Occupational health and safety management system (OHSMS) – audit

report

Verification of OHSMS to AS/NZS 4801:2001 Occupational Health and Safety Management

Systems – Specification with guidance for use.
Principal contractor details

Trading name ABN

Legal name

Business address

Contact person

Phone Email

Auditor details

Auditor name Accreditation #

Phone Email

Signature Date

Acknowledgment
<Insert Auditor Name>, accredited auditor (construction), acknowledges the cooperation and
assistance provided by the staff and employees of <Insert Contractor Name> and thanks them for
their contribution to this OHSMS audit.

Confidentiality
Information obtained from <Insert Contractor Name> to assist in this OHSMS audit report will
remain confidential and will only be used for purposes associated with the Prequalification (PQC)
System.

Disclaimer
This report has been prepared by <Insert Auditor Name> for the sole purpose of assessing the
standard of the health and safety management of <Insert Contractor Name>, particularly whether it
satisfies the requirements contained within AS/NZS4801: 2001.

While every effort has been made to ensure the accuracy of this report, <Insert Auditor Name> will
not be held liable for the content and the consequences of its use.

Summary

Introduction
As part of the requirements of the PQC system, <Insert Auditor Name> received a formal request
by <Insert Contractor Name> to undertake an OHSMS audit. The audit focused on determining
whether the OHSMS, as a minimum standard, satisfied the requirements of AS/NZS 4801:2001.
The audit was undertaken on <Insert Auditor Date> at <Insert Site Address>.

Audit procedure
This audit was conducted in accordance with the procedures outlined in Guidelines for accredited
auditors (construction). The criteria used to assess the OHSMS are documented throughout the
contents of this report.

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Record of audit
This report contains a summary of the audit findings. Details of documentation reviewed, people
interviewed and other observations are recorded in the auditor’s notes and on the checklist on the
following pages. The auditor notes have been filed by <Insert Auditor Name> and will be made
available upon request.

Audit findings
The key findings are summarised in the table below.

Element Finding

OHS policy
Planning
Implementation
Measurement and evaluation
Management review

Conclusion
From the information made available during the audit, the OHSMS of <Insert Auditor Name> has
been found to <conform/not conform> with the requirements of AS/NZS 4801:2001.

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OHSMS audit checklist
OHS policy
Rating Considerations Comments
Authorised by top management.
Clearly states overall OHS objectives.
Appropriate to nature and scale of organisation’s risks.
Commitment includes establishing measurable objectives and targets to
ensure continued improvement aimed at eliminating work related injury and
illness.
Commitment includes complying with relevant OHS legislation and other
requirements placed on the organisation or to which the organisation
subscribes.
Documented, implemented, maintained and communicated to all employees.
Available to all interested parties.
Periodically reviewed to ensure it remains relevant and appropriate to the
organisation.

Planning
Rating Considerations Comments
Procedures established, implemented, documented and maintained for
hazard identification, hazard/risk assessment and control of hazards/risks of
activities, products and services over which the organisation has control or
influence.
Methodology for hazard identification, hazard/risk assessment and control of
hazards/risks, based on operational experience and commitment to eliminate
workplace illness and injury.
Methodology up to date.
Procedures established, implemented and maintained to identify and provide
access to all legal and other requirements that are directly applicable to the
OHS issues related to its activities, products or services, including relevant
relationships with contractors or suppliers.
Information up to date.
Communicate relevant information on legal and other requirements to
employees.
Documented OHS objectives and targets established, implemented and
maintained at each relevant function and level within the organisation.
In establishing and reviewing OHS objectives, hazards and risks,
technological options, operational and business requirements and views of
interested parties are considered.
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 OHS objectives and targets are consistent with WHS policy, including
commitment to measuring and improving OHS performance.
Management plans established and maintained for achieving objectives and
targets.
Responsibility designated for achieving objectives and targets at relevant
functions and levels of the organisation.
Means and timeframes by which objectives and targets are to be achieved
outlined.
Procedures established to ensure that current plans are reviewed and
amended to address changes at regular and planned intervals and
whenever changes to activities, procedures or services of the organisation or
significant changes in operating conditions occur.

