SafetyMAP:Auditing Health & Safety ... - WorkSafe Victoria

Auditing Health and SafetyManagement Systems4th Edition

SafetyMAP:AUDITING HEALTH AND SAFETY MANAGEMENT SYSTEMS4th EditionPublished by the Victorian WorkCover Authority© Victorian WorkCover Authority 2002First Published 1994 (As ‘A Guide to OccupationalHealth and Safety Management Systems’)Second Edition 1995Reprinted 1997Third Edition 1997Fourth Edition 2002ISBN 0-7594-3102-7This book is copyright. Apart from any fair dealing forthe purpose of study, research, criticism or review, aspermitted under the Copyright Act, no part may bereproduced by any process without written permission.Enquiries should be made to:WorkSafe VictoriaP.O. Box 4306Melbourne Vic 3001Australia

CONTENTSPreface. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . 2Introducing SafetyMAP . . . . . . . . . . . . . . . . . . . . 3PART 1: SafetyMAP EXPLAINEDThe SafetyMAP approach . . . . . . . . . . . . . . . . . . 4The SafetyMAP process . . . . . . . . . . . . . . . . . . . 4Starting out-conducting a self-assessment. . . . . 4Continual improvement and self-audit. . . . . . . . . 5Certification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Documentation required . . . . . . . . . . . . . . . . . . . . 7Applying for a SafetyMAP certificate … . . . . . . . . 7A guide to internal auditing . . . . . . . . . . . . . . . . 8SafetyMAP certification levels . . . . . . . . . . . . . 10Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11PART 2: AUDIT CRITERIAElement 1 Health and safety policy . . . . . . . . . 14Element 2 Planning . . . . . . . . . . . . . . . . . . . . . . 152.1 Legal requirements andpractical guidance . . . . . . . . . . . . . . . . . . . 152.2 Objectives and targets . . . . . . . . . . . . . . . . 162.3 Health and safety management plans . . . . 17Element 3 Implementation . . . . . . . . . . . . . . . . 183.1 Structure and responsibility – Resources. . 183.2 Structure and responsibility– Responsibility and accountability. . . . . . . 183.3 Structure and responsibility– Training and competency . . . . . . . . . . . . . 193.4 Consultation, communicationand reporting – Consultation . . . . . . . . . . . 203.5 Consultation, communicationand reporting – Communication . . . . . . . . . 213.6 Consultation, communicationand reporting – Reporting . . . . . . . . . . . . . 213.7 Documentation . . . . . . . . . . . . . . . . . . . . . . 223.8 Document and data control . . . . . . . . . . . . 223.9 Hazard identification, risk assessmentand control of risks – General . . . . . . . . . . 233.10 Hazard identification, risk assessmentand control of risks – Specific . . . . . . . . . . 24Access control . . . . . . . . . . . . . . . . . . . . . . 25(Use of) Contractors . . . . . . . . . . . . . . . . . . 25Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25Disposal of materials and substances . . . . 25Employee welfare . . . . . . . . . . . . . . . . . . . . 25Hazardous substances/dangerous goods. . 25Permit to work . . . . . . . . . . . . . . . . . . . . . . 25Personal protective equipment . . . . . . . . . 25Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25Purchasing goods . . . . . . . . . . . . . . . . . . . . 26Signage . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26Storage and transport of materials . . . . . . 26Supervision . . . . . . . . . . . . . . . . . . . . . . . . . 26Supply of goods and services . . . . . . . . . . . 26Traceability . . . . . . . . . . . . . . . . . . . . . . . . . 263.11 Emergency preparedness and response . . 27Element 4 Measurement and evaluation . . . . . 284.1 Monitoring and measurement – General . . 284.2 Monitoring and measurement– Health surveillance . . . . . . . . . . . . . . . . . 294.3 Incident investigation andcorrective action . . . . . . . . . . . . . . . . . . . . . 304.4 Records and records management . . . . . . 314.5 Health and safety managementsystem audit . . . . . . . . . . . . . . . . . . . . . . . . 32Element 5 Management review . . . . . . . . . . . . 33Comparison between SafetyMAPand AS/NZS 4801:2001. . . . . . . . . . . . . . . . . . . . 34Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35TABLE OF CONTENTS 1

PREFACESince its introduction in 1994 SafetyMAP has maintained its place at the leading edge of health and safetymanagement systems auditing.In this 4th edition we have retained the original concepts and style of SafetyMAP, whilst aligning the auditcriteria more closely to the format used in Australian Standards such as: AS/NZS 4801:2001, Occupationalhealth and safety management systems – Specification with guidance for use; AS/NZS 4360:1999, Riskmanagement; AS/NZS ISO 9001:2000, Quality management systems – Requirements; and AS/NZS ISO14001:1996, Environmental management systems – Specification with guidance for use.Past experience has shown us that the majority of interest is in the SafetyMAP Initial and AdvancedCertification Levels. The Transition Level has therefore been removed from this 4th Edition to more closelyreflect the preference of the majority of stakeholders. The inclusion of additional criteria at InitialCertification Level is consistent with the concept of continual improvement.A further change is to the arrangement of elements. The 4th Edition sets out criteria for auditing a healthand safety management system under element headings equivalent to the major headings in clause 4 ofAS/NZS 4801:2001.We believe that the changes will make SafetyMAP a better product and more compatible with AustralianStandards.ACKNOWLEDGEMENTSThis document was prepared by the Management Systems Branch of WorkSafe Victoria. Comment andreview of the document was sought from a wide spectrum of organizations and individuals. This includedemployer and employee associations, individuals and organizations who have been successfully usingSafetyMAP and health and safety regulatory bodies in Australia. The contributions made by those whoreviewed the draft material and provided feedback were invaluable and are much appreciated.2PREFACE / ACKNOWLEDGEMENTS

INTRODUCING SafetyMAPSafetyMAP (Safety Management Achievement Program) is an audit tool that provides the means to undertakean independent audit and review of an organization’s health and safety management system. This helps toestablish safer working environments that will protect people at work by eliminating, or better managing,health and safety hazards. This is consistent with the requirements of health and safety legislation.The audit criteria within SafetyMAP enable an organization to:• measure the performance of its health and safety program;• implement a cycle of continual improvement;• compare its health and safety system to a recognized benchmark; and• gain recognition for the standards achieved by its management of health and safety.The audit criteria describe features one might observe in a robust health and safety management system.However an organization may not require all of these features to have an effective health and safetymanagement system. The system components should be based on organizational needs, circumstancesand risk exposure, not an audit tool.The audit criteria are set out in Part 2 which also contains introductory and guidance information foreach section.INTRODUCING SAFETYMAP 3

PART 1: SafetyMAP EXPLAINEDTHE SafetyMAPAPPROACHSafetyMAP provides a set of audit criteria, whichcan be used to measure current performance andidentify those areas where an organization canimprove, its health and safety management system.The audit process also helps to determine prioritiesand to allocate resources in the way that best suitsthe organization's needs. SafetyMAP is not intendedto prescribe how to manage health and safety - itprovides a systematic way of measuring how wellhealth and safety is being managed. The design andflexibility of SafetyMAP enables it to be used to auditany health and safety management system.The use of SafetyMAP is voluntary, and organizationsare encouraged to adapt it to their own environment.Integrating with other systemsSafetyMAP is based on the belief that health andsafety management should be included in the wayevery organization conducts its day to day activities.It is expected, although not mandatory, that thehealth and safety system is compatible, andpreferably integrated, with other managementfunctions such as quality and environmentalmanagement systems.FlexibilityA basic consideration for any organization, large orsmall, should be the degree of risk associated withits operations. Where the risks to health and safetyare greater, there is obviously a requirement formore elaborate and extensive procedures. Smallerorganizations often operate under simplerstructures, and generally do not need the samedegree of complexity as larger organizations,however it is the risk factors that ultimatelydetermine the system requirements. SafetyMAPwas designed to be flexible in its application toorganizations of differing sizes, managementstructures and business activities.SafetyMAP is intended to assist organizations tobe more productive and is not intended to burdenthem with additional paperwork. The type ofsystem, and the level of documentation required,is determined by the exposure of people to healthand safety risks, not the size of the organization.Recognition, but not a legislative substituteThe SafetyMAP audit criteria are not tied to anyspecific health and safety legislation or jurisdiction,and can therefore be used throughout Australiaand New Zealand, as well as other countries.Various SafetyMAP criteria refer to therequirements of the relevant health and safetylegislation, and conformance to these criteriawould indicate that the organization has adoptedthe management practices needed to fulfil its legalresponsibilities. However conformance toSafetyMAP criteria, whether recognised by formalcertification or other means, does not assurecompliance with statutory obligations nor doesit preclude any action by a statutory body.THE SafetyMAPPROCESSStarting out - conducting a self-assessmentAlthough all organizations will have introducedsome level of health and safety management, it islikely that some matters are better handled thanothers. Before deciding what needs to change, itis necessary to assess the standard of the systemcurrently in place. This is best achieved byundertaking a critical self-assessment.One method for conducting this self-assessmentis to follow the SafetyMAP Initial Level User Guide.The User Guide provides an explanation of allInitial Level criteria and examples of the types ofverification that may be appropriate to demonstrateconformance with those criteria. Organizationsmoving towards best practice should refer tothe SafetyMAP Advanced Level User Guide.Self-assessment uses internal resources toinvestigate what procedures are in place, confirmwhether they are functioning as planned, andidentify areas for improvement. Alternatively, anexternal consultant could be engaged to provide anassessment of the health and safety managementsystem and recommendations for improvement.4PART 1: SafetyMAP EXPLAINED

