Whs Ms Guidelines May 2014 Final 1

Work Health and Safety
Management Systems and

Auditing Guidelines
5th edition, September 2013

(Updated May 2014)
Work Health and Safety

Management Systems and Auditing Guidelines
These Guidelines are a key element of the Procurement Policy Framework of the NSW
Government. They are available from the NSW Government Procurement website
www.procurepoint.nsw.gov.au
The document shall be updated on an ongoing basis by the Office of Finance & Services
to reflect changes to government policy and procedures. To ensure accurate and up to
date information, agencies are advised to access the latest version directly from the
website.
Further information on these Guidelines should be addressed to:
NSW Procurement Client Support Centre:
Telephone:
1800 679 289
Email: nswbuy@finance.nsw.gov.au
Work Health and Safety Management Systems and Auditing

Guidelines May 2014
Issue log
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
6.
WHS MANAGEMENT SYSTEM ELEMENTS..................................................14
Senior Management Commitment..............................................................................................................15
2.
WHS Communication and Consultation...................................................................................................16
3.
Managing Subcontractors and Consultants..............................................................................................18
Design............................................................................................................................................................20
Risk Management.........................................................................................................................................22
Training.........................................................................................................................................................24
Inspection, Testing and Servicing...............................................................................................................25
Incident Management and Corrective Action...........................................................................................28
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
Risk Management.........................................................................................................................................36
People with health and safety responsibilities...........................................................................................36
Communication and consultation...............................................................................................................36
Managing incidents......................................................................................................................................36
Site Safety Rules...........................................................................................................................................36
WHS training................................................................................................................................................37
Safe Work Method Statements....................................................................................................................37
APPENDIX A..............................................................................................................39
1. Summary
2. Purpose of the Guidelines
Revised requirements for safe work method

statements
Access to asbestos registers for all workers
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;
Facilitates a safety management systems
approach by construction contractors;
Increases productivity and efficiency by
improving planning and reducing accidents;
Supports NSW government agencies in
demonstrating they are meeting their
obligations under Work Health and Safety
laws.
Better WHS management

performance
The 4th edition of the Guidelines has been
revised to ensure the following requirements of
the WHS Act 2011 and WHS Regulations 2011
and Codes of Practice applicable in NSW are
included:
Change of terminology to include the new

terms defining Person Conducting a
Business or Undertaking (PCBU), worker
and officer
The principle of ensuring safety so far as is
reasonably practicable
Due diligence obligations of officers
New duties for designers
New requirements for the PCBU who

commissions construction work to provide
information to the designer
New requirements for PCBUs who
commission construction work to provide
complete and up to date asbestos registers
for contractors undertaking refurbishment
and demolition work
Work Health and Safety Management Systems

and Auditing Guidelines - May 2014
Other changes
The Guidelines have been revised to reinforce

further the importance of safety leadership,
including senior management commitment, and
the importance of analysing project safety
management performance and client reporting.
Scope
These WHS Management Systems and
Auditing Guidelines apply to all NSW
government construction projects, and provide
the framework for applying a systematic
approach to the management of WHS.
The NSW Government Construction Agencies
have agreed that:
Their construction contractors will be
required to develop and implement WHS
Management Systems and plans consistent
with these Guidelines
The contract value threshold which the
contractors must have an accredited
Corporate WHS Management System is
$1m
These requirements will apply for tenders

invited from 1 October 2013 and
subsequent contracts
Implementation will be managed as part of

the business activities of the NSW
Government Construction Agencies
The effectiveness of the Guidelines will be

reviewed and assessed in 2018
Definitions
Public companies
Client
Party inviting and receiving tenders and letting
contracts.
Private companies
Partners in a partnership
Sole traders and self employed people
Consultant
Professional party that contracts with a client to
provide design, management or other
professional services related to construction.
Government departments and authorities
Associations, including not-for profits, if

they have one or more workers
Local government councils
Construction
All organised activities concerned with
demolition, building, landscaping, maintenance,
civil engineering work, process engineering,
mining and heavy engineering.
Independent schools
Cooperatives
Universities.
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.
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.
.

and Auditing Guidelines May 2014
3. Application of the Guidelines

4. 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
Work
and
Safetyand
Regulation
2011
that
areHealth
able to
prepare
implement
an
acceptable WHS Management Plan
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.

and Auditing Guidelines - May 2014
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 JASANZ personnel certifier such as RABQSA or
equivalent, as a Principal, Lead or Business
Improvement OHS Auditor, to provide
certification that the contractor's WHS
Management System complies with the NSW
Government WHS Management Systems and
Auditing Guidelines 5th Edition.
The OHS Auditor must be independent and not
associated with the contractor or any person
who developed the Contractor's WHS
Management System. An OHS Auditor who is
an employee of a registered organisation
(under the Fair Work Act or similar) may be
engaged to undertake the certification audit.
The OHS Auditor will be required to undertake
a desk-top audit of the contractor's WHS
Management System and, if it complies, to
provide certification, on the OHS Auditor's
letterhead, that the Contractor's WHS
Management System complies with the NSW
Government WHS Management Systems and
Auditing Guidelines 5th Edition. The certificate
should include full details of the contractor and
the OHS Auditor including business names,
ABN numbers and addresses, and the
certificate issue date and expiry date of not
longer than 3 years.
A copy of the letter of certification, along with a
completed and signed copy of the checklist (at
Appendix A of these Guidelines) used to verify
compliance, should be maintained by the
contractor and provided to any NSW
government agency, upon request.
Accreditation under the Australian Government

Building and Construction OHS Accreditation
Scheme (Office of the Federal Safety
Commission) is deemed to comply with the
requirements of the NSW Government 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
contractors WHS Management System.
Audits of a contractors 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
contractors 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 contractors WHS
Management System Agencies may (but are
not obliged to) withdraw acceptance of a
contractors 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.

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
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
contractors
implementation of
their Project WHS
Management
Plan.
Review
Contractors 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
contractors
implementation of
their WHS
Management
Plan.
Review
Contractors WHS
Management
Monthly Reports.
Investigate any
reported
Notifiable WHS
Incident.
Report WHS
performance
using Contractor
Performance
Reporting system.
5. What is a WHS Management System?

