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Work Health and Safety Management Systems and Auditing Guidelines
Work Health and Safety Management Systems and Auditing Guidelines
5th edition, September 2013(Updated May 2014)
Work Health and Safety Management Systems and Auditing Guidelines
These Guidelines are a key element of the Procurement Policy Framework of the NSW Government. They are available from the NSW Government Procurement website www.procurepoint.nsw.gov.au
The document shall be updated on an ongoing basis by the Office of Finance & Services to reflect changes to government policy and procedures. To ensure accurate and up to date information, agencies are advised to access the latest version directly from the website.
Further information on these Guidelines should be addressed to:
NSW Procurement Client Support Centre:
Telephone: 1800 679 289
Email: [email protected]
Issue log
Issue
Release date
Details
1.2. December
1994Revised to apply to projects over $20M
3. November 1998
Revised to apply to projects over $3M
4. June 2004 Revised to include requirements of OHS Act 2000 and OHS Regulation 2001Revised to apply to projects over $1M
5. September 2013
Revised to include requirements of the WHS Act 2011, WHS Regulations 2011 and Codes of Practice applicable in NSWRemoved reference to requirement for agency accreditation of Work Health and Management Systems
December 2013
Clarification of OHS Auditor requirements (p4).Clarification of certificate requirements (p4).Principal Contractor requirements (p5) updated to remove reference to accreditation
March 2014
Email address updated
May 2014 Added ‘Evidence of Implementation’ to Checklist
Work Health and Safety Management Systems and Auditing Guidelines – May 2014
WORK HEALTH AND SAFETY MANAGEMENT SYSTEMS AND AUDITING GUIDELINES..............................................................................................................1
1. SUMMARY......................................................................................................1
Purpose of the Guidelines......................................................................................................................................1
Better WHS management performance...............................................................................................................1
Other changes.........................................................................................................................................................1
Scope........................................................................................................................................................................1
Definitions...............................................................................................................................................................2
2. APPLICATION OF THE GUIDELINES.......................................................3
Contract requirements...........................................................................................................................................3
Acceptance and Certification of WHS Management Systems...........................................................................4
Legal obligations.....................................................................................................................................................4
Principal Contractor requirements......................................................................................................................5
Government agency requirements........................................................................................................................6
3. WHAT IS A WHS MANAGEMENT SYSTEM?.........................................7
Corporate WHS Management System................................................................................................................7
Project WHS Management Plan..........................................................................................................................7
WHS Management Plan........................................................................................................................................7
Safe Work Method Statements.............................................................................................................................7
4. DOCUMENTING A CORPORATE WHS MANAGEMENT SYSTEM.....8
Documenting the system........................................................................................................................................8
5. AUDITING PROJECT WHS MANAGEMENT PLANS.............................9
Responsibilities of the parties..............................................................................................................................10
Government agency.............................................................................................................................................10
Audit teams...........................................................................................................................................................10
Task and responsibilities for auditing................................................................................................................11
3
6. WHS MANAGEMENT SYSTEM ELEMENTS..........................................14
1 Senior Management Commitment..............................................................................................................15
2. WHS Communication and Consultation...................................................................................................16
3. Managing Subcontractors and Consultants..............................................................................................18
4 Design............................................................................................................................................................20
5 Risk Management.........................................................................................................................................22
6 Training.........................................................................................................................................................24
7 Inspection, Testing and Servicing...............................................................................................................25
8 Incident Management and Corrective Action...........................................................................................28
9 Purchasing, Handling, Storage, Packaging and Delivery.........................................................................30
10 Client Reporting and Project Performance Measurement..................................................................32
11 Internal Reviews.......................................................................................................................................33
12 Documentation and Records...................................................................................................................34
7. WHS MANAGEMENT PLANS...................................................................35
1 Risk Management.........................................................................................................................................36
2 People with health and safety responsibilities...........................................................................................36
3 Communication and consultation...............................................................................................................36
4 Managing incidents......................................................................................................................................36
5 Site Safety Rules...........................................................................................................................................36
6 WHS training................................................................................................................................................37
7 Safe Work Method Statements...................................................................................................................37
APPENDIX A..........................................................................................................39
4
1. SummaryPurpose of the Guidelines
The Guidelines have been developed to enable NSW government agencies which undertake construction and infrastructure projects to work with the construction industry in a manner that:
Improves safety outcomes for all construction industry participants;
Provides a consistent minimum standard across all NSW government construction projects that construction industry participants must meet;
Facilitates a safety management systems approach by construction contractors;
Increases productivity and efficiency by improving planning and reducing accidents;
Supports NSW government agencies in demonstrating they are meeting their obligations under Work Health and Safety laws.
Better WHS management performance
The 4th edition of the Guidelines has been revised to ensure the following requirements of the WHS Act 2011 and WHS Regulations 2011 and Codes of Practice applicable in NSW are included:
Change of terminology to include the new terms defining Person Conducting a Business or Undertaking (PCBU), worker and officer
The principle of ensuring safety so far as is reasonably practicable
Due diligence obligations of officers
New duties for designers
New requirements for the PCBU who commissions construction work to provide information to the designer
New requirements for PCBUs who commission construction work to provide complete and up to date asbestos registers for contractors undertaking refurbishment and demolition work
Revised requirements for safe work method statements
Access to asbestos registers for all workers
Other changes
Since the 4th Edition there has been increased recognition by construction industry clients and contractors of the pivotal importance of safety leadership in building a sustainable safety culture and improved safety performance in the construction industry.
The Guidelines have been revised to reinforce further the importance of safety leadership, including senior management commitment, and the importance of analysing project safety management performance and client reporting.
Scope
These WHS Management Systems and Auditing Guidelines apply to all NSW government construction projects, and provide the framework for applying a systematic approach to the management of WHS.
The NSW Government Construction Agencies have agreed that:
Their construction contractors will be required to develop and implement WHS Management Systems and plans consistent with these Guidelines
The contract value threshold which the contractors must have an accredited Corporate WHS Management System is $1m
These requirements will apply for tenders invited from 1 October 2013 and subsequent contracts
Implementation will be managed as part of the business activities of the NSW Government Construction Agencies
The effectiveness of the Guidelines will be reviewed and assessed in 2018
Work Health and Safety Management Systems 1and Auditing Guidelines - May 2014
DefinitionsClientParty inviting and receiving tenders and letting contracts.
ConsultantProfessional party that contracts with a client to provide design, management or other professional services related to construction.
Construction All organised activities concerned with demolition, building, landscaping, maintenance, civil engineering work, process engineering, mining and heavy engineering.
Construction Consultative CommitteeThe Construction Consultative Committee consists of representatives of key agencies involved in construction procurement and assists the Government in the development of consistent and effective construction procurement practices, and in promoting the application of these practices by agencies.
ContractorPCBU that contracts with a client to carry out construction and related services.
Government agencyNSW government department, authority, corporation or entity established by an Act of the NSW Parliament. The terms ‘government agencies’, ‘agency’ or ‘agencies’ are used interchangeably in these Guidelines.
Notifiable incidentAn incident involving the death of a person, or serious injury or illness of a person or a dangerous incident, (as defined in the WHS Act 2011) that must be notified to WorkCover
NSW Government Construction AgenciesGovernment agencies responsible for construction procurement projects and represented on the Construction Consultative Committee (CCC).
Person conducting a business or undertaking (PCBU)May be an individual person or an organisation conducting a business or undertaking (as defined in the WHS Act 2011) and include.
Public companies Private companies Partners in a partnership Sole traders and self employed people Government departments and authorities Associations, including not-for profits, if
they have one or more workers Local government councils Independent schools Cooperatives Universities.
Principal contractorContractor that contracts with an agency as the client, and is appointed as principal contractor (as defined in WHS Regulation 2011) for nominated work.
ProjectAn undertaking with a defined beginning and objective by which completion is defined. A project may be completed using one contract or a number of contracts.
Safe design reportA report, prepared by the designer of a structure with unusual or atypical design features, which specifies hazards relating to the design, that, so far as the designer is reasonably aware, create a risk during construction work
Safe design WHS fileOne method of recording WHS information for transfer from the designer to the client
Service providersIncludes principal contractors, contractors, subcontractors, consultants and suppliers.
SubcontractorPCBU that contracts with a contractor as the client to carry out construction and related services.
SupplierPCBU that contracts with a client to provide a product and/or service.
.
2 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
2. Application of the GuidelinesContract requirementsContracts valued at $1m or moreFor contracts valued at $1m or more, or lower where the agency otherwise determines, contracts will only be awarded to contractors with an acceptable Corporate WHS Management System.
Contracts valued at below $1m
For contracts valued at below $1m million, contracts will only be awarded to contractors that are able to prepare and implement an acceptable WHS Management Plan
Work Health and Safety Management Systems 3and Auditing Guidelines - May 2014
Work Health and Safety Regulation 2011
WHS Management Plan - preparation
WHS Regulation 2011 requires a Work Health and Safety Management Plan for all construction projects that involve construction work where the cost of the construction work is $250,000 or more.
Acceptance and Certification of WHS Management Systems The contractor will develop a WHS Management System that meets the requirements of the NSW Government WHS Management Systems and Auditing Guidelines 5th Edition. Corporate WHS Management Systems accredited in accordance with the NSW Government Occupational Health and Safety Management Systems Guidelines Edition 4 will be deemed to be acceptable for three years from the date of accreditation. The contractor will be responsible for engaging an independent OHS Auditor certified by a JAS-ANZ personnel certifier such as RABQSA or equivalent, as a Principal, Lead or Business Improvement OHS Auditor, to provide certification that the contractor's WHS Management System complies with the NSW Government WHS Management Systems and Auditing Guidelines 5th Edition. The OHS Auditor must be independent and not associated with the contractor or any person who developed the Contractor's WHS Management System. An OHS Auditor who is an employee of a registered organisation (under the Fair Work Act or similar) may be engaged to undertake the certification audit.
The OHS Auditor will be required to undertake a desk-top audit of the contractor's WHS Management System and, if it complies, to provide certification, on the OHS Auditor's letterhead, that the Contractor's WHS Management System complies with the NSW Government WHS Management Systems and Auditing Guidelines 5th Edition. The certificate should include full details of the contractor and the OHS Auditor including business names, ABN numbers and addresses, and the certificate issue date and expiry date of not longer than 3 years.
A copy of the letter of certification, along with a completed and signed copy of the checklist (at Appendix A of these Guidelines) used to verify
compliance, should be maintained by the contractor and provided to any NSW government agency, upon request.
Accreditation under the Australian Government Building and Construction OHS Accreditation Scheme (Office of the Federal Safety Commission) is deemed to comply with the requirements of the NSW Government WHSManagement System Guidelines, Edition 5.