Following the self-assessment, the organizationwill have a better understanding of the strengthsand weaknesses of its health and safetymanagement system and be better prepared forthe next step.There are a range of resources available to assistthose organizations starting out on the SafetyMAPjourney. Publications and advice can be obtainedfrom organizations listed on the back of thispublication.Continual improvement and self-auditOnce an organization’s baseline health and safetyperformance has been determined using theSafetyMAP User Guide, the process forimprovement can begin.The recommended improvement cycle is shownin Figure 1. The start of the process is thedevelopment of a health and safety policy whichclearly sets out top management's commitmentto health and safety. From this, a plan is developedto ensure that hazards arising from work activitiesare identified so that risks can be assessed andthen controlled. Implementation of the plan is thenext component of the process, followed by waysto measure and evaluate the risk controls todetermine their effectiveness. Finally performanceof the entire health and safety managementsystem is monitored and reviewed to determineif it is achieving the desired results. However thisis not the end of the process, because the policy,planning and implementation have to be reviewedand improved in light of the results frommeasurement, evaluation and reviews. Thisstructured approach to the management of healthand safety leads to a continual improvement cyclethat ensures risks are fully assessed andcontrolled.SafetyMAP is based on this continual improvementcycle where an organization clearly sets out itsoverall health and safety policy, and a plan forimprovement that includes realistic, achievablegoals and timeframes. When it identifies a healthand safety problem, it makes the necessarychanges and then reviews progress. As newprocedures are added, they are incorporated intothe evaluation and review cycle. Organizations areable to move through this process at their ownpace and there are no set timeframes.The self-audit process should focus onimprovement. For those organizations that wish tointroduce an internal audit process, some hints foreffective internal auditing are included on page 8.To receive formal acknowledgment and recognitionfor its health and safety management system, anorganization may choose to apply for SafetyMAPCertification.Fig 1. Typical health and safetymanagement modelManagment ReviewMeasurement and EvaluationHealth & Safety PolicyContinualimprovementImplementationPlanningPART 1: SafetyMAP EXPLAINED 5

PART 1: SafetyMAP EXPLAINEDCertificationTo gain a SafetyMAP Certificate, organizationsmust be able to demonstrate to independentauditors that they have effective health andsafety procedures that conform to the SafetyMAPaudit criteria.Only organizations accredited by the JointAccreditation System - Australia and New Zealand(JAS-ANZ) may conduct SafetyMAP certificationaudits and award SafetyMAP Certificates. JAS-ANZmaintains a list of the accredited CertificationBodies and WorkSafe Victoria can also providethis information.Certification is available at either Initial Level orAdvanced Level and it should be noted that thedecision to apply for Certification is entirely voluntary.Initial Level Certification requires an organizationto satisfy the requirements of 82 SafetyMAP auditcriteria. These criteria have been selected asencompassing the building blocks for an effective,integrated health and safety management systemthat is also capable of meeting legislativerequirements. Success at Initial Level is asignificant milestone that should be seen as afoundation for further improvement.Advanced Level Certification requires all 125applicable SafetyMAP audit criteria to be in place.Organizations operating at this level will possessthe systems and processes to enable them tomaintain their health and safety systems at ‘bestpractice’. They will be deriving maximum benefitfrom their health and safety management systemand will have reached a level of excellence thatothers acknowledge and respect.SafetyMAP Certification provides the followingbenefits:(i)Cost efficienciesA health and safety management system that isfunctioning effectively will help to deliver longtermcost efficiencies through the prevention ofwork related injury and illness, better industrialrelations and ideas for improved performance.(ii) Performance verificationA SafetyMAP Certificate provides independentverification that the organization’s health andsafety management system is functioning asdesigned and is effective.(iii) Public relationsAs a public demonstration of health and safetycommitment, organizations may advertiseSafetyMAP Certification to customers, suppliersand members of the public by displaying theSafetyMAP logo.(iv) Due diligenceA SafetyMAP Certificate demonstrates thatthe organization has the capacity to manage itshealth and safety responsibilities and is doingso effectively.(v) Competitive advantageA SafetyMAP Certificate is independent recognitionof the attainment of health and safety standardsoften required as part of quality controlledtendering processes.The criteria used for auditing each CertificationLevel are listed on page 10.6PART 1: SafetyMAP EXPLAINED

Documentation requiredComplex documentation may not be required todemonstrate conformance to SafetyMAP auditcriteria. However objective evidence is needed toverify the presence and effectiveness of procedures.In some circumstances, observation and discussionmay provide a sufficient level of evidence.There is further information about objectiveevidence on page 9.Applying for a SafetyMAP certificateAn organization should only apply for a SafetyMAPCertificate when it is confident that it can provideevidence that its health and safety managementsystem conforms to the audit criteria prescribedfor the particular level.The Certification process requires the organizationto submit its health and safety managementsystem to independent audit. The audit willdetermine whether the management systemincorporates all aspects of health and safetycovered by the SafetyMAP audit criteria and thathealth and safety is effectively managed within allareas of the organization covered by the audit.PART 1: SafetyMAP EXPLAINED 7

PART 1: SafetyMAP EXPLAINEDA GUIDE TOINTERNAL AUDITINGA health and safety management system audit isa ‘systematic examination to determine whetherhealth and safety activities and related resultscomply with planned arrangements’. It shouldevaluate whether these arrangements areimplemented and will effectively achieve theorganization’s objectives.The audits should identify procedures that are notfully effective and provide information that willassist the organization to improve.The scope of the audit will vary according to theneeds of the organization. Organizations may chooseto focus their audits on critical areas, or they may doregular audits of the entire management system.Audits are not routine inspectionsAn audit program should be seen as separate froma workplace inspection program. Inspections areconducted more regularly to detect hazards in theworkplace and to check how well risk controls areworking for particular activities, processes orareas. Audits look at the procedures that generatethose outcomes, rather than the individualdeficiencies and failures identified by inspections.LimitationsAudits provide a ‘snapshot’ of the health and safetymanagement system under review. The effectivenessof audits is dependent on factors such as:• audit process;• cooperation and openness of the individualsbeing audited;• competency of the auditors; and• the audit standard.Audits must measure management commitmentand supportThe success or failure of the health and safetymanagement system hinges on the support givento the process by top management. Audits shouldlook at how management commitment is beingdemonstrated.Audits are not designed to assessthe performance of individualsAudits of management systems should bedesigned to assess the performance of theprocedures in place, not of individuals workingwith those procedures.AuditorsAuditors should meet the following criteria:• they are not directly involved with thedevelopment or management of the areaor systems under review;• they have undergone relevant trainingin the conduct of audits;• they are familiar with the processes underreview (or have access to persons with thisexpertise) and are therefore capable ofselecting appropriate subjects for analysis;• they are capable of carrying out an objectivereview, and of reporting findings accuratelyand without fear of the consequences;• they have written and verbal communicationskills suitable for interacting with employeesand management; and• they have sufficient knowledge and trainingin health and safety management.Training in the techniques of auditing is clearlydesirable. There are training courses availablewhich are specifically designed for health andsafety auditors.Audit StandardThe audit standard is the document that describesthe desired outcomes or criteria against which theorganization will measure itself. The requirementsof the criteria must be relevant and apply to theorganization in order for them to be includedin the audit.The organization may design its own auditstandard or use a standard that is publiclyavailable (such as SafetyMAP and AS/NZS4801:2001). The advantages of using a publicstandard include the ability to benchmark healthand safety management performance againstother organizations and obtain certification. Ideally,the organization will design and use an internal8A GUIDE TO INTERNAL AUDITING

