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:
Email:
1800 679 289
nswbuy@finance.nsw.gov.au
Issue log
Issue
Release
date
Details
2.
December
1994
Revised 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 2001
1.
Revised 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 NSW
Removed 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
iii
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
iv
1. Summary
Purpose of the Guidelines
Other changes
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:
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.

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;
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.

Facilitates a safety management systems
approach by construction contractors;
Scope

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 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

Change of terminology to include the new
terms defining Person Conducting a
Business or Undertaking (PCBU), worker
and officer
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
The principle of ensuring safety so far as is
reasonably practicable

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
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:

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.

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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
1
Definitions
Client
Party inviting and receiving tenders and letting
contracts.
Consultant
Professional 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 Committee
The 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.
Contractor
PCBU that contracts with a client to carry out
construction and related services.
Government agency
NSW 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 incident
An 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 Agencies
Government 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.
2










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 contractor
Contractor that contracts with an agency as the
client, and is appointed as principal contractor
(as defined in WHS Regulation 2011) for
nominated work.
Project
An 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 report
A 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 file
One method of recording WHS information for
transfer from the designer to the client
Service providers
Includes principal contractors, contractors,
subcontractors, consultants and suppliers.
Subcontractor
PCBU that contracts with a contractor as the
client to carry out construction and related
services.
Supplier
PCBU that contracts with a client to provide a
product and/or service.
.
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
2. Application of the Guidelines
Contract requirements
Contracts valued at $1m or more
For 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 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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
3
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
4
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 WHS
Management 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.
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
Principal Contractor requirements
Contract category
At tender stage
Before work begins
During contract
Contracts valued at
$1m or more
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
Provide evidence of
previous satisfactory
WHS Management
performance.
Submit a WHS
Management Plan
OR
Where the
government agency
otherwise determines
Contracts valued at
below $1m
Submit WHS
Management Monthly
Reports
Report WHS incidents
Implement WHS
Management Plan
Submit WHS
Management Monthly
Reports
Report WHS incidents
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
5
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.
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
Contract valued
at $ 1m or more
or lower if
determined by
the government
agency
Require the
designer to
provide safe
design
information.
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
Reporting system.
6
Work Health and Safety Management Systems
and 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
The Plan will address and provide all twelve
(12) key elements described in these
Guidelines for the project. See Section 6.
WHS Management Plan
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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
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.
7
4. Documenting a Corporate WHS Management
System
Documenting the system
procedures. At least one procedure is usually
required and written for each system element.
WHS 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.
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 WHS Management System documents will
generally consist of the following components.

The purpose of the activity
WHS policy

What should be done, and by whom
The 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.

When, where and how it is done

What materials, plant, equipment and
documents are to be used.
The WHS policy should include a commitment
to:
Technical procedures or work procedures
address work-related activities. Examples are
plant maintenance procedures, and site safety
inspection procedures.

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.
Work procedures and instructions
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.
WHS manual
Forms and records
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.
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.
WHS procedures
Each system element involves a number of
activities, and the way these activities are to be
performed will be specified in system
8
Work Health and Safety Management Systems
and 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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
9

Is a relative of one of the contractors or its
service providers, or
Government agency

Has any other conflict of interest.
Reviewing the plan
(See Appendix A for a checklist for auditing a
Project WHS Management Plan)
Responsibilities of the parties
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.
Qualifications
The audit team must collectively have the
following qualifications:
1
Scheduling audits
Successful completion of a Management
System auditing course covering:
BSBAUD501A Initiate a quality audit
The government agency will schedule, arrange
and participate in Project WHS Management
Plan audits with the contractor to be audited.
BSBAUD502A Prepare a quality audit
BSBAUD503A Lead a quality audit
BSBAUD504A Report on a quality audit
Following up
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.
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
10
Work Health and Safety Management Systems
and 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.
Review & Planning
.
Task
Responsibility
`Description
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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
11
Preparation & conducting the audit
12
Task
Responsibility
`Description
3. Prepare for the audit.
Government agency
and audit leader

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.
Audit leader and audit
team
Review any other relevant
documentation, for example, previous
audit reports, contractor’s actions to
address any Corrective Action
Requests from previous audits.
Audit leader, audit
team, contractor’s
representative,
government agency
4. Conduct the audit
Hold entry meeting
Follow audit methodology
Audit leader and audit
team

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.
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 nonconformance by signing a document
recording the non-conformance.
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
Task
Follow up
actions
Preparation & conducting the audit
Hold final audit team
meeting
Responsibility
`Description
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
5. Follow up on
implementation of
corrective and
preventive actions
Record
Audit leader, audit
team, government
agency, contractor
Government agency
and contractor
Government agency
and contractor
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014

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.

