Managing Contractor Health and Safety Risks … Contractor Health and Safety Risks Guidelines for...

Managing Contractor Health andSafety Risks

Guidelines for Local Government

Acknowledgements

This manual has been prepared by Noel Arnold & Associates Pty Ltd, occupational health andsafety consultants in conjunction with Purves Clarke Richards, solicitors. The project wasfunded by the Victorian WorkCover Authority. The contributions of the following aregratefully acknowledged:

Focus GroupMichelle Holian Victorian WorkCover Authority

Peter Alsop City of Manningham

Bobby Caspersz Consultant representing City of Greater Geelong

Ann Lord City of Maribyrnong

Tom Kite City of Hobson’s Bay

Frank Mistretta City of Darebin

Cathie Wareham City of Boroondara

Project TeamNoel Arnold & Associates Andrew Meerman

Cameron HunterTony D’Abbs

Purves Clarke Richards Barry Sherriff

Contributing Councils and OrganisationsCity of Darebin Esso Australia

City of Manningham Thiess Contractors

City of Hobson’s Bay Transfield Tunnelling

Greater City of Bendigo Streamline Australia

City of Greater Geelong Vic Roads

Civil and Civic ICI Australia

The focus group also wishes to acknowledge the valuable contributions of CCT Managers andother local government representatives who participated in reviewing draft material andprovided feedback.

Managing Contractor Health and Safety Risks Page 2

DisclaimerThe materials contained in this manual have been developed to provide guidance to Councilsto manage health and safety risks associated with the engagement of Contractors. Thematerial has been developed taking into account the circumstances of local government andrequirements under the Victorian Occupational Health and Safety Act 1985. Any legal adviceor comment in this manual is given in this general context and should not be relied upon as asubstitute for legal or other professional advice.

While every effort has been made to ensure the accuracy of the information provided in thismanual, no responsibility or liability attaches to Noel Arnold & Associates Pty Ltd or PurvesClarke Richards or Victorian WorkCover Authority and its agents for any loss or damagecaused and whether occasioned by negligence, negligent mis-statement or otherwise, arisingout of any errors, omissions or inaccuracies in the manual.


Table of Contents1. INTRODUCTION 4

2. LEGAL OBLIGATIONS 5

3. ELEMENTS OF CONTRACTOR OHS MANAGEMENT SYSTEM 73.1 Contract Specifications 73.2 Tender Evaluation 83.3 Contract Management 8

4. CLASSIFICATION OF CONTRACT WORKS 104.1 Guidelines for Classification of Major Contracts 104.2 Guidelines for Minor Contracts 12

5. CONTRACT SPECIFICATION: HEALTH AND SAFETY REQUIREMENTS 135.1 Specification Elements 135.2 Determining OHS Requirements for Contract Specifications 14

5.2.1 Major Contracts 145.2.2 Minor Contracts 15

5.3 Selecting OHS Specification Clauses Process Flow Chart 17

6. TENDER EVALUATION 186.1 Evaluation and Verification of Tenderer’s OHS System 186.2 Review of Risk Assessment 196.3 Review of Health and Safety Plan 196.4 Tender Evaluation - Process Flow Chart: Major Contracts 206.5 Tender Evaluation - Process Flow Chart: Minor Contracts 21

7. CONTRACT MANAGEMENT 227.1 Monitoring and Supervision 227.2 Workplace Inspections 24

7.2.1 Contract Inspection Checklist 247.2.2 General Health and Safety Inspection Checklist 247.2.3 Who Should Carry Out Inspections 257.2.4 Frequency of Inspections 25

7.3 Contract Records 257.4 Contract Management Process Flow Chart 27

APPENDICES

1. SUMMARY OF COUNCIL OCCUPATIONAL HEALTH AND SAFETYOBLIGATIONS TO CONTRACTORS

2. SOURCE DOCUMENTS CONTRACT SPECIFICATIONS

3. SOURCE DOCUMENTS TENDER EVALUATION

4. SOURCE DOCUMENTS CONTRACT MANAGEMENT

5. REFERENCE MATERIAL


1. IntroductionIt is widely recognised that there are obligations placed on employers to do all that isreasonable and practicable to protect the health and safety of employees. However, the healthand safety obligations of employers in relation to Contractors is unfortunately not as widelyunderstood or recognised. The Occupational Health and Safety Act 1985 specifically providesthat the duties owed by an employer to employees are also owed to independent Contractorsand their employees.

The development and implementation of effective health and safety management systems inrelation to Contractors is an important initiative for employers. The trend towardsoutsourcing non-core business functions in the 1990’s has considerably increased the use ofContractors in industry and the need for effective management systems.

This manual has been specifically developed for the Local Government Sector. The mainobjective of the manual is to provide relevant and practical guidance to enable Council officersto effectively integrate health and safety requirements into contract management activities andto fulfil their health and safety obligations in relation to Contractors.

The manual provides practical guidelines to assist Councils establish a systematic approach tomanaging Contractor health and safety risks. Requirements are outlined with regard to threeimportant stages in the contracting process:

(i) Contract specification: ensuring that appropriate health and safety requirementsare incorporated into specification documents.

(ii) Tender evaluation: establishing a systematic approach to evaluating tenderershealth and safety capabilities and resources.

(iii) Contract management: ensuring that Contractor health and safety performance isadequately monitored and supervised for the duration of the contract.

Specific requirements and procedures associated with each element are presented in themanual. These are supported by checklists and proformas to facilitate the practicalimplementation of the system. Councils may choose to modify the various guidelinedocuments and checklists to suit their own particular requirements. The manual is alsoprovided in electronic diskette form to facilitate the integration of material into Councildocumentation where considered appropriate.


2. Legal ObligationsThe law requires a Council to take steps to see that no person is exposed to a risk to theirhealth and safety from the way in which the business is operated. A breach of this duty mayresult in a criminal prosecution or claims for damages.

The duty is owed to any person who may be affected by what the Council does; and will behigher where the place at which the business is operated is under the control or managementof the Council. In addition quite specific obligations are owed to employees and Contractorsof the Council.

The involvement of Contractors and subcontractors will not remove the duty, but will makecompliance more difficult. You should note:

• Imposing by contract responsibilities on a Contractor will not remove your duty of care.

• More than one party at a time may have a responsibility for health and safety.

• It is not an excuse to say that other parties have compromised your ability to adequatelyaddress health and safety.

• It is not enough simply to rely on someone else to cater for health and safety.

What you must do is to exercise such care and take such steps as you are practicably able todo in the circumstances to avoid a foreseeable risk of injury. This will depend on the facts ineach case, with reference to:

• The severity of the hazard or risk;

• The state of knowledge about that hazard or risk and ways of removing or mitigating it;

• The availability and suitability of ways to remove or mitigate that hazard or risk;

• The cost of removing or mitigating that hazard or risk.

The law, including the Occupational Health and Safety Act 1985 , requires a Council toensure that its employees and Contractors (and employees of the Contractors) carry out theirwork in safe premises, using proper and safe plant and substances, employing systems of workthat are safe, and in which there has been adequate instruction, training and supervision. Thisobligation applies to each and every aspect of work to be carried out by an employee orContractor.

Outsourcing work to Contractors will not remove Council’s obligation to see that thosethat actually perform the work are protected from risks to their health and safety.

A Council also has a legal obligation to ensure that no person is exposed to risk from the wayin which their business is operated, even those with which there is no direct or formalrelationship eg. members of the public. A Council engaging a Contractor to provide servicesto the community will have a duty to ensure so far as is practicable in all of the circumstancesthat no one suffers a risk to their health and safety from the carrying out of work or theprovision of the facilities by the Contractor. You must accordingly monitor and regulate theconduct of the Contractor.


A Council having the management or control of a workplace has a duty to see that theworkplace and means of access and egress are safe and without risks to health. That duty isowed to anyone entering the workplace. A Council may be considered to have managementor control of the workplace even though a Contractor has the practical day to day control ofit.

Employees and officers of the Council may be liable for prosecution for a failure to managehealth and safety at work, where their actions or omissions result in a risk of injury to others.

It is important that a Council be able to show the exercise of due diligence in attempting tomeet health and safety obligations when engaging Contractors. This may be achieved bytaking steps that are reasonable in the circumstances to see that a competent Contractor withrelevant experience is engaged; and that the Contractor and its employees carry out the workin safe premises, using proper and safe plant and substances, employing systems of work thatare safe, and in which there has been adequate instruction, training and supervision.

A failure to comply with health and safety obligations may result in a Council receiving finesof up to $40,000 for a first offence, or up to $250,000 for a second or subsequent offences.Employees or officers may be fined up to $10,000; or up to $50,000 or five yearsimprisonment for a second or subsequent offence.


3. Elements of Contractor OHS Management SystemAn effective Contractor OHS management system must clearly identify the health and safetyrequirements of the Contractor and the Council as the principal. All parties must understandtheir obligations with respect to legal, contractual and technical aspects of the work to beundertaken. This must be supported by appropriate policies, procedures and work practiceswhich are integrated with Council’s health and safety management system and the day to daybusiness operations.

The engagement of a Contractor establishes an important partnership with an objective toachieve specific performance outcomes relating to:

• Eliminating and controlling health and safety risks to Contractor employees, Councilemployees and the general public.

• Maintaining and exceeding required standards in the provision of the specified works andservices.

• Cost effectiveness in the provision of the required works and services.

There are three important stages of the contracting process in which health and safety issuesmust be considered when engaging Contractors:

3.1 Contract SpecificationsThe contract specification documents represent an important first stage in which Council canspecify health and safety requirements to Contractors tendering for works. By ensuring thathealth and safety requirements are clearly identified in specification documents, several keymessages are conveyed:

• Council considers OHS as an important priority in the way it conducts its business,including Contractors engaged by Council.

• Council understands and recognises its OHS legal obligations with regard to Contractorsand associated systems are developed to manage the process.

• Contractors are required to demonstrate that they have an appropriate OHS managementsystem and can verify its implementation in practice.

• Contractors are required to comply with contract specific OHS requirements.

Contract Specification Determining OHS tender &contract requirements

Tender EvaluationEvaluating tenderer OHS

capabilities & systems

Contract ManagementMonitoring & supervising

Contractor OHSperformance


The specification is an important document from a legal perspective and provides Councilswith the opportunity to ensure OHS issues are considered in the early stages of letting acontract.

3.2 Tender EvaluationThe tender evaluation stage allows Council to verify tenderer compliance with specificationrequirements, including health and safety aspects. This process is critical. It ensures thatCouncil establishes that tenderers have adequate OHS management systems and haveconsidered health and safety issues in relation to the contract works.

The tender evaluation process typically involves the following tasks:

• Examination of tenderer’s OHS management system documentation (including policies,procedures, work methods, training/competency records).

• Verification of the operation of the OHS management system. This may include review oftenderers records pertaining to audits, hazard inspections, plant records, safety meetings,accidents.

• Evaluation of reports on the tenderer’s health and safety performance (records of accidentsand incidents, infringements, prosecutions).

• Undertaking interviews or discussions with tenderers to confirm their understanding ofcontract OHS requirements, specific OHS issues related to the contract and their ability torespond accordingly.

The capacity and performance of tenderers with regard to OHS should be an important criteriain the overall tender evaluation process. Tenderers who cannot demonstrate that they canadequately meet the health and safety requirements of the specification should not beconsidered in the selection process. However, some flexibility will be required in thisapproach in relation to smaller Contractors who are less likely to have formalised OHSmanagement systems.

3.3 Contract ManagementWhile in no way reducing Contractors responsibility or liability as an employer for the healthand safety of their employees, Councils must ensure that they meet their employer duty of careobligations to all employees working on their behalf. To meet these obligations Council mustundertake adequate monitoring and supervision of Contractors, even at locations notcontrolled by Council.

The level of monitoring and supervision will depend on such factors as:

• Complexity of the tasks

• The level of risk

• The control Council has over the workplace

• Interaction with other parties (ie: Council employees, other Contractors, public)


It is important that a systematic approach is adopted when monitoring and supervisingContractors. Requirements of the Contractor and principal should be clearly identified in thecontract documentation. Appropriate records of activities related to monitoring andsupervision of Contractor operations clearly demonstrate Council’s commitment to meeting itsOHS legal obligations. These records are important legal documents and can be relied uponwhen a non-compliance or serious health and safety incident occurs.

Monitoring and supervision of Contractor activities is most efficiently undertaken whencombined with other contract management activities. Integration of health and safetyprocedures into the day to day aspects of the contract management process is a key elementfor success.


4. Classification of Contract WorksCouncils are involved in tendering and managing a very broad range of contracts. These caninclude long term service contracts through to quite small contracts for minor maintenance,repair or construction activity. While the health and safety obligations on Contractors andCouncil remain the same irrespective of the size and duration of the contract works, it isimportant to acknowledge practical issues associated with the engagement of smallContractors.

Small Contractors typically have less formalised OHS management systems, when comparedwith larger contracting organisations. Consequently, it is important that Council’s OHSContractor management system be sufficiently flexible to accommodate the different levels ofOHS system development. To ensure practical measures are taken when engaging large orsmall Contractors a different approach should be considered for each category.

For major contracts Contractors are expected to demonstrate a higher level of development oftheir OHS management system. For minor contracts Contractors are required to demonstrateappropriate health and safety competencies associated with performing the contract tasks.

The approach adopted for minor contracts should focus largely on undertaking a riskassessment of the work involved in the contract, ensuring that risks are suitably identified andcontrolled.

Contract managers at each Council will be generally responsible for classifying the contract aseither major or minor. The decision to classify a particular contract as major or minor willdepend on a range of factors including:

• Level of risk associated with the contract

• Duration of the contract

• Complexity of the contract

• Value of the contract

The following guidelines are provided to assist with the classification of contracts in the mostappropriate manner.