audit standard that suits their managementsystem, operations and risk exposures, and checktheir progress at intervals by auditing against anaccepted standard, whether or not they areseeking certification.SafetyMAP offers a staged audit approach. Thismeans that organizations that are at an earlierstage of system development also have theopportunity for benchmarking and certificationat the SafetyMAP Initial Level.Audits generate information for managementactionThe ultimate purpose of audits is to providemanagement with fact-based information that canbe used to review health and safety managementsystem effectiveness and plan change to ensurecontinual system improvements. The informationgenerated through an audit will provide evidence ofconformance or nonconformance with auditcriteria. It is not designed to provide detailedsolutions to any identified problems.The audit reportAn audit report should contain information aboutthe evidence that contributed to the auditor’sjudgement of conformance or nonconformance.The audit report should include opportunities forimprovement where identified. It is a managementresponsibility to decide what changes are requiredas a result of an audit and to initiate actions toimprove performance.The audit programIt is important that the audit program positivelycontributes to continual system improvement.Audits need to be repeated at intervals which:• will allow timely follow-up of areas whereremedial action has been taken; and• sufficiently cover critical areas.The health and safety planning process needs toconsider the frequency of audits and which areaswill receive the greatest attention.Objective evidenceLike any investigation, an auditor needs to gathersufficient evidence to make decisions about thestatus of the health and safety managementsystem.The gathering of evidence should include:• an examination of any documents that describethe system or process;• records that confirm that the system is followedas described in the written documents;• interviews with personnel which explorewhether activities match the documentedrequirements, and whether there are anyopportunities for improvement; and• actual observations of the workplace.In other words, an audit should go beyond the‘paper trail’ to establish the level ofimplementation within the workplace and whetherthe system contributes to improvement in healthand safety performance. Evaluation of thisevidence should enable the auditor(s) to determinewhether there is ‘conformance’ or‘nonconformance’ with the audit criteria.A GUIDE TO INTERNAL AUDITING 9

PART 1: SafetyMAP EXPLAINEDSafetyMAP CERTIFICATION LEVELSELEMENTINITIAL LEVELADVANCED LEVEL(ADDITIONAL CRITERIA)1. Health and safety policy 1.1.1 1.1.2, 1.1.32. Planning2.1 Legal requirements and practical guidance 2.1.1, 2.1.2, 2.1.3,2.1.4, 2.1.52.2 Objectives and targets 2.2.1 2.2.2, 2.2.32.3 Health and safety management plans 2.3.1, 2.3.2, 2.3.3 2.3.43. Implementation3.1 Structure and responsibility - Resources 3.1.1, 3.1.2, 3.1.33.2 Structure and responsibility -Responsibility and accountability 3.2.1, 3.2.3, 3.2.4 3.2.2, 3.2.53.3 Structure and responsibility - 3.3.2, 3.3.3, 3.3.5, 3.3.1, 3.3.4, 3.3.7,Training and competency 3.3.6, 3.3.9, 3.3.10 3.3.8, 3.3.11, 3.3.123.4 Consultation, communication and 3.4.1, 3.4.2, 3.4.3,reporting - Consultation 3.4.4, 3.4.5, 3.4.63.4.73.5 Consultation, communication and 3.5.1, 3.5.2 3.5.3, 3.5.4reporting - Communication3.6 Consultation, communication and 3.6.1, 3.6.2, 3.6.3 3.6.4, 3.6.5, 3.6.6,reporting - Reporting 3.6.73.7 Documentation 3.7.1 3.7.23.8 Document and data control 3.8.2, 3.8.3 3.8.1, 3.8.4, 3.8.53.9 Hazard identification, risk assessment 3.9.1, 3.9.2, 3.9.3, 3.9.5, 3.9.6, 3.9.7and control of risks - General 3.9.43.10 Hazard identification, risk assessment 3.10.1, 3.10.2, 3.10.5, 3.10.3, 3.10.4, 3.10.6,and control of risks - Specific 3.10.7, 3.10.8, 3.10.10, 3.10.9, 3.10.20, 3.10.24,3.10.11, 3.10.12, 3.10.13, 3.10.27, 3.10.283.10.14, 3.10.15, 3.10.16,3.10.17, 3.10.18, 3.10.19,3.10.21, 3.10.22, 3.10.23,3.10.25, 3.10.26, 3.10.293.11 Emergency preparedness and response 3.11.1, 3.11.2, 3.11.3, 3.11.83.11.4, 3.11.5, 3.11.6,3.11.74. Measurement and evaluation4.1 Monitoring and measurement - General 4.1.1, 4.1.2, 4.1.3,4.1.4, 4.1.5, 4.1.64.2 Monitoring and measurement - 4.2.1 4.2.2Health surveillance4.3 Incident investigation and corrective action 4.3.1, 4.3.2, 4.3.3 4.3.44.4 Records and records management 4.4.14.5 Health and safety management system audit 4.5.1, 4.5.2, 4.5.3,4.5.4, 4.5.55. Management review 5.1.1, 5.1.3 5.1.2Total criteria in each certification level 82 82 + 43 = 12510 SAFETYMAP CERTIFICATION LEVELS

DEFINITIONSAuditA systematic and independent examination againstdefined criteria to determine whether health andsafety activities and related results comply withplanned arrangements, whether thesearrangements are implemented effectively andwhether they are suitable to achieve theorganization’s policy and objectives.Audit reportA written record of the audit, which accurately andconcisely documents the objective evidence andclearly communicates the findings of the auditor(s)for each of the criteria included in the audit.Competent personA person who has acquired through training,qualifications or experience, or a combination ofthese, the knowledge and skills enabling thatperson to perform the task required.ConformanceA judgment made by an auditor that the activitiesundertaken and the results achieved fulfil thespecified requirements of the SafetyMAP auditcriteria. While further improvements maystill be possible, the minimum requirementsare being met.Customer-supplied goods and servicesCustomer-supplied goods and services are thosewhich are supplied to the organization by acustomer. The organization then performs workon that product or uses that service as part ofanother task.DisputeA dispute may arise in relation to:• the identification of a workplace hazard;• the assessment of the level of risk of aworkplace hazard;• control of a workplace hazard;• statutory duty; or• workplace changes.EmployeesThe term ‘employees’ covers all those who workfor the organization, including casuals, part-timeworkers and long-term contractors.FacilitiesFacilities refer to washrooms, showers, lockers,dining areas, drinking water, etc. There may bespecific legislative requirements and details inbuilding regulations and codes.HazardA source or a situation with a potentialfor harm in terms of injury or illness, damageto property, damage to the environment, ora combination of these.Hazard identificationThe process of recognizing that a hazard existsand defining its characteristics.Hazardous substanceSubstances that have the potential to harm humanhealth. They may be solids, liquids or gases; theymay be pure substances or mixtures. When usedin the workplace, these substances often generatevapours, fumes, dusts and mists. Where there arelegislative references to hazardous substances thedefinition may vary from the definition given here.Health and safety management systemThat part of the overall management systemincludes organizational structure, planningactivities, responsibilities, practices, procedures,processes, and resources for developing,implementing, achieving, reviewing andmaintaining the health and safety policy, and somanaging the health and safety risks associatedwith the business of the organization.Health and safety policyStatement by the organization of its intentions andprinciples in relation to its overall health and safetyperformance which provides a framework foraction and for the setting of its health and safetyobjectives and targets.A dispute means a difference of opinion betweentwo or more parties on a health and safety issueand which remains unresolved.DEFINITIONS 11

PART 1: SafetyMAP EXPLAINEDDEFINITIONSHierarchy of controlsHazard control or risk reduction whereby optionsare considered in the following order (from mostto least preferred):1. elimination;2. substitution;3. engineering controls;4. administrative controls; and5. personal protective equipment and clothing.Variations to this hierarchy to meet local legislativeor other requirements are acceptable where thevariations do not alter the intent of the hierarchy.IncidentAn unplanned event resulting in, or having thepotential for injury, ill health, damage or other loss.Interested partiesInterested parties, may, depending oncircumstances, include health and safetyrepresentatives, health and safety committees,contractors, regulatory authorities, communitygroups, non-government organizations, specialinterest groups and others.NonconformanceA judgment made by an auditor that the activitiesundertaken and the results achieved do not fulfilthe specified requirements of the SafetyMAP auditcriterion. This may be caused by the absence orinadequate implementation of a system or part ofa system, documented systems or procedures notbeing followed or a minor or isolated lapse in asystem or procedure.OrganizationCompany, corporation, firm, enterprise or institution,or other legal entity or part thereof, whetherincorporated or not, public or private, that hasits own function(s) and administration.PersonnelA broad term that includes employees,contractors, and non-employees such as unpaidwork-experience staff and visitors.Positive performance indicatorsIndicators, based on inputs into the health andsafety management system, used to measurethe performance of the system. These are calledpositive performance indicators as they relateto actions taken to prevent injury and illness.Examples of positive performance indicators arenumber of audits conducted, number of inspectionsconducted and percentage of job descriptionsincorporating health and safety requirements.ProcedureA document in text or graphic format that describesthe reason, scope, steps to be followed andresponsibilities for a component of the health andsafety management system. It may also includedefinitions and references to other documents.ProcessA set of inter-related resources and activitiesthat transform inputs into outputs.RecordDocument that furnishes objective evidenceof activities performed or results achieved.ResourcesResources include financial (e.g. money and time),physical (e.g. equipment, reference library) andhuman resources (e.g. health and safetycoordinator, health and safety representative,health and safety consultant).RiskThe combination of the frequency, or probabilityof occurrence, and consequence of a specifiedhazardous event.Risk assessmentThe overall process of estimating the magnitudeof risk and deciding whether the risk is tolerable.SafetyMAP certificateA certificate issued by an accredited body whichrecognizes that an organization has fully satisfiedthe requirements of a SafetyMAP certification audit.Top managementMay consist of an individual, or a group of individuals,with executive responsibility for the organization.VerificationConfirmation by examination and provision ofobjective evidence that the specified requirementsof the SafetyMAP audit criterion has been met.12DEFINITIONS