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.
13
6. WHS Management System elements
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 21
WHS Regulations 2011 Chapter 6 Construction work
5
Risk Management, p 23
AS4801 4.3.1 Planning and 4.4.6 hazard identification,
hazard/risk assessment & control of hazard/risks
6. Training, p 25
AS4801 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 28
AS4801 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 33
AS4801 4.5.4 OHSMS Audit and 4.6 Management review
12. Documentation and records, p 34
AS4801 4.4.4Documentation, 4.4.5 Document and data
control, 4.5.3 Records & record management
14
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
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.
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, nonconformance or other problems. (See box
)
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
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)
15
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.
Why communication and consultation are
important

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.
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

When establishing the site-specific
communication and consultation
arrangements and when reviewing these
arrangements
Consult on the job on safety issues
through regular communication between
managers and workers

When work-related health and safety
hazards are identified, risks are assessed,
and the assessment of those risks is
reviewed
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
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 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
16
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
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.
Work Health and Safety Management Systems
and 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
17
3.
Managing Subcontractors
and Consultants
This 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
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:
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

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
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

Hazard identification and risk assessments.
WHS Management Plan
Principal Contractors
The 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.
18
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
and Auditing Guidelines – May 2014
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.
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.
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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
19
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
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.

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:

 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
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:
20
Define the process for consultation with the
Client and designer about:
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
Designers
Designers are required to give adequate
information to each person who is provided
with the design in order to give effect to it
concerning:
Codes of Practice
 Construction Work,

Demolition Work, and,
Safe Design of Structures,

The purpose for which the structure was
designed


The results of any calculations, testing,
analysis or examination
Work Health Safety Act 2011 Part 2 Health
and safety duties, and,

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.
Work Health and Safety Regulation 2011,
Part 6.2. Duties of Designer of Structure
and person who commissions construction
work.
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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
21
5

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
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
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
Risk Management process
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)
Source: Code of Practice: How to Manage Work health
and Safety Risks.

Consult with personnel and advisers to
identify what they consider to be safety
issues

Inspect the work area for specific hazards
Minimum documentation for effective risk
management

Review all applicable information, such as
Safety Data Sheets to identify the WHS
hazards involved and precautions required
Contractors must document:
Effective procedures should be developed and
implemented at the place of work to identify
hazards:

22
Prior to works commencing on site

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
and Auditing Guidelines – May 2014

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 instructions
Work 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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
any high risk work, licence requirements,
competency and training needs and implement
appropriate measures to control the associate
risks.
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
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.
23
6
Training
This element is about establishing the
procedures and allocating resources to
identify and provide for the training needs of
workers
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.
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.
.
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
24
Work Health and Safety Management Systems
and 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.
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,
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
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.
25
A system of tags, colours, stickers, stamps,
barriers, special storage areas or records
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.
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
Servicing

Where ongoing servicing is provided, such as
maintenance of plant and equipment or followup repairs, then WHS requirements must be
identified and addressed in any service
Management Plan and procedures.
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
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
26
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
and 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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
27
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
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.
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
Corrective action

Rehabilitation and return to work
WHS inspections, audits and reviews,
incidents, illness/injury, and near misses
provide definite pointers to unsafe work
practices and processes.

Retraining

Claims management

Employment management practices
28
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
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.
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
(This is not a complete list but only a guide)
Improving health and safety
performance
Investigate the causes of illness/injuries
and incidents, record the results of the
investigation
Develop and take corrective action to:
eliminate the root cause so the illness /
injury and incidents do not reoccur
Analyse workplace activities for potential
hazards to health and safety.
Develop and take preventative action:
eliminate the hazards to reduce the
likelihood of the risk of harm to people.
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.
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
29
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.
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 key 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:

30
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
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
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
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.
appropriate licence certificates and are
competent to operate the equipment.
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
Manual handling
Particular attention needs to be given to
identifying and assessing any manual handling
risks prior to the commencement of related
work.
Hazardous chemicals and dangerous goods
Procedures 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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
31

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
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
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
32
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 nonconformances and the implementation of
corrective actions
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
The reviews should:
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.
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.