4.1 Guidelines for Classification of Major ContractsWhen classifying contracts the following issues should be considered:

(i) Value of contract

Although major contracts cannot be classified on cost alone, a value of $50,000 andabove per annum may be considered as a guide. It is recognised that depending on otherconsiderations contracts up to $50,000 will usually be considered as minor and contractsover $50,000 considered as a major contract.


(ii) Level of Risk

Contracts involving high risk activities should be classified as major. Council has anobligation to insist on more sophisticated management systems when engagingContractors to perform hazardous work. Such work may involve:

• Working in confined spaces

• Working at heights

• Demolition work

• Working with asbestos

• Work involving significant hazards to the public

Contractors who undertake this type of work on a regular basis should be expected to befamiliar with concepts such as Health and Safety Plans, risk assessments and otherrequirements for major contracts.

(iii) Level of Complexity

If a contract may involve the use of subcontractors, Council should be aware thatsuitable systems of selection and supervision will apply to the subcontractors. Wherethe contract manager believes the use of subcontracted labour is likely, the contractshould be classified as major.

(iv) Duration of Contract

Contracts which extend beyond 3 years are considered sufficiently large to expect thatContractors have formalised OHS management systems which reflect the type of workthey are performing. Longer term contracts should be classified as major. Although thistimeframe is provided as a guide to Councils, it may be appropriate to negotiate shortand medium term health and safety performance objectives such as SafetyMAPcertification of the Contractors health and safety management system.

If, after considering the above criteria, the contract is classified as a major contract, referenceshould be made to Section 5.2.1 of this manual which outlines OHS specification requirementsfor major contracts. In summary, these include:

• General requirements for tenderer OHS management systems

• Requirement for the successful Contractor to undertake contract specific risk assessments

• Requirement for the successful Contractor to develop a contract specific health and safetyplan.

• Contractor shall provide regular reports to Council on OHS performance.

Guidelines for minor contracts are presented in Section 4.2.


4.2 Guidelines for Minor Contracts Contractors providing services in this classification must demonstrate specific understanding

of the health and safety requirements of the work to be performed. Furthermore, the minorcontract health and safety requirements will require that Contractors plan their work, identifythe hazards and have in place suitable control measures as part of a Risk Assessmentprocedure. The OHS contractual requirements for minor contracts focus on the following:

• Contractor has a good understanding of the hazards and risks associated with theiractivities.

• Contractor has established systems and procedures for managing the OHS risks, althoughthese may not be formalised.

• Contractor is licensed for the relevant activities and employees have appropriatecompetencies and licences required for the contract works.

• Plant and equipment is appropriately licensed or registered and maintained/inspected on aregular basis.

• Contractor will undertake a contract specific risk assessment to ensure risks are identifiedand controlled for the contract services.

Reference should be made to Section 5.2.2 of this manual which outlines OHS specificationrequirements for minor contracts. The minor contract requirements however, should notdiminish the legal obligations of the Contractor and Council to ensure that the contract worksare conducted in a safe manner.

It is recognised that some minor contracts are undertaken without involving a formal tenderprocess. In these circumstances a risk assessment conducted by the Contractor will be animportant requirement to ensure health and safety risks are addressed prior to the contractcommencing.


5. Contract Specification: Health and SafetyRequirements

Incorporation of health and safety requirements into contract documentation should beconsidered as early as possible in the specification development stage. Consultation withCouncil health and safety personnel, contract managers and other relevant personnel should beundertaken to ensure that relevant health and safety issues are identified and considered whenpreparing specification documentation.

5.1 Specification ElementsIn general terms, the contract specification should incorporate the following contract healthand safety requirements.

(i) Comply with health and safety legislative requirements

As a minimum requirement, tenderers must comply with all applicable legislation relatingto health and safety. The Occupational Health and Safety Act 1985 is the principlelegislation. There are, however, other Acts, regulations, Codes of Practice andAustralian Standards which impose specific health and safety requirements that may berelevant to the contract works.

(ii) Demonstrate evidence of OHS management system

The tenderer’s OHS management system must demonstrate compliance with theemployer duties section of the Occupational Health and Safety Act (1985) includingthose relating to the public. In general terms these duties entail that the tenderer and itsemployees are able to carry out their work in safe premises, using proper and safe plantand substances employing systems of work that are safe and providing adequateinstruction, training and supervision.

Requirements for tenderers to demonstrate or achieve within a prescribed time framecertification of their OHS management system (ie SafetyMAP Initial Level Achievementor equivalent) can also be considered as a contract requirement. This requirement maybe more relevant for long term service or works contracts.

(iii) Complete Tenderer OHS Management System Questionnaire

Tenderers are required to complete a questionnaire which evaluates the status of theirOHS management system. Tenderers are required to demonstrate how the relevantsystem elements operate within their company and can support their statements withdocumentary evidence.

The questionnaire can also be used as a pre-qualification requirement for Contractorswho are engaged by Council on a regular basis. Under these circumstances, Contractorswould be required to complete the questionnaire on an annual basis.


(iv) Undertake a Risk Assessment

The successful tenderer must prepare and submit a Risk Assessment prior tocommencing the contract. The Risk Assessment requires the tenderer to identify thehazards associated with the contract, assess the risks and develop appropriate controlmeasures. The risk assessment should be undertaken using a standard format for reviewby Council.

(v) Develop Health and Safety Plan

For major contracts the successful tenderer must prepare and submit a Health and SafetyPlan prior to commencing the contract. The Health and Safety Plan outlines thestructure and means by which health and safety will be managed by the Contractor forthe term of the contract. The Health and Safety Plan will consider the specific OHSissues relevant to the contract works and will document the systems and methodsimplemented to effectively manage OHS risks.

(vi) OHS Performance Reporting

The successful tenderer is required to provide Council with regular reports on health andsafety performance relating to the contract works or services.

(vii) OHS Incident Notification

Contractors engaged by Council are required to notify Council of any accident, injury,property or environmental damage associated with the provision of contract works orservices.

(viii) Non-Compliance

Council has the right to suspend or terminate the contract works if in the opinion ofCouncil, the Contractor fails to remedy breaches of health and safety.

5.2 Determining OHS Requirements for Contract SpecificationsDifferent approaches should be considered in relation to OHS requirements for major andminor contracts. These are outlined below:

5.2.1 Major Contracts

(i) Model OHS Requirements

Reference should be made to the following model OHS clauses presented in Appendix 2,Document 1, for incorporation into major contract OHS requirements:

• General OHS Requirements: Subclause 1

• Legislative Compliance: Subclause 2

• Tenderer OHS Management Systems: Subclause 3

• Tenderer OHS Management System Questionnaire: Subclause 4

• Risk Assessment: Subclause 5

• Health and Safety Plan: Subclause 6


• OHS Performance Reporting: Subclause 7

• Incident Notification: Subclause 8

• Non-Compliance: Subclause 9

(ii) Tenderer OHS Management System Questionnaire

The questionnaire is presented in Appendix 2, Document 2 and should be incorporatedwith specification documents for completion by tenderers and submitted as part of theirtender to enable Council to evaluate their health and safety competency.

Completed questionnaires should be reviewed by Council and where appropriateresponses verified (refer Section 6.0).

(iii) Risk Assessment

The Risk Assessment form is presented in Appendix 2, Document 3. The form shouldbe incorporated with specification documents to enable tenderers to consider theirrequirements in completing the risk assessment if awarded the contract.

Completed Risk Assessments should be reviewed by Council prior to commencement ofthe contract.

(iv) Health and Safety Plan

Guidelines for preparing a Health and Safety Plan are summarised in Appendix 2,Document 4. The guidelines should be incorporated with specification documents toenable tenderers to consider their requirements in preparing the Health and Safety Plan ifawarded the contract.

Completed Health and Safety Plans should be reviewed by Council prior tocommencement of the contract.

5.2.2 Minor Contracts

(i) Model OHS Requirements

Reference should be made to the following model OHS clauses presented in Appendix 2,Document 1 for incorporation into minor contract OHS requirements:

• General OHS requirements: Subclause 1

• Legislative Compliance: Subclause 2

• Tenderer OHS Management systems: Subclause 3

• Tenderer OHS Management System Questionnaire: Subclause 4

• Risk Assessment: Subclause 5

• Incident notification: Subclause 8

• Non-compliance: Subclause 9


(ii) Tenderer OHS Management System Questionnaire

The questionnaire is presented in Appendix 2, Document 2 and should be incorporatedwith specification documents for completion by tenderers and submitted as part of theirtender.

Completed questionnaires should be reviewed by Council and where appropriateresponses verified (refer Section 6.0).

(iii) Risk Assessment

The Risk Assessment form is presented in Appendix 2, Document 3. The form shouldbe incorporated with specification documents to enable tenderers to consider theirrequirements in completing the risk assessment if awarded the contract.

Completed Risk Assessments should be reviewed by Council prior to commencement ofthe contract.

Managing Contractor Health and Safety Risks

5.3 Selecting OHS Specification Clauses Process Flow Chart

Classify Contract asMajor or Minor

Major Contracts

Consider Criteria• Value• Risks• Complexity• Duration

Select Specification Clauses• General OHS Requirements• Legislative Compliance• Tenderer OHS Management System• Tenderer OHS Management System Questionnaire• Risk Assessment• Health and Safety Plan• OHS Performance Reporting• Incident Notification• Non-Compliance

• General OHS Requirements• Legislative Compliance• Tenderer OHS Management System• Tenderer OHS Management System Questionnaire• Risk Assessment• Incident Notification• Non-Compliance

Include with Specification

Tenderer OHS Management System Questionnaire

Risk Assessment Form

Guidelines for Preparing Health and Safety Plans


Model OHS SpecificationRequirements

Appendix 2, Doc 1

Source Documents

Appendix 2, Doc 2

Appendix 2, Doc 3

Appendix 2, Doc 4


6. Tender EvaluationThe evaluation of tenderers health and safety capabilities and systems is an importantconsideration in the selection process. This stage provides Council with the opportunity to:

• Evaluate and verify the tenderer’s OHS management system and performance

• Determine the tenderer’s understanding of the OHS requirements of the specification.

• Review how the tenderer will manage OHS issues associated with the contract works andservices (ie: with particular regard to the Risk Assessment and Health and Safety Plan).

The tender evaluation process is often undertaken by a team of Council personnel. It may beuseful for the review team to seek advice from a health and safety specialist during thisprocess. This may involve the Council Health and Safety Manager or an external OHSconsultant.

The tender evaluation process involves several stages as outlined below.

6.1 Evaluation and Verification of Tenderer’s OHS SystemThis is a critical task which should be undertaken in a systematic way. Steps in this processinclude:

• Review of completed tenderer OHS System Questionnaires.

• Examination of tenderer’s OHS management system documentation, (manuals, procedures,work methods, training/competency records).

• Verification of the operation of the tenderer’s OHS management system.

• Undertaking interviews with tenderers to clarify particular issues and areas where moreinformation is required.

An important outcome of this process is that the tenderer is able to demonstrate the activeimplementation and operation of their OHS management system. Council officers should seekverification of this by examining various tenderer records. These include:

• Health and safety audits: copies of completed audit reports, details of audits undertaken.

• Hazard inspection records: copies of completed hazard inspection reports showingcorrective actions to be undertaken.

• Plant maintenance and inspection records: evidence of completed maintenance logs, pre-start daily safety inspections, risk assessment reports.

• Safety meetings: evidence of minutes of meetings, meeting schedules, personnel involved.

• Accident investigation: evidence of completed accident investigation reports.

• Training: records of health and safety training, competency certificates.

Guidelines for the Review of Tenderers’ OHS Management System Questionnaires arepresented in Appendix 3 and can be used by Councils to systematically undertake theevaluation process. Confirmation of the evaluation process can be noted on the Contract OHSSystem Approval and Acceptance Form (refer Appendix 3, Document 5).


6.2 Review of Risk AssessmentImportant issues to be considered when reviewing the risk assessment relate to the following:

• Relevant hazards associated with the contract have been identified

• Risks have been appropriately assessed in terms of potential for injury and damage

• Proposed control measures are adequate and can be supported by relevantdocumentation

The Risk Assessment completed by the successful tenderer should be reviewed and approvedby Council prior to commencement of the contract.

Reference should be made to the Guidelines for the Review of Risk Assessment presented inAppendix 3, Document 2 to undertake this process. Assistance and input on health and safetyissues from the Council Health and Safety Manager or external specialist consultant should beconsidered. Where appropriate, the Contractor should be provided with relevant Councilhealth and safety procedures.

A completed sample Risk Assessment is presented in Appendix 3, Document 3 demonstratinghow the risk assessment form can be completed. Approval of the Risk Assessment by Councilshould be confirmed on the Contract OHS System Approval and Acceptance Form (Appendix3, Document 5).

Where the Risk Assessment is not considered to be acceptable, the Contractor should benotified and appropriate modifications made to the risk assessment.

When dealing with small Contractors for minor contracts, it is likely that Council officers willneed to provide guidance and assistance to Contractors in completing the risk assessment.Where a formal tender process is not conducted for minor contracts, Council should ensurethat the risk assessments is undertaken prior to commencement of the contract.

6.3 Review of Health and Safety PlanContractors appointed by Council for major contracts should develop a Health and Safety Planusing the Guidelines for Preparing Health and Safety Plans presented in Appendix 2,Document 4. This document sets out general requirements for Health and Safety Plans whichcan be modified for each contract.

To assist Council with adopting a systematic approach when reviewing Health and SafetyPlans prepared by Contractors, Guidelines for Review of Health and Safety Plans arepresented in Appendix 3, Document 4. Relevant requirements of the plan should be reviewedand approved by Council prior to work commencing on the contract. The successfulContractor should provide all documentation referenced in the plan at the time of assessment.

Approval of the Health and Safety Plan should be confirmed on the Contract OHS SystemApproval and Acceptance Form (Appendix 3, Document 5).