PART 2: AUDIT CRITERIAThe following section contains the SafetyMAP audit criteria and guidance material that will enable users toundertake an audit of a health and safety management system. The format of these pages is explained inthe example below:Element 2: Planning< Element number and title2.1 Legal requirements and practicalguidanceThere are legal requirements which directlyapply to certain activities, products or servicesof organizations. Sometimes additionalpractical guidance is made available in theform of codes of practice or publishedstandards. In some cases, there are alsoindustry agreements or exemptions whichmust be considered. It is vital that eachorganization knows which are applicable, andhow their contents affects that organization.The legal requirements may relate toemployees, contractors and suppliers...< Sub-element number and title< Guidance and explanation forelements or sub-element. Informationin this area does not form part of theauditable criteria.> Criteria numberAudit criteria numbered in Blue areInitial Level.Those numbered in Black areAdvanced Level.2.1.1 The organization identifies and monitorsthe content of all health and safetylegislation, standards, codes of practice,agreements and guidelines relevant toits operation.2.1.2 The organization’s procedures, workinstructions and work practices reflect therequirements of current health and safetylegislation, standards, codes of practice,agreements and guidelines.2.1.3 All personnel in the organization areadvised of, and have ready access to,current health and safety legislation,standards, codes of practice, agreementsand guidelines.EXAMPLEONLY< Audit criteriaConformance with all applicable criteriais required to achieve either Initial orAdvanced Level.PART 2: AUDIT CRITERIA 13

PART 2: AUDIT CRITERIAElement 1: Health and safety policyThe health and safety policy is an importantpart of the organization's health and safetymanagement system. The policy is a generalplan of intent and objectives deliberatelychosen by top management which guides orinfluences future decisions. The policy is thebasis upon which measurable health andsafety objectives and targets and health andsafety management system components aredeveloped. The policy should be consistentwith the nature and scale of workplace risks.The policy should be known by employeesand interested parties. The policy should beperiodically reviewed and revised to reflectchanging conditions and information. Itsscope should be clearly identifiable.The policy should be signed or endorsed bytop management of the site as anindication of their commitment to healthand safety. Top management may consist ofan individual, or a group of individuals, withexecutive responsibility for the organization.1.1.1 There is a documented health and safetypolicy, authorized by the organization’s topmanagement that:a) requires compliance with relevanthealth and safety legislation;b) is appropriate to the nature andscale of the organization’s health andsafety risks;c) states overall health and safetyobjectives; andd) demonstrates a commitment to thecontinued improvement of health andsafety performance.1.1.2 The health and safety policy is availableto other parties, including regulatoryauthorities, suppliers, contractors,customers and those visiting the workplace.1.1.3 The health and safety policy is maintainedand reviewed periodically to ensure itremains relevant and appropriate to theorganization’s health and safety risks.14PART 2: AUDIT CRITERIA

Element 2: Planning2.1 Legal requirements and practicalguidanceThere are legal requirements which directlyapply to certain activities, products orservices of organizations. Sometimesadditional practical guidance is madeavailable in the form of codes of practice orpublished standards. In some cases, thereare also industry agreements orexemptions which must be considered. It isvital that each organization knows whichare applicable, and how their contentaffects that organization. The legalrequirements may relate to employees,contractors and suppliers. There may be aneed for the organization to obtain ororganize individual licences, certificates ofcompetency, registration or approvals. Insome cases, the organization is alsorequired to submit or notify particularinformation to public authorities.It is important also for the personnel in theorganization to know and have access tothe relevant information, and for it to beincorporated into the documents thatdescribe how employees are to performtheir work.2.1.1 The organization identifies and monitorsthe content of all health and safetylegislation, standards, codes of practice,agreements and guidelines relevant to itsoperation.2.1.2 The organization’s procedures, workinstructions and work practices reflect therequirements of current health and safetylegislation, standards, codes of practice,agreements and guidelines.2.1.3 All personnel in the organization areadvised of, and have ready access to,current health and safety legislation,standards, codes of practice, agreementsand guidlines.2.1.4 The organization and/or individual satisfieslegal requirements to undertake specificactivities, perform work or operateequipment including any:a) licence;b) certificate of competency;c) notification;d) registration; and/ore) approval.2.1.5 Changes to health and safety legislation,standards, codes of practice, agreementsand guidelines generate a review ofexisting procedures.As these requirements change, so theorganization needs to keep abreast of thechanges and make the necessaryadjustments.[Note: ‘Legal requirements’ may refer to actual legislation,and to certain agreements with authorities and interestedparties. ‘Practical guidance’ includes codes of practice,standards, guidelines and industry practices.]PART 2: AUDIT CRITERIA 15

PART 2: AUDIT CRITERIA2.2 Objectives and targetsIt is important to establish and documentspecific objectives that will enable theorganization to realize the intentions of thehealth and safety policy. Measurabletargets should be set for each objective.Once objectives and targets are set,measurable performance indicatorsconsistent with the objectives and targetsshould be established and used. Theseindicators are useful for evaluating theperformance of the health and safetymanagement system.2.2.1 Health and safety objectives and targetsconsistent with the organization’s healthand safety policy are documented, areappropriate to the organization’s activitiesand consider:a) legal requirements;b) standards and codes;c) health and safety hazards and risks;d) available technology;e) agreements and guidelines;f) operational requirements; andg) the views of interested parties.2.2.2 Specific health and safety objectives andmeasurable targets have been establishedfor all relevant functions and levels withinthe organization.2.2.3 The organization sets health and safetyperformance indicators that:a) are consistent with its objectives andtargets;b) include actions taken to prevent injuryand illness; andc) meet legislative obligations.16PART 2: AUDIT CRITERIA

2.3 Health and safety management plansSuccessful implementation and operationof a health and safety management systemrequires the establishment and use of adocumented plan. The plan should beappropriate to the scale of the organizationand take into account the organization’spolicies, objectives and targets, activities,processes, products and services.The plan should include details on howtargets will be achieved, time-scales andwho is responsible for actions within theplan. The plan should also be monitoredand reviewed. In developing the planconsideration should be given to allcurrent and proposed activities, processes,products and services of the organization.Consideration should also be given tonormal and abnormal operations withinthe organization as well as potentialemergency conditions.It is essential that the plan documents themethodology for reducing health and safetyrisks through hazard identification, riskassessment and development of risk controlmeasures. The methodology should aim toaccurately identify health and safety hazardsand assess the risks, taking into accountthe nature of their current and proposedactivities, processes, products and services.The methodology should be based onregulatory requirements or directives andtake into account relevant codes of practice,standards and guidance documents. Themethodology should identify personsresponsible and accountable for hazardidentification, risk assessment, developmentof risk control measures and reviewactivities as well as the frequency of theseactivities. Organizations may also need totake into account the degree of practicalcontrol they have over the health and safetyhazards or risks being considered.2.3.1 There is a health and safety managementplan that defines the means by which theorganization will achieve its objectives andtargets and meet its legal requirements.The plan:a) applies to all activities undertaken orproposed to be undertaken by theorganization;b) is based on an analysis of informationrelevant to the nature of the organization’sactivities, processes, products or services;c) aims to eliminate or reduce workplaceillness and injury;d) defines the organization’s priorities;e) sets timeframes;f) allocates responsibility for achievingobjectives and targets to relevantfunctional levels; andg) states how the plan will be monitored.2.3.2 The organization documents itsmethodology to reduce health and safetyrisks through hazard identification, riskassessment and development of riskcontrol measures in accordance with the‘hierarchy of controls’ and legalrequirements.2.3.3 The organization monitors its progresstowards meeting the objectives andtargets set in the health and safety planand takes corrective actions to ensureprogress is maintained.2.3.4 Health and safety plans are reviewed on aregular basis, to ensure they are kept upto-date,and when there are changes tothe organization’s activities, processes,products or services.PART 2: AUDIT CRITERIA 17

