space;
(b) inform workers that they are not to enter without a confined space entry permit
(c) signage most be displayed prominently near entry to confined space
Communication & Safety Monitoring

PCBU must ensure worker does not enter confined space unless the is a system of work that includes;
(a) continuous communication with worker from outside confined space;
(b) monitoring of conditions by a standby person in the vicinity but outside confined space, who if reasonably practicable can still observe wok being carried out

Atmosphere must be purged before entry or otherwise workers supplied with air supplied respirators.

Must ensure that continuous monitoring by flammable gas detector where flammable gas or vapour to ensure flammable gas, mist or vapour is less than 5% of LEL

PBCYU must ensure that ignition source is not introduced into confined space if there is a possibility that the ignition source could cause fire or explosion

PCBU must that it has adequate first aid and rescue procedures to be followed in case of the event of emergency in confine space. PCBU must also ensure that such emergency procedures are practised to ensure the procedure are both efficient and effective. Emergency procures must be initiated from outside the confined space asap in the event of an emergency.

PCBU must ensure that;
(a) entry and exit openings of confined space are large enough to allow emergency access;
(b) entry and exit openings are not obstructed;
(c) plant, equipment and PPE provided for first aid or emergency rescue is maintained in good working order

PPE available for use in emergency situations must include, if there is a risk of unsafe oxygen level, harmful concentration of airborne contaminant an air supplied respirator.

If there is a risk of engulfment then PPE suitable for engulfment risk is to be provided for the worker in case of an emergency.

PCBU must ensure that workers are provided with suitable and adequate information, training, and instruction re:
(a) the nature of risks associated with confined spaces
(b) the ned for and appropriate use of control measures:
(c) the selection, fit, use, wearing, testing, storage and maintenance of PPE;
(d) the contents of any confined space entry permit in relation to work to be carried out by the worker in the confined space; and
(e) emergency procdeures.

Records of training provided to a worker in regard to confined space must be kept for 2 years.
Confined space entry permits and risk assessments must be kept for:

Riskk assessment until 28 days after the work it relates to is completed;
Confined space entry permit is kept until the work it relates to is completed.
Has the PCBU/employer taken a risk management approach to manage risks to health and safety associated with entering, working in, on or in the vicinity of a confined space, including of a person indavdertently entering the confined space?
Has the PCBU/employer ensured that a written risk assessment is conducted by a competent person in regard to the risks associated with the confined space?. Is that risk assessment kept for a minimum of 28 days after the work etc in the confined space has been completed?
Does the risk assessment consider: (a) whether the work can be carried out without the need to enter the confined space; (b) the nature of the confined space; (c) oxygen levels, presence and concentration of airborne contaminant and any change in concentration that may occur; (d) the work required to be conducted in the confined space and the methods by which that work can be carried out, and the proposed work method; 9e) emergency &rescue procedures
Has the PCBU/employer issued a confined space entry permit, before any worker is directed to work in a confined space. Does the entry permit fulfil the legislated criteria: (a) completed by a competent person; (b) is in writing; (c) identifies the confined space to be entered; (d) names the persons authorised to enter the confined space; (e) the period of time for which the permit is valid; (f) control measures relevant to the work to be undertaken in the confined space (based on the risk assessment) (i) including procedures for safe entry; (ii) safe system of work for communicating with worker from outside the confined space; (g) contain an acknowledgement that all work in the confined space has been completed and that all persons have left the confined space
Has the PCBU/employer ensured that signs have been erected immediately before any work and while any work is being conducted in confined space,including work in preparation or completion of work in a confined space. Do the signs used in the workplace: (a) identify the confined space; (b) inform workers they must not enter the space unless they have a confined space entry permit; (c) be clearly and prominently displayed next to each entry into the confined space.
Has the PCBU/employer ensured that no worker enters the confined space unless there is a system of work in place that includes: (a) a means of continuous communication with the worker from outside the confined space; and (b) monitoring of conditions within the confined space by a standby person located in the vicinity of the space who if possible can can observe the work being conducted.
Does the PCBU's/employer's procedures consider specific controls in regard to: (a) the introduction of risks associated with plant or services or any substance or condition through the introduction of plant or services; (b) the activation or energisation in any way of plant or services connected to the confined space; (c) purging or ventilating the atmosphere of any contaminant. (d) ensuring the atmosphere in the confined space is safe or that work is carried out only by workers with an air supplied respiratory system (e) ensuring thta any flammabke gase, or vapours inn the confined space is less than 5% of its LEL and has the necessary monitoring detectors in palce while the worker is in the confined space. Workers must be removed with the vapour etc equals or is greater than 10% of its LEL; (f) ensures that no ignition source is introduced to the confined space where there is a possibility of the ignition source of causing a fire or explosion.
Has the PCBU/employer ensured that its first aid and emergency procedures in the event event of an emergency are efficient and effective? Do those procedures require first aid or emergency response is initiated from outside the confined space.
Has the PCBU/employer ensured that: (a) the entry and exit openings of the confined space are large enough to allow emergency access; (b) that the entry and exit openings of the space are not obstructed; (c) plant, equipment and PPE is provided for first aid or emergency rescue is maintained in good woking order; (d) that air respirators are available for use in by a worker in an emergency when the confined space does not have a safe level of oxygen, or harmful concentration of airborne contaminants or that suitable PPE for risk of engulfment.
Has the PCBU/employer provided relevant workers have been provided with suitable and adequate information, training, an instruction relating to: (a) the nature of all hazards relating to a confined space; (b) the need for and the appropriate use of, control measures to control risks to health and safety associated with those hazards; (c) the selection, fit, use, wearing, testing storage and maintenance of PPE (d) the contents of any confined space entry permit (e) entry procedures. Has the PCBU ensured that all workers training records relation to confined spaces for two years
Recommendation

Falls

WHS regulations require a PCBU to manage the risk associated with a fall from one level to another that is reasonably likely to cause injury to the person or any other person in accordance with the risk management principles in part 3.1 of the regulations.

