Self-Review Checklist for Construction AS4801:2001 Occupational Health and Safety J2M Systems Pty Ltd is a business consulting company that specialise in Quality Safety and Environmental Management Systems. We developed this checklist to help companies assess their compliance with AS4801 and provide ‘construction interpretation’. If you need help or have any questions, please give us a call. We work with several certification bodies and can help you choose a certification body that suits your business and provides the best value for money. 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 January 2012 ©2012 J2M Systems 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. Page 1 Click here to enter text. Click here to enter text. 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 January 2012 ©2012 J2M Systems 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: Click here to enter text. 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. Page 2 Click here to enter text. Click here to enter text. 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 January 2012 ©2012 J2M Systems 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: Click here to enter text. Click here to enter text. 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. Page 3 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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? AS4801 Construction review January 2012 ©2012 J2M Systems 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: Click here to enter text. 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 Page 4 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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 AS4801 Construction review January 2012 ©2012 J2M Systems 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: Click here to enter text. 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? Page 5 Click here to enter text. 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 January 2012 ©2012 J2M Systems corporate OHS manual describing the processes. Yes ☐ No ☐ Comments: Click here to enter text. 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: Page 6 Click here to enter text. 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. Click here to enter text. Typical examples include hazard register, hazard categories etc. Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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? AS4801 Construction review January 2012 ©2012 J2M Systems Hierarchy of controls needs to be included in the procedure. E.g. Elimination, Substitution, Engineering, Administrative, PPE. Page 7 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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. Click here to enter text. 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: Click here to enter text. 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 January 2012 Complies? Yes ☐ No ☐ Comments: Page 8 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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 January 2012 ©2012 J2M Systems 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: Click here to enter text. Click here to enter text. 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). Page 9 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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: Click here to enter text. *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. Page 10 Complies? Yes ☐ No ☐ Comments: Click here to enter text. 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? AS4801 Construction review January 2012 ©2012 J2M Systems Page 11