PART 2: AUDIT CRITERIAElement 3: Implementation3.1 Structure and responsibility- ResourcesProvision of resources is a key componentof a successful health and safetymanagement system. Commitmentfrom top management to provide sufficientresources to meet the health and safetypolicies and plans of the organizationis essential.Resources include financial (e.g. moneyand time), physical (e.g. equipment,reference library) and human resources(e.g. health and safety co-ordinator, healthand safety representative, health and safetyconsultant).3.1.1 Financial and physical resources havebeen identified and allocated to enablethe effective implementation of theorganization’s health and safety plan(s).3.1.2 There are sufficient qualified andcompetent people to implement theorganization’s health and safety plan(s).3.1.3 Those who represent employees on healthand safety matters are provided with timeand resources to effectively undertakethis role.3.2 Structure and responsibility- Responsibility and accountabilityTop management are responsible for thestandard of health and safety managementin their organization, and for ensuringhealth and safety legal obligations aremet. They should therefore have anunderstanding of the health and safetylegal obligations applicable to theirorganization.Specific responsibilities for managinghealth and safety throughout theorganization should be allocated (e.g.responsibilities for conducting riskassessments, undertaking incidentinvestigations, etc.). This applies to alllevels of the organization, including a topmanager to implement and maintain thesafety management system. There shouldbe monitoring of the performance ofpersonnel against their allocated healthand safety responsibilities.3.2.1 Top management can demonstrate anunderstanding of the organization’s legalobligations for health and safety.3.2.2 A member of the executive or board hasbeen allocated overall responsibility forthe health and safety managementsystem and reports to that group onits performance.3.2.3 The specific health and safetyresponsibilities [including legal obligations],authority to act and reporting relationshipsof all levels in the organization have beendefined, documented and communicated.3.2.4 Where contractors are utilized in theorganization, the health and safetyresponsibilities and accountabilities ofthe organization and the contractor(s)have been clearly defined, allocated andcommunicated within the organization andto the contractor(s) and their employees.3.2.5 Personnel are held accountable for healthand safety performance in accordancewith their defined responsibilities.18PART 2: AUDIT CRITERIA

3.3 Structure and responsibility- Training and competencySpecific requirements of tasks need to beidentified to ensure that the personsrecruited or utilised for these tasks are ableto fulfil these requirements. Theorganization needs to establish, implementand maintain procedures for identifying andreviewing health and safety training needs.Management are responsible fordetermining the level of experience,competence and training necessary toensure the capability of personnel andappropriate allocation of tasks. Employeeparticipation in the process helps to clarifyneeds and encourages ownership. Trainingincludes induction and refresher training.Personnel is a broad term that includesemployees, contractors, and nonemployeessuch as unpaid work-experiencestaff and visitors. Health and safetycompetencies could be developed indifferent ways including using existingindustry competency standards.3.3.1 The specific requirements of tasks,including medical constraints, areidentified and applied to the recruitmentand placement of personnel.3.3.2 The organization has established andimplemented procedures for theidentification of health and safety trainingneeds for all personnel (including anyprescribed by legislation).3.3.3 The organization has an inductionprogram for all personnel includingmanagement, which is based on theirlikely risk exposure, and provides relevantinstruction in the organization's healthand safety policy and procedures.3.3.4 The organization consults with employeesto identify their training needs in relationto performing their work activities safely.3.3.5 The organization trains employees toperform their work safely, and verifiestheir understanding of that training.3.3.6 Training is delivered by persons withappropriate knowledge, skills andexperience.3.3.7 Tasks are allocated according to thecapability and level of training ofpersonnel.3.3.8 There is a documented competency basedtraining program that provides employees(and volunteers) with the skills to performtheir work activities safely.3.3.9 Management has received training inhealth and safety management principlesand practices appropriate to their role andresponsibilities within the organization,and the relevant health and safetylegislation.3.3.10 Those representing the employer and theemployees on health and safety matters,including representatives on consultativecommittee(s), receive appropriate trainingto enable them to undertake their dutieseffectively.3.3.11 Refresher training (as required) isprovided to all personnel to enable themto perform their tasks safely.3.3.12 The training program is reviewed on aregular basis, and when there arechanges to plant or processes in theworkplace, to ensure that the skills andcompetencies of personnel remainrelevant.PART 2: AUDIT CRITERIA 19

PART 2: AUDIT CRITERIA3.4 Consultation, communication andreporting - ConsultationThe participation of employees and theirinput to the health and safety decisionmaking process is fundamental to thesuccessful implementation andsustainability of an effective health andsafety management system.All employees should be encouraged tocontribute to health and safety activitiesrelated to their work. Employee involvementin the hazard identification, riskassessment and risk control process isessential for effective management ofhealth and safety risk. Employees alsoneed to be involved when changes areproposed in their work areas, includingdiscussions and trials of new equipmentand other purchases.Employee health and safety representativesare selected or elected by employees.Representation should cover as manysituations as are appropriate to the size ofthe organization, e.g. representatives forworkers on different shifts, at differentwork sites and having different workdescriptions. All employees should knowtheir relevant health and safetyrepresentative.An active consultation process shows theworkforce that the organization iscommitted to achieving the aims of thehealth and safety policy.3.4.1 There are documented procedures,agreed to by employees, for employeeinvolvement and consultation on healthand safety matters, including a procedurefor dealing with health and safety issues,and resolving disputes if they arise.3.4.2 The organization, in consultation withemployees, has determined the numberof employee representatives requiredto effectively represent all employeework groups.3.4.3 The consultative arrangements allow theemployees to select those who willrepresent them on health and safetymatters.3.4.4 Details of the consultative arrangements,including the names of their employeeand employer representatives for healthand safety matters, are communicated toemployees.3.4.5 Employees or their representatives areinvolved in the development,implementation and review of proceduresfor the identification of hazards and theassessment and control of risks.3.4.6 Employees or their representatives areconsulted regarding proposed changes tothe work environment, processes orpractices and purchasing decisions thatcould affect their health and safety.3.4.7 Health and safety consultative committeesmeet regularly and minutes of meetingsare available to all employees.20PART 2: AUDIT CRITERIA

3.5 Consultation, communication andreporting - CommunicationEffective communication relies on regularexchange of information with key parties.As well as promoting the health and safetypolicy, an organization needs to letemployees (and others) know how it isresponding to their issues and concerns.Collection of ideas, feedback andcomplaints allows the organization toidentify opportunities for improvement andto take preventive action before situationsget out of control.To minimise hazards, relevant health andsafety information is sought from suppliers,and customers are provided with thenecessary information to safely use theorganization’s products or services.3.5.1 The organization’s health and safety policyand other relevant information on healthand safety are communicated to allemployees, and consider language andstandards of literacy.3.5.2 The organization regularly communicatesto employees the progress towards theresolution of heath and safety disputes.3.5.3 There are procedures for the acquisition,provision and exchange of relevant healthand safety information with externalparties, including customers, suppliers,contractors and relevant public authorities.3.5.4 There is a documented health and safetycomplaints procedure that deals withformal and informal complaints receivedfrom external parties.3.6 Consultation, communicationand reporting - ReportingTimely and accurate reporting aidscommunication, allows for promptintervention into health and safety issues,and helps the organization meet itsdeadlines.3.6.1 Health and safety hazards and systemsfailures are reported and recorded.3.6.2 Workplace injuries, illnesses, incidentsand dangerous occurrences are reportedand recorded.3.6.3 Where there is a legislative requirement,injuries, illnesses, incidents anddangerous occurrences are notified to theappropriate authorities.3.6.4 Reports on health and safety inspections,including recommendations for correctiveaction, are produced and forwarded to topmanagement and consultativecommittee(s) as appropriate.3.6.5 Regular, timely reports on health andsafety performance are produced anddistributed within the organization.3.6.6 Reports of audits and reviews of thehealth and safety system are producedand distributed to management,employees and other interested parties.3.6.7 The organization’s annual report or anequivalent document includes informationabout health and safety performance.PART 2: AUDIT CRITERIA 21

PART 2: AUDIT CRITERIA3.7 DocumentationWhen information is important it needs tobe recorded so that everyone receives thesame message and understands therequired standard of performance.The organization therefore needs to decidehow and what parts of the health and safetymanagement system need to bedocumented for consistent application ofhealth and safety standards. The content,format and extent of the documentation willdepend on the complexity of theorganization’s operations and the needs ofthe target audience. All documentationshould be in a language, style and formatwhich users easily understand.3.7.1 The organization’s health and safety policy,plans and procedures are documented in aplanned and organized manner.3.7.2 Specific instructions associated withparticular products, processes, projectsor sites have been developed whereappropriate.It is particularly important that thedocumentation is methodically preparedand maintained, readily recognisable andavailable. Clear direction to any essentialdata or other information must be providedto ensure correct interpretation orapplication of procedures.3.8 Document and data controlOrganizations need to ensure thatdocuments are up-to-date, authorised,available to those who need them andeasily recognised as current versions.The control of documents and essentialdata should be as simple as is needed formanagement and improvement of thehealth and safety management system.The focus should not be on establishingcomplex document control systems.3.8.1 The organization has a system forcreating, modifying and approving healthand safety documents and data, andnotifying relevant persons of any changes.3.8.2 Documents and data critical to health andsafety shall be clearly identifiable, dulyauthorized prior to issue, kept legible andinclude their issue status.3.8.3 The organization provides personnel withready access to relevant health and safetydocuments and data and advises them ofits availability.3.8.4 Documents and data are regularlyreviewed by competent persons to ensurethat the information is current.3.8.5 Obsolete documents and data areidentified and retained (where required)for legal and/or knowledge preservationpurposes and are removed from all pointsto prevent unintended use.22PART 2: AUDIT CRITERIA