The risk of a fall includes:

(a) in or on an elevated work platform;
(b) in the vicinity of an opening through which a person could fall;
(c) in the vicinity of an edge over which a person could fall;
(d) on a surface through which a person could fall;
(e) in any other place a person could fall.

PCBU, must AFARP, ensure that any work that involves the risk of a fall to be carried out on the ground or on a solid construction.
Solid construction means an area that has:
(a) a surface that is structurally capable of supporting all persons and things that may be located on placed on it;
(b) barriers around its perimeter and any openings to prevent a fall:
(c) an even and readily negotiable surface and gradients;
(d) safe means of entry and exit.

If it is NOT reasonably practicable to undertake work on the ground or a solid surface, then PCBU must minimise the risk of a fall by:
(a) providing a fall prevention device;
(b) if above not reasonably practicable.providing a work positioning system;
(c) if either (a) or (b) not reasonably practicable then providing a fall arrest system.

Example of above - temporary work platforms, training, provision of SWMS, work sequencing, permit systems and safe use of ladders.

Fall prevention devices include ; secure fence, edge protection, work platforms and covers.

Emergency and rescue provisions
If PCBU provides a fall arrest system to control risk associated with a fall then, the PCBU must:
(a) establish emergency procedures, including means of rescue. Such procedures must be test to ensure they are effective.(b) workers must be given information, training and instruction in regard to emergency procedures.

Note: While SA has adopted harmonised laws, it maintains that the risk of a fall must be from greater than three metres.

Victoria requires similar hierarchy of control measurs for dealing with any risk of a fall greater than 2 metres.
WA has specifies that duty holder must ensure any anchorage and fall injury prevention system is designed, manufactured,installed to be capable of withstanding force applied to it as a result of person falling. A duty holder must also inspect any anchorage by a competent person at interval not greater than six months (if used regularly or before use.

WA regs also require edge protection if there is a risk of falling greater than 2 metres or a fall injury prevention system if there is a risk of falling greater than 3 metres.

Ladders
WA regs also has specific regulations in regard to the use of portable ladders:
(a) is placed so that the distance from the base of the ladder to the base of the support wall is about 1/4 of the working length of the ladder.
(b) is located on a firm footing;
(c) is secured to prevent movement or slipping;
N.B only industrial or commercially rated ladders can be used in a workplace.

Victorian regulations require that the ladder is fit for purpose, appropriate for the duration of the task and is set up in the correct manner.
Has the PCBU/employer introduced controls to manage any risks associated with falls, including form: (a) in or on an elevated work platform; (b) in the vicinity of any opening (c) in the vicinty of any edge (d) on a surface through which a person could fall
Do the control measures require the work to be undertaken on the ground or a solid surface, or if that is not reasonably practicable meet the hierarchy to minimise the risk by: (a) the provision of a fall protection device; (b) a work positioning system (c) a fall arrest system
Has the organisation established rescue procdures in regard the use of any fall arrest system. If so have those procedures been test to ensure they are effective.
Have relevant person been given necessary adequate information, instruction and training in regard to any rescue procedures.
Does the organisation use a permit system in regard to working at height where there is a risk of a fall?
Are specific SWMS/JSAs prepared for tasks that involve working at height and the risk of a fall?
If ladders are used in the workplace, are they: (a) fit for purpose (allow three points of contact at all times); (b) appropriate for the duration of the task; (c) set up in the correct manner (d) secure Commercially/Industrial rated.
Recommendation

High Risk Work

All Australian Health and Safety jurisdictions require persons undertaking high risk work activities to hold the appropriate high risk work licence.

A PCBU or employer must ensure that person carrying out high risk work activities hold the appropriate licence or under undertaking a course of training towards certification in order to carry out high risk work and who are under the direct supervision of an appropriate license holder.

High Risk work includes:
Scaffolding - Basic, intermediate and advanced licenses
Dogging & Rigging - Dogging & basic, intermediate and advance rigging licenses
Crane & Hoist operation - tower crane, self erecting tower, derrick portal boom, bridge & gantry,vehilce loading, non slewing mobile, slewing mobile up to 20 tonnes, slewing mobile up to 60 tonnes, slewing mobile up to 100 tonnes,slewing mobile cranes over 100 tonnes, materials hoist, personnel and materials hoists, boom type elevation work platform and concrete placing boom licence classes
Reach Stackers - over 3 tonne capacity
Forklift operations
Pressure Equipment operation - standard and advanced boiler operation
Turbine
Reciprocating steam engine
Has the organisation introduced a system of work to ensure it is aware of the relevant high risk work licences required for its activities?
Has the organisation ensured that its workers hold the relevant high risk work licences for the wok tasks they are assigned or expected to carry out in the workplace?
Recommendation

Electrical Equipment

WHS regulations stipulate the PCBU's most ensure:
(a) that any unsafe electrical equipment is disconnected from its supply;
(b) once disconnected is not used until it has been repaired and tested and found to be safe or replaced and permanently removed from use.