Where the Health and Safety Plan does not meet Council requirements, the Contractor shouldbe notified and appropriate modifications made to the plan by the Contractor.


6.4 Tender Evaluation - Process Flow Chart: Major Contracts

MajorContracts

Assessment of Tenderers OHS Management System• Review OHS Management

System Questionnaire• Examine Documents• Verify Systems• Interview Tenderer

Select ContractorContractor to develop:

• Risk Assessment• Health and Safety Plan

Review Contractor’sRisk Assessment

Review Contractor’s Healthand Safety Plan

Contractor to modifyRisk Assessment/Health and Safety

Plan

Approve Risk Assessment& Health and Safety Plan

Contractor approved tocommence contract

Are Documentsacceptable to

Council?

Yes

No

Guidelines for the Reviewof Risk AssessmentAppendix 3, Doc 2

Guidelines for the Reviewof Health and Safety Plans

Appendix 3, Doc 4

Guidelines for the Reviewof Tenderers OHS

Management SystemAppendix 3, Doc 1

Source Documents

Risk Assessment FormAppendix 2, Doc 3

Health and Safety PlansAppendix 2, Doc 4

Contract OHS SystemApproval & AcceptanceForm Appendix 3, Doc 5


6.5 Tender Evaluation - Process Flow Chart: Minor Contracts

MinorContracts

Assessment of Tenderers OHS Management System

• Review OHS ManagementSystem Questionnaire

• Examine Documents• Verify Systems• Interview Tenderer

Select ContractorContractor to develop:

• Risk Assessment

Review Contractor’s RiskAssessmentContractor to modify

Risk Assessment

Approve RiskAssessment

Contractor cancommence contract

Are Documentsacceptable to

Council?

Yes

No

Guidelines for theReview of Risk

AssessmentAppendix 3, Doc 2

Guidelines for the Reviewof Tenderers OHS

Management SystemAppendix 3, Doc 1

Source Documents

Risk Assessment FormAppendix 2, Doc 3

Contract OHS SystemApproval & Acceptance

Form Appendix 3, Doc 5


7. Contract ManagementCouncil has important legal obligations to monitor and supervise the activities of Contractorswith regard to health and safety aspects of their work, irrespective of whether contracts aremajor or minor.

Independent monitoring and supervision by the contract principal ensures that theContractor’s operations are conducted in accordance with:

• Health and safety legislation, standards and Codes of Practice

• Health and safety requirements outlined in contract documents

• Contract specific health and safety requirements as detailed in the RiskAssessment and Health and Safety Plan prepared by the Contractor

In order to perform this function, Contract managers or supervisors should have:

• Access to the contract documents and specification

• Good understanding of the health and safety requirements set out in the contractdocuments

• Access to other documents referred to in the contract, eg: Risk Assessment andHealth and Safety Plan

• Adequate contract supervision training, and suitable health and safety knowledgeand skills relevant to the contract

Councils should consider providing Contract managers with appropriate training in this area,outlining legal obligations and procedures to be adopted when supervising Contractors.

7.1 Monitoring and SupervisionThe extent to which Council should monitor and supervise Contractors will be influenced byseveral factors, including:

• The level of risk associated with Contractor’s activities

• Complexity of the tasks performed by the Contractor

• The control Council has over the workplace

• Interaction with other parties(ie: Council employees, other Contractors, public)

• Duration of contract


A higher level of supervision by Council officers may be required in special circumstances.Supervision may need to be targeted to specific key elements of a contract, for example:

• Contract start-up: ensuring that suitable systems and procedures are inplace and the workplace is appropriately established

• High risk or complex activities: monitoring conformance with safe workprocedures and risk assessment control measures

• High level of interaction with other parties: review of co-ordination andnotification systems operating at the workplace

• Introduction of new plant, equipment or systems of work: may requireseparate risk assessment and monitoring of control procedures

Monitoring and supervision of Contractor activities include:

(i) Regular review of Contractor health and safety documentation. This may involve reviewof:

• induction records

• plant maintenance/inspection records

• health and safety inspection reports

• risk assessment documents

• employee training/competency records

• safety meeting minutes

(ii) Undertaking regular site inspections to monitor compliance with health and safetyprocedures, considering:

• legislative requirements

• conformance with Risk Assessment control measures

• conformance with Health and Safety Plan

• conformance with Council health and safety policy and procedures

(iii) Providing Contractors with advice on unusual or unexpected risks and feedback on areasof non compliance. This may arise from:

• inspections undertaken by Council

• inspections or reports from other parties

• Council experience from similar contracts

(iv) Reviewing Contractor health and safety performance. This may include review of:

• accident/incident reports

• third party reports or complaints

• review of monthly OHS performance reports


(v) Ensuring that corrective action is taken where non conformance is identified by:

• issuing of non-conformance report

• reviewing and confirming that corrective action implemented

• issuing formal notice (ie: site instruction) when action not taken withinreasonable timeframe

(vi) Incorporating health and safety issues as part of regular contract review meetings. Thismay include:

• health and safety as an agenda item

• safety inspections undertaken after/before site meetings

• health and safety issues considered as high priority in relation to overallcontract performance

7.2 Workplace InspectionsCouncil demonstrates its obligations as the contract principal in relation to the supervision ofContractors by conducting workplace health and safety inspections and monitoring theoutcomes of inspections. Inspection programs undertaken by Contractors and also by Councilofficers are a key element in monitoring the health and safety standards of the Contractor’soperations. Regular workplace inspections play a significant prevention role in identifyinghealth and safety issues before they result in injury or damage at the workplace.

7.2.1 Contract Inspection Checklist

To determine which aspects are priority areas for inspection, reference should be made to theRisk Assessment completed by the Contractor. The risk assessment identifies the hazardsassociated with the contract and the particular control measures to be implemented by theContractor.

The control measures can be extracted from the Risk Assessment Form, transferred onto aContract Inspection Checklist (refer Appendix 4, Document 1) and used as a basis forworkplace inspections to be conducted by the Contractor on a regular basis and by Council aspart of its supervision program.

The Contract Inspection Checklist allows the systematic review of health and safety issuesrelevant to the contract activities. The inspection checklist can be modified as a result of otherhealth and safety issues identified during the contract.

7.2.2 General Health and Safety Inspection Checklist

A general health and safety inspection checklist is presented in Appendix 4, Document 2. Thischecklist can be used by Council officers when undertaking health and safety inspections ofContractor operations. The checklist is designed to consider a broad range of general healthand safety issues in the workplace. Where appropriate the checklist can be modified based onspecific safety aspects associated with the contract.


7.2.3 Who Should Carry Out Inspections

The Contractor as an employer has a duty of care to provide and maintain a safe workplaceand consequently has an important responsibility to conduct workplace inspections on aregular basis. The inspections should generally be undertaken by a team comprisingmanagement and employee representatives. The Contractor should make available copies ofhealth and safety inspection reports for review when requested by Council.

Council also has a responsibility to monitor health and safety aspects of Contractor operations.Although Contract managers are not required to be expert in all matters, they should checkthat the Contractor has adequately fulfilled its health and safety obligations, as far as they canreasonably establish. Through inspection and monitoring of Contractor operations, theContract manager should raise with the Contractor any health and safety issues that come totheir attention.

Inspections should be conducted in conjunction with a representative of the Contractor toenable discussion and resolution of issues as they are identified. The Contract manager mayseek input from specialist health and safety staff to be available during and after the inspectionto give advice on health and safety issues.

7.2.4 Frequency of Inspections

How often routine inspections are conducted will depend on the nature and circumstances ofeach contract. Issues such as the level of risk and extent of control Council has over theworkplace (refer Section 7.1) will influence the frequency of inspections. The Contractmanager should establish an inspection schedule prior to commencement of the contract.

For short duration contracts from several days up to several weeks it may be appropriate thatthe Contractor undertake daily health and safety inspections. For longer term contractsweekly or monthly health and safety inspections are likely to be more practicable. However,daily pre-start safety inspections may be required for particular high risk plant, equipment andprocesses.

7.3 Contract RecordsEffective contract management involves adoption of a systematic approach to record keepingduring the period of the contract. Relevant health and safety records retained by Councilprovide documentary evidence of Council’s due diligence in relation to the health and safety ofContractors. These records will be particularly important in situations where the Contractor isin breach of health and safety requirements or a significant incident or accident occurs fromactivities performed by the Contractor.

Where Council officers identify a breach of health and safety, this should be promptly notifiedto the Contractor. Relevant details should be recorded on an inspection checklist or as afile/diary note. Significant breaches which are considered to contribute to a Class 1 or Class 2risk should be notified using a non-conformance report (refer Appendix 4, Document 4) and acopy retained by Council.


Other relevant health and safety records that should be retained by Council include:

• Risk Assessment

• Health and Safety Plan

• Contract documents

• Health and safety inspection reports

• Minutes of safety meetings and site meetings

• Incident investigation reports

• Monthly OHS performance reports

• Non-conformance reports

• Photographs and test results

• Site instructions and diary notes

For the duration of each contract, relevant health and safety documents should be consolidatedand retained in the contract file. These are important documents that may be required evensome time after the contract has been completed.


7.4 Contract Management Process Flow Chart

Establish monitoringand supervision

requirements

Notify Contractor ofidentified Class 1 and

Class 2 Risks

Review Contractor OHSPerformance

Retain relevant health andsafety records

Non-conformanceReport

Appendix 4, Doc 3

Contract InspectionChecklist

Appendix 4, Doc 1

Source Documents

Contractor OHSPerformance ReportAppendix 4, Doc 4

Consider Criteria• Risk level• Complexity• Control of workplace• Degree of interaction• Duration of contract

Contractor develops ContractInspection Checklist

Undertake inspections asrequired

Contract InspectionChecklist, General Health &

Safety ChecklistAppendix 4, Docs 1 & 2

Managing Contractor Health and Safety Risks Appendix 1: Page 1

Appendix 1

Summary of Council Occupational Health andSafety Obligations to Contractors


IntroductionThe law requires anyone running a business to take steps to see that no person is exposed toa risk to their health and safety from the way in which the business is operated.

This is not an absolute duty, being subject to the question of what is reasonable andpracticable in the circumstances. A breach of the duty may result in a criminal prosecution,or claims for damages.

Councils are involved in businesses providing community welfare services, waste collectionand disposal, library and educational facilities, parks and recreation facilities, the provision ofroads, footpaths and drainage, and numerous other activities which would depend very muchon the size and geographical location of the Council. This duty is owed to any person whomay be affected by what the Council does in running its business. The duty is higher wherethe place at which the business is operated is under the control or management of theCouncil. Quite specific obligations are owed to employees and Contractors of the Council.

There is a common belief that an employer rids itself of health and safety obligations byengaging a Contractor, and by passing specific safety obligations to that Contractor by termsof the contract. This belief is held most strongly where a number of Contractors andsubcontractors are involved. These circumstances do not remove the duty; they only makecompliance more difficult.

When running a business you should be aware of the following:

• The imposition by contract of responsibilities on another party such as a Contractordoes not remove your obligations for ensuring health and safety of persons affected bythe particular undertaking.

• More than one party at a time may have a responsibility and therefore liability foroccupational health and safety.

• It is not an excuse to say what other parties have done has compromised your ability toadequately address health and safety.

• Mere reliance on another party does not represent compliance with occupational healthand safety obligations.

• You need to not only focus on health and safety of your direct employees, but also takeinto account how others may affect and be affected by what you do.

The law is made up of a combination of judge-made law (common law) developed overcenturies, and parliament-made law (statute). The common law imposes a duty of care toothers affected by what you do.

Common Law Duty of CareAll persons must take reasonable care to see that others are not put at a foreseeable risk ofinjury, loss or damage by the way in which they conduct themselves.

This duty of care is owed to all persons who you may reasonably foresee may be affected bywhat you do. It requires reasonable steps for the avoidance of reasonably foreseeable injuryloss or damage. What is reasonable will be a question of fact in each case.


An employer owes a higher duty of care, which is unable to be delegated, for the health andsafety of its employees. The employer must ensure the provision of a safe place of work,safe systems of work and safe plant and equipment. The safe systems of work must includethe provision of necessary information, instruction training and supervision.

An employer will at common law owe a duty of care to Contractors, and employees ofContractors. The standard of care will depend upon the circumstances, including the natureof the activities (whether or not they could be known by a reasonable person in that positionto be hazardous) the nature and circumstances of the relationship, and any information heldexclusively by the employer. In some circumstances, the standard of care owed to aContractor may be almost as high as that owed to an employee.

An employer will continue to owe a duty of care to members of the public, even though aContractor has been engaged. The High Court of Australia has recently stated that a personwill not fulfil its duty of care merely by the engagement of an ostensibly qualified andexperienced Contractor. A duty remains to provide necessary information to the Contractor,and take reasonable steps to see that the Contractor carries out the work in a safe manner.

Occupational Health and Safety Act 1985 ("The Act")The Act sets out to achieve its objectives of securing the health safety and welfare ofpersons at work and eliminating risks to health safety and welfare of persons at work, byregulating the conduct of those who may compromise health and safety at work. The Actregulates the conduct of not only employers and employees, but also of manufacturers andinstallers of plant, those with the management and control of workplaces, and others whomay affect health and safety.

The Act imposes specific obligations on various parties, and "encourages" compliancethrough a consultative approach and by the potential for criminal prosecutions resulting inheavy fines or imprisonment.

The duties imposed by the Act are not absolute, but are subject to a requirement that thedesired result be ensured "so far as is practicable" or that people conduct themselves in aparticular manner "so far as is practicable".

This element of practicability means that the person with the obligations must do that whichis feasible and which can be reasonably be done in all of the circumstances, taking intoaccount :

(a) The severity of the hazard or risk;

(b) The state of knowledge about the hazard or risk and ways of removing or mitigating it;

(c) The availability and suitability of ways to remove or mitigate that hazard or risk; and

(d) The cost of removing or mitigating that hazard or risk.