This section defines the minimum WHS Management System standard required, at both the corporate
and project levels. A WHS Management System contains a corporate system, project WHS
Management Plan and safe work method statements.
Corporate WHS
Management System
A Corporate WHS Management System will demonstrate a contractors 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 contractors consultation and risk management
processes, define who has responsibility for WHS, and outline how these policies, practices,
standards and procedures will be communicated.
The WHS Management System will also demonstrate the methods used to make sure that the
contractor and its service providers in the supply chain (with their agents and workers) understand
their WHS responsibilities. As a minimum it will address and provide all twelve (12) key elements
described in these Guidelines for the contractor See Section 6.
Project WHS
Management Plan
A Project WHS Management Plan is a document setting out the specific WHS resources, consultation
and risk management processes, responsibilities, procedures and practices, for a particular project.
The Plan describes how the contractor intends to implement its Corporate WHS Management System
for the whole of the project, and Safe Work Method Statements.
The Plan will address and provide all twelve (12) key elements described in these Guidelines for the
project. See Section 6.
WHS Management Plan
For contracts under $1m the NSW Government Agency may determine that in place of a Project WHS
Management Plan covering the twelve (12) elements, a Work Health and Safety Management Plan is
required
The WHS Management Plan must address the seven (7) element describes in these Guidelines. See
Section 7
Both the Project WHS Management Plan and WHS Management Plan will identify and address
project-specific WHS hazards for example, peculiarities of access and egress, areas
requiring protection of people from site hazards, unusual work practices, and the like.
Safe Work Method

Statements
A Safe Work Method Statement is a document that will identify the controls that will be put in place to
control and minimise the health and safety hazards and risks associated with high risk construction
work. See section 7.
6. Documenting a Corporate WHS Management

System
Documenting the system
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.
The WHS Management System documents will
generally consist of the following components.
WHS policy
The WHS policy sets out the contractors
commitment to work health and safety. The
most senior person within the organisation,
such as the Chief Executive Officer or
Managing Director, should endorse the policy.
The WHS policy should include a commitment
to:
Risk management processes
Compliance with relevant WHS legislation,

regulations and codes
Establishing measurable objectives and

targets for continuous improvement
WHS training
Consultation, communication and

cooperation
Disseminating WHS and related

information
Implementing the WHS policy.

WHS manual
The manual broadly describes how the

organisation will comply with each system
element, and will refer to the other system
documents for descriptions of the processes
required.
WHS procedures
Each system element involves a number of
activities, and the way these activities are to be
performed will be specified in system

procedures. At least one procedure is usually
required and written for each system element.
Procedures may be written in a text format, or
presented as flowcharts or diagrams. They
should spell out for each activity:
Proposed risk management processes and

how they will be recorded
The purpose of the activity
What should be done, and by whom
When, where and how it is done
What materials, plant, equipment and

documents are to be used.
Work procedures and
instructions
Technical procedures or work procedures

address work-related activities. Examples are
plant maintenance procedures, and site safety
inspection procedures.
These documents are particularly important for
training and informing, as they describe the
steps to be taken in performing tasks. Written
instructions allow WHS requirements for
particular tasks (applicable to most projects) to
be built into day-to-day operational procedures.
Work procedures and instructions should be
provided for all tasks with WHS risks to help
achieve best practice in WHS management and
performance. They must be available and used
at the work site in order to help control the work
processes and associated risks.
Forms and records
Various forms are used to help keep a record of
health and safety performance.
The checklist in Appendix A also provides
guidance in preparing a documented System.
7. 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 contractors 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 contractors workers are
implementing the Project WHS Management
Plan.
Responsibilities of the parties
and service providers in the supply chain from

any WHS risks arising out of the work.
Government agency
Reviewing the plan
The government agency will review the
contractors Project WHS Management Plan to
determine whether the 12 key elements
detailed in the WHS Management Systems and
Auditing Guidelines are clearly addressed.
Scheduling audits
The government agency will schedule, arrange
and participate in Project WHS Management
Plan audits with the contractor to be audited.
Following up
The government agency will follow up to
confirm that the contractor has completed all
the necessary corrective and preventive actions
within the required timeframes.
Audit teams
A member of the audit team must not

participate in a Project WHS Management Plan
audit if he or she:
Is in debt to the contractor or its service

provider
Is a partner or other business associate of

the contractor or its service providers
Is a worker, agent or consultant of the

contractor or its service provider
Is a relative of one of the contractors or its

service providers, or
Has any other conflict of interest.
(See Appendix A for a checklist for auditing a

Project WHS Management Plan)
Qualifications
The audit team must collectively have the
following qualifications:
1
The audit team will conduct the audits

scheduled by the government agency with the
contractor.
BSBAUD501A Initiate a quality audit

BSBAUD502A Prepare a quality audit
BSBAUD503A Lead a quality audit
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
Successful completion of a Management

System auditing course covering:
BSBAUD504A Report on a quality audit

2
Demonstrated knowledge of WHS Acts,

regulations, Codes and Standards as they
apply to the construction industry.
Demonstrated knowledge can be either
formal WHS qualifications or the accepted
equivalent; such criteria must be
acceptable to senior management in the
accrediting authority
Knowledge of the contract, project work

site, and site WHS requirements.
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.
Task
Preparation & conducting the audit
3. Prepare for the audit.
Responsibility
`Description

audit leader
Develop program for audit and assign

responsibilities to audit team members.
Discuss scope and objectives of audit.
Develop itinerary for audit.
Audit leader and audit

team
Agree on communication to be used

throughout the audit process.
Review contractors Project WHS

Management Plan.
Review any other relevant
documentation, for example, previous
audit reports, contractors actions to
address any Corrective Action Requests
from previous audits.
Audit leader, audit team,

contractors
representative,
government agency
4. Conduct the audit

Hold entry meeting
Follow audit methodology

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.