A PCBU must ensure that electrical equipment is regularly inspected and tested by a competent person if:
(a) the electrical equipment is supplied with electricity through an electrical socket;
(b) used in an environment which exposes the equipment to operating conditions that are likely to result in damage to the equipment or a reduction in its expected lifespan including conditions that involve exposure to moisture, heat, vibration,mechanical damage corrosive chemicals or dust.

PBCU must ensure that records of any inspection and testing are maintained until the equipment is next tested or permanently removed from the workplace. The records should include:
(a) the name of the person who carried out the testing;
(b) the date of testing;
(c) the outcome of the testing;
(d) the date the next testing is due.

Records may be in the form of the tag attached to the electrical equipment.

Electrical equipment that has not been tested must not be used in the workplace.

RCDs

WHS regulations require the use of RCDs in regard to the use of socket outlets in hostile environments:

(a) that is used in an environment which exposes the equipment to operating conditions that are likely to result in damage to the equipment or a reduction in its expected lifespan including conditions that involve exposure to moisture, heat, vibration,mechanical damage corrosive chemicals or dust.
(b) electrical equipment that s moved between different locations in circumstances where damage to the equipment or to a flexible electricity supply cord is reasonably likely
(c) electrical equipment that is moved frequently during normal use
(d) or electrical equipment forms art or is used in connection with an amusement device.

Any electrical risk associated with the supply of electricity equipment through a socket is to be minimised by use of an appropriate RCD.

PVCBU must ensure that RCDs are tested regularly by a competent person to ensure they are operating effectively. Records of such testing , expect for daily testing) must be retained until the RCD is next inspected or the RCD is permanently removed from use.

N.B In QLD electrical safety is still covered in specific regulations (No need for testing and tagging if RCD used.

in Victoria general OHS duties require employer to provide and maintain a safe workplace and working environment.

Guidance can be found in AS/NZS 3760 In service safety inspection and testing of electrical equipment
Has the organisation implemented safe work procedures to ensure that unsafe electrical equipment is identified, and either permanently removed from service or repaired and tested for safety before being reused in the workplace?
is there an electrical equipment register for the workplace?
Has the organisation ensured that all portable cord sets, cord extensions sets and electrical portable outlet devices are inspected and tested by a competent person as per the schedule contained in AS/NZS 3760 Factories, workshops, manufacture etc 6 monthly Where electrical equipment is subject to flexing in normal use or in a hostile environment - every12 months Non hostile environment or not subject to flexing in normal use- every five years
Has the organsistion ensure RCDs are provided for use with outlets in hostile environments or when otherwise required by legislation?
Are RCDS tested by a competent person as required by the AS/NZS 3760
Are electrical switchboards secure and appropriately signposted?
Are electrical leads etc in the workplace appear in good order, no overloading, not frayed or damaged, no double adapters, no leads trailing on the floor or greater than 20 metres etc
Does the organisation have an out of service procedure for damaged or faulty electrical equipment?
Recommendation

Plant & Structures- General

WHS legislation requires a PCBU to manage risks associated with plant in accordance with the risk management principles contained in Part 3.1 of the regulations. (Victoria and WA also has similar provisions - aimed at where a hazard is identified then the PCBU has to control any risk associated with that hazard in accordance with the Hierarchy of Control.

Installation, commissioning, dismantling & decommissioning

PCBU must not commission plant unless the PCBU has established that the plant is without risks to health and safety of any person.

PCBU must not decommission or dismantle plant unless such activity can be done without risks to health and safety of any person

Installation, assembly, construction, commissioning, decommissioning or dismantling of plant must be undertaken by a competent person.

PCBU must ensure information in regard to installation etc available

Must have a process that includes inspection of activities concerning installation etc to ensure any risks are monitored

PCBU must prevent unauthorised alterations or interference with plant
PcBU must take all reasonable steps to ensure plant is used only for the purposes it was designed for unless the proposed use ,as judged by a competent person, does not increase any risk to health and safety.

PBCU must ensure that any safety features or warning devices are used in accordance with the instructions, information provided by the supplier/manufacturer.

Victorian and West Australian legislation requires an employer to identify any hazards relating to plant and controlling any risks associated with the identified hazards.
Has the organisation introduced a risk management approach to ensuring plant in use at the workplace is safe and without risks to health?
Has the organisation implemented appraotite control measures to ensure safety from any risks associated with the installation, commissioning, dismantling or decommissioning of plant in the workplace
Does the organisation have a suitable mechanism to ensure that there are no unauthorised alterations or interference with plant?
Does the organisation have sufficient means of ensuring plant is only used for the purposes it was designed for, unless a competent person has assessed that the intended use does not increase any risk to heath and safety?
has the organisation ensured that all safety features and warning devices including guarding,operational controls, emergency stops and warning devices) are used in accordance with instructions and information provided by the manufacturer or supplier?
Does the organisation have a plant/equipment register?
Are there any documented hazard Identification and risk assessments relating to plant?
Have specific safe work procedures been developed for the operation of plant?
Recommendation