Withdrawal of WHS Management System acceptance
Failure by a contractor or its service providers to implement properly a Project WHS Management Plan or WHS Management Plan, or repeated safety breaches, may constitute grounds for withdrawal of acceptance of the contractor’s WHS Management System.
Audits of a contractor’s and its service providers’ implementation of Project WHS Management Plans and WHS Management Plans will be taken into account when an agency determines whether or not the contractor’s WHS Management System continues to be acceptable.
The contractor and its service provider will be given an opportunity to comment on any such audits and the agency must properly consider these comments before withdrawing acceptance of the contractor’s WHS Management System Agencies may (but are not obliged to) withdraw acceptance of a contractor’s WHS Management System without further review if it is withdrawn by another NSW Government Construction Agency.
Legal obligations
These Guidelines, any associated guidelines or any previous guidelines do not in any way relieve service providers of their legal obligations.
Service providers are and remain responsible for meeting their obligations under WHS laws.
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Principal Contractor requirements
Contract category At tender stage Before work begins
During contract
Contracts valued at $1m or more
OR
Where the government agency otherwise determines
Provide evidence of a WHS Management System that meets the requirements of the NSW Government WHS Management Systems and Auditing Guidelines 5th Edition (see sections 3 and 4 ) and previous satisfactory WHS management performance.
Submit a Project WHS Management Plan.
Implement Project WHS Management Plan
Submit WHS Management Monthly Reports
Report WHS incidents
Contracts valued at below $1m
Provide evidence of previous satisfactory WHS Management performance.
Submit a WHS Management Plan
Implement WHS Management Plan
Submit WHS Management Monthly Reports
Report WHS incidents
Work Health and Safety Management Systems 5and Auditing Guidelines - May 2014
Government agency requirements
Contract category
Preparing the tender
During tender review
Post award of contract - before work begins
During contract
Design consultancy
Include safety risks relating to the site where the construction work is to be carried out
Confirm designer is capable of meeting safe design obligations
Not applicable Consult with the designer about safety.
Require the designer to provide safe design information.
Contract valued at $ 1m or more or lower if determined by the government agency
Include safe design report and asbestos register (if refurbishment / demolition)
Confirm contractor has Acceptable WHS Management System and has demonstrated satisfactory WHS management
Review Project WHS Management Plan
Audit the contractor’s implementation of their Project WHS Management Plan.
Review Contractor’s WHS Management Monthly Reports.
Investigate any reported Notifiable WHS Incident.
Report WHS performance using Contractor Performance Reporting system.
Contract below $1m
Include safe design report and asbestos register (if refurbishment / demolition)
Confirm contractor has demonstrated satisfactory WHS management
Review WHS Management Plan
Review the contractor’s implementation of their WHS Management Plan.
Review Contractor’s WHS Management Monthly Reports.
Investigate any reported Notifiable WHS Incident.
Report WHS performance using Contractor Performance
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Reporting system.
Work Health and Safety Management Systems 7and Auditing Guidelines - May 2014
3. What is a WHS Management System?
This section defines the minimum WHS Management System standard required, at both the corporate and project levels. A WHS Management System contains a corporate system, project WHS Management Plan and safe work method statements.
Corporate WHS Management System
A Corporate WHS Management System will demonstrate a contractor’s WHS structure, policies and resources and identify who is accountable for this. It will also demonstrate the integration of WHS requirements with the general management procedures, practices and performance standards of the contractor. It should give clear guidelines for the contractor’s consultation and risk management processes, define who has responsibility for WHS, and outline how these policies, practices, standards and procedures will be communicated.
The WHS Management System will also demonstrate the methods used to make sure that the contractor and its service providers in the supply chain (with their agents and workers) understand their WHS responsibilities. As a minimum it will address and provide all twelve (12) key elements described in these Guidelines for the contractor See Section 6 .
Project WHS Management Plan
A Project WHS Management Plan is a document setting out the specific WHS resources, consultation and risk management processes, responsibilities, procedures and practices, for a particular project.
The Plan describes how the contractor intends to implement its Corporate WHS Management System for the whole of the project, and Safe Work Method Statements.
The Plan will address and provide all twelve (12) key elements described in these Guidelines for the project. See Section 6.
WHS Management Plan
For contracts under $1m the NSW Government Agency may determine that in place of a Project WHS Management Plan covering the twelve (12) elements, a Work Health and Safety Management Plan is required
The WHS Management Plan must address the seven (7) element describes in these Guidelines. See Section 7
Both the Project WHS Management Plan and WHS Management Plan will identify and address project-specific WHS hazards – for example, peculiarities of access and egress, areas requiring protection of people from site hazards, unusual work practices, and the like.
Safe Work Method Statements
A Safe Work Method Statement is a document that will identify the controls that will be put in place to control and minimise the health and safety hazards and risks associated with high risk construction work. See section 7.
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4. Documenting a Corporate WHS Management System
Documenting the systemWHS system documentation will describe WHS policies and procedures covering all the activities of the organisation, including how the documents will be managed, and who will be responsible for keeping and updating them.
The WHS Management System documents will generally consist of the following components.
WHS policyThe WHS policy sets out the contractor’s commitment to work health and safety. The most senior person within the organisation, such as the Chief Executive Officer or Managing Director, should endorse the policy.
The WHS policy should include a commitment to:
Risk management processes
Compliance with relevant WHS legislation, regulations and codes
Establishing measurable objectives and targets for continuous improvement
WHS training
Consultation, communication and cooperation
Disseminating WHS and related information
Implementing the WHS policy.
WHS manual The manual broadly describes how the organisation will comply with each system element, and will refer to the other system documents for descriptions of the processes required.
WHS proceduresEach system element involves a number of activities, and the way these activities are to be
performed will be specified in system procedures. At least one procedure is usually required and written for each system element.
Procedures may be written in a text format, or presented as flowcharts or diagrams. They should spell out for each activity:
Proposed risk management processes and how they will be recorded
The purpose of the activity
What should be done, and by whom
When, where and how it is done
What materials, plant, equipment and documents are to be used.
Work procedures and instructionsTechnical procedures or work procedures address work-related activities. Examples are plant maintenance procedures, and site safety inspection procedures.
These documents are particularly important for training and informing, as they describe the steps to be taken in performing tasks. Written instructions allow WHS requirements for particular tasks (applicable to most projects) to be built into day-to-day operational procedures.
Work procedures and instructions should be provided for all tasks with WHS risks to help achieve best practice in WHS management and performance. They must be available and used at the work site in order to help control the work processes and associated risks.
Forms and records Various forms are used to help keep a record of health and safety performance.
The checklist in Appendix A also provides guidance in preparing a documented System.
Work Health and Safety Management Systems 9and Auditing Guidelines - May 2014
5. Auditing Project WHS Management Plans
General principles
There must be a clear understanding between the audit team and the contractor about the scope and terms of the audit.
The audit team should have a right of access at all reasonable times to the service providers’ WHS records, and be entitled to get from the contractor any information and explanations the audit team needs for the audit.
If any dangerous or life-threatening situation is observed by the audit team in the course of an audit, the issue must be raised immediately with the contractor’s local supervisor to enable corrective action to take place as a matter of urgency.
A consistent approach
These Guidelines have been developed to facilitate a consistent approach to audits of Project WHS Management Plans by government agencies. They may also be used by contractors with their reviews and audits.
Audits should be carried out at least twice in the life of a project or as otherwise determined by a government agency to suit the level of risk in the course of a project. At least one audit should be carried out within three months of the start of site work.
The audit results will be included by agencies, with other matters, in the Contractor Performance Reports.
The objective of an audit
The objective of an audit is to verify formally that the documented procedures in a Project WHS Management Plan are being followed. The audit process should focus on checking whether the contractor’s workers are implementing the Project WHS Management Plan.
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Responsibilities of the parties
Government agency
Reviewing the plan
The government agency will review the contractor’s Project WHS Management Plan to determine whether the 12 key elements detailed in the WHS Management Systems and Auditing Guidelines are clearly addressed.
Scheduling audits
The government agency will schedule, arrange and participate in Project WHS Management Plan audits with the contractor to be audited.
Following up
The government agency will follow up to confirm that the contractor has completed all the necessary corrective and preventive actions within the required timeframes.
Audit teams
The audit team will conduct the audits scheduled by the government agency with the contractor.
The audit team must carry out a Project WHS Management Plan audit:
With fairness and honesty
With full regard to confidentiality and
In a timely manner.
When carrying out an audit, the audit team must have regard for the fact that contractors have a responsibility to protect the health, safety and welfare of their workers and others and service providers in the supply chain from any WHS risks arising out of the work.
A member of the audit team must not participate in a Project WHS Management Plan audit if he or she:
Is in debt to the contractor or its service provider
Is a partner or other business associate of the contractor or its service providers
Is a worker, agent or consultant of the contractor or its service provider
Is a relative of one of the contractors or its service providers, or
Has any other conflict of interest.
(See Appendix A for a checklist for auditing a Project WHS Management Plan)
Qualifications
The audit team must collectively have the following qualifications:
1 Successful completion of a Management System auditing course covering:
BSBAUD501A Initiate a quality audit
BSBAUD502A Prepare a quality audit
BSBAUD503A Lead a quality audit
BSBAUD504A Report on a quality audit
2 Demonstrated knowledge of WHS Acts, regulations, Codes and Standards as they apply to the construction industry. Demonstrated knowledge can be either formal WHS qualifications or the accepted equivalent; such criteria must be acceptable to senior management in the accrediting authority
3 Knowledge of the contract, project work site, and site WHS requirements.
Work Health and Safety Management Systems 11and Auditing Guidelines - May 2014
Task and responsibilities for auditing
This table provides an overview of the tasks and responsibilities of the government agency, Principal Contractor audited and audit team members in relation to auditing Project WHS Management Plans.
A Project WHS Management Plan Review and Project WHS Management Plan Audit Checklist are included as Appendix A.
.
Task Responsibility `Description
Rev
iew
& P
lann
ing
1. Review the Project WHS Management Plan to establish whether it satisfies the requirements for the 12 key elements
Government agency The Project WHS Management Plan is submitted by the contractor and must be reviewed by the government agency to verify that it addresses all 12 key elements of the WHS Management Systems and Auditing Guidelines.
2. Plan the audit schedule
Government agency and contractor
Prepare the audit schedule and consider the order in which the key elements will be audited.For example, the first audit may assess compliance with requirements pertaining to the key elements of Management Responsibility, Risk Management and Incident Management and Corrective Action. The first audit should occur soon after the commencement of site work – generally within the first three months.