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

contractors 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 contractors representative

to confirm the non-conformance by
signing a document recording the nonconformance.
Preparation & conducting the audit
Task
Hold final audit team
meeting
Responsibility
`Description

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 nonconformances and completion dates for

corrective actions.
The audit report should be written and
provided on the day of the audit and
explained to the contractor at the exit
meeting. If this is not possible, then the
non-conformances must be
documented so they can be provided to
the contractor at the exit meeting. The
audit report should then be submitted
within one week of the audit to the
government agency, who should then
immediately forward it to the contractor.
Hold exit meeting
Audit leader, audit team,

government agency,
contractor

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.
Follow up actions
5. Follow up on
implementation of
corrective and
preventive actions

contractor
Record

contractor
Make sure the required corrective

action and preventive actions are
carried out within the agreed
timeframes.
Audit reports and comments by the

contractor will be managed within each
agency for its projects.
The results of audits and contractor

performance will be included, with other
matters, in Contractor Performance
Reports.
8. 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
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
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
1
Senior Management
Commitment
This element is about
defining the contractors
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.
Some specific WHS matters for which

Senior responsibilities
management must
provide
appropriate
and
authorities
need to be
defined
in both
job descriptions
and
levels of
competent
supervision
and contract
documented
procedures:
management, that are trained, know their
Defining
contractors
WHS policies
and
responsibilities
and the
have
sufficient authority
to
make sure objectives
that WHS requirements are met.
Identifying personnel responsible and qualified
for WHS processes
Identifying
a Senior
Identifying
internal audit
and review
Management
requirements
Representative
Allowing for enough time and sufficient
resources to implement the contractors WHS
A Senior Management Representative must be
management system
identified
made responsible
and
Managing
compliancefor
with WHS legislation,
implementing and maintaining the WHS
regulations, codes and standards
System/project plans and monitoring
Managing compliance with the contractor's
compliance.
WHS management system
Managing WHS design issues
AcquiringSpecific
and disseminating
issues for WHS
whichand related
information
responsibilities should be
Establishing
and implementing consultation
defined
arrangements with workers, workplace
Senior management
must
the
committees
andclearly
othersdetail
representatives
on
responsibilities
and
authorities
of
personnel
for
WHS matters
each specific task. It is important to make clear
Planning and conducting WHS training,
who can make
decisions
on WHS
including
induction,
taskissues,
and refresher training
especially
regarding
the
actions
required with
Developing and implementing
emergency
actual and procedures
potential non-compliances, non Assessing
contractor's
providers
conformance
or other the
problems.
(See service
box
)
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)
2.
WHS Communication and
Consultation
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
Why communication and
consultation are
important
Workforce participation in planning and
managing WHS improvements is an effective
means of tapping into the knowledge of
workers and service providers about their
activities and the ways in which WHS
management and performance can be
improved.
When decisions are made about the

adequacy of provisions for the welfare of
workers and others
When changes that may affect health,

safety or welfare are proposed for the place
where people work, to the systems or
methods of work, or to the plant/equipment
or substances used at work
When conducting investigation into

incidents, dangerous occurrences or near
misses.
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
When work-related health and safety

hazards are identified, risks are assessed,
and the assessment of those risks is
reviewed
Record, publicise and encourage workers

representatives to participate in the
workplace consultative processes on a
regular basis
When decisions are made about measures

to be taken to eliminate or control those
risks
Consult on the job on safety issues through

regular communication between managers
and workers
Provide access to relevant WHS

information through notice boards, toolbox
meetings, circulars and safety alerts
Liaise with their service providers to

coordinate WHS consultation and
communication on work sites
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 introducing or altering procedures for

monitoring those risks (including health
surveillance procedures)
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 establishing the site-specific

communication and consultation
arrangements and when reviewing these
arrangements
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:
Work Health and Safety Act 2011 - Part 5

Consultation, representation and participation
Hazards associated with their work and the

work site.
Code of Practice - Work Health and Safety

Consultation, Co-operation and Co-ordination
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.
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.
Work Health and Safety Regulation 2011

Chapter 2 Representation and Participation
How they consult with their workers and

service providers
The formal arrangements for interfacing

with their service providers
The formal arrangements for interfacing

and communicating with labour hire
companies
How they and their service providers

comply with WHS requirements.
Communication and consultation is vital when

working with service providers. WHS issues to
discuss and resolve with subcontractors may
include:
Site Safety Rules
Safe Work Method Statements
Contractors should demonstrate:
Changes to work site conditions
A clear chain of responsibility
Adequate supervision
Introduction of new processes, materials

and substances onto the work site
WHS training
Hazard identification and risk assessments.
(including all those used by all service

providers on site). See key element 9.
Service provider compliance
The WHS Regulation 2011 provides that a

Principal Contractor must be appointed or
identified for all construction work:
Costing over $250,000, or
Principal Contractors must monitor on-site

service provider compliance with legislation, the
project WHS Management Plan and Safe Work
Method Statements. Where non-compliance is
identified, any affected work must cease until
the safety issue is rectified
WHS Management Plan
Principal Contractors
Of high risk (as defined in WHS

Regulation), or
Involving demolition or asbestos work
for which a licence is required under the
WHS Regulation 2011.
Contractors appointed as the principal

contractor by an agency must show how their
Corporate WHS Management System
procedures address the additional
responsibilities of a Principal Contractor, as well
as, their normal responsibilities as a contractor,
workplace controller and employer.
A Principal Contractor also has responsibility
for the following:
WHS Induction training
Principal Contractors must make sure that all
persons carrying out the work on site are
provided with WHS induction training prior to
commencing such work. The Principal
Contractor must keep records of such training.
See key element 6.
Certificates of competency
Principal Contractors must make sure that the
relevant certificates of competency, licences or
permits required to carry out particular work on
site are sighted prior to commencement of that
work. See key element 5 and key element 6
Consultation
Principal Contractors must facilitate
consultation between all service providers on
site and their workers, as well as between the
service providers. See key element 2.
Hazardous chemicals register
Principal Contractors must keep a register of all
hazardous chemicals present at the work site,
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.

