US5620 A3 2012002052 FS

CCH
2013
Report to management.
OHSMS audit report
Phillip Jonker
2012002052
US5620 A3
N R T D W H I 6 5 7 4 9 4

US5620 A3 2012002052 Author: Phillip Jonker Page 2
Table of contents:
1. Introduction. Page 3
2. Summary. Page 3
3. Audit objectives. Page 3
4. Audit findings and recommendations. Pages 4 -8
5. Conclusion. Page 9
Appendix A – The audit template. Pages 10 - 35
Appendix B – The ACC worksafecycle model. Page 36
Appendix c – References Page 37

1. Introduction
An ohsms audit was carried out recently in order to measure our organisation’s level of
occupational health and safety management via the audit template in appendix A. The
occupational health and safety management systemaudit in this particular case was carried
out to indicate our organisation’s overall level of health and safety performance as the audit
template is very comprehensive. ACC 440 and 442 are normally used by organisations,
however due to our organisation’s extensive list of legislative, industry specific and other
requirements, a specifically designed template was used. In this report I will thoroughly
discuss the audit findings and relevant recommendations for improvement.
I would like to thank all that participated in the actual audit activities and assisted in the pre
audit preparations and planning.
2. Summary
The audit template that is displayed in appendix A was used, it includes all of our
organisation’s legislative and industry specific requirements and our critical activities were
also incorporated. Please also note that the template is aligned with AS/NZS 4801:2001 and
4804:2001, it also includes minor extractions from ACC 440 and 442. Please do not be
alarmed by the numerous critical errors that were found as it was predicted and expected,
as I mentioned before, the audit template is very comprehensive and advanced. Though it
would be important to view the errors as a positive as the majority of them were latent
errors and have been identified only recently via the specialised audit template. “SMART”
principles were considered when recommendations for improvement were made and the
required preparation and planning steps were taken prior to the audit.
In addition to that, impartiality was paramount, the reasons and objectives of the audit
process was explained to all that were even remotely involved and full consent was given by
senior management.
3. Audit objectives
The objectives of the audit were to :
 Measure our overall level of ohs performance, whilst prioritising impartiality.
 Accurately identify ohs management errors so that “SMART” recommendations for
corrective action could be set up.
 Improve and develop our level of occupational health and safety management.
 Reduce the likelihood of accidents or incidents, increase productivity and lessen the
chances of not complying with New Zealand’s health and safety legislation.
 To realign our OHSMS with the audit template’ principles.

4. Audit findings and recommendations.
As I mentioned before, numerous critical errors were identified in various areas, however it
was predicted and expected. Again, it was ensured that the appropriate pre audit
preparation and planning steps were taken, the taken steps are as follows:
 Management consent was obtained and agreed on and the predicted future corrections
were considered.
 All personnel were fully prepared for the audit activities in good time and all
documentation, evidence and resources were prepared as requested.
 All personnel were made aware of the reasons for the audit and the importance of
impartiality.
 Sampling requests were strategically allocated.
 The dates and times of the audit activities were clearly outlined and all workplace
activities were considered.
 Audit participants were organised in good time to ensure adequate “off time”.
The actual audit findings and relevant corrective action recommendations are as follows:
Principle 1 - The healthand safetypolicy.
Requirement2
Despite the clearstatementof commitmenttolegislative compliance inthe policy,the findingsin
principle 13provesthat itis an area that isdue for corrective action,please refertoprinciple13 for
the recommendedcorrectiveactions.
Requirement3
Again,the clearstatementof itinthe policydoesnotcorrespondwiththe actual findingsinprinciple
14, please refertoprinciple14 forthe recommendedcorrective actions.
Apart fromthe above errors,principle 1revealedpositive findings.
Principle 2 - Hazard management.
Requirement10
Thisis veryimportantasit couldleadto seriousharm, Iwouldrecommendthe implementationof a
documentedprocedure thatwouldensure the obtaining of specialist advice for managing
specific hazards where competency is not available through internal staff. The procedure
and a list of advisors or consultants as well as the responsible person should be included and
MS Excel spreadsheets would be sufficient.
Requirement 11
There is no evidence of active management of hazards that are associated with any new or
modified equipment, material, services or work processes. It is an area of particular concern

as it may lead to serious harm. The recommended corrective action would be to implement
a clear, detailed and documented procedure for this, all protocols should be included and
evidence should be recorded and filed, MS Excel spreadsheets can be used for such a
procedure.
Requirement 12
No evidence could be found of ACC DPI materials being incorporated into hazard
management and there is a severe lack of knowledge of the DPI materials. The DPI materials
would be very helpful and should most definitely be incorporated into the management of
relevant significant hazards. I would recommend a detailed and documented
implementation and it should be communicated to all personnel through information
handover initiatives, the DPI materials could also be used as a employee participation
initiative to supplement the WPNZ START booklet system. DPI wheels can be allocated to
respective stations and personnel can be trained and advised by supervisors, progress can
be tracked by using MS Excel spreadsheets and the actual DPI materials can obtained from
the local ACC branch.
Requirement 13
This is a major issue, I would recommend the setup of regular strategic communications or
“toolbox” meetings and including it in the health and safety induction manual. This is also
an area of non compliance with the HSE Act.
Requirement 19
Minimisation and engineering controls should ideally be supplemented by administrative
controls, it can be combined to yield very positive effects. I would recommend that all
minimised control methods get supplemented by strategically designed administrative
controls, it is very cost effective and would require little time and human resources. The
administrative controls would ideally explain the reasons for the respective chosen control
methods, the results of periodical evaluations, the potential consequences of not using the
provided ppe appropriately, the limitations of engineering controls (if applicable) and
motivational approaches.
Principle 3 - Training and supervision.
Requirement7
I would recommend the setup of a detailed review timetable appropriate for particular
identified hazards that have not been eliminated, responsibilities should be clearly assigned
and documented to ensure that requirements of timetables are met. Reviews should also be
documented and filed, this is another area of particular concern as the absence of such
reviews may lead to serious harm, MS Excel spreadsheets can be used.