Engage the audit team
Government agency Engage audit leader to manage audit, and form audit team
Notify the contractor of the audit
Government agency Discuss audit schedule with contractor and agree on date for the audit.
12 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
Task Responsibility `Description
Prep
arat
ion
& c
ondu
ctin
g th
e au
dit
3. Prepare for the audit. Government agency and audit leader
Audit leader and audit team
Audit leader, audit team, contractor’s representative, government agency
Develop program for audit and assign responsibilities to audit team members.
Discuss scope and objectives of audit.
Develop itinerary for audit. Agree on communication to be used
throughout the audit process.
Review contractor’s Project WHS Management Plan.
Review any other relevant documentation, for example, previous audit reports, contractor’s actions to address any Corrective Action Requests from previous audits.
Meet with government agency and contractor to confirm scope and objectives of audit and approach to be taken.
Audit leader allocates responsibilities to team members.
4. Conduct the audit
Hold entry meeting
Follow audit methodology
Audit leader and audit team
Meet with government agency and contractor to enable the audit team to explain the audit process and the approach to be taken. Review and assess the
implementation and effectiveness of the Project WHS Management Plan.
Visit the specific areas of the contractor’s operation covered by the audit scope, and review and evaluate conformance to the Plan (see Appendix A for an Audit Checklist).
Document any non-conformances. Request the contractor’s
representative to confirm the non-conformance by signing a document recording the non-conformance.
Work Health and Safety Management Systems 13and Auditing Guidelines - May 2014
Task Responsibility `DescriptionPr
epar
atio
n &
con
duct
ing
the
audi
tHold final audit team meeting
Audit leader and audit team
Meet to review audit findings. Identify and discuss areas where the
contractor is performing well. Clarify and discuss issues and areas
of concern. Discuss any non-conformances. Prepare an audit report containing
non-conformances and completion dates for corrective actions.The audit report should be written and provided on the day of the audit and explained to the contractor at the exit meeting. If this is not possible, then the non-conformances must be documented so they can be provided to the contractor at the exit meeting. The audit report should then be submitted within one week of the audit to the government agency, who should then immediately forward it to the contractor.
Hold exit meeting Audit leader, audit team, government agency, contractor
Meet with government agency and contractor to discuss the audit report, corrective actions, and timeframes for completion by the contractor.
The non-conformances should be documented and provided to the contractor at the exit meeting.
If the audit report is available, the government agency will provide the contractor with a copy. If not the audit report will be provided as soon as possible thereafter. The contractor will be given the chance to comment on the audit, and the comment will be properly considered.
Follo
w u
p ac
tions
5. Follow up on implementation of corrective and preventive actions
Record
Government agency and contractor
Government agency and contractor
Make sure the required corrective action and preventive actions are carried out within the agreed timeframes.
Audit reports and comments by the contractor will be managed within each agency for its projects.
The results of audits and contractor performance will be included, with other matters, in Contractor Performance Reports.
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6. WHS Management System elements
Work Health and Safety Management Systems 15and Auditing Guidelines - May 2014
Twelve (12) key elements
1. Senior Management commitment, p 16
Equivalent to AS4801;2001 Element 4.2 OHS Policy and 4.4.1 Structure and responsibility
2. Communication and Consultation, p 17
AS4801 4.4.3 Consultation, communication & reporting
3. Managing subcontractors and consultants p 19
WHS Regulations 2011 Chapter 6 Construction work
4 Design, p 21WHS Regulations 2011 Chapter 6 Construction work
5 Risk Management, p 23AS4801 4.3.1 Planning and 4.4.6 hazard identification, hazard/risk assessment & control of hazard/risks
6. Training, p 25AS4801 4.4.2 Training and competency
7 Inspection, testing and servicing , p 26 AS4801 4.4.6 hazard identification, hazard/risk assessment & control of hazard/risks
8 Incident management and corrective action, p 28AS4801 4.4.3.3 Reporting, 4.5.2 Incident investigation, corrective and preventive action
9. Purchasing, handling, storage, packaging and delivery, p30 AS4801 4.4.6 hazard identification, hazard/risk assessment & control of hazard/risks
10 Client reporting and project performance measurement. p 32.AS4801 4.5.1 Monitoring and measurement
11. Internal reviews. P 33AS4801 4.5.4 OHSMS Audit and 4.6 Management review
12. Documentation and records, p 34AS4801 4.4.4Documentation, 4.4.5 Document and data control, 4.5.3 Records & record management
The system starts at the top
The requirement is to develop a WHS 'Management System', not merely a site 'safety program’. Responsibility for the system starts at the senior management level, with a corporate WHS policy that applies to all projects.
Defining responsibilities
The first step after establishing the WHS policy is to define responsibilities, authorities and who is accountable for all activities, personnel and positions which can have an effect on WHS, from the initial tender process through to completion of a contract and handover of the project.
Senior management must provide appropriate levels of competent supervision and contract management, that are trained, know their responsibilities and have sufficient authority to make sure that WHS requirements are met.
Identifying a Senior Management Representative
A Senior Management Representative must be identified and made responsible for implementing and maintaining the WHS System/project plans and monitoring compliance.
Specific issues for which responsibilities should be defined
Senior management must clearly detail the responsibilities and authorities of personnel for each specific task. It is important to make clear who can make decisions on WHS issues, especially regarding the actions required with actual and potential non-compliances, non-conformance or other problems. (See box )
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Some specific WHS matters for which responsibilities and authorities need to be defined in both job descriptions and documented procedures: Defining the contractor’s WHS policies and
objectives Identifying personnel responsible and qualified
for WHS processes Identifying internal audit and review
requirements Allowing for enough time and sufficient
resources to implement the contractor’s WHS management system
Managing compliance with WHS legislation, regulations, codes and standards
Managing compliance with the contractor's WHS management system
Managing WHS design issues Acquiring and disseminating WHS and related
information Establishing and implementing consultation
arrangements with workers, workplace committees and others’ representatives on WHS matters
Planning and conducting WHS training, including induction, task and refresher training
Developing and implementing emergency procedures
Assessing the contractor's service providers’ ability to comply and compliance with WHS requirements
Compliance with safe working rules Identifying hazards, and assessing and
controlling WHS risks Preparing and implementing Safe Work
Method Statements Verifying (by inspections and tests) that work
areas, work methods, materials, plant and equipment comply with WHS legislation, Regulations, Codes and Standards
Stopping, rejecting or quarantining unsafe work methods, work areas, materials, plant and equipment
Reporting incidents and illness/injury, and providing and collating incident, illness/injury information and statistics
Investigating incidents and illness/injuries, and initiating corrective and preventive actions
Developing and implementing injury management programs and co-ordinating the rehabilitation of injured personnel
(This is not necessarily a complete list)
1 Senior Management Commitment
This element is about defining the contractor’s policies, objectives, responsibilities and commitments to WHS, as well as identifying and providing the resources needed for implementation and verification.
Why communication and consultation are important
Workforce participation in planning and managing WHS improvements is an effective means of tapping into the knowledge of workers and service providers about their activities and the ways in which WHS management and performance can be improved.
Contractors must consult with other contractors and with their own workers to enable them to contribute to decisions that may impact on health and safety at work.
When is WHS consultation required?
Consultation is required before taking any decision that may affect the health, safety or welfare of workers while they are at work, with their workers and affected service providers. This includes:
When establishing the site-specific communication and consultation arrangements and when reviewing these arrangements
When work-related health and safety hazards are identified, risks are assessed, and the assessment of those risks is reviewed
When decisions are made about measures to be taken to eliminate or control those risks
When introducing or altering procedures for monitoring those risks (including health surveillance procedures)
When decisions are made about the adequacy of provisions for the welfare of workers and others
When changes that may affect health, safety or welfare are proposed for the place where people work, to the systems or methods of work, or to the plant/equipment or substances used at work
When conducting investigation into incidents, dangerous occurrences or near misses.
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2. WHS Communication and Consultation
This element is about establishing the process for sharing relevant WHS information with workers and other contractors such as subcontractors and consultants in the supply chain, providing them with an opportunity to express their views on WHS issues and allocating adequate time to resolving such issues. How to consult
To meet consultation and communication requirements contractors should:
Facilitate the establishment of WHS Committee or HS Representative(s) (HSR) or other arrangements for WHS consultation agreed by management and workers
Ensure that all workgroups will be represented by either the WHS Committee or Representative
Elect the WHS Committee or HSR or WHS Representative, where required
Ensure that each member of the WHS Committee or HSR or WHS Representative undertakes HSR/WHS consultation training
Record, publicise and encourage workers’ representatives to participate in the workplace consultative processes on a regular basis
Consult on the job on safety issues through regular communication between managers and workers
Provide access to relevant WHS information through notice boards, toolbox meetings, circulars and safety alerts
Liaise with their service providers to coordinate WHS consultation and communication on work sites
18 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
Work Health and Safety Act 2011 - Part 5 Consultation, representation and participation
Work Health and Safety Regulation 2011 – Chapter 2 Representation and Participation
Code of Practice - Work Health and Safety Consultation, Co-operation and Co-ordination
Communication and consultation are important to make sure workers and other contractors share information, are provided with information about, and have input into, decisions relating to:
Hazards associated with their work and the work site.
WHS risks they may be exposed to Measures to eliminate or minimise that
exposure The work site arrangements for the
management of WHS
The procedure for reporting hazards to management.
All contractors must show their commitment to the implementation and monitoring of their WHS Management System, including how they intend to select and monitor their service providers’ and workers’ compliance.
Contractors should demonstrate: A clear chain of responsibility Adequate supervision How they consult with their workers and
service providers The formal arrangements for interfacing
with their service providers The formal arrangements for interfacing
and communicating with labour hire companies
How they and their service providers comply with WHS requirements.
Communication and consultation is vital when working with service providers. WHS issues to discuss and resolve with subcontractors may include: Site Safety Rules Safe Work Method Statements Changes to work site conditions Introduction of new processes, materials
and substances onto the work site WHS training Hazard identification and risk assessments.
Principal ContractorsThe WHS Regulation 2011 provides that a Principal Contractor must be appointed or identified for all construction work: Costing over $250,000, or Of high risk (as defined in WHS
Regulation), or
Involving demolition or asbestos work for which a licence is required under the WHS Regulation 2011.
Contractors appointed as the principal contractor by an agency must show how their Corporate WHS Management System procedures address the additional responsibilities of a Principal Contractor, as well as, their normal responsibilities as a contractor, workplace controller and employer.
A Principal Contractor also has responsibility for the following:
WHS Induction training
Principal Contractors must make sure that all persons carrying out the work on site are provided with WHS induction training prior to commencing such work. The Principal Contractor must keep records of such training. See key element 6 .