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
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
and Auditing Guidelines - May 2014
33

12
Documentation and
Records
Identify, collect, document, retain and
protect WHS information and data
Required records and documentation
include:
This element is about establishing
procedures, for the control, approval,
dissemination, withdrawal, storage and
disposal of WHS documents, data and other
records
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.

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
A contractor should have and implement
procedures and processes to verify that at any
point during a project:

Hazardous chemicals records

Inspection, testing and servicing records

Documents and data are accurate, easy to
understand and up-to-date

Details of qualifications held by
individuals

Documents and data can be easily found
when required, and the people who need
them get them when they need them

Internal review reports

Minutes of workplace WHS meetings
and Toolbox Talks
Documents and data are periodically
reviewed and revised as required by
competent personnel

Safety equipment records

WHS design review records
Changes are recorded and, unless
otherwise required, superseded documents
and data are removed from use

Audit reports

Injury and workers’ compensation
management records


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

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)
Procedures should be established and used to:

34
Clearly identify the current version of the
document that is applicable to the project
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
7. WHS Management Plans
What 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
4.
5.
6.
7.
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
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.
2.
3.
A Project-specific Risk Assessment,
identifying hazards and assessing the risks
associated with the work, and
documenting the risk control measures to
be taken
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
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
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
The arrangements in place for managing
any work health and safety incidents that
occur
Any site-specific health and safety rules
and the arrangements for ensuring that all
persons at the workplace are informed of
these rules
The arrangements that will be in place to
ensure that all persons receive the
appropriate WHS training before
commencing work on site.
The arrangements to collect and assess,
monitor and review the SWMS.
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
35
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
36

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
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
who may work on the site and visitors to the
site.
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
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
Personal protective equipment
Safe working


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
6
Fire prevention, housekeepng and other
site safe working procedures should be
included
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.
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,
Work Health and Safety Management Systems
and Auditing Guidelines - May 2014
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
37
 the date the SWMS was prepared and
the date it was provided to the principal
contractor
 the review date (if any)
contractors and subcontractors), and that work
is ceased if the SWMS is not being followed.
Safe Work Method Statements
Complying with a SWMS
Safe 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
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 SWMS
A 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
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
38
Work Health and Safety Management Systems
and Auditing Guidelines – May 2014
APPENDIX A
Acceptability 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
Yes  / No 
Contractor Accreditation Recommended
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:
39
APPENDIX A
A.
WHS Management System/Plan – General
Question
Is/Does the WHS Management System/Plan
Page Number or Evidence
of Implementation
No.
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:
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
40
Senior Management Commitment
1
Question
Does this element of the WHS Management System/Project WHS
Management Plan (hereafter System/Plan) clearly describe:
Page Number or
Evidence of
Implementation
No.
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:
41
APPENDIX A
2
Communication and Consultation
Question
Does the System/Plan clearly describe how the contractor plans to:
Page Number or
Evidence of
Implementation
No.
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:
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
42
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
43
APPENDIX A
4
Design
Question
Does this System/Plan clearly describe how the contractor plans to:
No.
1.
Page Number or
Evidence of
Implementation
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
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
44
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
45
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
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
46
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
47
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
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
48
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 noncompliance 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
49
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?
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
50
9
Purchasing, Handling, Storage, Packaging and Delivery continued
Findings
51
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
for:
Does the System/Plan clearly describe the contractor’s procedures
No.
1.
Page Number or
Evidence of
Implementation
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
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
52
11.
Internal Review
Question
Does the System/Plan clearly describe procedures for
systematically reviewing (including auditing) WHS activities and
Management Plans, including:
Page Number or
Evidence of
Implementation
No.
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
53
APPENDIX A
12.
Documentation and Records
Question
Does the System/Plan include procedures for and detail the
following records for maintenance:
Page Number or
Evidence of
Implementation
No.
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:
Page Number or
Evidence of
Implementation
No.
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?
Work Health and Safety Management Systems
and Auditing Guidelines - September 2013
54
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
55