Principle 4- Employee participationandsupervision.
N/A,thisarearevealedgoodfindings,howeverthe tarnishingeffectof othererrorsshouldbe
considered.
Principle 5 - Emergencypreparedness.
Requirement4,5 and6.
No documentedevidence couldbe found of thoroughcompliance evaluationsand subsequent
implementations,itisalsoapointof non compliance withprinciple 13.
I wouldrecommend documented andthoroughevaluationsof the relevant requirementsof the
respective legislative documentsand thoroughlydocumentedsubsequentimplementationsof the
respective requirements,effectiverecordkeepingof the activitieswouldbe paramount,MSExcel
spreadsheetscanbe used.
Principle 6 - Contractor management.
N/A,thisarearevealedgoodfindings,howeverthe tarnishing effectof othererrorsshouldbe
considered.
Principle 7 - Injury management.
considered.
Principle 8 – Monitoring.
N/A, thisarearevealedgoodfindings,howeverthe tarnishingeffectof othererrorsshouldbe
considered.
Principle 9 - Safe practicesand adequate facilitiesobservation.
considered.
Principle 10 - Maintenance and equipmentcalibration.
Requirement4.
No evidenceof aspecificprocess toperiodically review all maintenance andcalibration
requirementsandspecificationscouldbe found.Iwouldrecommendathoroughanddocumented
implementationof sucha process,itwouldbe costeffective andentirelyachievable,MSExcel could
be usedand all relevant machinery,equipmentandrelevantspecificationsandrequirementsshould
be categorised,storedandevaluatedeverysix months.
Principle 11 - Record keeping.
Requirement6

No substantial legislative compliancerecordscouldbe found,please allowme torefertoprinciple 5,
requirements4,5and 6 andprinciple 13. Itis veryimportanttoinclude those records,the actual
filingcategorywasfound,however manyactual legislative complianceactivity recordscouldnotbe
located. Thiserrorwouldhave a retardingeffectonotherareas.
Principle 12 - Incident and accidentreporting, recording,investigationand corrective action
procedures.
Requirement14
No evidencecouldbe found of a procedure torequestspecializedtechnical advice inthe case of
highriskor complex investigations. MSExcel canbe usedto documentandimplementsucha
procedure orprotocol,a database of advisorsorconsultantscanbe created,aswell asthe
appropriate protocolsandresponsible person inthe case of such investigations.
Principle 13 - Legislative compliance.
Requirement1
Evidence of sucha procedure wasfound,howeveranumberof relevantlegislative documentsare
not listed,all of the legislative documentsaslisted inthe requirement columnshouldbe recorded,
otherwise legislative compliance auditswouldbe obsolete.MSExcel canbe usedto create a
comprehensive database thatwouldconvenientlyserveasa platformforall legislative compliance
activities.
Requirement2
No substantiallydocumentedevidence of legislativecompliance auditsandauditresultevaluations
couldbe found,renderingverificationpoint (b) obsolete and the errorsthatwas detectedin
requirement1renders the verificationpointcobsolete .Iwouldrecommendthe setupof a
timetable forlegislativecompliance audits,the same MSExcel database that wasrecommended
above can be used,ideally,legislativecompliance auditswouldbe carried outeverysix months and
again,all relevantlegislativedocumentsshouldbe listedtoensure effectivelegislative compliance
audits.
Requirement3
There isno evidence of a processto ensure thatexpertadvice oncomplicated legislative
compliance issuesisseekedwhencompetencyisnotavailable throughinternal staff.Sucha process
or protocol can alsobe createdwithMS Excel,governmentagenciesandtheirrespective advisorsor
representativescanbe listed,aswell asthe appropriate stepsorprotocolsthatshouldbe taken.
Principle 14 - Approved codesof practice and joint standards.
Requirement1
There are no codes of practice in place for the safe use of timber preservatives and
antisapstain chemicals , operated elevating work platforms and for the appropriate use of

forklifts. Also, no evidence could be found of AS/NZS 1715:2009 and AS/NZS 1716:2003
being implemented, this is an area of particular concern as it may very well lead to serious
harm. There are codes of practice in place for manual handling and noise management,
however I have compared them to the official approved codes of practice and they are not
similar enough. I would recommend immediate action, all approved codes of practice as
listed in the audit template should be fully implemented, it is not legally required to
implement the approved codes of practice exactly as they are, however I would recommend
it as various short and long term benefits would be involved. AS/NZS 1715:2009 and AS/NZS
1716:2003 are very relevant to our organisation as there are various respiratory hazards
present that have been minimised (carbon monoxide, resin, welding fumes and wood dust),
the above named joint standards should be fully implemented into hazard management.
Documentation and record keeping of these activities would be paramount and MS Excel
spreadsheets would be an effective medium . The recommendations would encompass
rather substantial financial costs, however financial savings would also be assured.
Requirements 2 and 3
There isno procedure inplace to ensure thatall relevantjointstandards andapprovedcodesof
practice are appropriatelyimplemented.Iwouldstronglyrecommendthe setupof suchaprocedure,
it can be addedto our monthlyhealthandsafetyauditsandthe actual setupwouldbe very
achievable,MSExcel spreadsheetscanbe used,the procedure wouldalsoideallybe inlinewiththe
respective jointstandards. Suchaprocedure wouldboostcontinuousimprovementsignificantlyand
wouldserve asa monitoringmedium forthe above recommendations.
Requirement5
No evidencecouldbe foundof conformance toapprovedcodesof practice andjointstandardsbeing
periodicallyevaluated.Thissupportsthe above findingsconformance evaluationscanbe clarified
and directedbythe procedure thatI recommendedabove.Conformance evaluationsshouldbe
carriedout monthlyandrecordkeepingof evaluationswouldbe veryimportant.
Principle 15 - Planning,review,evaluationand continual improvement.
Good evidence wasfoundin thisarea,howeverthe errorsthatwere detectedinotherareasare
causingnegative anddevaluingeffects,again,all of the principlesare interlinked.
Principle 16 - Focus group interviews.
Requirements1,3 and 5 (line workers)
The two supervisors expressedasoundlevelof knowledgeandall of the requirementswere met,
howeverthe twoline workershadlittleunderstandingof whatconstitutesahazard and a
significanthazard,theyalsohadunsubstantialknowledge of practicable steps andthe hierarchyof
controls,the incidentorinjuryinvestigationprocess,includingdesignatedresponsibilitiesandthe
relevantrole injuredemployeesandtheirsupervisors .