Certificates of competency
Principal Contractors must make sure that the relevant certificates of competency, licences or permits required to carry out particular work on site are sighted prior to commencement of that work. See key element 5 and key element 6
Consultation
Principal Contractors must facilitate consultation between all service providers on site and their workers, as well as between the service providers. See key element 2.
Hazardous chemicals register
Principal Contractors must keep a register of all hazardous chemicals present at the work site, (including all those used by all service providers on site). See key element 9.
Service provider compliance
Principal Contractors must monitor on-site service provider compliance with legislation, the project WHS Management Plan and Safe Work Method Statements. Where non-compliance is identified, any affected work must cease until the safety issue is rectified
WHS Management Plan
Principal Contractor must make the WHS Management Plan readily accessible and ensure all people made aware of the contents prior to commencing work. The Principal Contractor must review, and as necessary revise the project WHS Management Plan.
Work Health and Safety Management Systems 19and Auditing Guidelines - May 2014
3. Managing Subcontractors and ConsultantsThis element is about selecting and managing subcontractors and consultants, defining measures to assess the capacity of all subcontractors and consultants in the supply chain to comply with specified WHS standards and monitoring their compliance
Safe Work Method Statements
The Principal Contractor must require Safe Work Method Statements to be prepared for high risk construction work. The Principal Contractor must obtain a copy of the Safe Work Method Statement before the high risk construction work commences. The contractor must ensure the SWMS is reviewed and also revised if circumstances change which require a review of the control measures.
Subcontractors / consultants
Working with service providers in the supply chain
Working with service providers in the supply chain adds another dimension to the risk management process. WHS legislation obliges service providers in the supply chain to manage risks to the health safety and welfare of all persons working at the service provider’s place of work.
Risks to some service providers can be higher, and need special attention, because they:
Are on a site for a short period of time
Are working with various people on various sites
Sometimes work in isolation from the main project activities.
The benefits of working closely with service providers on work site WHS issues may include:
Better management of on-site safety
Improved identification of hazards and control of WHS risks
Improved development and compliance with WHS Management Plans and Safe Work Method Statements
Fewer project delays.
Selecting service providers Selecting service providers on their ability to comply with WHS requirements is an important aspect of service provider management.
To assist this, a panel could be maintained of qualified service providers that have been confirmed as capable of meeting base
requirements. Some aspects to look for in selecting service providers include:
Past performance and demonstrated capability
Quality of past work
Safe work practices, including past use of WHS Management Plans and Safe Work Method Statements
Ability to comply with WHS requirements
Having an acceptable Corporate WHS Management System
Compliance with workers’ compensation and other insurance arrangements
Records of the various levels of WHS induction and other training
Evidence of any WorkCover NSW certificates of competency, licences or permits relevant to the proposed work.
Monitoring service providers in the supply chain
Contractors must show how they monitor and review the performance of their service providers. This can be achieved through such things as:
Performance reporting
Monitoring compliance with Safe Work Method Statements, safety procedures and site safety rules
Monitoring compliance with WHS, workplace injury management and workers’ compensation requirements
Monitoring compliance with induction and other training requirements.
20 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
The elimination of risks at the design or
planning stage is often easier and cheaper to achieve than making changes later when the risks become real hazards in the workplace.
Consideration of WHS issues in the design phases of a construction project is essential to optimising WHS outcomes. Design decisions made at the early stages of a project influence construction processes and the health and safety of personnel on site during and after construction.
Contractors' corporate WHS Management Systems and WHS Management Plans should cover and include procedures that address the following.
Management of the design process
The design process should include consideration of WHS requirements, hazard identification, and the evaluation and control of health and safety risks, in relation to:
Use and maintenance, especially risks arising out of the nature of the design of a facility, including operational risk management
The construction method, and, when removal and disposal will be required, the demolition method)
The construction work site, such as existing services below ground and geo-technical issues
Compliance with WHS legislation, regulations and Codes of Practice
The design process should also include the development and provision of design related construction risk and operational risk management information about:
The facility to be constructed that may affect health and safety
Plant and equipment that may affect health and safety.
Design procedures
Contractors, their clients and designers should consult about the hazards identified during all stages of the design. This includes hazards identified with construction, use, maintenance and disposal, and determining and describing how they will to be managed.
Design procedures should:
Define the process for consultation with the Client and designer about:
health and safety risks arising from the design during construction work are eliminated or minimised
any information they have in relation to hazards and risks at or in the vicinity of the workplace where the construction work is to be carried out
Describe how the safe design report, safe design WHS file or similar design information will be obtained from the Client or designer
Require a review of the safe design information applying a hazard identification and WHS risk assessment approach
Apply the hierarchy of hazard controls to design out or otherwise manage hazards
Include the process for consultation with subcontractors, consultants and users about hazards and WHS risk management
Describe the communication and consultation process for discussing with workers and service provides of WHS design issues and risk control measures
Aim to achieve reasonable and safe constructability; safety with use; longevity of product; reduced, simplified and safe maintenance; and safe disposal
Specify how the safe design information will be incorporated into the Project WHS Management Plan
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4 Design
This element is about defining a process to identify and eliminate (or at least minimise) WHS risk relating to design at any stage of a Project
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DesignersDesigners are required to give adequate information to each person who is provided with the design in order to give effect to it concerning:
The purpose for which the structure was designed
The results of any calculations, testing, analysis or examination
Any conditions necessary to ensure that the risks associated with the structure are minimised when used for a purpose for which it was designed, or, during construction, maintenance and demolition.
One way of communicating this information is for the designer to establish a safe deign WHS file for transfer to the client and contractor.
A safe design report needs to be prepared for designs of structures that have unusual or atypical features which present hazards and risks during the construction phase that are unique to the particular design. The safety report should include information about: Any hazardous materials or structural
features and the designer’s assessment of the risk of injury or illness to construction workers arising from those hazards
The action the designer has taken to control those risks, for example changes to the design.
Codes of Practice Construction Work ,
Demolition Work , and,
Safe Design of Structures,
Work Health Safety Act 2011 Part 2 Health and safety duties, and,
Work Health and Safety Regulation 2011, Part 6.2. Duties of Designer of Structure and person who commissions construction work.
For effective WHS management, contractors must establish procedures for:
Identifying work site and work activity WHS hazards
Assessing risks associated with these hazards and devising ways to eliminate or minimise the risks
Implementing and prioritising control measures following risk assessment and monitoring risk control measures
Reviewing the adequacy of the risk assessment and the effectiveness of the control measures
Work processes
A work process may be a specific activity or a number of activities. It may include measures such as temporary work (for safe access and exit), emergency procedures, plant maintenance, and protective or preventive measures (to make work sites safe).
All construction related work processes have some potential to be hazardous to those involved or on the work site. Poorly planned or poorly controlled processes are most likely to cause illness or injury.
How to identify a hazardous process Identify illness/injury and incidents that
have occurred in the past, and recognised high risk work (See box on Page 24 )
Consult with personnel and advisers to identify what they consider to be safety issues
Inspect the work area for specific hazards
Review all applicable information, such as Safety Data Sheets to identify the WHS hazards involved and precautions required
Effective procedures should be developed and implemented at the place of work to identify hazards: Prior to works commencing on site
Prior to using work site premises for the first time
Before installing, erecting, commissioning or altering plant or equipment
Before changes to work practices are introduced
While work is being carried out when new or additional information becomes available, or hazards become apparent
Responding to concerns raised by workers, health and safety representatives or others at the workplace
New information about workplace risks becomes available
Responding to workplace incidents
Required by the WHS Regulations for specific hazards.
Risk Management process
Minimum documentation for effective risk management
Contractors must document:
Methods for identifying WHS hazards, and assessing and controlling WHS risks
Practices to minimise the risk of illness/injury and incidents occurring, and ensure compliance with the relevant WHS legislation, regulations, standards and codes
Work Health and Safety Management Systems 23and Auditing Guidelines - May 2014
Source: Code of Practice: How to Manage Work health and Safety Risks.
5 Risk Management
This element is about defining a process to identify WHS hazards, assess risks and plan work processes to control those risks. It also covers Safe Work Method Statements and hazardous management processes
Safe Work Method Statements
General site safety procedures and rules
Emergency procedures
Training requirements, including induction, toolbox talks, work activity and refresher training
Using Safe Work Method Statements for identifying, assessing and controlling high risk construction work
For effective WHS management, frameworks must be established by contractors for identifying high risk construction work and for devising measures to control the specific risks.
Work instructionsWork instructions or Safe Operational Procedures can provide such a framework, enabling the necessary planning to be undertaken and written instructions to be made available on how to perform each task in a safe manner. Workers need to be able to demonstrate they are competent to work in accordance with the work instruction. This means they need to be trained and assessed in accordance with the work instruction and then monitored on an ongoing basis. Details of training and assessment could be recorded in a training register.
General site safety procedures
General site safety procedures and rules must be in force on every work site. These include rules for protective clothing, safe access and egress, traffic and personnel movement, induction and other training and locating and identifying services, including electricity and gas. The procedures and rules must be documented and appropriately communicated to all people working on the site.
The contractor must provide and maintain adequate amenities for the welfare and personal hygiene needs of people on the work site.
High risk work requiring a licence
Particular risk control measures (such as specialised facilities, proven work methods and specialised training) are required for high risk works.
Contractors should consult with their service providers, and together identify and document any high risk work, licence requirements,
competency and training needs and implement appropriate measures to control the associate risks.
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High risk work requiring a licence Forklifts Erection of scaffolding > 4 metres Rigging Dogging Cranes including tower cranes, mobile
cranes, vehicle loading cranes, bridge and gantry cranes
Hoists including personnel and materials hoists, elevated work platforms and concrete placing booms
Pressure equipment such as boilers, turbines and steam engines
Reach stackers.
High risk construction work that Involves a risk of a person falling more than 2
metres Is carried out on a telecommunication tower Involves demolition of an element of a structure
that is load-bearing or otherwise related to the physical integrity of the structure
Involves, or is likely to involve, the disturbance of asbestos
Involves structural alterations or repairs that require temporary support to prevent collapse, is carried out in or near a confined space
Is carried out in or near: - a shaft or trench with an excavated depth
greater than 1.5 metres- a tunnel
Involves the use of explosives Is carried out on or near pressurised gas
distribution mains or piping Is carried out on or near chemical, fuel or
refrigerant lines Is carried out on or near energised electrical
installations or services Is carried out in an area that may have a
contaminated or flammable atmosphere Involves tilt-up or precast concrete Is carried out on, in or adjacent to a road,
railway, shipping lane or other traffic corridor that is in use by traffic other than pedestrians
Is carried out in an area at a workplace in which there is any movement of powered mobile plant
Is carried out in an area in which there are artificial extremes of temperature
Is carried out in or near water or other liquid that involves a risk of drowning
involves diving work
A properly designed training program will consider the training needs for each stage of a construction process. It will allow for regular and ongoing WHS communication, for example through ‘toolbox’ meetings. It will facilitate the delivery of appropriate training by appropriately qualified personnel.