3.9 Hazard identification, risk assessmentand control of risks - GeneralManagement needs to ensure that theexisting and potential hazards associatedwith the organization’s activities, processes,products or services are identified so that thesubsequent risk exposures can be assessedand suitable control measures introduced.The identification of hazards in theworkplace should consider:a) legislative requirements, relevant codesof practice, standards and other guidancematerial;b)the circumstances or conditions whichhave the potential to cause injury, illnessor property damage;c) the types of injury, illnesses and propertydamage likely to occur; andd)past injuries, incidents and illnesses.In identifying hazards, the organizationshould consider whether staffing levels,locations, pressure of work, working hoursand the level of skill required affect theemployees’ ability to safely perform work. Theorganization also needs to examine whetherhazards arise at peak times or under otherforeseeable operating conditions.Risk assessment is the process wherebyeach hazard is examined to evaluate theprobability and potential consequences thatcould arise from that hazard being present atthe workplace. Consequences may includeinjury, illness and disease and/or fire,explosion and property damage. The riskassessment will determine what hazardsneed to be controlled. This information isimportant when developing objectives andtargets, health and safety managementplans, training and competency, consultation,communication and for development ofspecific hazard controls.3.9.1 Hazards, including public safety hazards,associated with the organization’sactivities, processes, products or servicesare identified, risks assessed and controlmeasures implemented. This includes theidentification of hazards associated with:a) violence, harassment and workplacestress;b) hazardous substances and dangerousgoods;c) manual handling;d) plant and the associated systemsof work;e) the work environment; andf) work at heights.3.9.2 The hazard identification, risk assessmentand risk control process is undertaken bypersonnel competent in the use of theorganization’s methodology.3.9.3 The organization documents all identifiedhazards, risk assessments and riskcontrol plans.3.9.4 Risks of identified hazards are assessedhaving regard to the likelihood andconsequence of injury, illness or incidentoccurring, based upon the:a) evaluation of available information;b) records of incidents, illness anddisease; andc) the potential for emergency situations.3.9.5 Health and safety hazards are assignedrisk control priorities, having regard tothe identified levels of risk.3.9.6 The effectiveness of the hazardidentification, risk assessment and riskcontrol process is periodically reviewedand documented.3.9.7 The organization has a process foridentifying and managing change thatmay impact on health and safety.At intervals, the organization needs to checkwhether their risk management methodologyis meeting their planned expectations.PART 2: AUDIT CRITERIA 23

PART 2: AUDIT CRITERIA3.10 Hazard identification, risk assessmentand control of risks - SpecificThis section includes criteria for commonworkplace hazards. Organizations need to applythe criteria in 3.9 to identify necessary systemsprocedures and specific risk controls requiredin the health and safety management system.Risk control is the process of identifying andimplementing all practicable measures foreliminating or reducing the likelihood of injury,illness or disease in the workplace. In identifyingrisk control measures, the most effective controlmeasure is to eliminate the hazard (e.g. byeliminating the process). If it is not possible toeliminate the hazard, the next best step is toprevent or minimise the risk by selecting oneor a combination of the control methodsdetermined in accordance with the ‘hierarchyof controls’.Control measures which are higher onthe ‘hierarchy of controls’ [i.e. elimination,substitution, engineering controls, isolation]should always be selected over controlmeasures which are lower on the ‘hierarchy ofcontrols’ [i.e. administrative controls, personalprotective equipment]. Often a combination ofrisk control measures will need to be used.Priority should always be given to higher orderrisk control measures over controls loweron the ‘hierarchy of controls’.Some examples for reducing risk include:a) substituting the plant or substancewith another that is less hazardous;b)using engineering controls (e.g. modifyingthe design of the workplace or plant,or environmental conditions);c) isolating people from the source of exposure;d)changing the shape, size and weight of objectsto reduce manual handling; ande) using mechanical aids for manualhandling tasks.It may not always be practicable to immediatelyimplement the control measures higher on the‘hierarchy of controls’ and there may still be aneed to keep the process/activity going. In suchsituations interim control measures (e.g. in theform of administrative controls in combinationwith personal protective equipment) may beused until the control measures higher on the‘hierarchy of controls’ can be implemented.For the risk control process to be reliable theremust also be an ongoing evaluation of thevarious measures used to control risk. Thisevaluation may require verifications of design,purchase specifications, contractorperformance, modifications, etc. to checktheir effectiveness.24PART 2: AUDIT CRITERIA

ACCESS CONTROL3.10.1 The organization determines those areaswhere access controls are required andensures effective controls areimplemented and maintained.(USE OF) CONTRACTORS3.10.2 Health and safety requirements areidentified, evaluated and incorporated intoall purchasing specifications for services.3.10.3 The ability to meet health and safetyrequirements is reviewed and evaluated inthe selection of contractors.3.10.4 Contractor health and safety performanceis monitored and reviewed to ensurecontinued adherence to health and safetypurchase specifications.DESIGN3.10.5 Hazard identification, risk assessmentand the development of control measuresare undertaken during the product orprocess design stage, or when theprocess is modified.3.10.6 Competent personnel verify that designsand modifications meet specified healthand safety requirements.DISPOSAL OF MATERIALS AND SUBSTANCES3.10.7 There are procedures to ensure thatmaterials and substances are disposedof in a manner that minimizes risk ofpersonal injury and illness.EMPLOYEE WELFARE3.10.8 Facilities and amenities in the workplaceconform, as a minimum, to relevantlegislation, standards and codes ofpractice.3.10.9 The organization has a program topromote the health and wellbeingof employees.HAZARDOUS SUBSTANCES/DANGEROUS GOODS3.10.10 The organization documents proceduresor work instructions for the safe handling,transfer and transport of hazardoussubstances and dangerous goods.3.10.11 Comprehensive health and safetyinformation on all hazardous substancesand dangerous goods is readily accessibleat the point of use.3.10.12 The organization ensures that hazardoussubstances and dangerous goods aresafely stored.PERMIT TO WORK3.10.13 There are ‘Permit to Work’ proceduresfor high-risk tasks.PERSONAL PROTECTIVE EQUIPMENT3.10.14 Where personal protective equipment isrequired, it is appropriate for the task,its provision is accompanied by suitabletraining, and it is used correctly andmaintained in a serviceable condition.PLANT3.10.15 Plant and equipment is maintained anda record is kept which includes relevantdetails of inspections, maintenance,repair and alteration of plant.3.10.16 There is a process for unsafe plant andequipment to be identified andquarantined or withdrawn from service.3.10.17 Appropriate controls are used to ensurethe safety of persons working on or nearplant and equipment that is in the processof being cleaned, serviced, repaired oraltered.3.10.18 Competent personnel verify that plant andequipment is safe before being returnedto service after repair or alteration.PART 2: AUDIT CRITERIA 25

PART 2: AUDIT CRITERIAPURCHASING GOODS3.10.19 The organization determines their healthand safety requirements prior to thepurchase of goods, and communicatesthose specifications to the supplier.3.10.20 Purchased goods are checked forconformance to purchasing specifications.SIGNAGE3.10.21 Safety signs (including regulatory, hazard,emergency information and fire signs),meet relevant standards and codes ofpractice, and are displayed in accordancewith legal and organizationalrequirements.3.10.27 Customer-supplied goods and servicesused in the organization’s work processesare subject to hazard identification, riskassessment and control prior to use.TRACEABILITY3.10.28 Where product is sold and there is thepotential for that product to cause publichealth and safety concerns, there aredocumented procedures to enable theproduct to be traced to the point of sale.3.10.29 All substances in containers and transfersystems are identified and clearly labelledto avoid inadvertent or inappropriate use.STORAGE AND TRANSPORT OF MATERIALS3.10.22 There are procedures to ensure thatmaterials are transported, handledand stored in a safe manner.SUPERVISION3.10.23 Individuals are supervised according totheir capabilities and the degree of riskof the task.3.10.24 There are supervisory arrangements thatensure that tasks are performed safelyand work instructions and procedures arefollowed.SUPPLY OF GOODS AND SERVICES3.10.25 There is a documented process whichrequires the organization to identifypotential health and safety hazards(including public safety hazards), assessthe potential risks and determineappropriate risk control strategies beforeit accepts a contract to supply its goods orservices to others.3.10.26 Where the organization is required toprovide its services at a customer’sworkplace, the health and safety hazardsaffecting the organization’s employees areidentified, risks assessed and appropriatecontrol measures adopted.26PART 2: AUDIT CRITERIA