What was practicable in all of the circumstances will be looked at objectively. Ignorancewill not be an excuse.


Duties of an employer

The Act in Section 21, imposes on an employer a duty to provide a working environment foremployees that is safe and without risk to health. This duty requires an employer to see thatemployees carry out their work in safe premises, using proper and safe plant and equipment,employing systems of work that are safe and in which there has been adequate instruction,training and supervision. The duty is not merely a general duty, but applies to each andevery aspect of work to be carried out by an employee.

As part of this overall duty, an employer must:

(a) Monitor the health of employees;

(b) Keep information and records about the health and safety of employees;

(c) Employ or engage (eg. by contract) suitable health and safety experts to provideadvice;

(d) Nominate a person to represent the employer in health and safety disputes;

(e) Monitor conditions at the workplace;

(f) Provide information to employees in appropriate languages (that is, those languageswhich will collectively ensure that all employees understand what is being said) andthat information must include the names of persons to whom an employee may makean inquiry or complaint in relation to health and safety.

Duties owed to Contractors

Outsourcing work to Contractors will not remove an employer's occupational healthand safety obligations. The fact that the Contractor will most likely be an employer, andowe these obligations to its employees, will not remove the obligations of the Council forthe health and safety of those who carry out the work.

Sub-Section 21 (3) of the Act specifically provides that the duties owed by an employer toan employee are also owed to an independent Contractor and its employees. This means,that the Council must so far as is practicable ensure that a Contractor and its employeescarry out their work in safe premises, using proper and safe plant and equipment, employingsystems of work that are safe and in which there has been adequate instruction training andsupervision.

The only limitation on the obligation owed by a Council to the Contractor and its employees,is that the duty is owed in relation to matters over which the Council has control, or overwhich the Council would have had control but for an agreement to the contrary. Thismeans quite simply that an employer cannot contract out of its health and safetyobligations to those who actually perform the work .

The Act does not provide any guidance as to what is meant by control. Many cases invarious jurisdictions dealing with the questions of control of property show that the controlneed not be absolute; and that you need to look at both the degree of control exercised, andthat which is able to be exercised.


Duties to the public

As noted in the introduction to this Appendix, anyone running a business must also ensureso far as is practicable that no person is exposed to risk from the way in which their businessis operated. This is provided by Section 22 of the Act, and is an obligation owed to anyperson who may be affected by the running of the business, even a person having no director formal relationship with the business eg: a member of the public. A Council engaging aContractor to provide services to the community will accordingly have a duty to ensure sofar as is practicable, that no one suffers a risk to his or her health and safety from thecarrying out of the work or the provision of the facilities by the Contractor. This clearlyimposes on the Council an obligation to monitor and regulate the conduct of the Contractor.

Duties as an occupier

Section 23 of the Act imposes an obligation on an occupier of a workplace to ensure so faras is practicable that the workplace and means of access and egress are safe and withoutrisks to health. This is a duty owed to any person entering the workplace.

A workplace is any place where work is carried out, and that need not be within a building.It may be in the playground of a day-care centre; it may be by the side of the highway; or itmay be at a swimming pool operated by the Council.

An occupier of a workplace is someone with the control or management of that workplace.This will be a question of fact in each case. There have been a number of cases in which theCourts have found that there are a number of people or bodies with the management orcontrol of a workplace at the same time. The mere fact that a Contractor has the practicalday to day control of the workplace need not mean that the Council does not also havemanagement or control, particularly if the contract provides for a degree of management orcontrol. Again, it is a matter of looking at what actually happens, and the ability of theCouncil to manage or control the workplace.

Personal liability

It is important to note that employees (under to Section 25 of the Act) and officers of theCouncil (under Section 52 of the Act) may be liable to prosecution for a failure to see tohealth and safety at work.

All employees must take reasonable care to see that no person, whether it be themselves orany other employee, Contractor or member of the public, are put to a risk of injury or deathbecause of what they do at work. Employees must co-operate with the employer to see thathealth and safety is safeguarded at the workplace.

If a Council commits an offence which is attributable to the consent, connivance or wilfulneglect of an officer, then that officer is guilty of the same offence as the body corporate.An officer is not only a director, secretary or executive officer; but may also be a personwho is not a director or secretary in accordance with whose directions or instructionsdirectors of the company are accustomed to act; or may be a person who may not be adirector or secretary but who is "concerned in the management" of the company.


The real test of whether a person is an officer by being concerned in the management of thecompany, is whether that person is involved in the decision making process of the Council,rather than merely the hands. Does the person have relevant authority or responsibility; doesthe person make decisions; is their advice relied on by those who ultimately make thedecisions; or is the person just a functionary who does what he is told?

Penalties

The maximum penalties which may be imposed upon a Council for a first offence against theAct is $40,000. Second or subsequent offences may carry an additional penalty up to$250,000. An individual (employee or officer) guilty of a first offence under the Act may besubject to fines up to $10,000. The individual may receive an additional fine of up to$50,000 or up to 5 years imprisonment, for a second or subsequent offence.

It is becoming more common for companies and individuals to be charged with offencesunder the Crimes Act for workplace accidents, which carry potentially heavy fines andimprisonment. These offences range from manslaughter at one extreme (up to 15 yearsimprisonment) down to negligently causing serious injury at the other extreme (up to 3 yearsimprisonment).

Examples of ProsecutionsThe following are very brief summaries of prosecutions of organisations for offences associatedwith the contracting of works.

Wall Collapse

A curtain wall was constructed by Contractors to the City of Dandenong in an indoorswimming centre operated by the City. Subsequently, seating was affixed by the supplier tothe curtain wall. During a swimming carnival, the wall collapsed causing injury to a numberof students, one being rendered a paraplegic. The City of Dandenong was convicted of abreach of Section 22 of the Act and fined $7,500 plus costs. The judge directed that theCity Engineer be acquitted of all charges under the Act.

Building Demolition

A company, Bestaburgh Pty Ltd, engaged a Contractor to perform works in the demolitionof a building. During the works the Contractor sustained fatal injuries when he fell 20metres onto a concrete floor from the roof. Bestaburgh failed to provide the Contractorwith necessary information, instruction, training and supervision, and failed to provide a safesystem of work. Bestaburgh also failed to comply with a Prohibition Notice requiring fallprotection for workers. The company was fined for offences under Section 21 of the Act forfailing in its obligations to its Contractor; and for failing to comply with a ProhibitionNotice. The company was fined a total of $26,000 plus costs. Pursuant to Section 52, adirector of the company, Ian Nadenbousch was convicted of the same offences as thecompany and fined a total of $1,150.


Fall from Height

An employee of World Services and Construction Pty Ltd, a Contractor to Shell Refining(Aust) Pty Ltd suffered extensive internal injuries resulting in death when he fell through anunsecured grid mesh on a structure at the Shell Refinery. World Services was found guiltyof offences as an employer and was fined $15,000 plus costs. Shell was convicted ofoffences as the "deemed employer" of the Contractor and its employee and fined $3,000 pluscosts.

Crush Injury from Roller Conveyor

An employee of World Services and Construction Pty Ltd was crushed against a rollerconveyer by a sensor activated pusher, when he walked between the roller conveyor and thepusher. This accident occurred at the Point Henry plant of Alcoa Australia Limited, whichhad engaged World Services to undertake maintenance works. World Services wasconvicted of an offence as employer and fined $8,000 plus costs. Alcoa was convicted ofoffences of failing to provide adequate systems of work and failing to provide instructionand supervision of the employees of its Contractor, and was fined $8,000 plus costs.

Construction of Milk Processing Plant

A milk processing plant was being constructed for Bonlac Foods Limited (owner-builder) bya Contractor and a series of subcontractors. An independent project manager was engagedto undertake the project management of the job. One tonne of sheet metal was being raisedupon a hoist when the sheet metal broke free and fell striking an employee of asubcontractor, causing serious injuries. The hoist being used was at the time the subject of aprohibition notice. The project manager was convicted of a breach of Section 22 of the Actand fined $3,000 with $15,000 costs; and also convicted under Section 23 as occupier of theworkplace and fined $3,000 under Section 52. An officer of the project manager wasconvicted of two offences and fined $2,000 for each of those offences. Bonlac, the principalto the contract, was convicted of offences under Section 21 of the Act in relation to theinjuries suffered by an employee of a Contractor, and was fined $7,500 with $16,500 costs.An officer of Bonlac was convicted of the same offence and fined $1,500. A subcontractorNiro Atomisers Pty Ltd was also convicted of offences under Section 21 and fined $3,000with $16,500 costs; and also convicted of an offence under Section 22 and fined a further$2,000.

Fall from Height

An employee of a Contractor engaged by Concrete Constructions Pty Ltd fell to his deathwhen replacing broken glass on top of a 15 metre high base frame canopy roof. Noplatforms, scaffolding or fall protection were provided. Concrete Constructions wasconvicted of breaches of Section 21 in failing to provide for the health and safety of aContractor and its employees, and was fined an aggregate of $10,000 plus costs.

The Answer - Due Diligence

A key to a Council avoiding or at least minimising potential liabilities when engagingContractors, is to be able to show the exercise of due diligence in endeavouring to meethealth and safety obligations.


The Act does not require the Council as a contract principal to provide the plant, systems ofwork and training for a Contractor and its employees. What the Act requires is that theCouncil as principal ensures so far as is practicable, that the Contractor and its employeescarry out their work in safe premises, using proper and safe plant and equipment, employingsystems of work that are safe and in which there has been adequate instruction, training andsupervision. The actual provision of each of these elements necessary to see to the healthand safety of those carry out the work, can be made by the Contractor. What the Council asprincipal must do is to ensure that this occurs.

Compliance with the systems and procedures provided in this Contractor managementmanual will assist a Council in showing that it has taken such steps as are practicable toensure the health and safety of those carrying out work for it or as part of its business, thatis, showing due diligence.


Appendix 2

Source DocumentsContract Specification

Document 1: Model OHS Specification and TenderDocument Requirements

Document 2: Tenderer OHS Management SystemQuestionnaire

Document 3: Risk Assessment Form

Document 4: Guidelines for Preparing Health andSafety Plans


Document 1

Model OHS Specification and Tender DocumentRequirementsThe following section outlines model clauses relating to OHS requirements of tenderers tobe incorporated into specification and tender documents. The requirements should then bespecifically incorporated into the contract. This can be easily achieved by a suitable clause inthe contract which references the OHS specification requirements.

Subclause 1 General Occupational Health & Safety Requirements

Council is obligated to provide and maintain, so far as is practicable, a working environmentfor its employees and members of the public, that is safe and without risk to health. As acondition of this contract, Council requires that any Contractors or subcontractors that maybe engaged to perform a service on its behalf will at all times identify and exercise allnecessary precautions for the health and safety of all persons including Contractoremployees, Council employees and members of the public who may be affected by theservices.

The Contractor will inform itself of all occupational health and safety policies, procedures ormeasures implemented or adopted by the Council and/or the occupiers of any premises at orwithin which the Contractor will perform works under this contract. The Contractor willcomply with all such policies, procedures or measures; and in the event of any inconsistency,will comply with such procedures or measures as they produce the highest level of healthand safety.

The Contractor will forthwith comply with any and all directions by the Council relating tooccupational health and safety.

Subclause 2 Legislative Compliance

The Contractor must comply with and ensure that its employees, subcontractors and agentscomply with any Acts, regulations, local laws and by-laws, Codes of Practice, AustralianStandards and Council OHS policy and procedures which are in any way applicable to thiscontract or the performance of the services under this contract.

Subclause 3 Contractor OHS Management Systems

The OHS management system of the Contractor must as a minimum requirementdemonstrate compliance with all duties of an employer specified in the Occupational Healthand Safety Act 1985.

The Contractor must when requested by Council, submit a complete copy of their companyOHS management system documentation which must include as a minimum requirement:

(a) OHS policy and objectives

(b) Organisation structure &responsibilities

(c) Safe work practices and procedures

(d) OHS training and induction

(e) OHS auditing & inspectionprocedures

(f) OHS consultation procedures

(g) OHS performance monitoring


Optional Requirement

The Contractor must provide evidence of certification of their OHS management system.The minimum level of certification is SafetyMAP Initial Level Achievement or equivalentestablished by independent audit by the Victorian WorkCover Authority or other recognisedcertifying body. Certification must be achieved within 12 months of the commencement ofthe contract. If the Contractor does not maintain certification of their OHS managementsystem as required in this contract the Council may terminate the contract.

Subclause 4 Tenderer OHS Management System Questionnaire[May be incorporated in Conditions of Tender]

Tenderers shall complete the Tenderer OHS Management System Questionnaire andincorporate the completed document with their tender submission. Tenderers who do notcomplete the questionnaire shall be ineligible for selection. Tenderers will be required toverify their responses noted in the questionnaire by providing evidence of their ability andcapacity in relevant matters. By submission of the tender and questionnaire the Tendereracknowledges and confirms as accurate all details contained in the questionnaire and anyverifying documents.

Subclause 5 Risk Assessment

The Contractor shall prepare and submit a Risk Assessment prior to commencing the worksunder the contract. The Risk Assessment Form shall be used to record the risk assessmentand risk control methods to be employed by the Contractor.

The completed Risk Assessment shall be submitted to Council for review and approval priorto commencement of works under the contract.

Subclause 6 Health and Safety Plan

Prior to commencing the works under the contract the Contractor shall submit to Council aHealth and Safety Plan specific to the contract and works. The Contractor shall completethe Health and Safety Plan in conformance with requirements set out in Council Guidelinesfor Preparing Health and Safety Plans.

The Health and Safety Plan shall consider and respond to the specific OHS hazards andissues relevant to the contract works and shall document the systems and methods to beimplemented for the term of the contract. The Health and Safety Plan shall be reviewed byCouncil and formal approval to commence the contract shall be provided subject toacceptance of the Health and Safety Plan.