Conditions on construction work sites are often hazardous and change frequently, and the safety of many can be put at risk by incorrectly performing a simple task. Due to the changing nature of construction sites and construction work, training needs should be regularly reviewed and reassessed.
Requirements for training
Training programs must cover WHS induction, task training, emergency procedures, WHS committee and WHS representative consultation training as well as ongoing training needs.
Contractors must: Identify the project-specific WHS training
needs of management, supervisors and other workers in accordance with the WHS Management Plans and the WHS risk identification and control measures identified for the project
Require that all their workers and service providers undergo induction and necessary task and ongoing training to conform with WHS requirements
Maintain records of WHS training provided and keep these records for at least three years after project or contract completion
Refresher training
To ensure the required knowledge and attitude are maintained, refresher training will be required on longer-duration projects or for particular high-risk activities, such as work underground or in confined spaces, plant
operation, use of hazardous substances, manual handling and First Aid.
WHS induction training
An appropriate induction program builds understanding and responsible attitudes, as well as knowledge about site safety rules, and WHS issues, hazards, risks and procedures.
Induction training must cover WHS matters associated with: General construction work
Each specific work activity to be undertaken
The specific work site.
Site-specific training must explain the site safety rules, relevant Safe Work Method Statements, content of the WHS Management Plan, risk management procedures, emergency procedures, and consultative arrangements at the work site.
Programs for general construction work and specific work activity based training must be checked regularly to make sure they are current.
.
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6 Training
This element is about establishing the procedures and allocating resources to identify and provide for the training needs of workers
Regular inspection and testing must be carried out to verify that appropriate WHS management is in place, and that construction work processes are proceeding safely and in
accordance with WHS Management Plans and requirements.
The work site activities, work methods, materials, plant and equipment will be subject to planned inspections and test programs to verify compliance and conformity. Inspection and testing will also occur at key stages of the project, including receipt of products, during high-risk activities and on completion of construction.
Checklists and records are commonly used to measure compliance and conformity.
Inspection and Testing Plans
An Inspection and Testing Plan should be developed for each work process/product before that work begins, allowing for the WHS risks involved. It should take into account.
The timing and nature of high-risk construction work and/or an activity requiring a high risk work licence
The identified work site hazards, and the risks and controls associated with these hazards
The likelihood of unforeseen hazards or risks emerging in between inspections
Any instructions provided by the designers, manufacturers or suppliers of products
Any regulatory requirements, such as registration of plant.
An Inspection and Testing Plan will specify:
Particulars of the inspection and test program, including hold/witness points, methods and acceptance criteria for WHS with processes and products
Personnel to whom the responsibility for an inspection or test and acceptance has been assigned, and their qualifications
The type and form of the records to be maintained
Where records will be kept, allowing that these will be made available to any party who has a legislated or contractual right of access.
Incoming products
Inspection and tests usually start with incoming materials, manufactured products, plant and equipment. In some cases inspection and tests are carried out at the supplier’s or other premises.
The levels of direct inspection and testing required by a contractor will depend on the extent of the quality control exercised by their suppliers and subcontractors, and on the importance of the particular component or work activity.
As a minimum, an incoming materials inspection on the work site should check for correct type and quantity, safe packaging, correct labelling, correct documentation, provision of WHS information, and that no transit damage has occurred.
Plant and equipment
Plant and equipment must be regularly inspected and maintained, in accordance with regulatory requirements and the instructions provided by manufacturers, designers or suppliers. In particular, lifting equipment and fall arrest equipment must be checked regularly.
These inspections and tests must be carried out by suitably qualified personnel in accordance with approved procedures and requirements.
Inspection and test status
A method of identification is required to show that incoming products, construction work generally, plant, equipment, temporary work, protection systems and work environments have passed the required inspections and tests.
A system of tags, colours, stickers, stamps, barriers, special storage areas or records
26 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
7 Inspection, Testing and Servicing
This element is about establishing procedures for planning and conducting WHS inspection, testing and monitoring on work sites and for plant and equipment use, work processes and incoming products. It also covers health surveillance and monitoring and the servicing of plant and equipment.
should be used to indicate inspection and test status, to indicate special precautions are to be taken, and to designate unsafe areas/plant.
Measuring equipment
So that accurate measurements can be made during inspections and tests, measuring and testing equipment should be regularly maintained and calibrated in accordance with the manufacturer’s instructions, and maintenance and calibration records kept.
Servicing
Where ongoing servicing is provided, such as maintenance of plant and equipment or follow-up repairs, then WHS requirements must be identified and addressed in any service Management Plan and procedures.
Such servicing should generally be carried out in accordance with the manufacturer’s instructions, paying particular attention to maintenance of safety devices and the use of appropriate lock-out, isolation, danger tags, and ‘permit to work’ systems.
Health surveillance and monitoring
The need for, nature and frequency of health surveillance may be specified in legislation, in guidelines, Codes of Practice and/or determined by a risk assessment and monitoring of workers
The contractor should identify work activities where personnel exposure monitoring / health surveillance is required and develop procedures for conducting this health surveillance monitoring.
Work activities that may require health surveillance/monitoring include: Exposure to hazardous substances, such
as asbestos, lead
Noise, >85dB (A) over continuous periods
Radiation
Exposure to hot and cold work environments
Records
There are regulatory requirements for keeping records of some types of inspections, testing and servicing, for example:
Electrical equipment inspection reports
Plant inspection and testing records
Plant maintenance records
Maintenance and calibration records for measuring equipment.
Health surveillance and monitoring records
WHS Inspection and Test Plans Should define the requirements and criteria
for performing health and safety inspections and tests on the project
Should define the frequency, content, and competency requirements of personnel conducting the inspection and tests
Should define and incorporate statutory inspection requirements in relation to plant and equipment eg lifting gear, temporary structures, mobile and tower cranes, scaffold, gas monitors, fire fighting equipment, first aid kits etc
Should identify the records required to demonstrate the performance of the inspection and test
Inspection checklists and measures should: Cover all the WHS risks known to be
present on the work site
Verify that risk controls are working effectively
Provide scope for identifying and managing new or previously unforeseen WHS risks.
Inspections and tests are particularly required with WHS for: Plant and equipment
Incoming products
Work site conditions
Work methods and monitoring adherence to Safe Work Method Statements
Work site access and exits
Personal protective equipment
Protective measures
High risk construction work activity
Work Health and Safety Management Systems 27and Auditing Guidelines - May 2014
28 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
Code of Practice – Managing Noise and Preventing Hearing Loss.Code of Practice – Managing the risk of hazardous chemicals in the workplace.Code of Practice Managing the work environment and facilities.Work Health and Safety Regulation 2011
Part 4.1 Noise Part 4.8 Diving Work Chapter 7 Hazardous Chemicals Chapter 8 Asbestos
Managing WHS issues
A WHS issue exists when materials, construction methods, plant or equipment, temporary work, protective systems, work practices, work site conditions or other work activities do not meet WHS requirements. WHS issues also include incidents and near misses. It is essential that WHS issues are documented and rectified, with monitoring of trends to identify root causes.
Incident management
Incident management involves taking action to:
Notify WorkCover of notifiable incidents
Promptly detect, identify and document any non-compliance
Report illness/injury and incidents
Eliminate unsafe work practices and unsafe areas
Quarantine non-complying materials and other products
Advise appropriate parts of the contractor, its service providers and relevant authorities
Rectify irregularities, non-conformances and non-compliances
Consult with personnel about proposed changes that may affect their health, safety or welfare at work.
Corrective action
WHS inspections, audits and reviews, incidents, illness/injury, and near misses provide definite pointers to unsafe work practices and processes.
Incidents, near misses and illness/injury and their causes should be recorded, investigated and analysed. The results should be used to
bring about improvements in policies, standards, procedures, processes and work practices, and progressively lift WHS performance.
Procedures should be established and used for recording and implementing corrective actions. These procedures should include consultation with personnel and advisers so that their views on any proposed measures can be taken into account before implementation.
Ongoing process
Corrective action should not only arise when an inspection, audit or review is carried out or an illness/injury or incident occurs. Work site activities should be regularly assessed for WHS issues and potential risks to health and safety, and action taken to minimise risks by the Contractor, in consultation with affected workers and service providers, to avoid illness/injury and incidents.
Contractors must establish procedures for recording the results of these assessments, and the corrective action taken.
With the reviewing of past errors and issues, and anticipating possible future errors and issues, contractors and their service providers should continue to improve the level of WHS performance achieved.
Workplace injury management
Workplace injury management encompasses all measures for facilitating an early and safe return to work of workers who have been injured or become ill.
An injury management and return to work program is a requirement of all employers under the Workplace Injury Management and Workers Compensation Act as amended. The return to work program should address:
Treatment of injury and illness
Rehabilitation and return to work
Retraining
Claims management
Employment management practices
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8 Incident Management and Corrective Action
This element is about establishing procedures to manage incidents, to control the use of products and work practices which do not meet WHS requirements and to address appropriately WHS issues through corrective action and injury management procedures
Statistical techniques Statistical techniques should be applied to illness/injury, incident, injury, disease and compensation data, both at the work site level and at the planning level with the Contractor. This is with a view to monitoring the trends so that corrective and preventive action can be taken where necessary to improve WHS performance, including injury management.
(This is not a complete list but only a guide)
Improving health and safety
performance
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Develop and take preventative action: eliminate the hazards to reduce the likelihood of the risk of harm to people.
Investigate the causes of illness/injuries and incidents, record the results of the investigation
Analyse workplace activities for potential hazards to health and safety.
Develop and take corrective action to: eliminate the root cause so the illness / injury and incidents do not reoccur
Analyse the results of WHS reviews and audits for potential system and operational improvements
Communicate system and operational improvements to those working with the system.
Matters that could lead to WHS issues: Non-compliance with
WHS risk management processes
Non-compliance with WHS policy, procedures, instructions, standards or specifications
Causes of an illness/injury or incident, including a near miss
Breakdown of plant and equipment
Inadequate WHS information and or documentation
Poor use of resources
Poor planning
Inadequate training
Complaints
Delays
Poor injury management
Security breaches
Purchasing and hiring
Purchasing and hiring activities involve bringing materials, plant, equipment and services onto the construction work site.
Substandard materials or poorly maintained leased plant or equipment may cause serious illness/injury.