Thisleadsme to believethatthere isa lackin communicationinthese areas,the informationis
includedinthe site inductionmanual,howeverthe informationneedstobe communicated,Iwould
recommend periodicallyinitiativesliketoolboxmeetingsandinformationhandovers.
5. Conclusion.
Priorto the OHSMS auditthe predictionswere discussed,alarmingerrorswere revealed,particularly
interms of legislative compliance,itisabsolutelycompulsorythatourOHSMS complieswiththe
spiritandpaperof the NewZealandhealthandsafetylegislation.Otheralarmingerrorsthatwere
revealedare the onesthatare likelytoleadtoseriousharm(significanthazards),immediate action
mustbe takento rectifyall of these errors,please note thatprioritisationwouldbe paramount.
Apart fromthe errors that were revealedandtheirimpactonthe rest of the OHSMS, goodevidence
was seeninotherareas,some of the principleswere faultless. The objectivesthatwere setinthe
pre auditphase were to:
 Measure our overall level of ohs performance, whilst prioritising impartiality.
 Accurately identify ohs management errors so that “SMART” recommendations for
corrective action could be set up.
 Improve and develop our level of occupational health and safety management.
 Reduce the likelihood of accidents or incidents, increase productivity and lessen the
chances of not complying with New Zealand’s health and safety legislation.
 To realign our OHSMS with the audit template’ principles.
The objectives are all achieved and I would consider the OHSMS audit a success, however
the actual progress would be revealed in the following OHSMS audit.
Again, I would like to thank all the people that participated in the audit activities.

This part was of the document was left blank intentionally.
Appendix A
The health and safety management audit checklist
Principle 1
The purpose of this principle is to measure our organisation’s level of commitment toward health and safety
and compliance with the spirit and paper of New Zealand’s health and safety legislation and the OHSMS itself.
Having a health and safety policy in place is not required by the HSE Act, but it is good practice, a well managed
health and safety policy is a business asset and it is scrutinised by AS/NZS 4801:2001 and 4804:2001.
The health and safety policy
Details of requirements Verified by Achieved
yes/no
1. There is a documented health
and safety policy that is up to
date and is endorsed by the
current senior manager.
a.) A policy document.
b.) It is up to date.
c.) Endorsement details are
authentic, current and clear.
Yes
Yes
Yes
2. The policy includes a clear
statement of commitment to
complying with New Zealand’s
relevant health and safety
legislation.
a.) The policy document includes a
clear statement of it.
b.) There is correspondence with
principle 13.
Yes
No
3. The policy includes a clear
complying with all relevant
approved codes of practice,
joint standards, regulations
and guides.
a.) A clear statement in the policy.
b.) There is compliance with
principle 14.
Yes
No
4. The policy is available to all
interested parties.
a.) A clear statement of it in the
policy document.
b.) Correspondence with relevant
principle requirements.
Yes
Yes
5.) It is reviewed periodically to
ensure that it remains relevant
and suited to the organisation.
organisation’s policy.
b.) Evidence of such reviews and
Yes
Yes

relevant evaluations (at least every
two years).
6.) The policy incorporates senior
management’s commitment to
continual improvement and
compliancy with the OHSMS.
a.) Documented evidence of it. Yes
7.) The policy includes senior
management’s statement of
commitment to:
 Adequate resource allocation.
 Periodically determining the
organisation’s current ohs
position.
 Co-ordinate management
planning and agreed
delegations.
 Decision follow ups and
assessments.
 Communication of ohs values,
policies and objectives
unambiguously throughout the
organisation.
 Demonstrating commitment
through action.
a.) Clear statements in the policy. Yes
8.) The policy includes a statement
of commitment to identify all
hazards systematically and to
control all hazards as per the
hierarchy of controls and
practicable steps.
9.) The policy includes a statement
of commitment to manage all
possible emergencies as
legislatively required.
a.) A clear statement of it. Yes
10.) The policy includes a
statement of management’s
commitment to comply fully with
WPNZ and other relevant industry
health and safety standards.
effective injury management
procedures.
a.) A clear statement of it. Yes
policy.
Yes

providing employees, union
representatives and other elected
employee representatives with at
least reasonable opportunities to
actively participate in health and
safety management.
13.) There is commitment to
appointing a designated and
competent senior manager to
carry out ohs responsibilities.
policy.
Yes
Principle 2
Hazard management.
The purposeof thisprinciple is to determinethe organisation’sexactlevelof overall hazard
management. Hazard managementisa pivotallegislative requirementand the HSE Act is heavily
involved.
yes/no
1.) All potential hazards are
systematically identified (that
arise from inside and outside
the place of work).
a.) Established procedures.
b.) Evidence of systematically
identified hazards.
c.) Systematic hazard identification
procedures includes hazards that
may be:
- Previously existing
- New hazards
- Potential hazards
Yes
Yes
Yes
2.) All potential hazards are
identified, assessed, classified and
prioritized in accordance with the
WPNZ risk matrix, HSE Act
definitions, practicable steps and
the hierarchy of controls.
a.) Documented evidence of such
procedures.
b.) Randomly selected samples that
are accurate.
Yes
Yes
3.) All significant hazards are
controlled in accordance with the
hierarchy of controls and steps.
a.) Documented evidence of such a
processes.
b.) Randomly selected samples.
Yes
Yes
4.) Hazards are appropriately
categorized.
a.) Documented evidence of hazard
categorisation..
Yes

