Self-Review Checklist for Construction
AS4801:2001 Occupational Health and Safety
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AS 4801:2001 Requirement
4. OHSMS Requirements
4.1 General requirements
Have you established and do you
maintain an OHSMS, in accordance
with the requirements of this
Clause (4)?
4.2 OHS Policy
Is there an occupational health
and safety policy authorized by
top management that clearly
states overall OHS objectives and
demonstrates a commitment to
improving OHS performance?
Is it appropriate to the nature and
scale of the organization’s risks?
Does it include the commitment to
establish measurable objectives
and targets to ensure continued
improvement aimed at elimination
of work-related injury and illness?
Does it include a commitment to
comply with relevant OHS
legislation and with other
requirements placed upon the
organization or to which the
organization subscribes?
Is it documented, implemented,
maintained and communicated to
all employees?
Is it available to interested parties?
Is it reviewed periodically to
ensure it remains relevant and
AS4801 Construction review
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Typical Construction
Examples / translation
Comments / Gaps
Establishment of an OHS
management system that
outlines the process of managing
safety at both the corporate and
project level. Includes a corporate
manual as well as project safety
plans.
Complies?
Yes ☐
No ☐
Comments:
One page statement outlining the
company’s commitment to:
Implementing an OHS
management system, establishing
objectives and targets, complying
with legislation and eliminating
workplace injury.
Complies?
Yes ☐
No ☐
Comments:
Commonly communicated
through induction and display on
notice boards.
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appropriate to the organization?
4.3 Planning
4.3.1 Planning identification of
hazards, hazard/risk
assessment and control of
hazards/risks
Have you established
implemented and maintained
documented procedures for
hazard identification, hazard/risk
assessment and control of
hazards/risks of activities, products
and services?
Have you developed a
methodology for hazard
identification, hazard/risk
assessment and control of
hazards/risks, based on
operational experience and
commitment to eliminate
workplace illness and injury?
Is the methodology kept up-todate?
4.3.2 Legal and other
requirements
Have you established,
implemented and maintained
procedures to identify and have
access to all legal and other
requirements that are directly
applicable to the OHS issues
related to your activities, products
and services?
Do you keep this information upto-date?
Do you communicate relevant
information on legal and other
requirements to your employees?
4.3.3 Objectives and targets
Have you established,
implemented and maintained
documented OHS objectives and
targets, at each relevant function
and level within the organization?
When establishing and reviewing
your objectives, have you
considered legal and other
requirements, hazards and risks,
technological options, operational
and business requirements, and
the views of interested parties?
Are the objectives and targets
consistent with the OHS policy,
AS4801 Construction review
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A documented procedure is
required to outline how risk
management is conducted.
Typically in construction this
should consider hazards and risks
in the head office, projects and
travel in between.
*Note project risks should include
project risk assessment as well as
SWMS/JSA.
Complies?
Yes ☐
No ☐
Comments:
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The procedure must describe the
methodology for assessing risks
(eg. risk matrix, scoring system
etc) as well as hierarchy of
controls.
Common examples of compliance
include legal registers,
subscriptions to legislative
updates, meeting minutes
showing discussions regarding
changes, safety alerts, inclusion
of legislative references in SWMS
etc.
Complies?
Yes ☐
No ☐
Comments:
Commonly demonstrated
through objectives and targets
documents, objectives and
targets in safety plans etc.
Complies?
Yes ☐
No ☐
Comments:
Should include a combination of
positive and negative indicators.
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including the commitment to
measuring and improving OHS
performance?
4.3.4 OHS management plans
Do you establish and maintain
management plans for achieving
objectives and targets?
Do they include—
Designation of responsibility for
achievement of objectives and
targets at relevant functions and
levels of the organization?
Outlining the means and
timeframe by which objectives and
targets are to be achieved?
Have procedures been established
to ensure that current plans are
reviewed, and if necessary
amended to address such changes
at regular and planned intervals,
and whenever there are changes
to the activities, products, or
services of the organization or
significant changes in operating
conditions?
4.4 Implementation
4.4.1 Structure and responsibility
4.4.1.1 Resources
Does management identify and
provide the resources required to
implement, maintain, and improve
the OHSMS?
Do resources include human
resources and specialized skills,
technology and financial
resources?
4.4.1.2 Responsibility and
accountability
Have you defined, documented
and communicated the areas of
accountability and responsibility
(including those imposed by OHS
legislation) of all personnel
involved in the OHSMS’s
operation?