Contractors must define and implement systems to manage safely purchasing and hiring for the work site. For example:
All plant, equipment, goods or substances bought or hired must be assessed against required WHS standards (as exist for chemicals and other hazardous substances, for most building materials, such as cement and glass, and for plant and equipment)
Before new plant, equipment, goods or substances are introduced into the workplace, WHS hazards must be identified and risks controlled, and consultation with the personnel involved must occur
The four principles of hazard control should also be applied to purchasing and hire decisions. See ke y element 5 .
Supply
Contractors must make sure that the products supplied, such as plant, equipment, materials, goods and substances, are safe and without risks to health and safety when properly used.
Adequate information must be provided to the people who are supplied with the product. This includes information about:
The purpose of the product
The testing and inspections required
Installation, commissioning, operation, maintenance, cleaning, transport, storage and dismantling information
Systems of work needed for the safe use of the product
The knowledge, training or skill needed to undertake inspection and testing
Emergency procedures
Contractors that erect or install plant or equipment, or use materials, goods or substances, at a workplace must obtain the necessary information from their suppliers to enable the elimination or control of WHS risks before their installation or use.
Client-supplied products
Sometimes the client may provide products for use for a project by a service provider (such as materials and equipment to be incorporated into the constructed work, or software, data or services).
When this occurs, the service provider needs to know the product is safe to use, and any special safety precautions that are necessary. The same procedures used for receiving products from other suppliers will apply.
Product identification and traceability
Contractors must keep sufficient records to enable products to be identified and traced if future health and safety issues arise.
For example, identifying on drawings where ‘clean’ fill was used and where it came from would allow tracing later if testing subsequently found the fill to be contaminated. Traceability of components allows safety analyses to be undertaken if subsequent testing reveals a substandard product.
Disposal and decommissioning
The safe disposal of used or left over goods and substances or the decommissioning of hired plant and equipment should be planned
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9 Purchasing, Handling, Storage, Packaging and Delivery
This element is about making sure that all materials, equipment and plant purchased or hired conform to the required WHS standard and establishing procedures to facilitate compliance with legislative and other requirements for handling, storage, packaging and delivery of products including materials.
and the required disposal/decommissioning processes identified prior to purchasing or hiring.
Materials handling and manual handling are major activities on construction work sites. Contractors should plan and implement procedures to make sure that plant, equipment and materials are handled, stored, packaged and delivered in accordance with legislative and other requirements and good WHS practice.
Highest priority given to safety issues
WHS risks associated with the use and movement of products need to be identified and managed. This may be achieved by action such as:
Conducting hazard identification and risk assessments before products are moved
Developing and implementing Safe Work Method Statements or work instructions
Minimising the use of hazardous chemicals and dangerous goods
Arranging appropriate storage, handling and licensing of dangerous goods and hazardous substances
Checking that operators of plant and equipment have the appropriate licences
Planning safe entry and exit points for materials storage sites and work sites
Using mechanical devices to lift and move products instead of manual handling.
Manual handlingParticular attention needs to be given to identifying and assessing any manual handling risks prior to the commencement of related work.
Hazardous chemicals and dangerous goodsProcedures should allow for verification and ensuring that dangerous goods, and chemicals and other hazardous chemicals are labeled, stored, transported and used appropriately, and are accompanied by a Safety Data Sheet (SDS). A register must be kept of all hazardous chemicals brought onto a construction site.
High risk work licences
Many materials handling activities are hazardous and require licensed operators such as riggers, crane operators and other plant operators.
Procedures should be in place and used to check (before the work begins) that the operators of plant and equipment have the appropriate licence certificates and are competent to operate the equipment.
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Code of Practice – Hazardous Manual Tasks
Code of Practice - Managing the risk of hazardous chemicals in the workplace
Code of Practice – Labelling of workplace hazardous chemicals
Code of Practice – Preparation of Safety Data Sheets for hazardous chemicals
Performance
Measurement
Performance measurement is an essential aspect of monitoring and evaluating WHS performance in an enterprise and/or industry. One of the primary objectives of measuring WHS performance is to provide feedback regarding health and safety performance.
The benefits associated with the introduction of a performance measurement system for WHS include: The ability to provide an indication of how
an enterprise is performing in relation to WHS issues
The ability to identify problem areas where adverse outcomes are occurring and subsequently to identify where preventive action should take place
The ability to document effects of attempts to improve WHS. For example, a measurement system could provide feedback as to whether implemented safety interventions are operating adequately
The ability to promote WHS reviews of existing work practices and work organisation
The use of performance measures for benchmarking or comparative performance assessments
Project Performance procedures should:
Define the methodology for establishing, monitoring and reviewing WHS objectives and targets for corporate and project level
Require objectives and targets to be incorporated into the Project WHS Management Plan
Specify how requirements in regards to preparing regular WHS performance reports / records, e.g. monthly
Define the process for collating WHS performance reports from all projects and benchmarking performance across the contractor operations
Require the review of the Performance Reports by the contractor’s senior management and provide feedback to the Project Team
Reporting Culture
Reporting culture is the willingness for the contractor to report incidents, near misses and errors to the Client.
A reporting culture is one in which reporting is actively encouraged by all NSW Government Construction Agencies and contractors, with an emphasis on learning from these reports.
These Guidelines enhance the reporting culture.
Client Reporting
The contractor should establish procedures for the timely reporting to the Client of:
WHS Incidents, including, for notifiable incidents, investigation reports and corrective actions;
Worksite incidents, including such things as near misses, contact with hidden services
WorkCover site visits
WorkCover Notices issued and corrective action taken
Visits by Unions, Federal Safety Commission and similar organisations to the site
Results of internal reviews, site inspections and implementation of inspection and testing plans
Results of audits, including non-conformances and the implementation of corrective actions
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10 Client Reporting and Project Performance Measurement
This element is about establishing procedures for regularly monitoring performance against WHS objectives and targets defined by the contractor at the corporate and project level. The element defines the process for reporting WHS performance / issues to the Client
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A schedule of internal reviews must be
established and implemented to verify that WHS processes and practice match the required plans and procedures, and that the corrective actions resulting from reviews are effective.
Procedures must be established and implemented for the systematic review of the WHS Management System and project WHS Management Plans and their implementation, and the responses required to these reviews.
Reviews must be capable of identifying deficiencies in the System and project WHS Management Plans and their implementation, and assessing the effectiveness of corrective actions. Reviews should be scheduled to suit the importance of, and risks with, the element or area being reviewed.
Results of internal reviews must be brought to the attention of the contractor’s personnel responsible for the area reviewed, who must take corrective action immediately Contractor Senior Management must be provided with reports on the outcomes of internal reviews and the status of outstanding corrective actions.
Work Health and Safety Management Systems 35and Auditing Guidelines - May 2014
11 Internal Reviews
This element is about establishing procedures for planning and undertaking internal reviews, including audits, to verify the on-site WHS processes and practice match the required plans and procedures.
The reviews should: Be carried out at regular intervals
Examine each of the key System/Plan elements
Be capable of identifying deficiencies in the System and project WHS management plans and their implementation
Be carried out by persons with the skills, competency and knowledge of the System and plans
Be fully documented, recorded, and reviewed by the contractor’s senior management
Be available for review by external auditors
Result in corrective action being undertaken to rectify any deficiency in the System or plans
Include follow-up actions to assess the effectiveness of any corrective action
An important factor for the success of
construction projects is accurate and detailed documents such as plans, specifications, Standards and Codes. These include documents dealing with WHS work practices.
WHS Management System documents, including procedures, work instructions, checklists, forms and electronic data must be approved for adequacy before use, and be made available at all appropriate locations and to all applicable personnel.
A contractor should have and implement procedures and processes to verify that at any point during a project:
Documents and data are accurate, easy to understand and up-to-date
Documents and data can be easily found when required, and the people who need them get them when they need them
Documents and data are periodically reviewed and revised as required by competent personnel
Changes are recorded and, unless otherwise required, superseded documents and data are removed from use
WHS records
It is important to keep records to monitor the effectiveness of WHS management and to verify that people follow the required procedures. Records also provide evidence of compliance with the corporate WHS Management System, with WHS Management Plans and with the various WHS requirements, standards, regulations and laws that apply.
Identification, filing, retrieval and retention
Procedures should be established and used to:
Clearly identify the current version of the document that is applicable to the project
Identify, collect, document, retain and protect WHS information and data
Allocate responsibility for the retention of records
Maintain a register to control the storage and
disposal of records Audit compliance and show evidence that
required actions have been taken on WHS records and record issues.
(This is not necessarily a complete list, and other records and documentation may also be required)
36 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
12 Documentation and Records
This element is about establishing procedures, for the control, approval, dissemination, withdrawal, storage and disposal of WHS documents, data and other records
Required records and documentation include: Project WHS Management Plan or WHS
Management Plan
Safe Work Method Statements
Safe work procedures
Training records
First aid treatment records
Emergency procedures
Hazard identification and risk assessments
Incident and illness/injury reports
Plant and equipment records
Work permits
Safety Data Sheets
Hazardous chemicals records
Inspection, testing and servicing records
Details of qualifications held by individuals
Internal review reports
Minutes of workplace WHS meetings and Toolbox Talks
Safety equipment records
WHS design review records
Audit reports
Injury and workers’ compensation management records
7. WHS Management PlansWhat is a WHS Management Plan?
A WHS Management Plan sets out the arrangements to manage work health and safety on a construction project.
The intention of a WHS Management Plan is to ensure the risks associated with a construction project are managed, as there are usually many contractors and subcontractors involved and circumstances can change quickly from day to day.
The WHS Management Plan must be in writing, accessible and easily understood by workers on the site. It may not be necessary to communicate the entire WHS Management Plan to all workers; including contractors and subcontractors, however, they must be made aware of the parts that are applicable to the work they are carrying out.
The WHS Management Plan must be implemented, maintained and kept up to date during the course of the work on the site.
Preparing a WHS Management Plan
The level of detail required for a WHS Management Plan will depend on how complex the workplace is (in particular, the number of contractors at the workplace at any one time) and the risks involved in the work.
The principal contractor should prepare a WHS Management Plan that includes:
1. A Project-specific Risk Assessment, identifying hazards and assessing the risks associated with the work, and documenting the risk control measures to be taken
2. The names, positions and health and safety responsibilities of all persons at the workplace, whose positions or roles involve specific health and safety responsibilities in connection with the construction project
3. The arrangements in place between any persons conducting a business or undertaking at the workplace for consultation, cooperation and coordination of activities in relation to compliance with their duties under the WHS Act and Regulations
4. The arrangements in place for managing any work health and safety incidents that occur
5. Any site-specific health and safety rules and the arrangements for ensuring that all persons at the workplace are informed of these rules
6. The arrangements that will be in place to ensure that all persons receive the appropriate WHS training before commencing work on site.