Implementation
Rating Considerations Comments
Management have identified and provided resources (human resources,
specialised skills, technology, finances) required to implement, maintain and
improve the OHSMS.
Areas of accountability and responsibility of all personnel involved in the
operation of the OHSMS are defined, documented and communicated.
Areas of accountability and responsibility clarified for contractors.
A specific management representative is appointed, with defined roles,
responsibilities and authority for establishing, implementing and maintaining
OHSMS requirements and reporting on OHSMS performance to top
management for review and improvement.
In consultation with employees, training needs have been identified relating to
performing work activities competently, including OHS training.
Procedures are in place to ensure that OHS competencies are developed
and maintained.
Procedures for OHS training are reflective of the characteristics and
composition of workforce, which impacts on OHS management and
responsibilities, hazards and risks.
All personnel (including contractors and visitors) have undertaken training
appropriate to identified needs.
Training is delivered by people with appropriate knowledge, skills and
experience in OHS and training.
Documented procedures have been agreed to by employees for employee
involvement and consultation in OHS issues.
Information about consultative arrangements is made available to interested
parties.
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 Employees involved in developing, implementing and reviewing policies and
procedures for hazard identification, hazard/risk assessment and control of
hazards/risks.
Employees consulted when changes affect workplace OHS.
Employee and employer representatives received appropriate training to be
effectively involved in developing, implementing and reviewing OHS
arrangements.
Procedures developed to ensure that pertinent WHS information is
communicated to and from employees and other interested parties.
Appropriate procedures established for relevant and timely reporting of
information to ensure monitoring and performance improvements to OHSMS.
Reporting procedures include OHS performance reporting (including results
of OHS audits and reviews).
Reporting procedures include incidents and system failures.
Reporting procedures include hazard identification.
Reporting procedures include hazard/risk assessment.
Reporting procedures include preventive and corrective action.
Reporting procedures include statutory reporting requirements.
Information is established, implemented and maintained in a suitable medium
(i.e. print or electronic) to describe the core elements of the management
system and their interaction and provide direction to related documentation.
Procedures established, implemented and maintained for controlling relevant
documents and data required to be stored.
Document control procedures ensure that documents can be readily located
Document control procedures ensure that documents are periodically
reviewed, revised as necessary and approved for adequacy by competent
and responsible personnel.
Document control procedures ensure that current versions of relevant
documents and data are available at all locations where operations essential
to effective functioning of OHSMS are performed.
Document control procedures ensure that obsolete documents and data are
promptly removed from all points of issue and points of use or otherwise
assured against unintended use.
Document control procedures ensure that archival documents and data
retained for legal or knowledge preservation purposes or both are suitably
identified.
Documentation and data are legible, dated (with dates of revision) and readily
identifiable and maintained in an orderly manner for a specified period.
Procedures and responsibilities are established and maintained concerning
the creation and modification of the various types of documents and data.
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 Organisation precludes the use of obsolete documents.
A documented risk management process is established, implemented and
maintained.
Hazard identification considers situation or events or combination of
circumstances that has potential to give rise to injury or illness.
Hazard identification considers the nature of potential injury or illness relevant
to the activity, product or service.
Hazard identification considers past injuries, incidents and illnesses.
The hazard identification process considers the way work is organised,
managed and undertaken, and any changes that occur within these
dimensions.
The hazard identification process considers the design of workplaces, work
processes, materials, plant and equipment.
The hazard identification process considers workplaces, plant, equipment,
and the fabrication, installation, commissioning, handling and disposal of
materials.
The hazard identification process considers the purchasing of goods and
services.
The hazard identification process considers the contracting and sub-
contracting of plant, equipment, services and labour, including contract
specification and responsibilities to and by contractors.
The hazard identification process considers the inspection, maintenance,
testing, repair and replacement of plant and equipment.
For hazard/risk assessments, control priorities are assigned and based on
established risk levels.
Hazards/risks identified through risk assessment, are controlled through the
hierarchy of controls.
The process of hazard identification, hazard/risk assessment and the control
of hazards/risks is subjected to documented evaluation of effectiveness and
modified as necessary.
All potential emergency situations are identified and emergency procedures
documented for preventing and mitigating associated illness and injury.
Emergency preparedness and response procedures are reviewed and
revised where necessary, especially after the occurrence of incidents or
emergency situations.
Emergency preparedness and response procedures are periodically tested.

Measurement and evaluation

Rating Considerations Comments
Documented procedures are established, implemented and maintained to
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 regularly monitor and measure the key characteristics of operations and
activities that can cause illness and injury.
The effectiveness of monitoring and measurement methods is evaluated.
Appropriate equipment for monitoring and measuring OHS risks is identified,
calibrated, maintained and stored as necessary and records retained in
accordance with procedures.
Procedures are established, implemented and maintained to monitor the
performance and effectiveness of relevant operational controls and
conformance with organisational objectives and targets.
Procedures are established, implemented and maintained to monitor
compliance with relevant OHS legislation.
Situations where employee health surveillance is required are identified, and
appropriate systems are implemented.
Employees have access to individual health surveillance results.
Where required by legislation, the health of employees exposed to specific
hazards is monitored and recorded.
Procedures are established, implemented and maintained for investigating,
responding to and taking action to minimise any harm caused by incidents.
Procedures are established, implemented and maintained for investigating
and responding to system failures.
Procedures are established, implemented and maintained for initiating and
completing appropriate corrective and preventive action.
Changes in OHSMS procedures resulting from incident investigations, and
corrective and preventive action implemented, are recorded.
Procedures are established, implemented and maintained for identifying,
maintaining and disposing of OHS records and results of audits and reviews.
OHS records legible, identifiable and traceable to the activity, product or
service involved.
OHS records stored and maintained in order to be readily retrievable and
protected against damage, deterioration or loss. Retention times established
and recorded.
Records maintained appropriately to demonstrate conformance with OHSMS
criteria/components.
Audit program and procedures established, implemented and maintained for
periodic OHSMS audits to be undertaken by a competent person.
Audit program and procedures facilitate determination of whether the OHSMS
conforms to planned arrangements for OHS management including OHSMS
components/criteria.
Audit program and procedures facilitate determination of whether the OHSMS
has been properly implemented and maintained.
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 Audit program and procedures facilitate determination of whether the OHSMS
is effective in meeting the organisation’s policy and OHS objectives and
targets.
Audit program and procedures facilitate determination of whether the OHSMS
provides information on the results of audits to management and employees.
Audit program, including any schedule, based on the OHS importance of the
activity concerned and results of previous audits.
Audit procedures cover scope, frequency, methodologies and competencies,
responsibilities and requirements for conducting audits and reporting results.

Management review
Rating Considerations Comments
Top management undertakes OHSMS reviews at intervals to ensure its
continuing suitability, adequacy and effectiveness.
The management review process is documented and ensures that necessary
information is collected to allow management to undertake the evaluation.
Management reviews the continued relevance of and changes where
appropriate, the policy, objectives, responsibilities and other elements of the
OHSMS, in light of the OHSMS audit results, changing circumstances and
commitment to continual improvement.

Additional information
<Insert additional information>

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