Where contractors are involved,
are areas of accountability and
responsibility clarified with respect
to those contractors?
Have you appointed a specific
management representative(s)
who, irrespective of other
AS4801 Construction review
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OHS Management Plans (action
plans) are required to outline
how objectives and targets will be
achieved. Management plans
should link to the objectives and
targets and describe
responsibilities, resources
required, timeframes etc.
Complies?
Yes ☐
No ☐
Comments:
This is typically demonstrated by
actions rather than documents.
Examples could include
discussions in meetings minutes
and generally provision of
resources through inspection.
Complies?
Yes ☐
No ☐
Comments:
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Structure is commonly
communicated through the
organisation chart.
Responsibility is commonly
defined and communicated
through the position descriptions
or responsibilities defined in the
manual or project safety plan.
A safety management
representative must be clearly
defined with responsibilities also
defined. This could be on the org
chart, job descriptions, in the
safety manual etc.
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Complies?
Yes ☐
No ☐
Comments:
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responsibilities, has defined roles,
responsibilities and authority
for—
Ensuring that OHSMS
requirements are established,
implemented and maintained in
accordance with this Standard?
Reporting on the performance of
the OHSMS to top management
for review and as a basis for
improvement of the OHSMS?
4.4.2 Training and competency
Do you, in consultation with
employees, identify training
needs in relation to performing
work activities competently,
including OHS training?
Are there procedures in place to
ensure that OHS competencies are
developed and maintained?
Are personnel assessed as
competent, on the basis of skilled
achieved through education,
training or experience, to perform
assigned tasks taking into account
the OHS obligations, hazards and
risks associated with the work
activities?
Have procedures been developed
for providing OHS training?
Do these procedures take into
account—
The characteristics and
composition of the workforce
which impact on occupational
health and safety management?
Responsibilities, hazards and risks?
Do you ensure that all personnel
(including contractors
and visitors) have undertaken
training appropriate to the
identified needs?
Training shall be carried out by
persons with appropriate
knowledge, skills, and experience
in OHS and training?
4.4.3 Consultation,
communication and reporting
4.4.3.1 Consultation
Is there a documented procedure
agreed to by employees, for
employee involvement and
consultation in OHS issues?
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Records should be available to
demonstrate how training needs
are identified, records from the
training provided and review of
the effectiveness.
Complies?
Yes ☐
No ☐
Comments:
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Common examples include
training needs analysis, training
matrix/register, copies of
certificates, performance reviews
etc.
Legislative training requirements
such as consultations and
certificates of competency must
also be included.
A documented procedure is
required for consultation. Typical
construction examples include
toolbox meetings, OHS
committee, safety reps etc.
The procedure should describe
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Complies?
Yes ☐
No ☐
Comments:
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Is information regarding the
arrangements made available to
interested parties?
Are employees —
Involved in the development,
implementation and review of
policies and procedures for hazard
identification, hazard/risk
assessment and control of
hazards/risks?
Consulted where there are any
changes that affect workplace
OHS?
Able to select those who will
represent them on OHS matters?
Informed as to who is/are their
employee OHS representative(s)
and specified management
representative(s)?
Do those representing the
employees and employer receive
appropriate training to undertake
effectively their involvement in the
development, implementation and
review of OHS arrangements?
4.4.3.2 Communication
Do you have procedures for
ensuring that pertinent OHS
information is communicated to
and from employees and other
interested parties?
4.4.3.3 Reporting
Are appropriate procedures for
relevant and timely reporting of
information established to ensure
the OHSMS is monitored and
performance improved?
Are reporting procedures
established to cover the following:
OHS performance reporting
(including results of OHS audits
and
reviews)?
Reporting of incidents and system
failures?
Reporting on hazard
identifications?
Reporting on hazard/risk
assessment?
Reporting on preventive and
corrective action?
Statutory reporting requirements?
4.4.4 Documentation
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how consultation arrangements
are established (election),
training and consultation process.
This must also consider the
current state legislative
requirements.
Records generally include
committee meeting minutes,
toolbox meeting records, election
records, training records etc.
Commonly addressed through
notice boards, inductions, tool
box meetings etc.
Complies?
Yes ☐
No ☐
Comments:
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Common examples include:
Hazard reports, incident reports,
injury reporting to work cover,
project statistics reporting etc.
Complies?
Yes ☐
No ☐
Comments:
Typically addressed by a
Complies?