Subclause 7 OHS Performance Reporting

The Contractor must when requested by the Council provide evidence of ongoingperformance of the Contractor’s OHS management system. Without limiting therequirements of this obligation, the Contractor shall provide the following information on amonthly basis in the form of a Contractor OHS Performance Report:

• Number of lost time injuries

• Working days lost due to injury

• Current status of any injured personnel, damaged property or environmental damage orpollution


• Status of the implementation and outcomes of corrective actions undertaken as a result ofOHS inspections and risk assessments

• Status of OHS management system audits undertaken

The OHS Performance Report shall be submitted by the Contactor using the ContractorMonthly OHS Performance Report Form.

The Contractor shall when requested by Council provide reports on OHS inspections, auditsor assessments undertaken during the course of the contract.

Subclause 8 Incident Notification

If the Contractor is required by the Occupational Health and Safety (General Safety)Regulations 1986 or by any other regulations to give any notice of an accident occurringduring the performance by the Contractor of works under the contract, the Contractor shallat the same time or as soon thereafter as possible in the circumstances give a copy of thenotice to the Council.

The Contractor must promptly notify the Council of any accident, injury, property orenvironmental damage which occurs during the carrying out of the contract works. All losttime incidents shall be immediately notified to Council. The Contractor must and within 3days of any such incident provide a report giving complete details of the incident, includingresults of investigations into its cause, and any recommendations or strategies for preventionin the future.

Subclause 9 Non Compliance

If during the performance of works under the contract the Council informs the Contractorthat it is the opinion of Council that the Contractor is:

• not conducting the work in compliance with the Contractor’s Health and Safety Plan,health and safety management procedures, relevant legislation or health and safetyprocedures provided by Council from time to time, or

• conducting the work in such a way as to endanger the health and safety of Contractorsemployees or Council’s or its Contractors’ and subcontractors’ employees, plant,equipment or materials,

the Contractor shall promptly remedy that breach of health and safety.

Council may direct the Contractor to suspend the work until such time as the Contractorsatisfies Council that the work will be resumed in conformity with applicable health andsafety provisions.

During periods of suspension referred to above, Council shall not be required to make anypayment whatsoever to the Contractor.

If the Contractor fails to rectify any breach of health and safety for which the work has beensuspended, or if the Contractors performance has involved recurring breaches of health andsafety, the Council may as its option terminate the work forthwith, without furtherobligation to the Contractor. In this event, Council’s liability shall be limited to payment forthe work performed and costs incurred by the Contractor up to the time of termination or anearlier suspension of works.


Document 2

Tenderer OHS Management System QuestionnaireThis questionnaire forms part of Councils tender evaluation process and is to be completedby tenderers and submitted with their tender offer. The objective of the questionnaire is toprovide an overview of the status of the tenderers OHS management system. Tenderers willbe required to verify their responses noted in their questionnaire by providing evidence oftheir ability and capacity in relevant matters.

Certification

The information provided in this questionnaire is an accurate summary of the company’soccupational health and safety management system.

Company Name:..................................................................................................................

Signed:........................................................ Name:.........................................................

Position:...................................................... Date:...........................................................

Contract Details

Contract Name............................................................... Contract Number:.......................



Yes No

1 OHS Policy and Management1.1 Is there a written company health and safety policy?

If yes provide a copy of policy.Comments. ......................................................................................................................................................................................

1.2 Does the company have an OHS Management System certifiedby a recognised independent authority (eg: SafetyMAP)?If Yes provide details .......................................................................................................................................................................

1.3 Is there a company OHS Management System manual or plan?If yes provide a copy of contents page(s).Comments.........................................................................................................................................................................................

1.4 Are health and safety responsibilities clearly identified for alllevels of staff?If Yes provide details: .......................................................................................................................................................................

2 Safe Work Practices and Procedures2.1 Has the company prepared safe operating procedures or specific

safety instructions relevant to its operations?If yes, provide a summary listing of procedures or instructions.Comments.......................................................................................................................................................................................

2.2 Does the company have any permit to work systems?If Yes, provide a summary listing or permits:..........................................................................................................................................................................................................................................

2.3 Is there a documented incident investigation procedure?If Yes provide a copy of a standard incident report form.

2.4 Are there procedures for maintaining, inspecting and assessing thehazards of plant operated/owned by the company?If Yes, provide details .......................................................................................................................................................................

2.5 Are there procedures for storing and handling hazardoussubstances?If Yes, provide details........................................................................................................................................................................

2.6 Are there procedures for identifying, assessing and controllingrisks


Yes No

associated with manual handling?If Yes, provide details. ......................................................................................................................................................................

3 OHS Training3.1 Describe how health and safety training is conducted in your

company. ..............................................................................................................................................................................................................................................................................................

3.2 Is a record maintained of all training and induction programsundertaken for employees in your company?If Yes, provide examples of safety training records.................................................................................................................................................................................................................................

4 Health and Safety Workplace Inspection4.1 Are regular health and safety inspections at worksites undertaken?

If Yes, provide details: ......................................................................................................................................................................

4.2 Are standard workplace inspection checklists used to conducthealth and safety inspections?If Yes, provide details or examples: ..................................................................................................................................................

4.3 Is there a procedure by which employees can report hazards atworkplaces?If Yes, provide details .......................................................................................................................................................................

5 Health and Safety Consultation5.1 Is there a workplace health and safety committee?

5.2 Are employees involved in decision making over OHS matters?If Yes, please provide details...........................................................................................................................................................

5.3 Are there employee elected health and safety representatives?Comments.........................................................................................................................................................................................

6 OHS Performance Monitoring6.1 Is there a system for recording and analysing health and safety

performance statistics?If Yes provide details: .......................................................................................................................................................................


Yes No

6.2 Are employees regularly provided with information on companyhealth and safety performance?If Yes, provide details. ......................................................................................................................................................................

6.3 Has the company ever been convicted of an occupational healthand safety offence?If Yes, provide details. ......................................................................................................................................................................

7 Company References7.1 Please provide the following information for the three (3) most recent contracts

completed by the company:

Contract 1 Contract 2 Contract 3

ContractDescription

Client

Contact

Phone No

Number of losttime injuries

Number ofperson days oncontract

Total days lostdue to injuries


Eliminate the Hazard

Substitute the Hazard

Engineering Controls

Personal ProtectiveEquipment

Administrative Controls

eg: Off site cutting of panelwork

eg: Replace ladder with scissor lift, substitutesolvent based paint with water based paint

eg: Reverse alarms/lights fitted to plant,Exhaust ventilation to remove fumes

eg: Job rotation, Work instructions,Safety inspections

eg: Hearing protective devices, Respirators,Hard hats

Document 3

Risk Assessment FormThe attached Risk Assessment Form shall be completed by the successful tenderer in relationto the contract works and submitted to Council for approval prior to commencement. Theprimary objectives of the Risk Assessment are to:

• identify hazards associated with contract tasks and activities

• determine the level of risk

• establish appropriate risk control measures

Each major or significant task or activity associated with the contract shall be assessed interms of the associated hazards. When all hazards have been identified the most likelyoutcome as a result of an incident shall be determined.

Risks shall be classified according to the following schedule:

Class 1: potential to cause death or permanent injury to one or more people.

Class 2: potential to cause one or more lost time injuries.

Class 3: potential to cause an injury treatable with first aid.

A primary goal shall be to eliminate Class 1 and 2 risks associated with the contract andshould be a major focus of the Risk Assessment. Contractors should detail risk controlmeasures which adequately address all identified Class 1 and 2 risks. When determining riskcontrol strategies, the hierarchy of controls summarised below should be considered:


Where safe work procedures or instructions are developed they must clearly spell out thework sequence, highlighting the procedures required to adequately control each Class 1 andClass 2 risk identified in the risk assessment. All employees involved in the activity shallreceive appropriate training in the safe work procedure.

The risk assessment shall be completed on the Risk Assessment Form evaluating the fullscope of work associated with the contract. Additional risk assessments may be undertakenduring the course of the contract as required (ie work undertaken by subcontractors).

The Risk Assessment Form requires the Contractor to complete the following.

(i) Specific Task/Activity

The Contractor should document each major task associated with the contract. Thisshould consider the sequential aspects of the work to be performed from contractcommencement to finalisation of the contract.

(ii) Potential Hazards

The Contractor should identify the particular hazards associated with each activity ortask to be carried out.

(iii) Class of Risk

Each hazard should be evaluated as a level of risk, described as Risk Class 1, 2 or 3defined above. Classification in this way provides an indication of priority in termsof determining risk control measures.

(iv) Control Measure

The Contractor should identify and document what actions are necessary to eliminateor minimise the hazards that could lead to accident, injury or occupational illness.

RISK ASSESSMENT FORM (To be submitted prior to project commencement)


Contractor: Contract Manager:

Contract: Contract No:

Contractor’s Representative: Telephone:

Telephone: Fax:

Signature: Date: Signature:

Specific Task/Activity PotentialHazards/Consequences

Class of Risk




Class of Risk


Document 4

Guidelines for Preparing Health and Safety Plans

1 IntroductionPrior to the commencement of the contract the successful tenderer is required to submit aHealth and Safety Plan detailing the health and safety systems and procedures which willapply during the term of the contract.

The Health and Safety Plan will be reviewed by Council prior to commencement of thecontract and will be subject to approval by Council.

The Health and Safety Plan shall be reviewed at regular intervals throughout the contract toensure that it is maintained in an up to date condition. The Contractor’s Health and SafetyPlan will also form the basis by which its management systems will be audited by Council.

This document outlines the general requirements and elements of Health and Safety Plans toprovide guidance to Contractors when preparing the plan.

2 Health and Safety Plan Elements

2.1 Contract Description

A brief description of the scope of work associated with the contract should be documented.The description should be sufficiently detailed to provide persons unfamiliar with thecontract an overview of the type of work being carried out and under what conditions.

The scope of work should include as a minimum requirement the following details:

• Summary of major activities and types of work to be performed.

• List of tasks or specialist procedures that may require detailed health and safety workprocedures and training.

• List areas of contract requiring special consideration from a health and safety perspectiveeg:Ø presence of publicØ traffic managementØ work restrictions (worktimes, confined spaces)Ø exposure to hazards (noise, dust, elevated heights)

2.2 Contract OHS Structure and System

The Contractor’s Health and Safety Plan should be established around existing OHSmanagement systems and associated procedures and controls. Reference should be made toexisting procedures and documentation in the Health and Safety Plan. This will also assist inminimising the size of the document.


The Contractor should outline the management structure, responsibilities, standards andcontrol systems applicable to the contract to ensure OHS requirements are adequatelyaddressed. The following information should be included:

• Company health and safety policy, to be displayed at worksites.

• An outline of the contract health and safety organisation and structure. ie. names and/orpositions of those with specific health and safety responsibilities.

• Summary of OHS roles and responsibilities of Contractor staff involved in the contract.

• Position and/or name of senior person who will liaise with Council on health and safetymatters.

2.3 Contract Induction and Safety Training

OHS legislation requires all employers to ensure that their employees have the skills andtraining required to carry out their work in a safe manner. Council requires that Contractorsdocument their safety training program ensuring that they have appropriately skilledemployees, suitable training programs and adequate supervision for the contract works.

The following information should be provided:

• An outline of contract induction procedures for employees and subcontractors.

• Details of induction course content.

• Register of personnel who have satisfactorily completed the contract induction.

• Details of employee health and safety training which has or will be provided relevant tothe contract requirements.

• Provide a register of names and/or positions of contract employees with authorisations,permits, competency certificates, licences etc who may be required to supervise orundertake specialist work activity.

2.4 Safe Work Practices and Procedures

Relevant safe work practices and procedures should where appropriate be developed for thecontract. Where possible, existing health and safety company procedures should be used.However, contract specific safe work procedures may need to be developed on the basis ofparticular contract hazards. These may be identified when undertaking the Risk Assessment.


• Provide a list and copies of company safe work procedures or instructions relevant to thecontract.

• Provide a list and copies of contract specific safe work procedures or instructions.

• Detail site operations which will be subject to permit to work systems.

• Provide details of employees and/or subcontractors issued with copies of safe workprocedures and instructions.

• Safe work procedures and instructions should be recorded on Safe WorkProcedure/Instruction Register.












2.5 Risk Assessment

The Risk Assessment is an integral part of the Health and Safety Plan and considers thefollowing:

• identifies hazards associated with contract tasks and activities

• determines the level of risk

• establishes appropriate risk control measures

Each major or significant task or activity associated with the contract shall be assessed interms of the associated hazards. When all hazards have been identified the most likelyoutcome as a result of an incident shall be determined.

Risks shall be classified according to the following schedule:




A primary goal shall be to eliminate Class 1 and 2 risks associated with the contract andshould be a major focus of the Risk Assessment. Contractors should detail risk controlmeasures which adequately address all identified Class 1 and 2 risks. When determining riskcontrol strategies, the hierarchy of controls summarised below should be considered:

Where safe work procedures or instructions are developed they must clearly spell out thework sequence, highlighting the procedures required to adequately control each Class 1 andClass 2 risk identified in the risk assessment. All employees involved in the activity shallreceive appropriate training in the safe work procedure.


The Risk Assessment shall be completed on the Risk Assessment Form evaluating the fullscope of work associated with the contract. Additional risk assessments may be undertakenduring the course of the contract as required (ie work undertaken by subcontractors).

2.6 Workplace Health and Safety Inspections

Health and safety inspections play an important role in the identification of hazards at theworkplace and in the development of control measures. The Health and Safety Plan shouldoutline the procedures and methods by which contract workplaces will be inspected on aregular basis.


• Details of how workplace health and safety inspections will be undertaken during thecontract, considering:

Ø checklists to be used

Ø frequency of inspections

Ø team members

Ø actioning of inspection findings

• Details of hazard reporting procedures for the contract, including hazard report forms.