Plant - Safety Features

Safety legislation has detailed specific obligations in regard to safety features on plant including:
(a) when the plant is not in use
(b) when guarding Is used to control risk;
(c) insulation from hot or cold;
(d) operational controls;
(e) emergency stops;
(f) warning devices;
(g) inspection and maintenance
Plant not in use

PCBU must ensure that plant that is not in use is left in a sate that does not create a risk to the health and safety of any peson?
Has the organisation controlled any risk for when the plant is not in use?
Guarding: If guarding is used as a control measure to control the risk associated with plant in the workplace then:
(a) If access to the area of plant requiring guarding is not necessary during the operation, maintenance or cleaning of the plant, the guarding must be a permanently fixed physical barrier; or
(b) If access to the area of the plant requiring guarding is necessary during operation, maintenance or cleaning of the plant, the guarding must be an interlocked physical barrier, that allows access access to the area being guarded at times when that area does not present a risk and prevents access to that area at any other time; or
(c) if it is not reasonably practicable to use guarding referred to in either f the above paragraphs then the guarding must be a physical barrier than can only b altered or removed by use of a tools; or
(d) if guarding as referred to in paragraphs (a), (b) or (c) is not AFRAP, the the guarding must include a presence sensing safeguarding system that eliminates any risk arising from the area of plant requiring guarding while a person or any part of a person is in the area being guarded.

Person with management and control of the plant must ensure that the guarding is:
(a) of solid construction and securely mounted so as to resist impact or shock; and
(b) makes bypassing or disabling of the guarding, whether deliberately or by accident, as difficult as is reasonably practicable; and
(c) does not create a risk in itself:
(d) is properly maintained.

If the plant to be guarded contains moving parts that may break or cause workpieces to be ejected from the plant, then the person with management or control of the plant must ensure, AFARP that the guarding will control any risk from those broken or ejected parts and workpieces.

The person with management or control of the plant must ensure:
(a) that the guarding is of a kind that can be removed to allow maintenance and cleaning of the plant at any time when the plant is not in normal operation;
(b) if guarding is removed, that AFARP the plant cannot b restarted unless the guarding is replaced.
If guarding is used to control the risk of plant does the guarding meet the hierarchy of control set out by the regulations: (a) no access required - permanently fixed physical barrier (b) access required for cleaning & maintenance - interlocked physical barrier (c) access required but interlocked physical barrier not reasonably practicable - physical barrier that can only be removed by use of tools (d) not practicable to use above mans of guarding - then presence sensing safeguard that eliminates risk while person in vicinity of plant that requires guarding
Is guarding fitted to plant: (a) of solid construction and securely mounted to plant; (b) such that it makes bypassing or disabling if the guarding, whether deliberately or accidentally, as difficult as possible?
Does any guarding fitted prevent any risk of injury from moving parts, workpieces being ejected?
Does the guarding allow for cleaning and maintenance when the plant is not in normal operation.
If the guarding is removed does the system prevent the plant from being restarted unless the guarding is replaced?
Insulation from hot or cold

Person with management and control of plant must ensure that ay pipe or other part of the plant associated with heat or cold is guarded or insulted
Are any parts of the plant that is associated with heat or cold guard or insulated so as not to cause injury or illness to any person?
Operational controls

The person with management and control of plant must ensure that operator's controls are:
(a) identified on the plant to indicate their nature, function and direction of operation;
(b) located so as to be readily and conveniently operated by each person using the plant;
(c) located or guarded to prevent unintentional activation;
(d able to be locked into the off position to enable disconnection of all motive power.

If the plant needs to be operated during maintenance or cleaning the person with management and control of the plant must ensure that the operator's controls:
(a) permit operation of the plant while a person is undertaking maintenance or cleaning;
(b) while the plant is being maintained or cleaned, either:
(i) cannot be operated by any other person other than the person conducting the cleaning or maintenance; or
(ii) if the plant must be operated by another person other than the person conducting the cleaning or maintenance, the person with management and control of the plant must authorise the other person to operate the plant
(c) in a manner that will eliminate or reduce the risk associated with the maintence and cleaning of the plant.
Are the operators controls on plant: (a) clearly identified to indicate their nature, function and direction of operation (b) located to be readily accessible and conveniently operated (c) located or guarded to prevent unintentional operation (d) able to be locked off to enable disconnection of all motive power
Do the operators control only allow the person undertaking maintenance or cleaning to operate those controls?
If another person has to operate controls while another worker is performing maintenance or cleaning, is that person authorised to do so by the person with management and control of the plant?
Does the organisation have safe work procedures for cleaning and maintenance of plant including mechanism to lock out/tag out or otherwise isolate plant from any potential energy sources that could rise the risk of the plant reactivating during cleaning or maintenance work. Does the organisation use a 'work permit' system when undertaking maintenance or cleaning of plant
Emergency Stops
If the plant is designed to be operated or attended to by more than 1 person and more than 1 emergency stop control is fitted, the multiple emergency stops must be 'stop and lock off' types that prevent the plant from being restarted, unless the emergency stop controls are reset.

Emergency stops must:
(a) prominent, clearly and durably marked and be immediately accessible to the operator;
(b) any handle, bar, or push button associated with the stop control must be red;
(c) cannot be adversely affected by electrical or electronic circuit.
Do emergency stops on items of plant comply with the regulations?
Warning devices
If emergency warning devices are required to be fitted to plant the device must be positioned to ensure the device will wok to its best effect
Are warning devices fitted to plant clearly visible or audible in the working environment?
Maintenance & Inspection of Plant
the person with management and control of plant must ensure that the maintenance , inspection and testing of plant is carried out by a competent person.