Selecting service providers
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 providers place
of work.
Risks to some service providers can be higher,
and need special attention, because they:
Are on a site for a short period of time
Are working with various people on various

sites
Sometimes work in isolation from the main

project activities.
The benefits of working closely with service

providers on work site WHS issues may
include:
Better management of on-site safety
Improved identification of hazards and

control of WHS risks
Improved development and compliance

with WHS Management Plans and Safe
Work Method Statements
Fewer project delays.
Selecting service providers on their ability to

comply with WHS requirements is an important
aspect of service provider management.
To assist this, a panel could be maintained of
qualified service providers that have been
confirmed as capable of meeting base
requirements. Some aspects to look for in
selecting service providers include:
Past performance and demonstrated

capability
Quality of past work
Safe work practices, including past use of

WHS Management Plans and Safe Work
Method Statements
Ability to comply with WHS requirements
Having an acceptable Corporate WHS

Management System
Compliance with workers compensation

and other insurance arrangements
Records of the various levels of WHS

induction and other training
Evidence of any WorkCover NSW

certificates of competency, licences or
permits relevant to the proposed work.
Monitoring service providers in the supply

chain
Contractors must show how they monitor and
review the performance of their service
providers. This can be achieved through such
things as:
Performance reporting
Monitoring compliance with Safe Work

Method Statements, safety procedures
and site safety rules
Monitoring compliance with WHS,

workplace injury management and
workers compensation requirements
Monitoring compliance with induction

and other training requirements.
The elimination of risks at the design or
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
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 design process should also include the

development and provision of design related
construction risk and operational risk
management information about:
The facility to be constructed that may

affect health and safety
Plant and equipment that may affect health

and safety.
Design procedures
Contractors, their clients and designers should

consult about the hazards identified during all
stages of the design. This includes hazards
identified with construction, use, maintenance
and disposal, and determining and describing
how they will to be managed.
Design procedures should:
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
Compliance with WHS legislation,

regulations and Codes of Practice
Define the process for consultation with the

Client and designer about:
health and safety risks arising from

the design during construction work
are eliminated or minimised
any information they have in relation

to hazards and risks at or in the
vicinity of the workplace where the
construction work is to be carried out
The construction method, and, when

removal and disposal will be required, the
demolition method)
Describe how the safe design report, safe

design WHS file or similar design
information will be obtained from the Client
or designer
The construction work site, such as existing

services below ground and geo-technical
issues
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
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:
The purpose for which the structure was

designed
The results of any calculations, testing,

analysis or examination
Any conditions necessary to ensure that

the risks associated with the structure are
minimised when used for a purpose for
which it was designed, or, during
construction, maintenance and demolition.
One way of communicating this

information is for the designer to
establish a safe deign WHS file for
transfer to the client and contractor.
A safe design report needs to be
prepared for designs of structures that
have unusual or atypical features which
present hazards and risks during the
construction phase that are unique to the
particular design. The
safety
Example
of report
a safe
should include information
about:
design review
process:
Any hazardous materials

or structural
Construction
Hazard
Assessment
features and the designers
assessment of
Implication
Review
the risk of injury or
illness to construction
(CHAIR)
workers arising from those hazards
Risk Management
CHAIR is a tool used to assist designers,
The action the designer has taken to

constructors, clients and other key
control
those risks,
example changes to
This element is about defining
a process
to for
stakeholders
to come
together to reduce
the
design.
identify WHS hazards, assess
risks and
plan
construction,
maintenance,
repair and
disposal
work processes to control
those WHS
risks. risks
It alsorelating to design.
covers Safe Work Method Statements and
The
CHAIR framework is intended to be
hazardous management
processes
applied to projects where the design
process is no longer simple, the design is
unique, or the project is unusual or high risk.
CHAIR is available on the WorkCover NSW
Codes of Practice
Construction Work,
Demolition Work, and,
Safe Design of Structures,
Work Health Safety Act 2011 Part 2

Health and safety duties, and,
construction work.
For effective WHS management,
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
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.
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).
Risk Management process
All construction related work processes have

some potential to be hazardous to those
involved or on the work site. Poorly planned or
poorly controlled processes are most likely to
cause illness or injury.
How to identify a hazardous process
Identify illness/injury and incidents that

have occurred in the past, and recognised
high risk work (See box on Page 24)
Consult with personnel and advisers to

identify what they consider to be safety
issues
Inspect the work area for specific hazards
Review all applicable information, such as

Safety Data Sheets to identify the WHS
hazards involved and precautions required
Source: Code of Practice: How to Manage Work health

and Safety Risks.
Effective procedures should be developed and

implemented at the place of work to identify
hazards:
Prior to works commencing on site
Prior to using work site premises for the

first time
Before installing, erecting, commissioning

or altering plant or equipment
Minimum documentation
for effective risk
management
Contractors must document:
Methods for identifying WHS hazards, and

assessing and controlling WHS risks
Practices to minimise the risk of

illness/injury and incidents occurring, and
High risk construction work that

Involves a risk of a person falling more than 2
metres
Is carried out on a telecommunication tower
ensure compliance with the relevant WHS
legislation, regulations, standards and
codes
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.
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
Involves demolition of an element of a structure