• Details of specific activities or areas targeted for inspection ie plant, hazardous materials,electrical safety.

2.7 Health and Safety Consultation

Consultation with employees provides an important mechanism whereby health and safetyissues can be dealt with in a manner that promotes ownership and prompt resolution.

The following information should be documented:

• List of current employer and employee health and safety representatives

• Details of the membership and operation of the Safety Committee

• Reference to company issue resolution procedures

2.8 Emergency Procedures

There is the potential for a range of emergency situations to occur both on-site and off-sitein relation to contract works. These situations need to be identified and specific emergencyprocedures developed and made known.

The following information should be documented:

• Overall emergency plan and structure for the contract.

• Register of emergency equipment and locations ie first aid equipment, fire extinguishers.

• Register of current qualified First Aiders.

• Arrangements/co-ordination with other worksite occupants in the event of an emergency.


2.9 Incident Recording & Investigation

All incidents associated with the contract involving personal injury, medical treatment orproperty damage should be recorded and investigated.

The following should be documented:

• Details of incident reporting and investigation system and procedures

• Details of how Class 1 and Class 2 incidents shall be notified to Council

• Details of how incident statistics are to be compiled and distributed

2.10 Health and Safety Performance Monitoring

The following should be documented:

• Details of how health and safety performance statistics associated with the contract arereviewed

• Details of how monthly health and safety performance reports will be compiled for reviewby Council

• Nature of health and safety performance information presented to employees on a regularbasis

• Outline of auditing program to evaluate Health and Safety Plan effectiveness


Appendix 3

Source DocumentsTender Evaluation

Document 1: Guidelines for Review of Tenderer OHSManagement System Questionnaire

Document 2: Guidelines for Review of RiskAssessments

Document 3: Completed Sample Risk Assessments

Document 4: Guidelines for Review of Health andSafety Plans

Document 5: Contract OHS System Approval andAcceptance Form


Document 1

Guidelines for Review of Tenderer OHS ManagementSystem QuestionnaireAs part of the tender evaluation process, Council should review completed questionnairessubmitted by tenderers in relation to the status of their OHS management systems. Theobjective of the review is to establish the level of competency of the tenderer with regard tohealth and safety in general and in particular with regard to tender requirements.

The following guidelines provide information to assist Council in reviewing responsesindicated in the questionnaires and supporting information provided by tenderers. Theguidelines present relevant criteria by which responses can be evaluated and verified wherenecessary.

Depending on the classification of the contract as major or minor and particular health andsafety issues relevant to the contract, different emphasis can be given to evaluating thetenderer’s OHS management system. This will be particularly important for small companieswhere informal management systems are more common.


Review of Tenderer OHS Management SystemQuestionnaire

Contract Name:..........................................................................................................

Contract Description:.................................................................................................

Contract Manager:......................................................... Date....................................

Contractor:.................................................................................................................

Indicate in the following manner:

ü Acceptable û Not Acceptable N/A Not Applicable1. OHS Policy and ManagementCompany Health and Safety PolicyThe policy provided by the tenderer should:

• be signed by the CEO or equivalent• outline clear statement of objectives• show commitment to improve performance• be relevant to company operations• be reviewed on a regular basis

Certified OHS Management SystemCertification demonstrates that the tenderer meets minimum standards,verified by an independent party. These may include:

• SafetyMAP (three levels of certification)• NSCA 5 Star System• ISR System

Certificates should be available for perusal.OHS Management System or PlanThe company OHS Manual or Plan should include as a minimum:

• Occupational health and safety policy• Management OH&S responsibilities• General occupational health and safety procedures• Safe work procedures relevant to the company operations• Public safety procedures• Induction and training procedures• Issue resolution and OHS consultation mechanisms

Health and Safety ResponsibilitiesHealth and safety responsibilities in the company should be documented andmay comprise:

• OHS responsibility statements• part of employee’s job description• part of formal and informal performance appraisal

Line managers and supervisors should be formally held accountable for healthand safety performance of their employees.


2. Safe Work Practices and ProceduresSafe Work ProceduresThe tenderer should be able to demonstrate safe work procedures which:

• are relevant to company operations• contain a description of the tasks and associated hazards• outline control measures and methods to minimise health and

safety risks• make reference to any relevant Legislation, Codes of Practice or

Australian StandardsSafe Work PermitsWhere relevant, the tenderer should be able to demonstrate safe work permitsfor the following types of work:

• Work in Confined Spaces (Confined Space Entry Permits)• Hot Work (Hot Work Permit)• Lockout permits (plant, electrical systems, steam)

Incident Reporting and InvestigationTenderers should be able to provide evidence of the following:

• incident report and investigation form• incident investigation procedure• evidence of completed investigation forms

Plant SafetyThe tenderer should have mechanisms in place for the identification ofhazards, assessment of risks and the implementation of control measuresassociated with plant. This may include:

• documented risk assessments for relevant plant or risk assessmentprocedure

• copy of plant operator licences, permits• register of plant requiring registration• list of persons responsible for undertaking plant risk assessments• plant maintenance and inspection forms• pre-start daily safety inspection forms for plant• plant fault reporting system and forms

Hazardous SubstancesTenderer should provide evidence demonstrating safe handling and storage ofhazardous substances:

• manifest or register of chemicals used by the company• Material Safety Data Sheets for chemicals used• safe handling procedures, including personal protective equipment• relevant training documentation

Manual HandlingThe tenderer should be able to demonstrate evidence of:

• documented risk assessments for manual handling hazards• systems used to control manual handling risks (eg: lifting aids,

work procedures)


3. Health and Safety TrainingTenderer should be able to demonstrate evidence of:

• records of training and competencies of employees (licences,permits, certificates)

• records of ‘on the job’ training• tool box meetings conducted• induction training program

4. Health and Safety Workplace InspectionRegular InspectionsTenderer should provide evidence of:

• workplace inspection schedules• completed inspection reports• types of inspections undertaken

Standard Inspection ChecklistsCopies of the types of inspection checklists used by the tenderer.Hazard Reporting from tendererEvidence may include:

• documented hazard reporting procedure and forms• completed hazard reports

5. Health and Safety ConsultationHealth and Safety CommitteeEvidence may include records which show:

• structure of committee• meeting schedule• minutes of meetings

Employee ConsultationTenderer should provide evidence of:

• list of employee health and safety representatives• documented procedures for consultation and dissemination of

information• employee involvement in inspections, accident investigations

6. OHS Performance MonitoringSafety Performance StatisticsEvidence may include:

• reports on company health and safety injury trend data• performance targets established (eg: lost time injuries, person days

lost)Health and Safety Performance InformationEvidence of information provided to employees:

• records of who receives reports• types of reports produced

Conviction of Health and Safety OffenceIf conviction reported, determine:

• nature and circumstances of incident• corrective actions undertaken


Comments ..............................................................................................................

..................................................................................................................................

..................................................................................................................................

..................................................................................................................................


Document 2

Guidelines for Review of Risk Assessments

IntroductionCouncil is responsible for reviewing Risk Assessments to ensure that:

• the contract has been separated into specific Contractor activities

• the Contractor has identified hazards associated with the activities

• the Contractor has indicated control measures which have considered the degreeof risk associated with the task

• control measures can be practically implemented during the project

These guidelines provide practical information to assist Council in the review of completedRisk Assessments. The Risk Assessment is designed to be completed by the Contractor aspart of the planning of the works. However, it may be useful for Council to assistContractors to undertake this task at the time of implementing this system or as part of theContractor induction process.

Risk Assessment

Identification of Tasks

The contract works or services should be separated into significant tasks or activities. Thesetasks may be identified by the fundamental hazards associated with each task. Hazards mayarise as a result of:

• the nature and type of services performed

• the location of the work

• materials, chemicals or equipment used

• the time of the work

• proximity to the public or other Contractors

• the work environment

Identification of hazards

Contractors should identify the range of hazards associated with each task. A hazard can bedefined as the potential to cause injury or illness to one or more people. When determininghazards associated with the task the hazard types below should be considered:

• Physical Hazards, eg. noise, plant related hazards, working at height, manualhandling, ergonomic, traffic hazards, collapse, falling objects etc

• Chemical Hazards, eg. inhalation, skin contact with chemicals, ingestion ofchemicals

• Electrical Hazards, eg. direct electrocution, contact with overhead orunderground cables

• Biological Hazards, eg infection, needle stick injury, handling of wastes












• Radiation Hazards, eg. UV light, lasers

• Psychological, eg. Workplace conditions leading to stress

The attached Hazard Identification and Control Table lists a variety of hazards and thecontrol measures which may be considered. This hazard list is not exhaustive and othercontrols may be considered for the hazards listed.

Assessment of Risk

Risk is defined as the probability of a hazard causing injury or illness. Risk is a combinationof the length and time of exposure to the hazard and the likelihood of the hazard beingrealised.

The hazards should be assigned as follows:




A primary goal shall be to eliminate Class 1 and 2 risks associated with the contract andshould be a major focus of the Risk Assessment. Contractors should detail risk controlmeasures which adequately address all identified Class 1 and 2 risks. When determining riskcontrol strategies, the hierarchy of controls summarised below should be considered.


The assignment of risk rating may take into consideration:

• Past accident/incident reports

• Industry experience and data

• WorkCover claims data

• Personal experience and professional judgement

Control Measures

Council must ensure that the Contractor has identified suitable control measures for eachhazard. In most cases the Contractor will have a greater understanding of the technicalrequirements of the works and in these cases Council would not be expected to make ajudgement as to whether the control strategy chosen by the Contractor is the best availablesafe system of work. Where the specific task does not involve specialty technical expertise,Council should provide feedback to the Contractor if they feel the identified control measureis in any way inadequate.

Further guidance regarding the selection of the most suitable control methods is provided inAppendix 2, Document 3 Risk Assessment Form. In summary the selection of suitablecontrol measures should take into consideration:

• Level of risk

• Hierarchy of controls

• Practicability of implementation

Hazard Identification and Control TableThe following table provides examples of control measures for a range of generic hazards.These examples are provided as a guide only and important site specific factors must also beconsidered. Note also that this table of examples does not include all possible hazards.

Hazard Possible Cause Control Measure1. Traffic

Hazards1.1 Trucks entering, exiting a

work siteUse of traffic signalmenInstallation of temporary traffic signalsUse of Safety SignsSpeed restriction signs displayed and enforced

1.2 Working in close proximity toroads

Use of witches hats or temporary barriers to cordonoff sections of roadClosure of roadUse of Safety SignsSpeed restriction signs displayed and enforced

2. ManualHandling

2.1 Handling of aged or disabledpeople

Use of wheel chairsUse of lifting aidsImposed restrictions on certain activitiesRequirements for two person liftsTraining of employees

2.2 Use of heavy hand held toolseg grass slasher

Use of support harnessLimits on duration of use

2.3 Handling of heavy objects Provide mechanical aidsRedesign object or task


Hazard Possible Cause Control Measure3. Contact with 3.1 Hot Materials Provide appropriate protective clothing and training

Heat 3.2 Fire in the Workplace Keep workplace clear of waste materialsIssue of hot work permitRemove flammable materials or store correctlyProvide adequate fire fighting equipmentEmployee fire fighting trainingEliminate ignition sources from flammableatmospheres

3.3 Exposure to sun Provide protective clothing and sunscreenReduce exposure time

4. Contact with 4.1 Faulty electric leads and tools Tools and leads inspected and taggedElectricity 4.2 No earth leakage detectors Residual current devices in all circuits

Residual current devices tested regularly4.3 Electric leads on ground Electrical leads kept elevated and clear of work

areas4.4 Electrical leads in damp areas All electric leads kept dry4.5 Electric leads tied to metal

railsAll electric leads are kept insulated

4.6 Plant not isolated Ensure permit to worksystem followedLock-out and equipment tag procedure

4.7 Contact with underground oroverhead cables

Location of services to be establishedOverhead cables to be protectedServices to be isolated when working in proximityEstablish safe clearance distances

5. Exposure toNoise

5.1 Plant and equipment notsilenced

Fit noise suppression to noisy plant and equipment

5.2 Not wearing appropriateprotection

All personnel to wear appropriate PPE (hearingprotectors)

5.3 Excessive exposure time tonoisy areas

Regulate employee exposure to noise

6. Contact withHigh Pressure

6.1 Burst air lines Air hoses in good condition and regularly inspected

6.2 Hoses becoming uncoupled All hose couplings fitted with pins or chains6.3 Using compressed air to clean

clothingProhibit and instruct employees on dangers

6.4 Improper handling of gascylinders

Cylinders stored upright and secured

6.5 Defective pressure gauges All pressure gauges inspected regularly for defects7. Contact with

Chemicals7.1 Incorrect handling procedures All employees trained in MSDS requirements

7.2 Lack of information Review Material Safety Data Sheet and assess risks7.3 Not wearing appropriate PPE All personnel provided with appropriate PPE7.4 Incorrect storage Hazardous substances stored and labelled correctly7.5 Elevated exposure levels Provide mechanical ventilation

All personnel provided with appropriate PPE8. Contact with

Radiation8.1 Exposure to arc welding Welding operations shielded

8.2 Not wearing appropriate PPE All personnel wear appropriate PPE8.3 Exposure during radiography

operationsCorrect procedures developed and followed

8.4 Exposure to lasers Regular equipment checkFollow documented safe work procedure for laser

8.5 Exposure to sun Provide protective clothing and sunscreen9. Struck

Against9.4 Protruding objects in access

routesProtruding objects are removed or markedProvide appropriate PPE (hard hat, safety boots)

9.5 Not wearing appropriate PPE Provide appropriate PPE & training9.6 Personnel running in the

workplacePersonnel exercise restraint and walk


Hazard Possible Cause Control Measure10. Struck By

Object10.1 Objects falling from work

platformsAll work platforms fitted with toe-boardsFence off areas below to prevent accessMaterials stacked securelyAll personnel wear appropriate PPE (hard hats)Secure loose objects to structure