3.11 Emergency preparedness andresponseUnplanned incidents can still occur in themost effectively managed health and safetymanagement system. Emergency planningensures that if an incident does occur, theorganization can respond in a way thatdefuses the situation and mitigates theimmediate and ongoing effects. In someindustries there may be catastrophicconsequences if response managementplans fail to deal with emergency situations.A necessary part of emergency responseplanning is having crucial informationreadily available for emergency authorities,such as a manifest showing the location,type and quantity of dangerous goods at thesite. The success of the response alsorelies on the placement, type and integrityof the emergency equipment, including thewarning alarms.Regular testing and review of emergencyprocedures provides confidence that theresponse will be effective and proceedaccording to plan.3.11.1 Potential emergency situations have beenidentified and emergency procedures aredocumented and regularly reviewed.3.11.2 The organization has allocated overallresponsibility for control of emergencysituations to specified individuals andcommunicated this information to allpersonnel.3.11.3 Employees receive training and practice inemergency procedures appropriate totheir allocated emergency responseresponsibilities and the degree of risk.3.11.4 Competent persons have assessed thesuitability, location and accessibility ofemergency equipment.3.11.5 Emergency and fire protection equipment,exit signs and alarm systems areinspected, tested and maintained atregular intervals.3.11.6 A dangerous goods manifest or inventorysystem is in operation.3.11.7 The organization has assessed its first aidrequirements, and the first aid system inplace is appropriate to the organizationalrisks.3.11.8 The organization has systems in place toassist employees who are exposed tocritical incidents at work.PART 2: AUDIT CRITERIA 27

PART 2: AUDIT CRITERIAElement 4: Measurement and evaluation4.1 Monitoring and measurement- GeneralTo make sure that they work, risk controlmeasures need to be checked.The checks may include:a) monitoring potentially hazardousprocesses to ensure that engineeringcontrols are effective;b)inspection of plant, e.g. pressurevessels to ensure conformity withregulatory requirements;c) inspection and discussion in work areaswhere administrative controls are used;d)identification of necessary maintenanceof buildings and facilities; ande) using equipment for monitoring andmeasurement of health and safety risks(e.g. flammable gas determination, noisedosimetry). Such equipment should beidentified, calibrated, maintained andstored in accordance with themanufacturer’s specifications.For regular inspection activities, the use ofchecklists promotes coverage of issues andconsistency of approach.4.1.1 There is a documented health and safetyinspection program that:a) defines intervals for inspections thatare based on identified risk;b) incorporates a reporting and correctiveaction process; andc) uses workplace specific checklist(s).4.1.2 The inspection program includes checksthat monitor:a) conformance to the organization’s safeworking procedures;b) compliance with relevant health andsafety legislation; andc) the effectiveness of control measures.4.1.3 Inspections seek input and involvementfrom the personnel who are required toundertake the tasks being inspected.4.1.4 Engineering controls, including safetydevices, are regularly inspected andtested to ensure their integrity.4.1.5 Monitoring of the workplace environment(general and personal) is conductedwhere appropriate and records of theresults are maintained.4.1.6 Inspection, measuring and test equipmentrelated to health and safety isappropriately identified, calibrated,maintained and stored.28PART 2: AUDIT CRITERIA

4.2 Monitoring and measurement– Health surveillanceHealth surveillance involves monitoringthe health of persons potentially exposedto hazardous substances and workenvironment hazards. The main purposeof health surveillance is to detect adversechanges to health caused by occupationalexposure to certain environmentalconditions or substances, or to detect theexcessive absorption of substances. Healthsurveillance can help to evaluate theeffectiveness of risk controls. Howeverhealth surveillance is not a risk control, noris it an alternative to the implementationand proper maintenance of higher orderrisk controls.4.2.1 Where specified by legislation, the healthof employees exposed to specific hazardsis monitored, recorded, reported andaction is taken to address any adverseeffects.4.2.2 The organization has identified thosesituations where employee healthsurveillance should occur and hasimplemented systems to conductthis surveillance.Health surveillance may include thefollowing:a) biological testing, e.g. determinationof the presence of substances or theirmetabolites in blood, urine or expired air;b)specific medical tests, such as lungfunction tests;c) general medical examinations; andd)hearing tests.PART 2: AUDIT CRITERIA 29

PART 2: AUDIT CRITERIA4.3 Incident investigation and correctiveactionHazards will still exist and accidents andincidents can still occur even with the mostproactive health and safety managementsystem. It is important to report accidentsand incidents so that an investigation canbe carried out. Corrective action should aimto remove or minimise the hazard toprevent a recurrence.In establishing and maintaining proceduresfor investigating incidents, and takingappropriate corrective and preventiveaction, the organization should includethese basic elements:a) identifying the cause(s) of incidents;b)identifying and implementing thenecessary corrective action;c) implementing or modifying controlsnecessary to avoid repetition of theincident; andd) recording any changes in written proceduresresulting from the corrective action.4.3.1 There is a procedure, which includesinvolvement of operational linemanagement, for the investigation ofhazards, injuries, illnesses, incidents andother systems failures impacting onhealth and safety.4.3.2 Investigations shall:a) be undertaken by a competentperson(s);b) identify the factor(s) that led to thehazard, injury, illness, incident or othersystem failure;c) review the identified hazards, assessedrisks and effectiveness of the controlmeasures; andd) recommend appropriate controlmeasures.4.3.3 Responsibility is assigned to identifiedpersonnel for implementing and reviewingthe effectiveness of corrective actionsarising from investigations.4.3.4 Corrective actions are discussed withpersonnel affected prior to implementation.Depending on the situation this may beaccomplished rapidly and with a minimumof formal planning or it may be a morecomplex and long-term activity. Theassociated documentation should beappropriate to the level of corrective action.30PART 2: AUDIT CRITERIA

4.4 Records and records managementIt is necessary for an organization to keeprecords to demonstrate compliance withlegislative requirements and conformanceto health and safety management systemrequirements.The organization needs to identify therecords it needs to keep, who hasresponsibilities for keeping records, theconfidentiality requirements, where andhow records are to be stored, how longrecords are to be kept and the method ofdisposal of records.4.4.1 There are effective systems formanagement of health and safety recordsincluding their:a) identification and traceability;b) collection, indexing, filing;c) access and confidentiality;d) retention and maintenance;e) protection against damage,deterioration or loss;f) retrieval; andg) disposal.Health and safety records may include:a) external (e.g. legal) and internal(e.g. health and safety performance)requirements;b)health and safety management plans;c) hazard identification, risk assessmentsand risk control;d)health and safety training records;e) permits to work;f) employee qualification information;g)process information;h)product information(including composition);i) equipment information;j) equipment inspection, maintenanceand calibration records;k) monitoring data;l) pertinent contractor and supplierinformation;m) details of incidents, complaints andfollow-up action;n)information of emergency preparednessand response;o) audit results; andp)management reviews.PART 2: AUDIT CRITERIA 31

PART 2: AUDIT CRITERIA4.5 Health and safety managementsystem auditTo ensure that the health and safetymanagement system is functioningeffectively, regular reviews must beundertaken. Auditing provides a systematicand structured method of verifying thatactivities conform with plannedarrangements and monitors theireffectiveness. Audit data should beevaluated and suggested systemimprovements implemented to ensure thatthe safety management system remainsdynamic and relevant.The audit program and procedures shouldcover the following:a) the activities and areas to be evaluatedin audits;b)the frequency of audits;c) the responsibilities associated withmanaging and conducting audits;d)the communication of audit findings;e) auditor selection and competence; andf) how audits will be conducted.The quality of the information is enhancedwhen the process includes documentreview, workplace observations andcontribution from the relevant employeesand their representatives.4.5.1 Scheduled health and safety managementsystem audits are carried out to verifywhether activities:a) comply with planned arrangements;b) have been properly implemented andmaintained; andc) are contributing towards theeffectiveness of the system.4.5.2 The audit program takes intoconsideration the significance of healthand safety risks and the results ofprevious audits.4.5.3 The audit procedures cover:a) scope;b) frequency;c) methodologies;d) auditor selection and competencies;e) responsibilities; andf) reporting of results.4.5.4 Audits incorporate workplaceobservations and input from arepresentative sample of employees toconfirm the effectiveness of the system.4.5.5 Deficiencies highlighted by the audits areprioritized and progress monitored toensure corrective action is implemented.32PART 2: AUDIT CRITERIA