site or
safety
that is General
load-bearing
otherwise related to the
procedures
physical integrity of the structure
safety
Involves,
or is likelyand
to involve,
the disturbance of
General site
procedures
rules must
be in force onasbestos
every work site. These include
Involves
structural
or repairs that
rules for protective clothing,
safealterations
access and
temporary
support to prevent collapse, is
egress, trafficrequire
and personnel
movement,
out in orand
near
a confined
induction andcarried
other training
locating
and space
identifying
including
services,
Is carried
out in orelectricity
near: and
gas. The procedures
and
rules
must
bean excavated depth
- a shaft or trench with
documented and greater
appropriately
communicated
than 1.5
metres
to all people working
on
the
site.
- a tunnel
Involves
the useand
of explosives
The contractor
must provide
maintain
Is
carried
out
on
or
near
pressurised gas
adequate amenities for the welfare and
distribution
or piping
personal hygiene
needs mains
of people
on the work
Is
carried
out
on
or
near
chemical, fuel or
site.
refrigerant lines
Is carried
outrisk
on work
or near
energised
High
requiring
a electrical
licence
installations
or services
Is carried out in an area that may have a
Particular risk control measures (such as
contaminated or flammable atmosphere
specialised facilities, proven work methods and
Involves tilt-up or precast concrete
specialised training) are required for high risk
Is carried out on, in or adjacent to a road,
works.
railway, shipping lane or other traffic corridor that
is in use
by traffic
pedestrians
Contractors should
consult
withother
their than
service
Is together
carried out
in an and
areadocument
at a workplace in which
providers, and
identify
any high risk work, licence requirements,
competency and training needs and implement
appropriate measures to control the associate
risks.
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
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.
performing a simple task. Due to the changing

nature of construction sites and construction
work, training needs should be regularly
reviewed and reassessed.
required on longer-duration projects or for

particular high-risk activities, such as work
underground or in confined spaces, plant
operation, use of hazardous substances,
manual handling and First Aid.
Requirements for training

WHS induction training
Training programs must cover WHS induction,

task training, emergency procedures, WHS
committee and WHS representative
consultation training as well as ongoing training
needs.
An appropriate induction program builds

understanding and responsible attitudes, as
well as knowledge about site safety rules, and
WHS issues, hazards, risks and procedures.
Contractors must:
Induction training must cover WHS matters

associated with:
General construction work
Each specific work activity to be

undertaken
The specific work site.
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
7
Inspection,
Testing and Servicing
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
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.
.
are proceeding safely and in accordance with

WHS Management Plans and requirements.
The work site activities, work methods,
materials, plant and equipment will be subject
to planned inspections and test programs to
verify compliance and conformity. Inspection
and testing will also occur at key stages of the
project, including receipt of products, during
high-risk activities and on completion of
construction.
Checklists and records are commonly used to
measure compliance and conformity.
Inspection and Testing Plans

An Inspection and Testing Plan should be
developed for each work process/product
before that work begins, allowing for the WHS
risks involved. It should take into account.
The timing and nature of high-risk

construction work and/or an activity
requiring a high risk work licence
The identified work site hazards, and the

risks and controls associated with these
hazards
The likelihood of unforeseen hazards or

risks emerging in between inspections
Any instructions provided by the designers,

manufacturers or suppliers of products
Any regulatory requirements, such as

registration of plant.
An Inspection and Testing Plan will specify:
Particulars of the inspection and test

program, including hold/witness points,
methods and acceptance criteria for WHS
with processes and products
Personnel to whom the responsibility for an

inspection or test and acceptance has been
assigned, and their qualifications
The type and form of the records to be

maintained
Where records will be kept, allowing that

these will be made available to any party
who has a legislated or contractual right of
access.
Incoming products
Inspection and tests usually start with incoming

materials, manufactured products, plant and
equipment. In some cases inspection and tests
are carried out at the suppliers or other
premises.
The levels of direct inspection and testing
required by a contractor will depend on the
extent of the quality control exercised by their
suppliers and subcontractors, and on the
importance of the particular component or work

activity.
As a minimum, an incoming materials
inspection on the work site should check for
correct type and quantity, safe packaging,
correct labelling, correct documentation,
provision of WHS information, and that no
transit damage has occurred.
Plant and equipment
Plant and equipment must be regularly
inspected and maintained, in accordance with
regulatory requirements and the instructions
provided by manufacturers, designers or
suppliers. In particular, lifting equipment and fall
arrest equipment must be checked regularly.
These inspections and tests must be carried
out by suitably qualified personnel in
accordance with approved procedures and
requirements.
Inspection and test status
A method of identification is required to show
that incoming products, construction work
generally, plant, equipment, temporary work,
protection systems and work environments
have passed the required inspections and
tests.
A system of tags, colours, stickers, stamps,
barriers, special storage areas or records
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 manufacturers instructions, and
maintenance and calibration records kept.
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.
Such servicing should generally be carried out
in accordance with the manufacturers
instructions, paying particular attention to
maintenance of safety devices and the use of
appropriate lock-out, isolation, danger tags, and
permit to work systems.
Maintenance and calibration records for

measuring equipment.
Health surveillance and monitoring records
WHS Inspection and Test Plans
Should define the requirements and criteria

for performing health and safety
inspections and tests on the project
Should define the frequency, content, and

competency requirements of personnel
conducting the inspection and tests
Should define and incorporate statutory

inspection requirements in relation to plant
and equipment eg lifting gear, temporary
structures, mobile and tower cranes,
scaffold, gas monitors, fire fighting
equipment, first aid kits etc
Should identify the records required to

demonstrate the performance of the
inspection and test
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:
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:
Exposure to hazardous substances, such

as asbestos, lead
Plant and equipment
Noise, >85dB (A) over continuous periods
Incoming products
Radiation
Work site conditions
Exposure to hot and cold work

environments
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
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
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
Managing WHS issues
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
A WHS issue exists when materials,
construction methods, plant or equipment,
temporary work, protective systems, work
practices, work site conditions or other work
activities do not meet WHS requirements. WHS
issues also include incidents and near misses.
It is essential that WHS issues are documented
and rectified, with monitoring of trends to
identify root causes.
Incident management
Incident management involves taking action to:
Notify WorkCover of notifiable incidents
Promptly detect, identify and document any

non-compliance
Report illness/injury and incidents
Eliminate unsafe work practices and unsafe

areas
Quarantine non-complying materials and

other products
Advise appropriate parts of the contractor,

its service providers and relevant
authorities
Rectify irregularities, non-conformances

and non-compliances
Consult with personnel about proposed

changes that may affect their health, safety
or welfare at work.
Corrective action
WHS inspections, audits and reviews,