Maintenance, inspection and testing must be carried out:

(a) in accordance with manufacturer's specifications;
(b) if there are no manufacturer's specifications in accordance with recommendations of a competent person;
(c) in regard to inspection with paragraph (a) or (b) not reasonably practicable then annually.
Does the organisation ensure that plant is maintained, inspected and tested so far as necessary to ensure it safe for continued operation in the workplace, including in accordance with manufacturer's specifications or on advice from a competent person, or inspected annually?
Recommendations:

Specific Plant

Powered mobile Plant

The regulations require additional controls to manage risks associated with powered mobile plant to prevent:
(a) the plant overturning;
(b) things falling on the operator;
(c) the operator being ejected;
(d) the plant colliding with any person or thing;
(e) mechanical failures of pressurised elements of the plant

PCBU with management and control of powered mobile plant must ensure that a suitable combination of operator protective devices for the plant is provided, maintained and used.

That no other person than the operator rides on the plant unless that person has provision for the same level of protection as the operator

Must ensure there is provision to control the risks of powered mobile pant colliding with pedestrians or other powered mobile plant, including ensuring the plant has warning devices that may warn persons who may be at risk of the movment of the pant.
Has the organisation ensured that a suitable combination of operator protective devices are fitted to powered mobile plant to minimise the risks associated with the plant; (a) overturning; (b) the operator being ejected; (c) things falling on the operators; (d) plant colliding with any person or thing. Operator protective devices include rollover protection structures, falling object protective structures, operator restraining devices and seat belts.
Are warning devices fitted to powered mobile plant adequate to warn persons at risk for the movement of plant?
Have all hazards and risk concerning collisions between powered mobile plant, pedestrians and other powered mobile plant beeb identified?
Do do control measures include a combination of physical separation, barriers, designated areas, speed restrictions, and technological solutions
Recommendation
Industrial Lift Trucks

Person with management and control of industrial lift rucks at a workplace must ensure:
(a) equipped with lifting attachments are suitable for the load to be lifted or moved by the truck;
(b) operated in a safe manner.

Not used to carry a passenger unless: the truck is designed to carry a seated passenger; and the passenger seat is fitted with an suitable restraint and is located within the protective zone of the operator protective device fitted to the truck.

the passengers seat is
Do the industrial lift trucks in use at the workplace have appropriate, rated lifting attachments for the work conducted?
Are there specific Safe Operating Procedures for the operation of industrial lift trucks at the workplace?
Recommendations

Hazardous Substances

All Australian jurisdictions have specific regulations dealing with hazardous chemicals/substances.
The WHS regulations require a PCBU to ensure any hazardous chemical used, handled or stored at a workplace is correctly labelled; including if the chemical is decanted at the workplace.

Any pipe work used in connection with a hazardous chemical must be identified by label, sign or means on or near the pipework.

A PCBU must obtain current safety data sheets for any hazardous chemical in use , handled or stored at the workplace.

the SDS must be readily accessible to:
(a) a worker who is involved in using, handling,or storing the hazardous chemical at the workplace;
(b) an emergency service worker, or anyone else who is likely to be exposed to the hazardous chemical at the workplace.

A PCBU must ensure a register of hazardous chemicals used, handled or stored a the workplace is prepared and kept ant the workplace and is maintained up to date.

The register must include:
(a) alist of hazardous chemicals used, handled and stored at the workplace; and
(b) the current safety data sheet for each hazardous chemical listed.

The register must be readily accessible to:
(a) a worker involved in using,handling or storing a hazardous chemical; an
(b) anyone else who is likely to be affected by a hazardous substance at the workplace.
Have all hazardous chemicals used, handled or stored at the workplace been identified?
Are all hazardous chemicals been correctly labelled?
Are SDS/MSDS available and current (within 5 years)
Do the hazardous substance exceed manifest quantities If so has a manifest been prepared and appropriate emergency plans and signage posted?
Is there provision to reduce any risk of fire and explosion by reducing ignition sources in the workplace?
Are spill containment measures appropriate to keep the spill contained?
Are emergency provisions and equipment appropriate for the hazardous chemicals used, handled or stored at he workplace, in consideration of the workplace environment
Are first aid facilities suitable for the risks to health and safety as determined in the SDS/MSDS for the hazardous chemicals in site?
Recommendations

Asbestos

All Australian health and safety laws have specified requirements in regard to the management of asbestos in the workplace. Asbestos was used largely in building and building materials up to the 1980s prior to being completely prohibited in 2003.

The WHS regulations require a person having management and control of a workplace to ensure that all asbestos or ACM at the workplace is identified by a competent person. If material cannot be identified but the competent believes that the material is asbestos of ACM, then the material must be assumed to be asbestos or ACM. Similarly if any part of the workplace is inaccessible to workers and likely to contain asbestos or AMM it must be assumed that asbestos is present in that part f the workplace.

If the presence of asbestos or ACM is assumed to be present then it is identified for the purposes of the regulations.

A person with management and control may identify asbestos by having it analysed. Such analysis must only be conducted:
(1) at a NATA accredited laboratory;
(2) a laboratory approved by the regulator;
(3) ina laboratory operated by a regulator.