10.2 Debris from grindingoperations

Personnel wear appropriate PPEShield grinding operations

10.3 Wind blown particles All personnel wear appropriate PPE10.4 Loads slung from cranes Loads not slung over personnel

Taglines are used to prevent loads swingingLoads slung correctly

11. Fall from 11.1 No handrails All work platforms have secure handrailsHeight 11.2 Working outside handrails Persons wear full fall arrest type harness

11.3 Floor penetrations notcovered

All floor penetrations covered or barricaded

11.4 Ladders not secured All ladders secured to prevent movementLadders to extend at least 1m above landings

11.5 Unsafe area Tag and fence to prevent access12. Slips and

Falls12.1 Access routes obstructed by

materialsAll access routes kept clear of materials and debris

12.2 Leads and hoses across accessroutes

All leads kept clear of ground or covered

12.3 Slippery surfaces All surfaces used for access kept dry and in goodcondition

12.4 Safety footwear notappropriate

Personnel wear appropriate safety footwear

12.5 Poor visibility Provide adequate lighting13. Caught

Between13.1 Operating plant Guarding of rotating plant and hand tools

Safe work procedures to be followedProvide roll over cage protectionPre-start daily safety inspection

13.2 Moving plant Personnel kept clear when operating plantFit reverse alarms to plant and check operation

13.3 Moving loads All personnel kept clear during crane operations13.4 Loads tipping or swinging Load slings properly secured13.5 Materials being positioned Safe Work Procedures for moving heavy loads

14. Overstress 14.1 SWL exceeded during liftingoperations

Compliance with SWL and radius charts on cranesAll lifting gear checked regularly

14.2 Sprains and strains All personnel trained in manual handlingtechniques

15. ErgonomicHazards

15.1 Poor work posture Workstation to conform with ergonomic standardsSeating to conform with ergonomic standardsTraining of employeesProvide adequate task lighting

15.2 Use of excessive force Provide mechanical aidsModify workplace design

15.3 Repetitive movements Modify task requirementsJob rotation

16. AsbestosHazards

16.1 Accidental disturbance orcontact

Asbestos materials identified and labelledAsbestos materials removed from workplaceSafe work procedures developed

17. BiologicalHazards

17.1 Needlestick injury Provide appropriate waste disposal containersProvide employees with PPEDevelop safe work procedures and train staff

17.2 Potential exposure to HIV,hepatitis

Develop safe work procedures and train staffImmunisation program

17.3 Potential exposure tolegionella bacteria

Provide employees with PPEImplement microbial control procedures


Hazard Possible Cause Control Measure18. Excavation/

Trenching18.1 Collapse of earth Shoring to be provided in accordance with Code of

PracticeShoring to be inspected regularly

18.2 Fall into excavation Provide barricades around excavation18.3 Asphyxiation Provide exhaust ventilation and test atmosphere18.4 Inadequate access to

excavationProvide safe access by steps or ladders

19. PlantOverturn

19.1 Crane overturn Cranes to be set up on solid ground and away fromedge of excavation

19.2 Mobile plant overturn Plant to be fitted with roll over cage protectionSafe work procedures developed




Contractor: ACME Road Repair Pty Ltd Contract Manager: Fred Johnston

Contract: Repair of Pot Holes in Road - North Hwy b/w Johns Road and Smith Streetturn off

Contract No:

Contractor’s Representative: John Smith Telephone: 9350 8383

Telephone: 9834 2222 Fax: 9834 2221

Signature: Date: 30 November 1996 Signature:


Class of Risk

Occupation of work siteSet up, during works, and finalinspections

Public vehicles hitting workersor equipment

1 Safety signage and traffic control procedures will conform with applicableregulations and codes of practice to ensure adequate safety and minimiseinconvenience to traffic. This will include the use of safety signage (BewareRoad Works Ahead) at least 500m before work area. Witches hats to divideoff one lane. Plan work so that one side of road is repaired at a time. Flagmen at either end of work area slowing traffic and communicating via handheld radios so that one way traffic is permitted in opposite lane. Wearing ofbright reflective safety jackets by workmen. Refer company safe workprocedure SWP06: Traffic Management.

Operation of plant - compactor(“whacker”)

crushing of feet 2 Wearing of safety footwear.

manual handling resulting instrain/back injury

2 Provide training in safe use of equipment prior to operation.Two-man lifts to lift and lower compactor from truck.

Operation of plant - compactor/jackhammer

noise exposure 2 Employees to wear hearing protectors when operating plant.

Operation of compressor contact with high pressure 2 Hose couplings fitted with pins or chains.Hoses, couplings inspected as part of daily plant inspection.





Class of Risk

noise exposure 3 Noise control equipment fitted to compressor.

Handling and decanting fuels forcompressor

fire, eye splashes 2 No smoking, handling of fuels in well ventilated areas, fire extinguishers onhand, wearing of eye protection.

Transport of equipment equipment falling from truckcausing traffic accidents

1 Proper use of ropes, chain and straps to adequately secure equipment onvehicle.

Handling of hot tar heat and chemical exposure 3 Use of protective clothing (gloves, overalls), ensure good hygiene andwashing before lunch and at end of day.

Outside work - exposure to weather sunburn 3 Wearing of suitable clothing, hats and provision of sun cream.

General General Employees will be supplied with protective gloves and hard hats supervisedby foreman.Daily safety inspection to be conducted by supervisor and foreman.




Contractor: ABC Services Pty Ltd Contract Manager: Fred Johnston

Contract: Aged & Disability Services Contract No: LC-460-07

Contractor’s Representative: Joanne Smith Telephone: 9350 8383

Telephone: 9834 2222 Fax: 9834 2232

Signature: Date: 30 November 1996 Signature:


Class of Risk

Transfer of aged and disabled persons(from vehicles, baths, beds etc)

manual handling causing injury toclient

manual handling resulting instrain/back injury

1 to 2

2

Employees to use appropriate transfer aids provided(transfer belts, swivel seats in cars)

Training provided on safe transfer techniques and methods

Operation of electrical appliances contact with electricity - faultyleads/appliances

1 Pre-inspection assessment of household to review condition of leads,appliances.

Provision and use of portable electrical safety switches.

Training on safe work methods(refer company safe work procedure SWP01: Electrical safety).

Use of cleaning chemicals exposure to fumes and skincontact

2 Employees provided with list of prohibited cleaning products.

Employees to wear personal protective equipment(rubber gloves, plastic aprons).

Vacuuming, sweeping and mopping manual handling resulting instrain/back injury

2 Training provided on safe cleaning methods.

Techniques focus on minimising lifting and bending.

slips/falls 2 Ensure that appropriate footwear is used (rubber soled shoes).





Class of Risk

Bathing activities manual handling resulting instrain/back injury

2 Training provided on safe bathing techniques and aids which can be used.

Laundry operations manual handling resulting inoveruse injury, strain injury

2 Provide laundry trolley where appropriate.

Training provided on safe work method.

General conditions of client household broad range of potential hazards 1 to 3 Assessment undertaken of household for safety risks and remedial actionundertaken where necessary.

Standard safety inspection checklist used (refer checklist CH-02).

Employees advised of any particular safety risk issue in household andmethods to control risks.

Personal care Client aggression (e.g.biting,scratching) resulting in bodilyharm.

1 to 3 Employees provided with behaviour management training.

Appropriate service plans prepared for each client.


Document 4

Guidelines for Review of Health & Safety PlansThis form can be used by Council when reviewing the elements of the Health and SafetyPlan prepared by the Contractor. Relevant requirements should be reviewed and approvedprior to work commencing on the contract.

The Contractor should provide documentation referenced in the Health and Safety Plan atthe time of assessment. Not all elements of the Health and Safety Plan may be required for acontract and this would need to be determined by Council in conjunction with theContractor. Upon the successful assessment of the Health and Safety Plan, Council shouldconfirm approval on the Contract OHS System Approval and Acceptance Form (referAppendix 3, Document 5).

Where the Project Health and Safety Plan does not satisfy the requirements of Council theContractor shall be notified and the appropriate modifications should be made to the Plan.

Health and Safety Plan Review

Contract Name:..........................................................................................................


Contract Manager:.....................................................................................................

Contractor:.................................................................................................................

Health and Safety Plan ElementsRequirement

Fulfilled

Yes No

1 Contract Description

1.1 Brief description of the scope of work or services q q1.2 Summary of major activities and types of work q q1.3 Specialist tasks or procedures are documented and reference to

safe work procedures and training documentedq q

1.4 Areas of contract requiring special consideration aredocumented and procedural requirements referenced, eg.presence of public, traffic management, work restrictions.

q q


2 Contract OHS Structure and System2.1 Company health and safety policy included q q2.2 Names and positions of personnel with specific health and

safety responsibilities are documented and the organisationstructure is clear

q q

2.3 Contractor employee responsibilities are documented q q2.4 Position and name of senior person who will liaise with council

on OHS issues is documentedq q

3 Contract Induction and Safety Training

3.1 Outline of the contract induction procedures for employees andsubcontractors

q q3.2 Details of induction modules or induction course content q q3.3 Register of personnel completing the induction program q q3.4 Details of employee OHS training relevant to the contract q q3.5 Register of employees holding authorisations, permits,

competency certificates, licences required for the contractq q

4 Safe Work Practices and Procedures

4.1 List of company safe work procedures relevant to the contract q q4.2 Copies of safe work procedures or instructions q q4.3 Details of contract operations subject to work permits q q4.4 Work permit procedure documented q q4.5 Distribution list of employees and/or subcontractors issued with

safe work proceduresq q

4.6 Contract safe work procedures (all Contractors) aredocumented in a safe work procedure register.

q q

5 Risk Assessment

5.1 Hazardous operations/significant tasks to be undertaken byContractor identified and documented on the Risk AssessmentForm

q q

5.2 Each hazard classified by Class as per the Risk AssessmentProcedure, ie: Class 1, 2 or 3

q q


5.3 The hierarchy of controls has been considered in the riskassessment and Class 1 and 2 risks have been eliminated wherepracticable

q q

5.4 Control measures are documented with clear procedures onhow to achieve the control

q q5.5 Evidence of employee training on control measures is included q q6 Workplace Health & Safety Inspections

6.1 Inspection team documented q q6.2 Frequency and type of inspection defined q q6.3 Checklists to be used in inspections are included q q6.4 Procedure for actioning inspection findings included q q6.5 Hazard reporting procedures documented and forms included q q6.6 Specific areas targetted for inspection documented q q7.0 Health and Safety Consultation

7.1 List of current employer and employee health and safetyrepresentatives

q q7.2 Details of the membership and operation of the Safety

Committeeq q

7.3 Reference to company issue resolution procedures q q8 Emergency Procedures

8.1 Overall emergency plan and structure for the contract q q8.2 Register of emergency equipment and locations q q8.3 Register of current qualified First Aiders q q8.4 Arrangements/co-ordination with other worksite occupants in

the event of an emergencyq q

9 Incident Recording & Investigation

9.1 Details of incident reporting and investigation system andprocedures

q q9.2 Details of how Class 1 and 2 incidents shall be notified to

Councilq q

9.3 Details of how incident statistics are to be compiled anddistributed

q q


9.4 Accident investigation procedure or details of how accidentswill be investigated.

q q

10 Health & Safety Performance Monitoring

10.1 Details of how health and safety performance statisticsassociated with the contract are reviewed

q q10.2 Details of how monthly health and safety performance reports

will be compiled for review by the Councilq q

10.3 Nature of health and safety performance information presentedto employees on a regular basis

q q10.4 Outline of auditing program to evaluate Health and Safety Plan

effectivenessq q


Document 5

Contract OHS System Approval and Acceptance FormThis document when completed is to be kept with the current version of the Contractor’sHealth and Safety Plan and Risk Assessment and forms part of the contract documentation.

Contract Name:..........................................................................................................


Contract Manager:.....................................................................................................

Contractor:.................................................................................................................

ElementDate

ReceivedSatisfactory/

Unsatisfactory

Contractor OHS Management SystemQuestionnaire

Health and Safety Plan

Risk Assessment

Comments:.................................................................................................................

...................................................................................................................................

...................................................................................................................................

...................................................................................................................................

...................................................................................................................................

...................................................................................................................................

Authorisation Signature Date

Contract Manager

Contractor Representative


Appendix 4

Source DocumentsContract Management

Document 1: Contract Inspection Checklist

Document 2: General Health and Safety Checklist

Document 3: Non-conformance Report Form

Document 4: Contractor OHS Performance Report


Document 1

Contract Inspection ChecklistAn important element of the contract management process is undertaking inspections of thework and documenting the status of OHS performance. As outlined in the manual (Section7.2.1), the frequency of inspections will depend on a range of criteria which will bedetermined by Council. The following Contract Inspection Checklist has been designed tobe simple and relevant to the specific contract. The checklist will provide a simple recordfor use by the Contractor as the basis of its supervision program and by Council as part oftheir supervision and monitoring role.

The Checklist is developed from the Risk Assessment and requires necessary controlmeasures which were identified by the Contractor to be listed. The checklist simply involvesa review of the relevant control measures developed by the Contractor. If remedial action isrequired this should be noted against the particular item and notes can be made as to whataction is necessary.

Example: Contract Inspection Checklist

One of the control measures identified in the risk assessment was to ensure there werereverse lights and alarms on all mobile plant to minimise the risk of collisions with sitepersonnel. The control measure shall be recorded on the site inspection checklist as follows:

Contract Inspection Checklist

ItemNo. Control Measure Compliance

(Y/N)

ActionRequired

(Y/N)

A1 All mobile plant has reverse alarms and lights fitted andare operational

Yes No


Contract Inspection Checklist

Contract Name:...................................... Site Location:......................................