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Have you established,
implemented and maintained
information, in
a suitable medium such as in print
or electronic form, to —
Describe the core elements of the
management system and their
Interaction?
Provide direction to related
documentation?
4.4.5 Document and data control
Have you established,
implemented and maintained
procedures for controlling all
relevant documents and data
required by this Standard to
ensure that—
They can be readily located?
They are periodically reviewed,
revised as necessary and approved
for adequacy by competent and
responsible personnel?
Current versions of relevant
documents and data are available
at all locations where operations
essential to the effective
functioning of the OHSMS are
performed?
Obsolete documents and data are
promptly removed from all points
of issue and points of use or
otherwise assured against
unintended use?
Archival documents and data
retained for legal or knowledge
preservation purposes or both, are
suitably identified?
Are documentation and data
legible, dated (with dates of
revision) and readily identifiable
and maintained in an orderly
manner for a specified period?
Are procedures and
responsibilities established and
maintained concerning the
creation and modification of the
various types of documents and
data?
Do you preclude the use of
obsolete documents?
4.4.6 Hazard identification,
hazard/risk assessment and
control of hazards/risks
AS4801 Construction review
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corporate OHS manual describing
the processes.
Yes ☐
No ☐
Comments:
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Generally includes the use of
version numbering shown on the
documents, approval of
documents, document registers
etc.
Complies?
Yes ☐
No ☐
Comments:
A documented procedure is
required to outline how risk
management is conducted.
Complies?
Yes ☐
No ☐
Comments:
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4.4.6.1 General
Have you established,
implemented and maintained
documented procedures to ensure
that the following are conducted—
Hazard identification?
Hazard/risk assessment?
Control of hazards/risks?
Evaluation of the above?.
4.4.6.2 Hazard identification
Does the identification of hazards
in the workplace take into
account—
The situation or events or
combination of circumstances that
has the potential to give rise to
injury or illness?
The nature of potential injury or
illness relevant to the activity,
product or service?
Past injuries, incidents and
illnesses?
Typically in construction this
should consider hazards and risks
in the head office, projects and
travel in between.
*Note project risks should include
project risk assessment as well as
SWMS/JSA.
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Typical examples include hazard
register, hazard categories etc.
Complies?
Yes ☐
No ☐
Comments:
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Does the identification process
also include consideration of—
The way work is organized,
managed, carried out and any
changes that occur in this?
The design of workplaces, work
processes, materials, plant and
Equipment?
The fabrication, installation and
commissioning and handling and
disposal (of materials, workplaces,
plant and equipment)?
The purchasing of goods and
services?
The contracting and
subcontracting of plant,
equipment, services and labour
including contract specification
and responsibilities to and by
contractors?
The inspection, maintenance,
testing repair and replacement (of
plant and equipment)?
4.4.6.4 Control of hazards/risks
Are all risks controlled through a
preferred order of control
methods (commonly referred to as
a hierarchy), based on reasonable
practicability?
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Hierarchy of controls needs to be
included in the procedure. E.g.
Elimination, Substitution,
Engineering, Administrative, PPE.
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Complies?
Yes ☐
No ☐
Comments:
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Is elimination the first control
method to be considered?
4.4.6.5 Evaluation
Are the processes of hazard
identification, hazard/risk
assessment and control of
hazards/risks subject to a
documented evaluation of
effectiveness and modified as
necessary?
4.4.7 Emergency preparedness
and response
Have all potential emergency
situations been identified and
emergency procedures
documented for preventing and
mitigating the associated illness
and injury?
Do you review, then revise, where
necessary, emergency
preparedness and response
procedures, in particular, after
the occurrence of incidents or
emergency situations?
Do you periodically test such
procedures?
4.5 Measurement and evaluation
4.5.1 Monitoring and
measurement
4.5.1.1 General
Have you established,
implemented and maintained
documented procedures to
monitor and measure on a regular
basis the key characteristics of
your operations and activities that
can cause illness and injury?
Is the effectiveness of these
measures evaluated?
Has appropriate equipment for
monitoring and measurement
related to health and safety risks
been identified, calibrated,
maintained and stored as
necessary?
Are records of this process
retained?
Reviewing the risk management
process to confirm that it is
effective.
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Emergency plans need to
consider more than just a fire
evacuation. In construction,
emergency plans should extend
to emergencies associated with
the work for example rescue plan
for a worker using a harness or
working in confined space,
structural collapse, etc.