In any workplace where asbestos or ACM has been identified the presence and location of asbestos or ACM must be clearly indicated, and if it is reasonably practicable such indication must be by a label.

A person with management and control of the workplace must ensure that a register is prepared and kept at the workplace. The register must be maintained to ensure the information is kept up to date.

The asbestos register must:
(a) record any asbestos or ACM identified at the workplace or likely to be present at the workplace from time to time, including:
(i) the date on which the asbestos or ACM was identified;
(ii) the location, type and condition of the asbestos or ACM; or
(b) state that no asbestos or ACM is identified at the workplace, if the person knows that no asbestos of ACM is identified or is likely to be present from time to time, at the workplace.

A person is not required to produce an asbestos register for a workplace, if a register has already been prepared for that workplace.

An asbestos register does not have prepared if:
(a) the workplace that is a building was constructed after 31 December 2003; and
(b) no asbestos has been identified at the workplace: and
(c) no asbestos is likely to be present at the workplace from time to time.

Asbestos registers must be reviewed and if necessary revised if:
(a) the asbestos management plan has been reviewed;
(b) further asbestos in the workplace is identified;
(c) asbestos is removed from, disturbed, sealed, or enclosed at the workplace.

A person with management and control of a workplace where an asbestos register is kept must ensure the register is readily accessible to:
(a) a worker who has carried out, carries out or intends to carry out, work at the workplace; and
(b) a health and safety representative who represents a worker as described above; and
(c) a PCBU who has carried out,carries out or intends to carry out work at the workplace; and
(d) a PCBU who has required, requires, or intends to require work to be carried out at the workplace.

If a PCBU carries out, or intends to cary out work at a workplace that involves airborne asbestos, the person with management and control of the workplace must ensure the PCBU is given a copy of the asbestos register.
If the person with management or control of a workplace plans to relinquish control of the workplace they must ensue that the asbestos register is given to the person assuming management and control of the workplace.

If asbestos is identified at the workplace, then a written asbestos management plan must be prepared and maintained up to date.

The asbestos management plan must include information about:
(a) the identification of asbestos or ACM;
(b) decisions, and reasons for decisions, about the management of asbestos at the workplace;
(c) procedures for detailing incidents or emergencies involving asbestos or ACM at the workplace;
(d) workers carrying out work involving asbestos.

A copy of the asbestos management plan must be readily accessible to
(a) a worker who has carried out, carries out or intends to carry out, work at the workplace; and
(b) a health and safety representative who represents a worker as described above; and
(c) a PCBU who has carried out,carries out or intends to carry out work at the workplace; and
(d) a PCBU who has required, requires, or intends to require work to be carried out at the workplace.

An asbestos management plan must be review, and revised as necessary:
(a) there is a review of the asbestos register or a control measure;
(b) asbestos is removed from, or disturned, sealed or enclosed at , the workplace;
(c) the paln is no longer adequate for managing asbestos in the workplace;
(d) a HSR request a review;
(e) at least every 5 years.
Has all asbestos or ACM in the workplace been identified?
Has an asbestos register been established?
Was the asbestos register prepared or updated within the last five years?
Is the asbestos register readily available?
Are all areas where asbestos is present clearly identified and adequately labelled?
Has the organisation prepared an asbestos management plan?
Does the asbestos management plan meet all of the legislative requirements?
Is the asbestos management plan, reviewed and revised where necessary?
Are all workers, including contractors aware of the presence of asbestos in the workplace and of the control measures in place to reduce any risks associated with its pne?
Recommendations

Synthetic Mineral Fibres (SMF)

Synthetic Mineral fibres is the term used to describe man made mineral fibres, and are usually made from glass, rock ,alumina, and silica. These fibres have largely been used as alternatives to asbestos in insulation and fire rating, as well as reinforcing for cement, plaster and plastics. They are used extensively in both commercial and residential building for insulation and sound proofing.

SMF consists of four main groups:
1. Continuous Glass Filaments - used in textiles, reinforce plastic and concrete, electrical insulation and plumbing materials;
2. Fibreglass, glass fibre or glass wool - used mainly in insulation mats;
3. Rockwool - use in formed insulation such as acoustic insulation and fire rating materials;
4. Ceramic Fibres - used in insulation blankets, in high temperature applications and in fire rated products.

Shirt term health effects have been identified as:
Skin and Eye irritation;
Upper respiratory tract irritations

The WHO as classified Rockwool, ceramic and glass fibre as possibly carcinogenic to humans.
Has an assessment of the workplace been conducted to identify all potential SMF?
If any SMF is prsent or suspected of being resent is a SMF register in place?
Have safe work procdures for dealing, storing or handling SMF been developed?
Do the procedures ensure if any cutting or drilling of SMF is required that it is performed using hand tools or power tools but only where they can be fitted with an appropriate local dust extraction or ventilation system?
Are adequate waste collection procedures in place?
Are adequate laundry facilities provided to workers on site
Is appropriate PPE provided and used for workers dealing with SMF? 1. Lightweight loose fitting clothing - long sleeves and full length pants) 2. An approved respirator at least half face P1 or P2 masks 3. Safety goggles or face shield
Does the policy include safe hygiene practices before eating or smoking?
Is air monitoring of the workplace in place?
Have workers been given necessary information, instruction and training in regards to SMF and associated hazards and risks and control measures?
Is there proper supervision of workers handling or working with SMF?
Recommendations