incidents, illness/injury, and near misses
provide definite pointers to unsafe work
practices and processes.
Incidents, near misses and illness/injury and
their causes should be recorded, investigated
and analysed. The results should be used to
bring about improvements in policies,
standards, procedures, processes and work
practices, and progressively lift WHS
performance.
Procedures should be established and used for
recording and implementing corrective actions.
These procedures should include consultation
with personnel and advisers so that their views
on any proposed measures can be taken into
account before implementation.
Ongoing process
Corrective action should not only arise when an
inspection, audit or review is carried out or an
illness/injury or incident occurs. Work site
activities should be regularly assessed for WHS

issues and potential risks to health and safety,
and action taken to minimise risks by the
Contractor, in consultation with affected
workers and service providers, to avoid
illness/injury and incidents.
Management and Workers Compensation Act

as amended. The return to work program
should address:
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
Matters that could lead to
become ill.
WHS issues:
An injury
Non-compliance with
management
WHS risk management
and return to
processes
work
Non-compliance with
program is a
WHS policy,
requirement
procedures,
of all
instructions, standards
employers
or specifications
under the
Workplace
Causes of an
Injury
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
Treatment of injury and illness
Rehabilitation and return to work
Retraining
Claims management
Employment management practices

Statistical techniques
Statistical techniques should be applied to

illness/injury, incident, injury, disease and
compensation data, both at the work site level
and at the planning level with the Contractor.
This is with a view to monitoring the trends so
that corrective and preventive action can be
taken where necessary to improve WHS
performance, including injury management.
(This is not a complete list
but only a guide)
Improving health and safety

performance
Develop and take corrective action to:
eliminate
the root cause so the illness /
Investigate the causes
of illness/injuries
injury
incidents
and incidents, record
theand
results
of the do not reoccur
investigation
Develop and take preventative action:

Analyse workplaceeliminate
activitiesthe
for hazards
potentialto reduce the
hazards to health and
safety.
likelihood of the risk of harm to people.
Analyse the resultsCommunicate

of WHS reviews
and and operational
system
audits for potentialimprovements
system and to those working with the
operational improvements
system.
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:
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
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:
The purpose of the product
The testing and inspections required
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
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:
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
appropriate licence certificates and are
competent to operate the equipment.
Conducting hazard identification and risk

assessments before products are moved
Developing and implementing Safe Work

Method Statements or work instructions
Code of Practice Hazardous Manual

Tasks
Minimising the use of hazardous chemicals

and dangerous goods
Code of Practice - Managing the risk of

hazardous chemicals in the workplace
Arranging appropriate storage, handling

and licensing of dangerous goods and
hazardous substances
Code of Practice Labelling of workplace

hazardous chemicals
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.
Data Sheets for hazardous chemicals
10
Client
Reporting and Project
Performance
Measurement
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
Define the methodology for establishing,

monitoring and reviewing WHS objectives
and targets for corporate and project level
Require objectives and targets to be

incorporated into the Project WHS
Management Plan
Specify how requirements in regards to

preparing regular WHS performance
reports / records, e.g. monthly
Define the process for collating WHS

performance reports from all projects and
benchmarking performance across the
contractor operations
Require the review of the Performance

Reports by the contractors senior
management and provide feedback to the
Project Team
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:
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.
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
These Guidelines enhance the reporting

culture.
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 contractor should establish procedures for

the timely reporting to the Client of:
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:
Client Reporting
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
A schedule of internal reviews must be
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.
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
An important factor for the success of
12
Documentation and Records
This element is about establishing procedures,

for the control, approval, dissemination,
withdrawal, storage and disposal of WHS
documents, data and other records
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,
Results of audits, including nonconformances and the implementation of

corrective actions
actions. Reviews should be scheduled to suit

The reviews should:
the importance of, and risks with, the element
being
Be carried
out at regular intervals
or area
reviewed.
Results
internal each
reviews
must
beSystem/Plan
brought to
ofExamine
of the
key
the attention
of
the
contractors
personnel
elements
responsible for the area reviewed, who must
Be capable
identifying deficiencies in
take corrective
actionofimmediately
the System and project WHS
Contractor
Senior Management
management
plans andmust
their be
provided implementation
with reports on the outcomes of
internal reviews and the status of outstanding
Be
carried out by persons with the skills,
corrective
actions.
competency and knowledge of the
System and plans
and documentation
Required
Be fully records
documented,
recorded, and
include:
reviewed by the contractors senior
management
Project WHS Management Plan or WHS
Management Plan
Be available for review by external
auditors
Safe work procedures
Result in corrective action being
undertaken
Training records
to rectify any deficiency in
the
System
or
plans records
First aid treatment
Emergency
procedures
Include
follow-up
actions to assess the
effectiveness of any corrective action
Hazard identification and risk assessments
Incident and illness/injury reports
Plant and equipment records
Work permits
Safety Data Sheets
Hazardous chemicals records
Inspection, testing and servicing records
Details of qualifications held by individuals
Internal review reports
Minutes of workplace WHS meetings and

Toolbox Talks
Safety equipment records
WHS design review records
Audit reports
Injury and workers compensation

management records
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.
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.
A contractor should have and implement

procedures and processes to verify that at any
point during a project:
Documents and data are accurate, easy to

understand and up-to-date
Documents and data can be easily found

when required, and the people who need
them get them when they need them
Documents and data are periodically

reviewed and revised as required by
competent personnel
Changes are recorded and, unless
otherwise required, superseded documents
and data are removed from use
WHS records
It is important to keep records to monitor the

effectiveness of WHS management and to
verify that people follow the required
Identification, filing,
retrieval and retention
Procedures should be established and used to:
Clearly identify the current version of the

document that is applicable to the project
Identify, collect, document, retain and

protect WHS information and data
Allocate responsibility for the retention of

records
Maintain a register to control the storage

and disposal of records
Audit compliance and show evidence that

required actions have been taken on WHS
records and record issues.
(This is not necessarily a complete list, and

other records and documentation may also be
required)
9. WHS Management Plans

What is a WHS
Management Plan?
undertaking at the workplace for

consultation, cooperation and coordination
of activities in relation to compliance with
their duties under the WHS Act and
Regulations
A WHS Management Plan sets out the