Element 5: Management ReviewTo ensure its continuing effectiveness,the organization's top management shouldconduct a review and evaluate the healthand safety management system at definedintervals.The health and safety management systemneeds to be reviewed and evaluated atleast every two years. Depending on thecomplexity of the system, and the level ofrisk encountered this may need to occurmore regularly.A review needs to be comprehensive butdoes not necessarily require assessmentof the entire health and safety managementsystem at one particular time. Partialreviews may be conducted.5.1.1 Top management oversee acomprehensive documented reviewof the health and safety managementsystem at defined intervals to ensure itscontinuing suitability and effectiveness insatisfying the organization's stated healthand safety objectives.5.1.2 Management reviews take into accounthealth and safety management systemsaudit results, changing circumstancesand a commitment to continualimprovement.5.1.3 Recommendations arising from healthand safety management systems reviewsgenerate actions to improve performance.Reviews should include:a) determining the continued suitabilityof health and safety policy;b)review of objectives, targets and theextent to which objectives and targetshave been met;c) reviewing the adequacy of resourcesprovided to meet the objectives andtargets;d)result from audits and incidentinvestigations;e) the continuing suitability of the healthand safety management system inrelation to changing conditions andinformation, determining the suitabilityof methods of communication; andf) comments of relevant interested parties.Observations, conclusions andrecommendations should be documentedfor necessary action.PART 2: AUDIT CRITERIA 33

Comparison between SafetyMAPand AS/NZS 4801:2001SafetyMAP ELEMENTSAS/NZS 4801:2001, SECTION 4 CLAUSES1. Health and safety policy 4.2 OHS Policy2. Planning 4.3 Planning2.1 Legal requirements and practical guidance 4.3.2 Legal and other requirements2.2 Objectives and targets 4.3.3 Objectives and targets2.3 Health and safety management plans 4.3.1 Planning identification of hazards, hazard/riskassessment and control of hazards/risks;4.3.4 OHS management plans; and4.4.6.1 General3. Implementation 4.4 Implementation3.1 Structure and responsibility - Resources 4.4.1.1 Resources3.2 Structure and responsibility 4.4.1.2 Responsibility and accountability- Responsibility and accountability3.3 Structure and responsibility 4.4.2 Training and competency- Training and competency3.4 Consultation, communication and reporting 4.4.3.1 Consultation- Consultation3.5 Consultation, communication and reporting 4.4.3.2 Communication- Communication3.6 Consultation, communication and reporting 4.4.3.3 Reporting- Reporting3.7 Documentation 4.4.4 Documentation3.8 Document and data control 4.4.5 Document and data control3.9 Hazard identification, risk assessment 4.4.6.2 Hazard identification;and control of risks - General 4.4.6.3 Hazard/risk assessment;4.4.6.4 Control of hazards/risks; and4.4.6.5 Evaluation3.10 Hazard identification, risk assessment 4.4.6.2 Hazard identification;and control of risks - Specific 4.4.6.3 Hazard/risk assessment; and4.4.6.4 Control of hazards/risks3.11 Emergency preparedness and response 4.4.7 Emergency preparedness and response4. Measurement and evaluation 4.5 Measurement and evaluation4.1 Monitoring and measurement - General 4.5.1.1 General4.2 Monitoring and measurement- Health surveillance 4.5.1.2 Health surveillance4.3 Incident investigation and corrective action 4.5.2 Incident investigation, corrective andpreventive action4.4 Records and records management 4.5.3 Records and records management4.5 Health and safety management system audit 4.5.4 OHSMS audit5. Management review 4.6 Management review34COMPARISON BETWEEN SafetyMAP AND AS/NZS 4801:2001

INDEXAccountability for health and safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.2, 3.2.4, 3.2.5Alteration to plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.17, 3.10.18Annual report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.7Auditing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 4.5, 5.1.2Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.2, 3.2.3Certificates of Competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.4Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1.1Committees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4.7, 3.6.4Communication, health & safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4, 3.4.4, Element 3.5, 3.11.2Competent Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.2, 3.8.4, 3.9.2, 3.10.6, 3.10.18, 3.11.4Complaints Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.5.4Consultation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.4, Element 3.4Contractor controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4, 3.5.3, 3.8.3, 3.10.3, 3.10.4Contractor training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3Critical incident response. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.8Customer-supplied goods and services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.27Dangerous Goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.9.1, 3.10.7, 3.10.10, 3.10.11, 3.10.12Design control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.5, 3.10.6Disposal of materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.7Dispute resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4.1, 3.5.2Document control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.8Emergency equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.4, 3.11.5Emergency exit signs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.5Emergency procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.1, 3.11.3Employee emergency training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.3Employee training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.3, 3.10.11Employer representatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.10, 3.4.4Environmental monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1.5Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.8First aid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.7Hazard identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1, 3.4.5, Elements 3.9 & 3.10, 4.3.2Hazard inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 4.1Hazard reporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.1Hazardous substances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.7, 3.10.10, 3.10.11, 3.10.12Health and safety audit reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.6, 4.5.3Health and safety legislation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 2.1, 3.10.8, 4.1.2, 4.2.1Health and safety manuals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.7Health and safety performance data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.3Health and safety program review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.4, 3.3.12, 3.4.5, 3.9.6, Element 5Health and safety representatives . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.3, 3.3.10, 3.4.2, 3.4.3, 3.4.4, 3.4.5, 3.4.6INDEX 35

Health surveillance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.1, 4.2.2Hierarchy of controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.2Incident investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 4.3Incident notification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.3Incident reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.6.2Induction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3Information on health and safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.5.1, 3.5.3, 3.6.7, 3.8.4, 3.10.11Inspections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.20, 3.11.5, Element 4.1Issue resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4.1, 3.5.2Labeling of substances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.29Maintenance of plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.15, 3.10.16, 3.10.17, 3.10.18Management training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1, 3.3.3, 3.3.9, 3.3.10Medical monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 4.2Medical records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.1Permit to work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.13Personal protective equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.14Personnel selection and placement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1Planning for health and safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 2, 3.1.2, 3.7.1Policy on health and safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 1, 3.7.1Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4.5, 3.7.1, 3.10.7Product traceability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.28, 3.10.29Purchase specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4.6, 3.10.2, 3.10.3, 3.10.4, 3.10.19, 3.10.25Purchase verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.4, 3.10.20Qualified personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.2Repair of plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.15, 3.10.17, 3.10.18Responsibilities, health and safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.2, 3.11.2Restrictions on access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.1, 3.10.13Risk assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1, Element 3.9, 3.10.5, 3.10.25, 3.10.26, 3.10.27Risk control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1, Elements 3.9 & 3.10Safety signage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.21, 3.11.5Storage of health and safety documentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.8, 4.4.1Storage of materials. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.22Supervision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.23, 3.10.24Training evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.5, 3.3.7, 3.3.12Training for contractors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3Training for employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Element 3.3, 3.10.14Training for management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1, 3.3.3, 3.3.10, 3.3.11Training needs, analysis of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.2Training review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.12Transport of materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.10, 3.10.22Verification of purchased goods and services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10.4, 3.10.20Visitor controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3, 3.10.136INDEX

HELP US TO IMPROVE SafetyMAPThe organization that administers SafetyMAPis committed to the provision of quality serviceswhich reliably and consistently meet the changingneeds of our clients and the community.You can help us to achieve this quality servicethrough your feedback to us about SafetyMAP.As a user of SafetyMAP you know better thananyone else does what improvements toSafetyMAP would benefit you.Please let us know how you think SafetyMAPcould be improved by writing to:The Manager,Health Management & Safety Systems Branch UnitWorkSafe VictoriaGPO. Box 4306Melbourne VictoriaAUSTRALIA 3001CONTACT DETAILSFURTHER INFORMATION ON HEALTHAND SAFETY MANAGEMENT SYSTEMSIS AVAILABLE FROM:AUSTRALIAAustralian Capital TerritoryACT WorkCoverTelephone (02) 6205 0200Website www.workcover.act.gov.auCommonwealthCOMCARETelephone 1300 366 979Website www.comcare.gov.auNew South WalesWorkCover NSWTelephone (02) 13 10 50Website www.workcover.nsw.gov.auNorthern TerritoryNT WorkSafe Health AuthorityTelephone (08) 8999 5010Website www.worksafe.nt.gov.auwww.nt.gov.au/whaQueenslandDivision of Workplace Health and SafetyDepartment of of Employment Training and Industrial RelationsTelephone: 1300 369 915Website: www.whs.qld.gov.auSouth AustraliaWorkCover Corporation of South AustraliaTelephone 13 18 55Website www.workcover.comStandards AustraliaTelephone 1300 654 646Website www.standards.com.auTasmania:Workplace Standards TasmaniaTelephone 1300 366 322Website www.wsa.tas.gov.auVictoriaWorkSafe VictoriaTelephone (03) 9641 1444or 1800 136 089Website www.worksafe.vic.gov.auwww.workcover.vic.gov.auWestern AustraliaWorkSafe Western AustraliaTelephone (08) 9327 8777Website www.safetyline.wa.gov.auNEW ZEALANDOccupational Safety and Health ServiceWebsite www.osh.dol.govt.nz