Cooling Towers

Cooling towers and other water delivery systems pose significant risk of persons being exposed to legionella. The most accepted means of controlling this risk i the adoption of a specific risk management program.
Are the cooling towers registered with the appropriate authority?
Has a cooling tower risk management plan been prepared and implemented?
Does the risk management plan include:
Site and key contact details; including 1. A description of the site including the address of the site and the location and number of cooling towers present? 2. The site owner's name and contact details? (Company name, key contact person's name and business and after hours telephone numbers) 3. The cooling towers owner's name and contact details?(Company name, key contact person's name and business and after hours telephone numbers) 4. Who is responsible for day to day operation of cooling towers (Company name, key contact person's name and business and after hours telephone numbers) 5. Water treatment providers name and contact details (Company name, key contact person's name and business and after hours telephone numbers) 6. Water sampling/laboratory contractor contact details (Company name, key contact person's name and business and after hours telephone numbers) 7. Department of Health or other regulator responsible for legionella contact telephone number
Does the plan include risk assessments and risk control strategies for critical risks; including: 1. Stagnant water 2. Nutrient growth 3. Poor water quality 4. Deficiencies in the cooling tower system 5. Location and access
Are the cooling towers inspected, tested, and serviced in accordance with the risk rating established in the risk management plan Risk Rating A: Weekly inspection Fortnightly service HCC and Legionella tested at a minimum of least once a month Cleaning every six months Risk Rating B Monthly inspection ( two weeks after service) Monthly service HCC and Legionella tested monthly Cleaning every six months Risk Rating C Monthly inspection ( two weeks after service) Monthly service HCC and Legionella tested every two months Cleaning every six months Risk Rating D Monthly service HCC and Legionella tested every three months Cleaning every six months
Evidence of inspection and testing, includign latest HCC and Legionella sampling results
Recommendations

Comtemporary Safety

CONTEMPORARY SAFETY ISSUES

Contractor Management

Even though contractors and their employees are considered as workers of a PBCU, it is prudent to ensure that the organisation as an effective contract management program to manage risks to health and safety associated with outsourcing labour or services.

Contractor management should consider:
(a) Planning;
(b) Tender Process:
(c) Tender evaluation;
(d) Contract requirements:
(e) Supervision:
(f) Contract evaluation
Does the contractor management system require evaluation of and planning for safety issues based on the tasks and key activities considered under the contract?
Does the organisation obtain the services of relevant subject matter experts to assist in the planning and evaluation of tenders and contracts, when the organisation dos not have the necessary skills and experience in house?
Does the organisation consider prospective contractors health and safety performance including systems of work when considering tenders?
Does the contract specify: (a) specific health and safety requirements, plans, procedures and risk management criteria; (b) nominate key personnel, roles and accountabilities; (c) detail safety performance standards; (d) incident/issue reporting and investigation requirements (e) consultative and dispute resolution arrangements; (f) contract performance reporting (g) worker competencies, licences and permits; (h) training needs (i0 audit and inspection schedules; (j) site induction requirements (k) Safety breaches and non compliance penalties
Has the organisation developed appropriate supervision methodologies to ensure safety during the life of the contract?
Does the organisation have a system to review the performance of the contract?
Recommendations

Bullying & Workplace Violence

Bullying is a contemporary health and safety issue that need clear management process aimed at preventing occurrence occurring in the workplace.

As of 1 January 2014 a person who believes they are being bullied can request Fair Work Australia to intervene to ensure the bullying stops.

Workplaces need to have very clear messages against bullying and implement procedures for dealing with and investigating complaints and ensuring all staff are trained in regard to those policies.
Does the organisation have adequate procedures in place for dealing with bullying? Do the procedures: (a) define what constitutes bullying; (b) defines what is not considered bullying; (c) require accountabilities for the prevention and management of bullying in the workplace; (d) identify risk factors that may increase the risk of exposure to bullying or unacceptable behaviours; (e) idntify clear reprting guidelines; (f) provide support for workers invloved in bullying cases; (g) set out investigation methods and time frames (h) set out the principles for dealing with bullying: (i) all matters treated seriously; (ii) act promptly; (ii) non- victimisation; (iv) suppor for all parties; (v) neutraity; (vi) communication; (vii) documentation; (viii) natural justice. Include information and processes based on potential outcomes, grievance and disciplinary actions.
Are all staff been given adequate training and instruction in regard to the risks associated with bullying an the policy and procedures adopted to control the risk?
Recommendations

Workplace Vehicle Safety

Many Australian workers are required to drive in the course of their employment or have company vehicles, as such those vehicles are workplaces.