arrangements to manage work health and
safety on a construction project.
The intention of a WHS Management Plan is to
ensure the risks associated with a construction
project are managed, as there are usually
many contractors and subcontractors involved
and circumstances can change quickly from
day to day.
The WHS Management Plan must be in writing,
accessible and easily understood by workers
on the site. It may not be necessary to
communicate the entire WHS Management
Plan to all workers; including contractors and
subcontractors, however, they must be made
aware of the parts that are applicable to the
work they are carrying out.
The WHS Management Plan must be
implemented, maintained and kept up to date
during the course of the work on the site.
Preparing a WHS
Management Plan
The level of detail required for a WHS
Management Plan will depend on how complex
the workplace is (in particular, the number of
contractors at the workplace at any one time)
and the risks involved in the work.
The principal contractor should prepare a WHS
Management Plan that includes:
4. The arrangements in place for managing

any work health and safety incidents that
occur
5. Any site-specific health and safety rules
and the arrangements for ensuring that all
persons at the workplace are informed of
these rules
6. The arrangements that will be in place to
ensure that all persons receive the
appropriate WHS training before
commencing work on site.
7. The arrangements to collect and assess,
monitor and review the SWMS.
The WHS Management Plan may include the
following information:
Details of the Client, that is the person

commissioning the construction work, for
example their name, representative and
contact details
Details of the principal contractor
Details of the construction project, for

example address of the workplace,
anticipated start and end date and a brief
description of the type of construction work
that the WHS Management Plan will cover
Details on how subcontractors will be

managed and monitored, including how the
principal contractor intends to implement
and ensure compliance with the WHS
Management Plan such as checking on the
performance of subcontractors and how
non-compliance will be handled
Details on how the risks associated with

falls, falling objects, moving plant, electrical
1. A Project-specific Risk Assessment,

identifying hazards and assessing the risks
associated with the work, and
documenting the risk control measures to
be taken
2. The names, positions and health and
safety responsibilities of all persons at the
workplace, whose positions or roles
involve specific health and safety
responsibilities in connection with the
construction project
3. The arrangements in place between any
persons conducting a business or
work and all high risk construction work that

will take place on a construction project will
be managed
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
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
Risk Management
The hazards associated with each work activity

must be identified and the associated risks
assessed, and measures for eliminating or
minimising and monitoring the risk controls
developed, documented and implemented.
The principal contractor must manage the risks
associated with: the storage, movement and
disposal of construction materials at the
workplace; storage at the workplace of plant
that is not in use; traffic in the vicinity of the
workplace that may be affected by the
construction work; and essential services,
including underground/hidden electrical and
gas and overhead power lines.
2
People with health and safety
responsibilities
The statement of responsibilities must list the
names and positions of the people on the work
site, who will be responsible for WHS
management, including:
Identifying hazards and assessing the risks

associated with the work, and documenting
the risk control measures to be taken
Managing compliance with WHS workplace
injury management and workers
compensation legislation, Regulations,
standards and codes, Safe Work Method
Statements and the Site Safety Rules
Assessing and monitoring the capability of
subcontractors and other service providers
in the supply chain, and verifying that they
meet WHS requirements
Displaying and making Site Safety Rules

available to personnel on, and visitors to,
the work site
Making sure that the WHS Management

Plan is prepared and kept up to date, is
assessable to all persons working on site
and that the people work on site are aware
of the content of the WHS Management
Plan
managing the WHS communication and

consultation provisions in accordance with
the regulatory and other requirements
conducting site-specific induction, and

other training
Making sure that before starting work on

site all personnel attend suitable induction
training courses)
Preparing, maintaining and making

accessible the register of hazardous
chemicals
Managing workplace injury management

processes to suit procedures
Maintaining first aid stocks and providing

first aid
Managing illness/injury and emergency

processes to suit procedures
Keeping WHS records.
3
Communication and
consultation
The principal contractor must include details in
the WHS Management Plan about how the
persons conducting a business or undertaking
at the workplace will consult and cooperate with
each other.
There should be ongoing consultation and
cooperation between all duty holders so that
when work overlaps, each person is aware of
other construction activities and can control any
associated hazards and risks.
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
Illness/injury and
emergency procedures
First Aid arrangements; including facilities

and First Aid equipment and the
arrangements for training in First Aid
Protection of all workers

and the public
Site Safety Rules
Principal contractor must prepare and

implement Site Safety Rules, display them on
noticeboards and other suitable locations on
the work site, and provide them to all personnel
who may work on the site and visitors to the
site.
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
No working live
All electrical work, plant and equipment

must comply with WHS and electrical
safety legislation, regulations, standards,
codes and procedures, including inspection
and tagging of leads and power tools
The presence and location of all electrical

cables will be identified before commencing
adjacent work
Demolition, excavation,
formwork and other
structural frames
Personal protective
equipment
All workers and visitors must wear

appropriate personal protective equipment
(PPE) when on the work site
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
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
Site access and security
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
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
Effective barricades, fencing and overhead

protection will be used
Elevated work
The Site Safety Rules must cover and include,

but are not limited to, the following.
All first aid facilities and illness/injury and

emergency procedures will be clearly
identified and used, including reporting
illness/injury and incidents
Safe working
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.
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.
The WHS Management Plan must include

details of the arrangements for the preparation,
collection and any assessment/approval,
monitoring and review of SWMS at the
workplace.
The WHS Management Plan must also include
arrangements to ensure that SWMS are
followed by all affected workers (including
contractors and subcontractors), and that work
is ceased if the SWMS is not being followed.