5.) All hazard control methods are
periodically reviewed and
evaluated for efficacy.
a.) Documented evidence of
periodical reviews.
Yes
6.) Significant hazards that are not
eliminated or isolated are
monitored via ambient monitoring
at least every five years, whenever
there is a change in the process or
in response to negative annual
employee medical test results.
a.) Documented evidence. Yes
7.) There is an up to date
collective hazard register and
departmental hazard registers
that are well displayed and up to
date.
a.) Documented evidence.
b.) All hazard registers are well
displayed and up to date.
Yes
Yes
8.) All hazard registers are
periodically reviewed.
9.) Hazard management
procedures cover both tangible
and intangible hazards.
10.) The is a procedure established
for obtaining specialist advice for
managing specific hazards where
competency is not available
through internal staff.
procedure.
b.) Documented examples.
No
No
11.) There is active management
of hazards that are associated
with any new or modified
equipment, material, services or
work processes.
a.) Documented evidence. No
12.) ACC DPI materials are
incorporated into hazard
management.
a.) Documented evidence.
b.) Demonstrated knowledge of the
ACC DPI materials.
No
No
13.) It is ensured that employees
are aware of the employer’s and
their own health and safety
responsibilities.
a.) Documented evidence of relevant
processes.
No
14.) It is ensured that employees
are fully competent at using the
WPNZ S.T.A.R.T. book and risk
matrix.
periodical refresher training.
b.) Documented evidence of regular
evaluations (sbo sheets and others).
Yes
Yes
15.) It is ensured that all
employees fully understand the
regulations of the WPNZ “lockout”
energy isolation system.
periodical refresher training.
b.) Documented evidence of regular
evaluations (sbo sheets).
Yes
Yes

16.) There are adequately trained
individuals to carry out the hazard
management procedures.
17.) The results yielded from
hazard management review and
evaluation is appropriately
analysed and fed back into hazard
management..
18.) The individual ppe needs of
every employee is considered
(disability, rehabilitation, etc).
19.) Administrative controls are
used to supplement minimisation
and engineering controls.
Principle 3
Training and supervision
The purposeof thisprinciple is to determinethe overall level of training and supervision in the
organisation. Effectivetraining and supervision of employeesisa legislative and jointstandard
requirementand it is a crucial partof health and safety management.
yes/no
1.) There is a procedure in place to
ensure that all competencies are
developed and maintained.
procedure.
Yes
2.) There is a procedure
established to ensure that all staff
are assessed as competent , on
the basis of skills achieved through
education, training or experience,
to perform assigned tasks.
procedure.
Yes
3.) All health and safety
responsibilities, objectives,
policies and all relevant potential
hazards are incorporated into
training.
5.) The characteristics and
composition of the workforce is
considered in terms of employee
training.
established to ensure that
a.) Documented evidence of it. Yes

employees, contractors and
visitors have undertaken training
appropriate to identified needs.
7.) There is a schedule
documenting the minimum review
timetable to monitor significant
hazards that have not been
eliminated.
a.) A hazard review timetable
appropriate for particular identified
hazards.
b.) Responsibilities are assigned to
ensure that requirements of
timetables are met and signed.
c.) Samples/examples.
No
No
No
8.) The is a procedure established
to ensure that training is carried
out by persons with appropriate
knowledge, skills and experience
in ohs training.
sufficient knowledge, skills
experience and training.
Yes
established to identify new and
monitor existing training needs.
10.) Commitment to the OHSMS
and accountability of ohs begins at
the highest levels of the
management hierarchy.
a.) Documentedevidence of prioritized
trainingandacceptance of relevant
policiesandaccountabilities.
Yes
11.) There is a site health and
safety induction document
manual in place that is
appropriate to the organisation’s
critical activities, legislative
requirements, approved codes of
practice, industry specific
requirements and health and
safety policies.
a.) A thoroughand well documented
healthandsafetyinductionmanual that
isappropriate tothe latterandis easyto
follow.
Yes
established that ensure that
untrained or not yet ‘signed off’
employees perform duties under
trained and signed off supervision
at all times.
a.) Documentedevidenceof sucha
procedure.
Yes
13.) There is a procedure to
determine the relevant skills,
experience or qualifications of
external trainers.
a.)Documentedevidence of sucha
procedure.
b.) Examplesof hiredexternaltrainers.
Yes
Yes
Principle 4

Employee participation and information.
The purposeof thisprinciple is to measuretheexact level of health and safety management
participation opportunitiesthatisprovided to employees,union representativesand other elected
employeerepresentatives.Employeeparticipation opportunitiesarerequired by the HSE Act and it is
a very effective meansto developing an organization’shealth and safetyculture.
yes/no
1.) There isa procedure established
to ensure regularandco-
operative interactionbetween
the employer,representativesof
the employer,employees,union
representatives,otheremployee
representativesandcontractors.
procedure.
b.) Documentedevidenceof
participation.
Yes
Yes
2.) There isa procedure inplace for
electinghealthandsafety
representativestoact as
membersof the organization’s
healthandsafetycommittee.
procedure.
b.) Documentedevidenceof relevant
activities.
Yes
Yes
3.) Employeesare providedwithat
leastreasonable opportunitiesto
participate effectivelyinongoing
processesformanagingand
improvinghealthandsafety.
c.) Documented evidence. Yes
4.) Healthand safetytrainingis
providedtoemployeesthatare
a.) Documentedevidence. Yes