©2012 J2M Systems
Complies?
Yes ☐
No ☐
Comments:
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Plans need to be tested e.g. drills.
Documented procedure is
required. Typically includes site
inspections, monitoring controls,
monitoring performance against
the objectives, monitoring
compliance with applicable
legislation, monitoring
effectiveness of actions etc.
Have you established,
implemented and maintained
procedures to monitor—
AS4801 Construction review
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Complies?
Yes ☐
No ☐
Comments:
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Complies?
Yes ☐
No ☐
Comments:
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Performance, effectiveness of
relevant operational controls and
conformance with your objectives
and targets?
Compliance with relevant OHS
legislation?
4.5.1.2 Health surveillance
Have you identified situations
where employee health
surveillance is required and
implemented appropriate
systems?
Do employees have access to their
own individual results?
Where specified by legislation, is
the health of employees exposed
to specific hazards monitored and
recorded?
4.5.2 Incident investigation,
corrective and preventive action
Have you established,
implemented and maintained
procedures for:
Investigating, responding to, and
taking action to minimize any
harm caused from, incidents?
Investigating and responding to
system failures?
Initiating and completing
appropriate corrective and
preventive action?
Do you implement and record any
changes in the OHSMS procedures
resulting from incident
investigations and corrective
and preventive action?
4.5.3 Records and records
management
Have you established,
implemented and maintained
procedures for the identification,
maintenance and disposition of
OHS records, as well as the results
of audits and reviews?
Are OHS records legible,
identifiable and traceable to the
activity, product or service
involved?
Are OHS records stored and
maintained in such a way that they
are readily retrievable and
protected against damage,
deterioration or loss?
AS4801 Construction review
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Applicable where health
monitoring is required e.g.
working with asbestos, lead etc.
A process of health monitoring
needs to be developed and
records maintained.
Complies?
Yes ☐
No ☐
Comments:
Common records include incident
investigation reports, injury
registers, non-conformance
reports and registers, first aid
records etc.
Complies?
Yes ☐
No ☐
Comments:
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It is not enough to just record and
incident, it needs to be
investigated to identify the root
cause. Action then needs to be
developed and implemented to
prevent re-occurrence.
Records procedure for
construction will typically include
how records will be filed
including construction records on
site (folder structure), how long
records will be kept (some
records can be up to 30 years)
how projects records are archived
(eg kept in head office for defects
liability before being put in
archive).
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Complies?
Yes ☐
No ☐
Comments:
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Have their retention times been
established and recorded?
Have records been maintained, as
appropriate to the system and to
the organization, to demonstrate
conformance to the requirements
of this AS4801?
4.5.4 OHSMS audit
Have you established,
implemented and maintained an
audit program and procedures for
periodic OHSMS audits to be
carried out by a competent
person, in order to:
Determine whether the OHSMS
conforms to planned
arrangements for OHS
management including the
requirements of AS4801?
Determine if the OHSMS has been
properly implemented and
maintained?
Determine if the OHSMS Is
effective in meeting the
organization’s policy as well as
objectives and targets for
continual OHS improvement?
Provide information on the results
of audits to management, and
Employees?
Is the audit program, including any
schedule, based on the OHS
importance of the activity
concerned, and the results of
previous audits?
Do the audit procedures cover the
scope, frequency, methodologies
and competencies, as well as the
responsibilities and requirements
for conducting audits and
reporting results?
4.6 Management review
Does top management, at intervals
that it determines, review the
OHSMS, to ensure its continuing
suitability, adequacy and
effectiveness?
Does the management review
process ensure that the necessary
information is collected to allow
management to carry out this
evaluation?
Is this review documented?
AS4801 Construction review
January 2012
©2012 J2M Systems
Typical examples include audit
schedules/plans, completed audit
reports, audit checklists, nonconformance reports etc.
Complies?
Yes ☐
No ☐
Comments:
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*Not this is different to a site
inspection and is about
confirming that the system has
been implemented.
Management review is typically a
management review meeting
held at least annually to review
the items required be the
standard.
Management review meeting
minutes/records need to be
maintained.
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Complies?
Yes ☐
No ☐
Comments:
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Does management review the
continued relevance of, and
change where appropriate, policy,
objectives, responsibilities and
other elements of the OHSMS, in
the light of OHSMS audit results,
changing circumstances and the
commitment to continual
improvement?
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January 2012
©2012 J2M Systems
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