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
A SWMS should also include the following

information:
The name of the person conducting a

business or undertaking, their address and
ABN (if they have one)
Details of the person(s) responsible for

ensuring implementation, monitoring and
compliance with the SWMS
If the work is being carried out at a

construction project:
the name of the principal contractor
the address where the high risk

construction work will be carried out
the date the SWMS was prepared and
the date it was provided to the principal
contractor
the review date (if any)
Complying with a SWMS
All contractors who are involved in high risk

construction work must develop and implement
arrangements to ensure the work is carried out
in accordance with the SWMS.
Arrangements may include a system of routine
or random workplace work activity
observations, for example, observing workers
and supervisors to see if the control measures
outlined in the SWMS are being implemented.
If the work is not being carried out in
accordance with the SWMS, then the work
must stop immediately or as soon as it is safe
to do so.
operation of the SWMS and their health and

safety representatives who represented that
work group at the workplace.
When a SWMS has been revised, the person
conducting a business or undertaking must
ensure:
All workers involved with the high risk

construction work are advised that a
revision has been made and how they can
access the revised SWMS. The principal
contractor should be given a copy of the
revised SWMS
All workers who will need to change a work

procedure or system as a result of the
review are advised of the changes in a way
that will enable them to implement their
duties consistently with the revised SWMS.
All workers that will be involved in the high

risk construction work are provided with the
relevant information and instruction that will
assist them to understand and implement
the revised SWMS
Work 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
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:
43
APPENDIX A
A.
WHS Management System/Plan General

Question
Is/Does the WHS Management System/Plan
No.
Page Number or Evidence

of Implementation
1.
Actively maintained and up to date?
2.
An easily understood document?
3.
Accessible to all workers?
4.
Clearly describe organisational responsibilities (in a

chart)?
5.
Clearly describe the contractors 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:

and Auditing Guidelines - September 2013
44
Senior Management Commitment

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:
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:
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
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
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
For preparing and communicating Site Safety Rules?
Findings
Training
Question
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
Inspection, Testing and Servicing

Questi
on
Does the System/Plan clearly describe the

contractors 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
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
Incident Management and Corrective Action

Question
No.
Page Number or
Evidence of
Implementation
1.
Detecting and documenting issues and incidences of noncompliance and non-conformance?
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 contractors 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
Purchasing, Handling, Storage, Packaging and Delivery
Question
Does the System/Plan clearly describe the contractors

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 organisations

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?
Purchasing, Handling, Storage, Packaging and Delivery continued
Findings
10
Client Reporting and Project performance measurement
Question
Does the System/Plan clearly describe the contractors

procedures for:
No.
1.
Page Number or
Evidence of
Implementation
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
contractors 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 contractors 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
11.
Internal Review
Question
No.
Does the System/Plan clearly describe procedures for

systematically reviewing (including auditing) WHS activities and
Management Plans, including:
Page Number or
Evidence of
Implementation
1.
Carrying out reviews at regular intervals?
2.
Identifying deficiencies in the WHS Management System

and Plans?
3.
Specifying the responsibilities and competency of those

carrying out the review?
4.
Documenting reviews?
5.
Conducting regular audits of implementation and compliance

with the WHS Management System and Plans?
6.
Identifying the root cause of any breaches/nonconformances 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
12.
Documentation and Records

Question
No.
Does the System/Plan include procedures for and detail the

following records for maintenance:
Page Number or
Evidence of
Implementation
1.
Document control procedures for WHS documents and data,

including their identification, approval, maintenance,
dissemination, retention, withdrawal and disposal?
2.
Records management procedures for maintaining WHS

records, including their identification, filing, retrieval and
retention?
Question Does the System / Plan clearly describe record-keeping requirements
for:
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?
11.
Internal review reports?
12.
Documentation and Records - continued
Page Number or
Evidence of
Implementation
No.
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

Whs Ms Guidelines May 2014 Final 1

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Work Health and Safety

Management Systems and

5th edition, September 2013

Work Health and Safety

1800 679 289

Work Health and Safety Management Systems and Auditing

WORK HEALTH AND SAFETY MANAGEMENT SYSTEMS AND AUDITING

Purpose of the Guidelines......................................................................................................................................1

APPLICATION OF THE GUIDELINES...............................................................3

WHAT IS A WHS MANAGEMENT SYSTEM?...................................................7

Corporate WHS Management System................................................................................................................7

DOCUMENTING A CORPORATE WHS MANAGEMENT SYSTEM.................8

Documenting the system........................................................................................................................................8

AUDITING PROJECT WHS MANAGEMENT PLANS.......................................9

Responsibilities of the parties..............................................................................................................................10

Task and responsibilities for auditing.................................................................................................................11

WHS MANAGEMENT SYSTEM ELEMENTS..................................................14

Senior Management Commitment..............................................................................................................15

WHS Communication and Consultation...................................................................................................16

Managing Subcontractors and Consultants..............................................................................................18

Inspection, Testing and Servicing...............................................................................................................25

Incident Management and Corrective Action...........................................................................................28

Purchasing, Handling, Storage, Packaging and Delivery.........................................................................30

Client Reporting and Project Performance Measurement...................................................................32

Documentation and Records...................................................................................................................34

WHS MANAGEMENT PLANS..........................................................................35

People with health and safety responsibilities...........................................................................................36

Communication and consultation...............................................................................................................36

Site Safety Rules...........................................................................................................................................36

Safe Work Method Statements....................................................................................................................37

Revised requirements for safe work method

The Guidelines have been developed to enable

Since the 4th Edition there has been increased

Improves safety outcomes for all

Better WHS management

Change of terminology to include the new

New duties for designers

New requirements for the PCBU who

Work Health and Safety Management Systems

The Guidelines have been revised to reinforce

These requirements will apply for tenders

Implementation will be managed as part of

The effectiveness of the Guidelines will be

Sole traders and self employed people

Government departments and authorities

Associations, including not-for profits, if

Construction Consultative Committee

Work Health and Safety Management Systems

3. Application of the Guidelines

Contracts valued at below $1m

WHS Regulation 2011 requires a Work Health and

Work Health and Safety Management Systems

Acceptance and Certification of WHS

Accreditation under the Australian Government

Work Health and Safety Management Systems

Principal Contractor requirements

Submit a Project WHS

Government agency requirements

Consult with the

5. What is a WHS Management System?

WHS Management Plan

Safe Work Method

6. Documenting a Corporate WHS Management

Risk management processes