activelyinvolvedinhealthand
safetymanagementtoassistin
the developmentand
establishmentof safe workplace
practices.
5.) Where any agreementisreached
betweenthe employer,
employeesandanyuniononthe
implementationandreviewof a
systemof employeeparticipationin
healthandsafety management,the
agreementis recorded.
6.) Before employees beginworkof
any kindtheyare informedof:
 Emergencyprocedures.
 Hazards the employee maybe
exposedtowhile atwork.
 Hazards the employee may
create while atworkwhichcould
harm others.
 How to minimisethe likelihoodof
these hazardsbecoming asource
of harmto others.
 The locationof safetyequipment.
Principle 5
Emergency preparedness
The purposeof thisprinciple is to measuretheorganisation’sexactlevelof emergency preparedness,
having hazard controlmethod failure contingenciesin place and preparing fornaturaland other
disastersare absolutely compulsory and numerouslegislativedocumentsareinvolved.
yes/no
1.) There isa well documented
and implementedemergency
plan.
2.) All potential emergency
situationsare includedinthe
emergencyplan.
a.) The inclusionof fire evacuation
protocols.
b.) The inclusionof hazardcontrol
methodfailure contingencies.
Yes
Yes

c.) The considerationof geographically
relatedpotentialemergencies.
d.) The considerationof the workplace
structure.
Yes
Yes
3.) The emergencyplancomplies
withemergencyservice
requirements.
a.) Documentedevidenceof athorough
compliance evaluationand
implementation.
Yes
withthe HSE Act.
implementation.
b.) Correspondence withprinciple 13.
No
No
withthe Factoriesand
Commercial PremisesFirstAid
Regulations 1985.
implementation.
No
No
withthe Fire Safetyand
Evacuationof Buildings
Regulations2006.
implementation.
No
No
7.) The emergencyplanis
includedinemployeetraining
procedures,workinstructions
and the healthandsafety
inductionmanual.
8.) Evacuation protocolsare
practicedperiodically.
a.) Documentedevidenceof evacuation
drillsnomore than six months
apart.
Yes
9.) There isa consultative review
of emergencyresponse
proceduresafterevery
practice drill and/oractual
evacuation.
establishedtoensure thatall
emergencyequipmentand
firstaidequipmentare
available andmaintainedin
goodworkingorder.
11.)The is a procedure inplace to
considerpotential emergency
situationsrelevanttonew

processes,substances,
equipmentorservices.
12.)There isan established
procedure toensure that
contractors,sub contractors
and site visitorsare aware of
the emergencyprotocols or
are at leastescortedor
supervisedbyapersonthatis
familiarwiththe emergency
protocols.
13.)There are designated,
strategicallyallocatedand
adequatelytrainedwardens.
a.) Documentedevidenceof upto date
trainingrecords.
b.) Documentedreasonsforwarden
allocationdecisions.
c.) Documentedevidencethat the
warden allocationdecisionswere
made consultativelywith
employees,unionrepresentatives
and otheremployee
representatives.
Yes
Yes
Yes
Principle 6
Contractor management
The purposeof theprinciple is to measuretheorganization’sexactlevelof contractormanagement,
contractorrelated health and safetymanagementisa vital partof any organisation’sOHSMS and
the HSE Act is significantly involved in this area.
yes/no
1.) It isensuredthatall contracted
staff,includingone-off contractors
or similarreceive healthandsafety
inductiontraining.

1.) Contractor selectioncriteriainclude
assessmentof healthand safety
performance.
a.) Documentedevidenceof an
establishedselectioncriteriathat
fullyassesseshealthandsafety
performance of proposed
contractors.
Yes
2.) Healthand safetyexpectationsand
overall responsibilitiesare included
incontracts.
3.) Contractor healthandsafety
performance isreviewedatagreed
intervals.
4.) There isa processestablishedto
ensure thatcontractors receive full
wpnzlockoutsystemtrainingand
that ‘signoffs’are approvedand
supervisedbyappropriatelytrained
and experiencedmanagementstaff.
5.) Postcontract evaluationsinclude
healthandsafetyas part of the
evaluation
Principle 7
Injury management
This purpose of this principle is measure the exact level of injury management in the
organization, effective injury management is very important and legislative requirements
are involved.
yes/no
1.) There isa processinplace to
ensure thatinjuredemployees
are aware of theirentitlements
and of the processforapplying
process.
Yes

for these entitlements.
2.) There isa procedure inplace to
obtainand update signed,
informedconsentfrom
employeesbefore the collection
and release of information
relevanttothe claim.
procedure thatsatisfiesthe criteria.
Yes
to assessemployees’
rehabilitationneeds.
procedure thatsatisfiesthe criteria.
Yes
4.) Vocational andsocial
rehabilitationneedsare assessed
a.) Documentedevidencewhere
applicable.
Yes
5.) There isa claimslodgment
systemestablishedthatlodgesall
injuryclaims.
6.) It isensuredthatemployeesare
informedof claimslodgment
procedures.
that identifiessuitable alternative
dutiesandiscommittedto
providingthese duties.
procedure thatmeetsthe criteria.
Yes
8.) There isa returnto workprocess
implemented.
9.) Coverdecisionsstate the reasons
for respective decisionsand
include reviewrights.
a.) Documentedevidencethat meets
the criteria.
Yes
10.)Workplace rehabilitationis
managedbya designatedand
qualifiedorsignificantly
experiencedperson.
a.) Documentedevidencethatmeets
the criteria.
Yes
11.) There is a writtenrehabilitation
policythat:
- Is current,datedand
endorsedbysenior
management.
- Is widelyaccessibleinthe
workplace.
- Is includedinthe healthand
safetyinductionmanual.
- Includesobjectivesand
respective responsibilities.
- Includesconsultationwith
unionandothernominated
employeerepresentatives.
a.) Documentedevidencethatmeets
the criteria.
Yes
Principle 8