7. The arrangements to collect and assess, monitor and review the SWMS.
The WHS Management Plan may include the following information:
Details of the Client, that is the person commissioning the construction work, for example their name, representative and contact details
Details of the principal contractor Details of the construction project, for
example address of the workplace, anticipated start and end date and a brief description of the type of construction work that the WHS Management Plan will cover
Details on how subcontractors will be managed and monitored, including how the principal contractor intends to implement and ensure compliance with the WHS Management Plan such as checking on the performance of subcontractors and how non-compliance will be handled
Details on how the risks associated with falls, falling objects, moving plant, electrical work and all high risk construction work that will take place on a construction project will be managed
It should also include information on:
The provision and maintenance of a hazardous chemicals register, safety data sheets and hazardous chemicals storage
The safe use and storage of plant The development of a construction project
traffic management plan Obtaining and providing essential services
information – electrical, gas, telecom, water and similar
Workplace security and public safety Ensuring workers have appropriate
licences and training to undertake the construction work
Work Health and Safety Management Systems 37and Auditing Guidelines - May 2014
38 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
1 Risk Management
The hazards associated with each work activity must be identified and the associated risks assessed, and measures for eliminating or minimising and monitoring the risk controls developed, documented and implemented.
The principal contractor must manage the risks associated with: the storage, movement and disposal of construction materials at the workplace; storage at the workplace of plant that is not in use; traffic in the vicinity of the workplace that may be affected by the construction work; and essential services, including underground/hidden electrical and gas and overhead power lines.
2 People with health and safety responsibilities
The statement of responsibilities must list the names and positions of the people on the work site, who will be responsible for WHS management, including:
Identifying hazards and assessing the risks associated with the work, and documenting the risk control measures to be taken
Managing compliance with WHS workplace injury management and workers’ compensation legislation, Regulations, standards and codes, Safe Work Method Statements and the Site Safety Rules
Assessing and monitoring the capability of subcontractors and other service providers in the supply chain, and verifying that they meet WHS requirements
Displaying and making Site Safety Rules available to personnel on, and visitors to, the work site
Making sure that the WHS Management Plan is prepared and kept up to date, is assessable to all persons working on site and that the people work on site are aware of the content of the WHS Management Plan
managing the WHS communication and consultation provisions in accordance with the regulatory and other requirements
conducting site-specific induction, and other training
Making sure that before starting work on site all personnel attend suitable induction training courses)
Preparing, maintaining and making accessible the register of hazardous chemicals
Managing workplace injury management processes to suit procedures
Maintaining first aid stocks and providing first aid
Managing illness/injury and emergency processes to suit procedures
Keeping WHS records.
3 Communication and consultation
The principal contractor must include details in the WHS Management Plan about how the persons conducting a business or undertaking at the workplace will consult and cooperate with each other.
There should be ongoing consultation and cooperation between all duty holders so that when work overlaps, each person is aware of other construction activities and can control any associated hazards and risks.
4 Managing incidents
The principal contractor should consider about the types of health and safety incidents that might occur. The WHS Management Plan should document the actions that will be taken and who will represent the principal contractor.
The procedures should address
Incident Management; including notifying WorkCover and Client and emergency services as necessary
Emergency situations; including arrangements for testing of the Emergency Plan
First Aid arrangements; including facilities and First Aid equipment and the arrangements for training in First Aid
5 Site Safety Rules
Principal contractor must prepare and implement Site Safety Rules, display them on noticeboards and other suitable locations on the work site, and provide them to all personnel who may work on the site and visitors to the site.
Work Health and Safety Management Systems 39and Auditing Guidelines - May 2014
The Site Safety Rules must cover and include, but are not limited to, the following.
Induction and safety training Before starting work on site all workers
must attend induction training in health and safety aspects of general construction work
Before starting work on site all workers must attend adequate site-specific induction training and induction training for the particular work activity being undertaken
All workers must attend appropriate refresher training and be involved in regular discussion of work site WHS matters
All visitors when on the work site must be accompanied by a person who has received the above training
Personal protective equipment All workers and visitors must wear
appropriate personal protective equipment (PPE) when on the work site
Site access and security All entry to, movement on, passage
adjacent to, and exit from, the work site of workers and other persons, vehicles and equipment will be controlled in accordance with required procedures
Illness/injury and emergency procedures All first aid facilities and illness/injury and
emergency procedures will be clearly identified and used, including reporting illness/injury and incidents
Protection of all workers and the public Effective barricades, fencing and overhead
protection will be used
Elevated work All work at heights will be done in
accordance with the relevant legislation, regulations, standards, codes and procedures
Electrical work, overhead wiring, installations and equipment No working live All electrical work, plant and equipment
must comply with WHS and electrical safety legislation, regulations, standards, codes and procedures, including inspection and tagging of leads and power tools
The presence and location of all electrical cables will be identified before commencing adjacent work
Demolition, excavation, formwork and other structural frames All demolition, excavation, formwork and
work with other structural frames will be done in accordance with the relevant legislation, regulations, standards, codes and procedures
Hazardous chemicals and dangerous goods A register of hazardous chemicals must be
kept and maintained for all hazardous chemicals brought onto the work site.
All hazardous chemicals and dangerous goods must be used, handled and stored in accordance with requirements
Safe working Fire prevention, housekeepng and other
site safe working procedures should be included
6 WHS training
Induction training
Before any person commences work on site they must be provided with WHS induction training. This must cover WHS matters associated with:
General construction work
The specific work activities to be undertaken
The specific work site.
Site-specific induction must explain Site Safety Rules, content of the WHS Management Plan, relevant Safe Work Method Statements, risk management and emergency procedures and consultative arrangements at the work site.
7 Safe Work Method Statements
The WHS Management Plan must include details of the arrangements for the preparation, collection and any assessment/approval, monitoring and review of SWMS at the workplace.
The WHS Management Plan must also include arrangements to ensure that SWMS are followed by all affected workers (including contractors and subcontractors), and that work is ceased if the SWMS is not being followed.
40 Work Health and Safety Management Systemsand Auditing Guidelines – May 2014
Safe Work Method StatementsSafe Work Method Statements must be prepared and implemented for all high risk construction work activities.
The primary purpose of a SWMS is to enable supervisors, workers and any other persons at the workplace to understand the requirements that have been established to carry out the high risk construction work in a safe and healthy manner so they can implement them.
When preparing Safe Work Method Statements, the workers who are to follow them must be consulted and involved. This will help improve, and encourage their ownership of, the required actions and procedures in the Statements.
The SWMS must be able to be easily read by those who need to know what has been planned to manage the risks, implement the control measures and ensure the work is being carried out in accordance with the SWMS.
The SWMS must:
Identify the work that is high risk construction work
Specify hazards relating to the high risk construction work and risks to health and safety associated with those hazards
Describe the measures to be implemented to control the risks
Describe how the control measures are to be implemented, monitored and reviewed
A SWMS should also include the following information:
The name of the person conducting a business or undertaking, their address and ABN (if they have one)
Details of the person(s) responsible for ensuring implementation, monitoring and compliance with the SWMS
If the work is being carried out at a construction project: the name of the principal contractor the address where the high risk
construction work will be carried out the date the SWMS was prepared and
the date it was provided to the principal contractor
the review date (if any)
Complying with a SWMS
All contractors who are involved in high risk construction work must develop and implement arrangements to ensure the work is carried out in accordance with the SWMS.
Arrangements may include a system of routine or random workplace work activity observations, for example, observing workers and supervisors to see if the control measures outlined in the SWMS are being implemented.
If the work is not being carried out in accordance with the SWMS, then the work must stop immediately or as soon as it is safe to do so.
Work must not resume until the work can be carried out in accordance with the SWMS.
Reviewing a SWMSA SWMS must be reviewed (and revised if necessary) if relevant control measures are revised.
The review process should be carried out in consultation with workers (including subcontractors) who may be affected by the operation of the SWMS and their health and safety representatives who represented that work group at the workplace.
When a SWMS has been revised, the person conducting a business or undertaking must ensure: All workers involved with the high risk
construction work are advised that a revision has been made and how they can access the revised SWMS. The principal contractor should be given a copy of the revised SWMS
All workers who will need to change a work procedure or system as a result of the review are advised of the changes in a way that will enable them to implement their duties consistently with the revised SWMS.
All workers that will be involved in the high risk construction work are provided with the relevant information and instruction that will assist them to understand and implement the revised SWMS
Work Health and Safety Management Systems 41and Auditing Guidelines - May 2014
APPENDIX A
APPENDIX AAcceptability Review - Corporate WHS Management System
Pre-start Review – Project WHS Management Plan – must include ‘page number’
Audit Tool – Project WHS Management Plan – must include ‘evidence of implementation’
Introduction
Principal Contractor
Reviewer/Auditor
Contract Name and Number (if applicable)
Reviewer/Auditor Signature
Date
1. Acceptability Review
Contractor Accreditation Recommended
Yes / No
Acceptability Not Supported, Further Detail Required
Yes / No
2. Pre-start Review -Project WHS Management Plan Yes / No
3. Audit Tool - Project WHS Management Plan Yes / No
Recommendation / Non Conformances:
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Recommendation / Non Conformances:
A. WHS Management System/Plan – General
Question Is/Does the WHS Management System/Plan
No. Page Number or Evidence of Implementation
1. Actively maintained and up to date?
2. An easily understood document?
3. Accessible to all workers?
4. Clearly describe organisational responsibilities (in a chart)?
5. Clearly describe the contractor’s WHS policies and objectives?
6. Clearly describe training records and other documents that must be kept?
7. Clearly describe position descriptions?
8. Clearly describe WHS procedures?
Findings:
43
APPENDIX A
1 Senior Management Commitment
Question Does this element of the WHS Management System/Project WHS Management Plan (hereafter System/Plan) clearly describe:
No.Page Number or
Evidence of Implementation
1. Specific senior management responsibilities and commitment to continual improvement?
2.Specific responsibilities of management and other personnel responsible, their qualifications and accountabilities to deal with WHS matters, including the names of staff in the Project WHS Management Plan?
3 Responsibilities, including names and positions, for:
a). Allocating adequate resources to deal with WHS matters?
b) Ensuring that WHS policies, Management Systems and Plans are communicated to workers?
c) Managing compliance with WHS legislation, regulations, standards and codes?
d) The injury management and rehabilitation of injured workers and others?
e) Ensuring WHS workplace consultation is operating?
Findings:
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2 Communication and Consultation
Question Does the System/Plan clearly describe how the contractor plans to:
No.Page Number or
Evidence of Implementation
1.Facilitate the establishment of WHS Committee or HSR or WHS Representative or other arrangements for WHS consultation agreed by management, workers and service providers.
