National Self-Insurer OHS Audit Tool User Guide & Workbook

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Criteria 4.2.1The organisation has identified those situations where employee health surveillance should occur and hasimplemented systems to conduct this surveillance. The health of employees exposed to specific hazards ismonitored, recorded, reported and action is taken to address any adverse effects.Rating Conformance Non-conformance Not Applicable Not able to be verifiedKey contacts (names & titles/positions) 1.NCR No.2.Documents submitted (title, version, date, location)1.2.3.4.5.6.7.Observations and commentsNational Self Insurer OHS Audit Tool – User Guide & Workbook Page 226 of 249Version 2.0, 3 August 2009
4.3 Incident investigation, corrective and preventive action4.3.1There is a procedure, which includes involvement of operational line management, for the investigation ofinjuries, illnesses, incidents and other systems failures impacting on health and safety.Examples:Injuries, illnesses, and incidents, including those which are notified to authorities, should beinvestigated. This is to determine the contributing factors so that similar occurrences can beprevented. Incident investigations should focus on corrective actions, not the allocation of blame. Theinvestigation should involve management representatives, such as supervisors, who have directknowledge of the relevant work area and work processes.• The investigation and corrective action procedures may include but are not limited to:o hazard reporting;o reporting of accidents and incidents and their subsequent investigation;o analysing all health and safety management system processes, work operations, records,service reports and complaints to detect and eliminate potential causes of nonconformingsystem;o implementing corrective action procedures to deal with prioritised health and safetymanagement system failures;o applying controls to ensure that corrective actions are undertaken;o establishing procedures for assessing the s and the effectiveness of implemented controlmeasures;o implementing a procedure for recording changes in health and safety management systemresulting from corrective actions• Investigation procedure.• Fully completed investigation documents which show the involvement of line managers in the process.• Can the organisation explain who is involved in investigations?• Can line managers confirm their involvement in investigations?National Self Insurer OHS Audit Tool – User Guide & Workbook Page 227 of 249Version 2.0, 3 August 2009
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Audits are not designed to assess t
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Audit Criteria for National Self In
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3.1.3Those who represent employees
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3.6.3Reports on health and safety i
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3.10.12Comprehensive health and saf
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4.3 Incident investigation, correct
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Element 1: Health and safety policy
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1.1.2The health and safety policy i
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1.1.3The health and safety policy i
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Element 2: Planning2.1 Legal requir
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2.1.2The organisation’s procedure
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2.1.3Relevant personnel in the orga
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2.1.4The organisation and/or indivi
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2.1.5Changes to health and safety l
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2.2 Objectives and targets2.2.1Heal
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2.2.2Specific health and safety obj
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2.2.3The organisation sets health a
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2.3 Health and safety management pl
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2.3.2The organisation documents its
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2.3.3The organisation monitors its
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2.3.4Health and safety plans are re
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Element 3: Implementation3.1 Struct
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3.1.2There are sufficient qualified
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3.1.3Those who represent employees
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3.2 Structure and responsibility -R
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3.2.2A member of senior management
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3.2.3The specific health and safety
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3.2.4Where contractors are utilised
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3.2.5Personnel are held accountable
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3.3 Structure and responsibility -T
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3.3.2The organisation has establish
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3.3.3The organisation has an induct
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3.3.4The organisation consults with
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3.3.5The organisation trains person
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3.3.6Training and assessment is del
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3.3.7Tasks are allocated according
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3.3.8Management has received traini
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3.3.9Those representing the employe
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3.3.10Refresher training (as requir
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3.3.11The training program is revie
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3.4 Consultation, communication and
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3.4.2The organisation, in consultat
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3.4.3The consultative arrangements
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3.4.4Details of the consultative ar
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3.4.5Employees or their representat
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3.4.6Employees or their representat
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3.4.7Employee representatives and m
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3.5.2The organisation regularly com
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3.5.3There are procedures for excha
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3.5.4There is a documented complain
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3.6.2Where there is a legislative r
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3.6.3Reports on health and safety i
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3.6.4Regular, timely reports on hea
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3.6.5Reports of audits and reviews
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3.6.6The organisation’s annual re
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3.7 Documentation3.7.1The organisat
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3.7.2Specific instructions and safe
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3.8 Document and data control3.8.1T
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3.8.2Documents and data critical to
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3.8.3The organisation provides pers
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3.8.4Documents and data are regular
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3.9 Health and safety risk manageme
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3.9.2The hazard identification, ris
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3.9.3The organisation documents all
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3.9.4Risks of identified hazards ar
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3.9.5Identified control measures sh
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3.9.6Risk management procedures sha
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3.9.7The organisation has a process
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3.10 Hazard identification, risk as
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3.10.2Health and safety requirement
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3.10.3The ability to meet health an
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3.10.4Contractor health and safety
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3.10.5The organisation determines t
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3.10.6Procedures shall be establish
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3.10.7Hazard identification, risk a
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3.10.8Competent personnel verify th
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3.10.9There are procedures to ensur
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3.10.10Facilities and amenities in
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3.10.11The organisation documents p
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3.10.12Comprehensive health and saf
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3.10.13The organisation ensures tha
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3.10.14There are ‘Permit to Work
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3.10.15Where personal protective eq
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Page 178 and 179: 3.10.17There is a process for unsaf
Page 180 and 181: 3.10.18Appropriate controls are use
Page 182 and 183: 3.10.19Competent personnel verify t
Page 184 and 185: 3.10.20Safety signs, (including reg
Page 186 and 187: 3.10.21There are procedures to ensu
Page 188 and 189: 3.10.22Individuals are supervised a
Page 190 and 191: 3.10.23There are supervisory arrang
Page 192 and 193: 3.10.24There is a documented proces
Page 194 and 195: 3.10.25Customer-supplied goods and
Page 196 and 197: 3.10.26All substances in containers
Page 198 and 199: 3.11 Emergency preparedness and res
Page 200 and 201: 3.11.2The organisation has allocate
Page 202 and 203: 3.11.3Employees receive training an
Page 204 and 205: 3.11.4Competent persons have assess
Page 206 and 207: 3.11.5Emergency and fire protection
Page 208 and 209: 3.11.6A dangerous goods and/or haza
Page 210 and 211: 3.11.7The organisation has assessed
Page 212 and 213: 3.11.8The organisation has systems
Page 214 and 215: Element 4: Measurement and Evaluati
Page 216 and 217: Criteria 4.1.1There is a health and
Page 218 and 219: Criteria 4.1.2Inspections seek inpu
Page 220 and 221: Criteria 4.1.3Engineering controls,
Page 222 and 223: Criteria 4.1.4Monitoring of the wor
Page 224 and 225: Criteria 4.1.5Inspection, measuring
Page 228 and 229: Criteria 4.3.1There is a procedure,
Page 230 and 231: Criteria 4.3.2Investigations shall:
Page 232 and 233: Criteria 4.3.3Responsibility is ass
Page 234 and 235: Criteria 4.3.4Corrective actions ar
Page 236 and 237: Criteria 4.4.1There are effective s
Page 238 and 239: Criteria 4.5.1There is a health and
Page 240 and 241: Criteria 4.5.2Scheduled audits are
Page 242 and 243: Criteria 4.5.3Deficiencies highligh
Page 244 and 245: Criteria 5.1.1Senior management ove
Page 246 and 247: Criteria 5.1.2Recommendations arisi
Page 248 and 249: Health and safetyobjectivesHealth a
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National Self-Insurer OHS Audit Tool User Guide & Workbook

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