Monitoring.
The purposeof thisprinciple is to measuretheorganization’sexactlevelof monitoring procedures,
monitoring is a vital partof any OHSMSand there are specific requirements setby the New Zealand
healthand safetylegislation.
yes/no
ensure annual respiratoryand
audiometrictests.
a.) Documentedof sucha procedure.
b.) Respiratorytestrecordsnomore
than 12 monthsold.
c.) Audiometrictestrecordsnomore
than twelve monthsold.
d.) Documentedevidenceof annual
medical testreview andevaluation.
Yes
Yes
Yes
Yes
2.) Ambientnoise andsubstance
exposure level monitoring (where WES
limitsare exceeded) iscarriedoutat
leasteveryfive years,wheneverthere
has beenchangesinrelevantprocesses,
inresponse tonegative annual medical
testresults or relevantcomplaints.
a.) Documentedevidenceof it.
b.) Ambientmonitoringrecordsthat
are no more than12 monthsold.
c.) Evidence of annual medical testrest
evaluation.
Yes
Yes
Yes
3.) Hazard control methodsare
periodicallyreview andevaluatedfor
efficacy.
b.) There isa procedure inplace to
ensure thatpersonal dosimetry
monitoringiscarriedoutwhere
neccicaryor recommended.
procedure.
b.) Dosimetermonitoringrecords(if
applicable).
Yes
Yes
c.) The is a procedure inplace to
ensure thatexpertmonitoring
advice or servicesare seekedwhen
competencythroughinternal staff is
not available.
procedure.
b.) A documentedlistof occupational
hygienists.
Yes
Yes
d.) There are ‘SMART’system
monitoringobjectivesinplace that
are collaboratedwithhazard
managementobjectives.
e.) There isa procedure establishedto
undertake consultative annual self
assessmentstoensure thatOHSMS
standardscan be metand
maintained.

f.) The is procedure establishedto
ensure thatthe privacyand
identitiesof employeesare
protectedatall times.
procedure.
Yes
g.) It is ensuredthatemployee are
informedof the resultsof any
healthandsafetymonitoring
undertakentomeethazard
managementrequirements.
Principle 9
Safe practices and adequate facilities observation.
The purposeof thisprinciple is to confirmthatsafepractices are in action and thatemployeesare
provided withadequatefacilities,it is required theNew Zealand health and safety legislation and it
measuresOHSMSconformanceand performance.
yes/no
1.) Safe healthandsafetypracticesare
inaction.
a.) Hazard registers.
b.)Evidence of assessmentof hazardsto
determine theirsignificance.
c.) Currentsafetyinformationison
display.
d.) Incidentandinjuryregistersare
available inthe workplace.
e.) Formscompleted.
f.) Evidence of appropriate personal
protective equipmentinuse.
h.) Restrictedareasof workare clearly
marked.
i.) Escortingand signingrequirements
are inplace for restrictedareasof work.
j.) Emergencyevacuationprocedures
are clearlyoutlined.
k.) Designatedlistedare employees
trainedtotake control inemergencies.
l.) Emergency exitsare clearlymarked.
m.) Emergencyequipmentis
maintained, clearlymarkedandcurrent.
n.) Staff site logbooksand visitor
registersare provided.
o.) Personal protective equipmentis
available forsite visitors.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
2.) WPNZ S.T.A.R.T.booksare carriedby
all employeesatall times.
a.) Positive outcomesof random
departmental checks.
Yes

3.) The organisationcompliesfullywith
the WPNZ energylockoutsystem.
a.) Documentedevidence of its
implementation.
b.) Documentedevidence of relevant
“signoff certificates”.
c.) Trainingrecords.
d.) Evidence of periodical competency
evaluations.
Yes
Yes
Yes
Yes
4.) There are clear,designated
pedestrianwalkways.
a.) Visual evidence of clearand
practical pedestrianwalkways.
Yes
5.) There are maximumspeedlimitsfor
workplace vehicles.
a.) Documentedevidence.
b.) Appropriatelylocatedmaximum
speedlimitsigns.
Yes
Yes
6.) Firstaid facilitiesare appropriately
located,identified andequipped.
a.) Visual anddocumentedevidence. Yes
6.) There are assignedERMA approved
handlerstohandle hazardous
substances.
a.) Evidence of trainingrecordsthatare
up to date and technicallycorrect.
Yes
7.) Fullyfunctional airventilation
systemsare provided.
a.) Positive visual evidence.
b.) Currentmaintenance records.
Yes
Yes
8.) There are appropriate meansfor
workplace entrance andegress.
a.) Positive visual observations. Yes
Principle 10
Maintenance and equipment calibration.
The purposeof thisprinciple is to confirm appropriate,compliantand effectivemaintenanceand
equipmentcalibration processes,it is an importantpartof any OHSMS.We havevirtually constant
maintenanceand calibration activityin ourworkplaceand this area should be scrutinised.
yes/no
1.) There isa procedure establishedto
document,file andmonitorall
maintenance andcalibration
requirements.
a.) Documentedevidence of sucha
procedure.
Yes
However the

error detected
will have a
tarnishing
effect.
2.) It is ensuredthatplantmaintenance
iscarried outin accordance with
manufacturer’sspecifications.
a.) Documentedevidence of
maintenance planning.
b.) Documentedevidence of
comparisonsof maintenance plans
againstmanufacturer’sspecifications.
Yes
Yes
3.) It isensuredthatequipmentis
calibratedinaccordance with
a.) Documentedevidence of calibration
planning.
b.) Documentedevidence of
comparisonsof calibrationplansagainst
Yes
Yes
4.) There isa specificprocess
establishedto periodically reviewall
maintenance andcalibration
requirementsandspecificationsto
ensure thattheyare accurate and
current.
process.
b.) Review examples.
No
No
5.) Maintenance andcalibration
activitiesare consideredinhazard
management.
Principle 11
Record keeping
The purposeof thisprinciple is to measuretheorganization’sexactlevelof record keeping,effective
record keeping is an area thatshould bescrutinised asit would providefundamentaladministrative
stability in any OHSMS.Effectiverecord keeping is also a legislative requirement.
yes/no
1.) It isensuredthatdocumentscanbe
easilylocated.
a.) Evidence of an effective recordfiling
and sortingsystem.
Yes