Contract Number: .................................. Prepared by:........................................

Contractor:............................................. Date:....................................................

ItemNo. Control Measure Compliance

(Y/N)

ActionRequired

(Y/N)

Comments on items Requiring Action:

............................................................................................................................................................................................

............................................................................................................................................................................................

............................................................................................................................................................................................

............................................................................................................................................................................................

............................................................................................................................................................................................


Document 2This checklist is included as a guide only and may be modified to suit specific contractrequirements.

General Health and Safety Checklist

Contract Name:..........................................................................................................


Contractor:.................................................................................................................

Worksite Location:........................................................ Date:...................................

Persons completing inspection:.................................................................................

Indicate in the following manner:

ü Acceptable û Not Acceptable N/A Not Applicable1. Health and Safety Systems1.1 OH&S policy displayed1.2 Accident report book1.3 Induction records1.4 Rehabilitation policy available1.5 Workplace inspection records1.6 Emergency procedures1.7 Training records1.8 Documented safe work procedures1.9 Protective clothing & equipment records1.10 MSDS available1.11 Health & safety systems manual1.12 H&S representatives appointed1.13 Management safety representative appointed1.14 Contract risk assessment available1.15 Contract health & safety plan available

2. Housekeeping2.1 Work areas free from rubbish & obstructions2.2 Surfaces safe and suitable2.3 Free from slip/trip hazards2.4 Floor openings covered2.5 Stock/material stored safely

AISLES2.6 Unobstructed and clearly defined2.7 Adequate lighting2.8 Vision at corners2.9 Wide enough

3. Electrical3.1 No broken plugs, sockets, switches3.2 No frayed or defective leads3.3 Power tools in good condition3.4 No work near exposed live electrical equipment


3.5 Tools and leads inspected and tagged3.6 No strained leads3.7 No cable-trip hazards3.8 Switches/circuits identified3.9 Lock-out procedures/danger tags in place3.10 Earth leakage systems used3.11 Start/stop switches clearly identified3.12 Switchboards secured3.13 Appropriate fire fighting equipment

4. Mobile Plant and Equipment4.1 Plant and equipment in good condition4.2 Daily safety inspection procedures/checklists4.3 Fault reporting/rectification system used4.4 Operators trained and licensed4.5 Warning and instructions displayed4.6 Warning lights operational4.7 Reversing alarm operational4.8 Satisfactory operating practices4.9 Fire extinguisher4.10 Tyres satisfactory4.11 SWL of lifting or carrying equipment displayed

5. Machinery and Workbenches5.1 Adequate work space5.2 Clean and tidy5.3 Free from excess oil and grease5.4 Adequately guarded5.5 Warnings or instructions displayed5.6 Emergency stops appropriately placed and clearly identifiable5.7 Operated safely and correctly

WORKBENCHES5.8 Clear of rubbish5.9 Tools in proper place5.10 Duckboards or floor mats provided

6. Hazardous Substances6.1 Stored appropriately6.2 Containers labelled correctly6.3 Adequate ventilation/exhaust systems6.4 Protective clothing/equipment available/used6.5 Personal hygiene - dermatitis control6.6 Waste disposal procedures6.7 Material safety data sheets available6.8 Chemical handling procedures followed6.9 Chemical register developed6.10 Appropriate emergency/first aid equipment - shower, eye bath, extinguishers6.11 Hazchem signing displayed

7. Welding7.1 Gas bottles securely fixed to trolley7.2 Welding fumes well ventilated7.3 Fire extinguisher near work area7.4 Only flint guns used to light torch7.5 Flash back spark arresters fitted7.6 Vision screens used for electric welding7.7 LPG bottles within 10 year stamp7.8 PPE provided and worn7.9 Hot Work permit system used


8. Excavations8.1 Shoring in place and in sound condition8.2 Excavation well secured8.3 Signage displayed8.4 Banks battered correctly and spoil away from edge8.5 Clear and safe access around excavation8.6 Separate access and egress points from excavation8.7 Safe work procedure in place

9. Prevention of Falls9.1 All work platforms have secure handrails, guarding or fence panels9.2 Harness and lanyard or belts provided9.3 All floor penetrations covered or barricaded9.4 Unsafe areas signposted and fenced9.5 Safe work procedure in place

10. Stairs, steps and landings10.1 No worn or broken steps10.2 Handrails in good repair10.3 Clear of obstructions10.4 Adequate lighting10.5 Emergency lighting10.6 Non-slip treatments/treads in good condition10.7 Kick plates where required10.8 Clear of debris and spills10.9 Used correctly

11. Ladders11.1 Ladders in good condition11.2 Ladders not used to support planks for working platforms11.3 Correct angle to structure 1:411.4 Extended 1.0 metre above top landing11.5 Straight or extension ladders securely fixed at top11.6 Metal ladders not used near live exposed electrical equipment

12. Personal Protection12.1 Employees provided with PPE12.2 PPE being worn by employees12.3 Suncream and sunglasses provided12.4 Correct signage at access points

13. Manual Handling13.1 Mechanical aids provided and used13.2 Safe work procedures in place13.3 Manual handling risk assessment performed13.4 Manual handling controls implemented

14. Workplace Ergonomics14.1 Workstation and seating design acceptable14.2 Ergonomic factors considered in work layout and task design14.3 Use of excessive force and repetitive movements minimised14.4 Appropriate training provided

15. Material Storage15.1 Stacks stable15.2 Heights correct15.3 Sufficient space for moving stock15.4 Material stored in racks/bins15.5 Shelves free of rubbish15.6 Floors around stacks and racks clear


15.7 Drums checked15.8 Pallets in good repair15.9 Heavier items stored low15.10 No danger of falling objects15.11 No sharp edges15.12 Safe means of accessing high shelves15.3 Racks clear of lights/sprinklers

16. Confined Spaces16.1 Risk assessment undertaken16.2 Communication and rescue plan in place16.3 Safety equipment in good working condition16.4 Suitable training provided to employees16.5 Confined Space permit used

17. Lasers17.1 Operator has laser operator licence17.2 Signage displayed17.3 Laser not used in a manner to endanger other persons

18. Demolition18.1 Risk assessment undertaken in advance18.2 Access prevented to demolition area18.3 Overhead protection in place18.4 Protection of general public18.5 Safe work procedure in place

19. Public Protection19.1 Appropriate barricades, fencing, hoarding, gantry secure and in place19.2 Signage in place19.3 Suitable lighting for public access19.4 Footpaths clean and free from debris19.5 Dust and noise controls in place19.6 Site access controlled19.7 Traffic control procedures in place19.8 Public complaints actioned

20. Amenities20.1 Washrooms clean20.2 Toilets clean20.3 Lockers clean20.4 Meal rooms clean and tidy20.5 Rubbish bins available - covered

21. First Aid21.1 Cabinets and contents clean and orderly21.2 Stocks meet requirements21.3 First aiders names displayed21.4 First aiders location and phone numbers21.5 Qualified first aider(s)21.6 Record of treatment and of supplies dispensed

22. Lighting22.1 Adequate and free from glare22.2 Lighting clean and efficient22.3 Windows clean22.4 No flickering or inoperable lights22.5 Emergency lighting system


23. Fire Control23.1 Extinguishers in place23.2 Fire fighting equipment serviced/tagged23.3 Appropriate signing of extinguishers23.4 Extinguishers appropriate to hazard23.5 Emergency exit signage23.6 Exit doors easily opened from inside23.7 Exit path ways clear of obstruction23.8 Alarm/communication system - adequate23.9 Smoking/naked flame restrictions observed23.10 Minimum quantities of flammables at workstation23.11 Flammable storage procedures23.12 Emergency personnel identified and trained23.13 Emergency procedures documented - issued23.14 Emergency telephone numbers displayed23.15 Alarms tested23.16 Trial evacuations conducted23.17 Personnel trained in use of fire fighting equipment


Document 3

Non Conformance Report FormThe attached Non Conformance Report shall be completed by Council officers where areasof non-conformance are identified or specific Class 1 or Class 2 risks noted as a result ofinspections of Contractor operations undertaken by Council.

The report should be issued following consultation with the Contractor Representative andan agreed time frame should be documented on this report for the rectification of issues.

The report should be signed by the Council officer and Contractor Representative andactioned within the agreed timeframe. Where the Contractor does not rectify the issuewithin the agreed timeframe a second Non-Conformance report may be issued or Councilmay consider suspension or termination of the contract if the issue is of sufficientsignificance.

The following information should be recorded on the Non Conformance Report.

1. Details of Non Conformance

Specific details of non conformance which may include:

• any plant or equipment involved

• any chemicals or hazardous substances involved

• work procedures not followed

• any other physical aspects

• the nature of the risk

• the Class of risk (1, 2 or 3)

2. Actions Required

Actions that have been agreed to, following consultation, by all parties that shouldadequately address the identified non conformance. This may take the form of specificcontrol measures and should take into account the hierarchy of controls.

3. Completion Date

The agreed timeframe by which the Contractor should have implemented the actionsdocumented in the Non Conformance Report.

4. Verification of Completion

Council should verify that the agreed actions have taken place on or soon after the agreedCompletion Date. Where the actions are complete the Council Representative andContractor should sign the Non Conformance Form and file with Contract documentation.

NON CONFORMANCE REPORT


Contractor: Council Representative:

Contract Name: Contract No:

Contractor’s Representative: Telephone:

Telephone: Fax:

Signature: Date: Signature:

Details of Non Conformance Action Required

NON CONFORMANCE REPORT


Details of Non Conformance Action Required

Comments:................................................................................................................................................................................

...................................................................................................................................................................................................

...................................................................................................................................................................................................

...................................................................................................................................................................................................

...................................................................................................................................................................................................


Document 4

Contractor OHS Performance ReportContract Name:................................................. Report for the month

of:....................................

Contract Number:.............................................. Preparedby:.....................................................

Contractor:........................................................ Date:................................................................

Performance IndicatorsIndicator Current Month Mthly Average Total

Number of lost time injuries

Working days lost due to injury

Number of hazard inspections conducted

Status of Injured Personnel and Property DamageDate of Days Lost Return to Work

Name/Item Injury/Damage Incident CurrentMonth Total Forecast Actual

.....................

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....

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OHS Corrective ActionsStatus

Nature of Corrective Action Risk Class Open Closed Comments

..................................................

..................................................

..................................................

..................................................

........

.........................

.........................

.........................

.........................

....

..........

..........

..........

..........

....

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............

............................

............................

............................

............................

Outcomes of OHS audits/inspections

Comments/Outcomes:.........................................................................................................................................................................................................................................................................................................................................................................................................

Comments on OHS Performance

Contract Manager: ..........................................................................................................................................................................................................................................................................................................................................................................

Contractor Representative: .......................................................................................


...................................................................................................................................

...................................................................................................................................


Appendix 5

Reference Material

Summary of Victorian Occupational Health andSafety Legislation

Definitions/Glossary


5.1 Summary of Victorian Occupational Health and SafetyLegislation

Legislation

Occupational Health and Safety Act 1985

Occupational Health and Safety (Issue Resolution) Regulations 1989

Occupational Health and Safety (General Safety) Regulations 1986

Occupational Health and Safety (Lead Control) Regulations 1988

Occupational Health and Safety (Manual Handling) Regulations 1988

Occupational Health and Safety (Noise) Regulations 1992

Occupational Health and Safety (Asbestos) Regulations 1992

Occupational Health and Safety (Certification of Plant Users and Operators)Regulations 1994

Occupational Health and Safety (Plant) Regulations 1995

Equipment (Public Safety) Act 1994

Equipment (Public Safety) Regulations 1995

Dangerous Goods Act 1985

Dangerous Goods (Storage & Handling) Regulations 1989

Dangerous Goods (Transport) Regulations 1987

Dangerous Goods (Explosives) Regulations 1988

Dangerous Goods (Liquefied Gases Transfer) Regulations 1987

Codes of Practice

Building and Construction Workplaces

Demolition

First Aid in the Workplace

Foundries

Lead Control

Manual Handling

Manual Handling in the Furniture Removal Industry

Manual Handling (Occupational Over-use Syndrome)

Noise

Plant

Provision of Occupational Health and Safety Information in Languages Other than English

Safe Use of Cranes in the Building and Construction Industry

Safe Work on Roofs (excluding villa constructions)


Safety in Forest Operations

Safety Precautions in Trenching Operations

Temporary Electrical Installations on Buildings and Construction Sites

Tilt Up Constructions

Workplaces

5.2 Definitions/Glossary

Contracts:

A contract executed under seal by a Council with external parties to provide works, goodsor services.

Contract Manager:

The Council employee (client side) with the responsibility of overseeing the contract on theCouncil’s behalf.

Contractor:

The organisation or person contracted by the Council to provide works, goods or services toCouncil following a competitive tendering process.

Incident:

An event or series of events which contribute to injury, disease, property damage orenvironmental harm.

Risk assessment:

Process of identification of hazards associated with contract works or services, assessmentof associated risks and development of risk control measures.

Risk classification:

Occupational health and safety risks are classified under the following categories:

Class 1: potential to cause death or permanent injury to one or more people

Class 2: potential to cause one or more lost time injuries

Class 3: potential to cause an injury treatable with first aid

SafetyMAP:

A safety management system audit tool developed by the Victorian Workcover Authorityenabling organisations to benchmark OHS performance. Organisations can requestWorkCover to audit their performance at each of the three levels of SafetyMAP - Initial,Transition and Advanced. Achievement of these levels is acknowledged by WorkCover withSafetyMAP certification.


Tender:

A written proposal to provide works, goods or services based on a written specification.

Tender documents:

A complete set of documents (including a specification) which sets out the tenderingprocess, conditions of tender, describes the works, goods or services required and providesany other information.

Tender Specification:

A detailed written description of the specific works, goods or services required to beperformed under a contract for which tenders are being invited.

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