2. Review site consultation arrangements with workers and service providers.
3.Ensure that all workgroups will be represented by either the WHS Committee or Representative or are involved in the site specific other agreed arrangements
4.Elect the WHS Committee or HSR or WHS Representative, if applicable to the agreed site communication and consultation arrangements
5. Ensure that each member of the WHS Committee, HSR or WHS Representative undertakes WHS consultation training
6. Record, publicise and encourage workers representatives to participate in the work on a regular basis
7. Consult on the job through daily communication between site managers, workers and service providers
8. Provide access to relevant WHS information through notice boards, toolbox meetings, circulars and safety alerts
9. Liaise with their service providers to coordinate WHS consultation and communication on work sites.
Findings:
45
APPENDIX A
3 Managing Subcontractors and Consultants
Question Does the System/Plan procedure clearly describe how the contractor plans to:
No. Page Number or Evidence of
Implementation
1. Assess and select its subcontractors, consultants and other service providers in the supply chain on their ability to comply with WHS requirements?
2. Specify appropriate WHS requirements in all contracts entered into, including the subcontractors’ providing the principal contractor with a copy of SWMS for high risk construction work activities?
3. Provide its subcontractors and other service providers with access to the WHS Management Plan and inform services providers of the content of the WHS Management Plan?
4. Monitor its subcontractors’ and other service providers’ compliance with safe working methods?
5. Manage any of its subcontractors’ and other service providers’ poor performance?
Findings
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4 Design
Question Does this System/Plan clearly describe how the contractor plans to:
No. Page Number or Evidence of
Implementation
1. Consult with the Client and designer(s) about: health and safety risks arising from the design during
construction work are eliminated or minimised?
any information they have in relation to hazards and risks at or in the vicinity of the workplace where the construction work is to be carried out?
2. Describe how safe design information will be obtained from the Client or Designer?
3. Require a review of the safe design information adopting a hazard identification and WHS risk assessment approach?
4. Apply the hierarchy of hazard controls to design out or otherwise manage hazards?
5. Include the process for consultation with subcontractors’ and consultants’ end users about hazards and WHS risk management?
6. Describe the communication and consultation process for discussing with workers and service providers WHS design issues and risk control measures?
7. Aim to achieve reasonable and safe constructability; safety with use; longevity of ‘product’; reduced, simplified and safe maintenance; and safe disposal?
8. Specify how the safe design information, including outcomes from the review of this information will be incorporated into the Project WHS Management Plan or WHS Management Plan?
Findings
47
APPENDIX A
5 Risk Management
Question Are procedures clearly described for the following activities:
No. Page Number or Evidence of
Implementation
1. For identifying WHS hazards, assessing risks and devising risk controls that eliminate risks where reasonably practicable or minimise risks according to the Hierarchy of Controls?
2. For selection of the most effective risk control measures?
3. For systematically reviewing the adequacy of the risk assessment and the effectiveness of the control measures and making improvements?
4. For dealing with WHS hazards and related risks in the event of an incident or illness/injury?
5. For developing and implementing Safe Work Method Statements??
6. For reviewing subcontractors’ Safe Work Method Statements?
7. To enable compliance with relevant WHS, workplace injury management and workers’ compensation legislation, standards and codes
8 For preparing and communicating Site Safety Rules?
Findings
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49
APPENDIX A
6 Training
Question Are procedures clearly described for the following activities:
No. Page Number or Evidence of
Implementation
1. Identifying the training needs of management, supervisors, workers, subcontractors and visitors?
2. Providing site WHS induction training, task training and refresher training?
3. Providing WHS Committee/WHS or HSR representative with consultative training?
4. Providing specific training necessary to conform with WHS requirements?
5. Providing training in emergency procedures?
6. Keeping appropriate records of WHS training?
7. Making sure all workers working on site have who will be on the project have completed general construction induction training?
Findings
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51
APPENDIX A
7 Inspection, Testing and Servicing
Question Does the System/Plan clearly describe the contractor’s procedures for:
No. Page Number or Evidence of
Implementation
1.Developing and maintaining a schedule of inspection, testing and servicing for all projects (prior to commencement of work) based on the level of risk involved?
2. Maintaining records of inspection, testing and servicing?
Question Does the System/Plan clearly describe procedures covering inspection, and where relevant, testing and servicing of:
No.
1. Incoming products, such as materials, plan and equipment?
2. Work site environment?
3. Work methods generally?
4. Access and exits?
5. Hazard and risk control measures?
6. Adherence to Site Safety Rules?
7. Electrical safety?
8. Plant and equipment?
Findings
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53
APPENDIX A
7 Inspection, Testing and Servicing - Continued
Question Do inspection plans:
No. Page Number or Evidence of
Implementation
1. Specify the standards against which inspection, testing and servicing will be conducted?
2. Specify particulars of the inspection, testing and servicing programs?
3. Assign responsibility for inspection, testing and servicing?
4. Specify the competencies required by persons conducting inspection, testing and servicing?
5. Specify arrangements for identifying the test status of plant, equipment and materials?
6. Specify the requirements for the accuracy and calibration of testing equipment?
7. Specify that the records are readily available and will be kept according to the legislative requirements?
Question Health surveillance and monitoring
1. Describe the process for identifying the work activities were workers exposure to hazards require health surveillance and monitoring
2. Specify the requirements specified in legislation regarding the nature and frequency for health surveillance and monitoring
Findings
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55
APPENDIX A
8 Incident Management and Corrective Action
Question Are procedures clearly described for the following activities:
No. Page Number or Evidence of
Implementation
1. Detecting and documenting issues and incidences of non-compliance and non-conformance?
2 Quarantining and disposal of non-conforming materials and substances?
Question Is it clearly shown how the contractor will communicate information about issues and corrective action:
No. Page Number or Evidence of
Implementation.
1. Throughout the organisation?
2. To clients?
3. To subcontractors and other service providers?
4. To the relevant authorities, including incident notification to WorkCover NSW
Question Does the System/Plan clearly describe the contractor’s procedures for:
No. Page Number or Evidence of Implementation
1. Incident / illness/injury reporting and investigation, including identification of the root cause?
2. Implementing corrective action?
3. Monitoring the effectiveness of corrective actions, including keeping records?
4. Implementing injury management and return to work plans?
Findings
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57
APPENDIX A
9 Purchasing, Handling, Storage, Packaging and Delivery
Question Does the System/Plan clearly describe the contractor’s procedures for:
No. Page Number or Evidence of
Implementation
1. Pre-purchase identification of potential WHS risks that may be introduced to the work site from supplied plant and materials?
2. Assessing suppliers’ ability to comply with the organisation’s WHS specifications for the provision of plant, materials and services?
3. Verifying that client-supplied plant and materials meet WHS specifications?
4. Checking that suppliers provide all relevant WHS information for their plant and materials?
5. Maintaining records of supplied plant and materials identified as having potential WHS risks?
6. Appropriate licensing, certification and qualification of anyone who will be engaged in hazardous processes?
7. Safe handling and storage of products, including hazardous substances and dangerous goods?
8. Assessment and control of manual handling risks?
9. Assessment and control of materials handling risks?
10. Identification of hazardous chemicals and dangerous goods through appropriate labeling?
11. Provision of information on hazardous chemicals (such as through Safety Data Sheets)?
12 Maintenance of a register of hazardous chemicals and dangerous goods and associated records of risk assessments?
13. Checking compliance with registration requirements of plant and plant design?
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9 Purchasing, Handling, Storage, Packaging and Delivery continued
Findings
59
APPENDIX A
10 Client Reporting and Project performance measurement
Question Does the System/Plan clearly describe the contractor’s procedures for:
No. Page Number or Evidence of
Implementation
1. Establishing, monitoring and reviewing WHS objectives and targets for corporate and project level?
2. Require objectives and targets to be incorporated into the Project WHS Management Plan?
3. Specify how requirements in regards to preparing regular WHS performance reports/records, eg monthly?
4. Describe the process for collating WHS performance reports from all projects and benchmarking performance across the contractor’s operations?
5. Require the review of the performance reports by Senior Management, to consider and provide feedback to the Project Team?
Question Does the System/Plan clearly describe the contractor’s procedures for:
No. Page Number or Evidence of Implementation
1. The timely reporting of WHS issues to the Client including:
Worksite incidents, including such things as near misses, contact with hidden services
WorkCover NSW site visit
WorkCover NSW Notices issued
Visits by Unions, FSC or similar to the site
Results of internal reviews, site inspections and implementation of inspection and testing plans
Results of audits, including non-conformances and the implementation of corrective actions
Findings
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61
APPENDIX A
11. Internal Review
Question Does the System/Plan clearly describe procedures for systematically reviewing (including auditing) WHS activities and Management Plans, including:
No.Page Number or
Evidence of Implementation
1. Carrying out reviews at regular intervals?
2. Identifying deficiencies in the WHS Management System and Plans?
3. Specifying the responsibilities and competency of those carrying out the review?
4. Documenting reviews?
5. Conducting regular audits of implementation and compliance with the WHS Management System and Plans?
6. Identifying the root cause of any breaches/non-conformances and implementing corrective actions?
7. Implementing follow-up procedures to assess the effectiveness of any corrective action?
8. Communicating the results of reviews to Senior Management and the status of corrective actions.
Findings
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63
APPENDIX A
12. Documentation and Records
Question Does the System/Plan include procedures for and detail the following records for maintenance:
No.Page Number or
Evidence of Implementation
1.Document control procedures for WHS documents and data, including their identification, approval, maintenance, dissemination, retention, withdrawal and disposal?
2.Records management procedures for maintaining WHS records, including their identification, filing, retrieval and retention?
Question Does the System / Plan clearly describe record-keeping requirements for:
No.Page Number or
Evidence of Implementation
1. Induction and training records?
2. Skills, competency and license register?
3. Hazard identification, risk assessments and associated safe working procedures?
4. Reports of incidents and illness/injury?
5. Illness/injury and incident investigation reports?
6. Illness/injury statistics, such as lost time frequency rates and duration rates?
7. Maintenance, testing, servicing and repair of plant and equipment?
8. Use of hazardous substances and associated monitoring?
9. Inspection and test reports?
10. Particulars of qualifications held by individuals?
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11. Internal review reports?
12. Documentation and Records - continued
No. Page Number or Evidence of
Implementation
12 WHS design reviews?
13. Minutes of WHS meetings?
14. WHS audit reports?
15. Worker injury management records?
16. Evidence of actions taken as a result of WHS meetings?
17. Corrective action records?
18. Work safety records generally?
Findings
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