2.) Documentsare periodicallyreviewed
as neccicaryand approvedfor adequacy
by competentandresponsiblestaff
priorto issue.
a.) Documentedevidence of reviewsand
signaturesof appropriate staff.
Yes
3.) The current versionsof relevant
documentsare available atall locations
where operationsessential tothe
effectivefunctioningof the OHSMSare
performed.
a.) Evidential observations. Yes
4.) Obsolete documentsanddataare
promptlyremovedfromall pointsof
issue andpointsof use.
a.) Evidential observations. Yes
5.) Archival documentsanddata are
appropriatelyidentified.
a.) Evidential observations.
6.) Recordsindicate compliance withthe
OHSMS by includingdocumentsand
data comprehensively.
a.) Records of:
- internal andexternal requirements.
- permitstowork.
- trainingactivity.
- hazard managementactivity.
- inspection,maintenance and
calibrationactivity.
- monitoringactivity.
- incidents,complaintsandfollow up
action.
- supplierandcontractorinformation.
- ohs auditsandreviews.
- Productidentifications.
- Emergencydrill activity.
- investigationactivity.
- legislative compliance activity.
- Injurymanagementactivity.
- ohs policyactivity.
Yes
Principle 12
Incident and accident reporting, recording, investigation and
corrective action procedures.

The purposeof thisprinciple is to measuretheorganization’sexactlevelof incident and accident
reporting,investigation and correctiveaction procedures,thelatter is required by the HSE Act and it
is a crucial partof any OHSMS.
yes/no
1.) The is an active procedure
implementedtokeep registerof all
accidentsandincidents,andanyother
occurrencesof seriousharmthat arise
fromworkplace hazards.
procedure.
Yes
2.) Record iskeptof everyaccidentor
incidentthatharmedor mighthave
harmedany employee atwork.
3.) Recordis keptof everyoccurrence of
seriousharm to an employeeatwork,or
as a resultof any hazard to whichthe
employeewasexposedwhile atwork
and inthe employmentof the employer.
a.) Documentedevidence. yes
ensure thatrecording isintended to
leadto greaterawarenessof and
investigationof the causesof
occupational illnessanddisease.
b.) Evidential observations. Yes
5.) All accidentsandoccurrencesof
harm that are requiredtobe
recordedare investigated todetermine
whetheritwascausedby,or arose from
a significanthazard.Regardlessof
whetherornot the personexposedto
the hazard was an
employee.
6.) Anysignificanthazardsidentified as
a resultof investigationare eliminated,
isolatedorminimised.(Fedbackinto
hazard management).
7.) There is a processinplace to ensure
that where seriousharm occurs to any
personas a resultof workactivities,the
personrecording notifiesthe
Departmentof Labour’s
OHS service assoon as isreasonably
possible afteritsoccurrence or
detection. Also,thatnotificationis
made by telephone orbyfax — not
mail,andthat it describes:
procedure.
Yes

 What has happened
 To whomand
 Where.
7.) There isa processinplace to ensure
that all incidentsor“nearmisses”
are reportedandthat all accidents
are reportedimmediately.
8.) The is a procedure inplace that
ensuresthatinthe case of a fatality,
grave injury,or significantproperty
damage,notificationoccurs
immediatelyafterthe event.And
alternatively,inthe case of serious
harm arisingfrom occupational
illnessordisease,thatitmaybe
sufficienttosenda writtenreport
afteran initial diagnosisismade.
9.) There isa procedure inplace that
ensuresthatwhenthere hasbeen
an accidentinvolvingseriousharm
to a personat work,the scene may
not be alteredwithoutthe
permissionof aninspector,unless
to:
 Save life,preventharmor relieve
the sufferingof anyperson;
 Maintainaccess of the general
publictoessential servicesor
utilities(suchaswater,
electricityorgas);or
 Preventseriousdamage orlossof
property.
procedure.
Yes
10.) There are processesestablishedto
ensure thatall employeesare
adequatelytrainedtomake full use
of the reportingprocedures.
a.) Documentedevidenceof such
processes.
Yes
11.) There are external reporting
procedures(forinvestors,suppliers,
etc) and internal reporting
proceduresinplace tocover the
followingareas:
 Healthand safetyperformance
reporting.
 Nonconformance reporting.
 Newlyidentifiedpotential
significanthazards.
a.) Documentedevidenceof such
reportingprocedures.
Yes
12.) Investigationresponsibilitiesare
undertakenbyadequatelytrained,
experiencedanddesignatedpeople.
a.) Documenteddetailsof designated
people,respective positions,
trainingandrelevantexperience.
Yes

13.)Investigationproceduresinclude the
participationof the affected
individualorindividuals,witnesses
(if applicable),employee
representativesandthe affected
employee’sdirectsupervisor.
14.) There is a procedure inplace to
requestspecializedtechnicaladvice
inthe case of highriskor complex
investigations.
procedure.
No
Principle 13
Legislative compliance
The purposeof thisprinciple is to measurethelevel organization’slegislativecompliance
management.Legislativecompliancemanagementisan absolutely crucial partof any organisation

and it should beensured thatlegislative complianceis prioritised and implemented throughoutthe
OHSMSand periodically reviewed and evaluated.
yes/no
1.) There isa procedure establishedthat
ensuresthatall relevantlegislative
documentsare recorded.
a.) Documented evidence of sucha
procedure.
b.) The documentsinclude:
 The HSE Act.
 1991 Resource Management Act.
 1993 Human Rights Act.
 1993 privacy Act.
 1990 Smoke Free Environment
Act.
 1986 Fair Trading Act (Quality
assurance).
 1996 HSNO Hazardous
Substances and New Organisms
Act.
 1985 Factories and Commercial
Premises (First Aid) Regulations.
 2006 Fire Safety and Evacuation
of Buildings Regulations.
 Accident Compensation Act
2010.
 Injury prevention, Rehabilitation
and Compensation Act 2001.
Yes
No
2.) Legislative complianceisperiodically
evaluated.
a.) Documentedevidence of compliance
auditsand auditresultevaluations.
b.) Legislative compliance auditsare no
more than six monthsapart.
c.) Legislative compliance audits
measure compliance withall relevant
legislative documents.
No
N/A
N/A
3.) There isa processestablishedthat
ensuresthatexpertadvice on
complicated legislative compliance
issuesisseekedwhencompetencyis
not available throughinternal staff.
process.
No