Organisations should ensure at a minimum:
(a) vehicles are selected to the ensure compliance with contemporary safety standards and are fit for the work tasks required:
(b) drivers have the appropriate licenses to drive the vehicle provided and the licensing of drivers is verified regularly;
(c) vehicles are maintained in a roadworthy condition and serviced to manufacturers specifications and are routinely inspected;
(d) the organisation has a policy for dealing with infringements;
(e) the organisation has a stated drug and alcohol policy in regard to the operation of vehicles;
(f) has procedures to ensure the use of devices which may cause driver distraction, such as mobile telephones and navigation devices etc, do not cause a risk to the heath and safety of any person;
(g) ensures all vehicle incidents are treated as health and safety incidents and are investigated and reviewed accordingly.
Does the organisation have a specific policy and associated procedures relating to workplace vehicle safety? Do the procedures require: (a) consideration of WHS issues in acquiring or selecting workplace vehicles: (b) ensuring drivers of workplace vehicles are appropriately licensed throughout their employment; (c) vehicle incidents are reported and investigated as per any other WHS incident; (d) has a policy on the use of mobile telephones whilst driving and other devices capable of reducing driver attention; (e) requires regular inspection and servicing of vehicles (f) has a defined policy on the use of drugs and alcohol use in regard to the operation of vehicles.
Recommendations

Pallet Racking

Pallet racking is increasingly used in workplaces and requires the development of safe system of work to ensure that loads are placed into bays correctly and that the SWL of the individual bay and total of the entire racking system is not exceeded. A regular inspection regime needs to be implemented to ensure the system is maintained in accordance with manufacturers' specifications. Safety specifications for pallet racking can be found in AS 4084.
Does the organisation have safe work procedures for the use of racking. Safe work procedures should include: (a) instructions for safe use; (b) instructions not to alter the configuration of the racking from the approved design; (c) a system of work to ensure operators know the safe load limit per bay and in total and do not load the racking to exceed the Safe Load Limit; (d) a mechanism to report any damage to the racking system: (e) a regular inspection.
Are compliant signs attached to the racking system? Signage must: (a) be displayed in one or more conspicuous location on the racking and include: (i) the permissible working unit load limit; (ii) permissible working load limit for each beam; (iii) permissible working load limit per bay; (iv) the designer's name; (v) the manufacturer's/suppliers name, trademark and installation date: (vi) the maximum distance from the base plate to the first beam; (vii) the maximum distance between the first and second level beams.
Are regular inspection conducted by operational staff to ensure operating procedures being adhered to and condition of racking?
Is an annual inspection conducted by a competent person? Annual inspection must consider: (a) correct application and use of equipment; (b) safe working limits are being adhered to; (c) racking setup has not been altered from design specifications; (d) racking is examined for: (i) extent of any impact damage; (ii) examine the racking for plumb; (iii) examine sections, uprights and beams for any dislocation or distortion of connections; (iv) examine connectors for deformation, dislocation or cracking of welds; (v) examine base place and floor anchors.
Recommendations

Gas

Are gas control rooms or other fixtures secured against unauthorised access?
Are isolating valves clearly identified and accessible?
Are portable gas cylinders or other containers appropriately secured and restrained
Recommendations

Expanded Polystyrene

EPS is used as insulation panels particularly in cool rooms and cools stores and internal ceiling panels; however is highly flammable.
Has all EPS at the workplace been identified?
Is the EPS in good condition ie outer skin in tact and not damaged or no exposed poly styrene?
Has cold work procedures been implemented to control the risks associated with any work on any building or part so of the building containing EPS?
Is there a permit to work system in place for any work in areas containing EPS?

Willis WHS Risk Profile Audit

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WHS RISK PROFILE

Introduction

DISCLAIMER OF LIABILITY

CONFIDENTIALITY STATEMENT

PROPRIETARY NATURE OF REPORT

COPYRIGHT 2014

WHSMS AUDIT

AS/NZS 4801:2001- Section 4

4.1 General Requirements

4.2 Safety Policy

4.3 Planning

4.3.1 Planning identification of Hazards, Risk Assessment and Control of Hazards/Risks

4.3.2 Legal and other requirements

4.3.3 Objectives and Targets

4.3.4 WHS Management Plans

4.4 Implementation

4.4.1 Structure and Responsibility

4.4.1.1 Resources

4.4.1.2 Responsibility and Accountability

4.4.2 Training and Competency

4.4.3 Consultation, communication and reporting

4.4.3.1 Consultation

4.4.3.2 Communication

4.4.3.3 Reporting

4.4.4 Documentation

4.4.5 Document and Data Control

4.4.6 Hazard identification, hazard/risk assessment and control of hazards/risks

4.4.6.1 General

4.4.6.2 Hazard Identification

4.4.6.3 Hazard/Risk Assessment

4.4.6.4 Control of Hazards/Risks

4.4.6.5 Evaluation

4.4.7 Emergency preparedness and response

4.5 Measurement and Evaluation

4.5.1 Monitoring and Measurement

4.5.1.1 General

4.5.1.2 Health Surveillance

4.5.2 Incident Investigation, Corrective and Preventative Action

4.5.3 Records and Records Management

4.5.4 WHSMS Audit

4.6 Management Reivew

Regulatory Compliance

Due Diligence (Officers obilgations)

Incident Reporting

Preservation of Incident Sites

Issue Resolution

General Working Environment

Workplace Amenities

First Aid

PPE

Remote/Isolated work

Monitoring Airborne Contaminats

Hazardous Atmospheres & Ignition Sources

Storage of flammable and combustable materials

Management of Falling Objects

Noise

Hazardous Manual Tasks

Confined Spaces

Falls

High Risk Work

Electrical Equipment

Plant & Structures- General

Plant - Safety Features

Specific Plant

Hazardous Substances

Asbestos

Synthetic Mineral Fibres (SMF)

Cooling Towers

CONTEMPORARY SAFETY ISSUES

Contractor Management

Bullying & Workplace Violence

Workplace Vehicle Safety

Pallet Racking

Gas

Expanded Polystyrene

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