4.) There isa processor protocol in
place that ensuresthatanydetected
areas of non compliance are rectified
immediately.
Yes
However the
errors that
were detected
earlier renders
it obsolete.
Principle 14
Approved codes of practice and joint standards.
Compliancewiththe latter is absolutely compulsory,legislativerequirementsareinvolved and non
compliancecan lead to detrimentalsequentialproblems.This area is underparticular scrutiny as
there are so many of these documentsthatarerelevantto ourorganisation’soperations.
yes/no
1.) There isa procedure establishedthat
ensuresthatall relevantapprovedcodes
of practice andjointstandardsare
identifiedand recorded.
a.) Evidence of sucha procedure.
b.) The followingare identifiedand
recoded:
 The approved code of practice
for the management of noise in
the workplace.
for manual handling.
for the safe use of timber
preservatives and antisapstain
chemicals.
for power – operated elevating
work platforms.
for the appropriate use of
forklifts.
 AS/NZS 1715:2009.
 AS/NZS 4801:2001.
 AS/NZS 4804:2001.
 AS/NZS 1716:2003.
Yes
No

2.) There is a procedure establishedthat
ensuresthatall relevantapprovedcodes
of practice are appropriately
implemented.
procedure.
No
3.) There isa procedure inplace that
ensuresthatall relevantjointstandards
are appropriatelyimplemented.
procedure.
No
4.) All implementationsare well
documented.
a.) Documentedevidence of detailed
implementationrecords.
Yes
However the
errors that
were detected
earlier renders
this area
obsolete.
5.) Conformance toapprovedcodesof
practice and jointstandardsare
periodicallyevaluated.
a.) Documentedevidence of review and
evaluationof conformance nomore
than six monthsapart..
No
Principle 15
Planning, review, evaluation and continual improvement.
The latter is absolutely crucialin termsof direction and OHS performance,numerouslegislative
requirementsare also involved.

yes/no
1.) There isa procedure establishedto
ensure thatthe OHSMS isevaluatedat
definedintervals(atleasteverytwo
years).
procedure.
Yes
2.) Observations,conclusionsand
recommendations are documentedfor
necessaryaction.
3.) Reviewof the policy,objectivesand
proceduresare carriedout bythe level
of managementthatdefinedthem.
a.) Evidential observationand
documentation.
Yes
4.) Reviewsinclude all critical points. c.) Documentedevidencethatreviews
include:
 Auditresults.
 The extenttowhichobjectives
and targetshave beenmet.
 The continuingsuitabilityof the
OHSMS in relationtochanging
conditionsandinformation.
 The concerns of relevant
interestedparties.
Yes
5.) Observations,conclusionsand
recommendationsare documentedfor
necessaryaction.
a.) Evidential observations.
b.) Documentedevidence.
Yes
Yes
6.) Reviewsalsotakesinto
consideration:
 Healthand safetyperformance
reports.
 Incidentreports.
 Hazard identification.
 StatutoryOHS performance.
 Corrective actionreports.
 Changesto regulatory
requirements.
 Changesto OHSstandards.
 Communityexpectations.
However the
errors that
were detected
above devalues
this area
significantly
7.) There are clearOHS objectivesand
targetsin place thatare “SMART”.
However the
errors that
were detected

above devalues
this area
significantly.
Critical element 16
Focus group interviews
The purposeof thisprinciple is to measuretheexact level of OHSknowledgeamong personnelin the
workplaceand to estimate thestate of the predominanthealth and safety culture,which arevery
important.Thisprinciple is aligned with many of theother principles.
Details of requirements Achieved
yes/no
Supervisors
Achieved
Yes/no
Line workers
1.) There isan understandingof what
constitutesahazard inthe workplace.
Yes No
2.) There isan understandingof the
hazard identificationprocess.
Yes Yes
3.) There isan understandingof the term
significanthazard,practicable steps
and the hierarchyof controls.
Yes No
incidentandinjuryreportingprocess.
Yes Yes
incidentorinjuryinvestigation
process,includingdesignated
responsibilitiesandthe role of the
injuredemployeeandthe manager
concerned.
Yes No
emergencyproceduresinthe
workplace.
Yes Yes
employer’shealthandsafety
responsibilitiesinthe workplace.
Yes No
employees’ healthandsafety
responsibilitiesinthe workplace.
Yes No
WPNZenergylockoutsystemandthe
five importantlockoutrules.
Yes Yes

10.) There is a thoroughunderstandingof
the WPNZ S.T.A.R.Tsystem.
Yes Yes
11.) There is an understandingof the
workplace minimumpersonal
protective equipmentrequirements.
Yes Yes
processfor representationandhowto
raise healthandsafetyissues.
Yes Yes
responsibilitiesforcorrective action
resultingfromaninjuryorincident
investigation.
Yes Yes
14.) There is an understandingof howto
initiate rehabilitationandof the
supportavailable frommanagement
for the earlyreturnto workof injured
employees.
Yes Yes
This area of the document was left blank intentionally.

AppendixB – The ACC worksafe model

Appendix C - References
 AS/NZS4804:2001 Occupational healthandsafetymanagementsystems –General guidelineson
principles,systemsandsupportingtechniques.(2001).
 AS/NZS4801:2001 Occupational healthandsafety managementsystems –Specificationwith
guidance foruse.(2001).
 LegislationNew Zealand.
 The ACC PartnershipProgramme.(2002).
 The ACC Worksafe ManagementPractices.(2011).
 The Departmentof Labour (approvedcodesof practice).
 NZQA US5620 Evaluate Occupational HealthandSafetyStandardsandPractice.(2012).

US5620 A3 2012002052 FS

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