HEALTH AND SAFETY: AUDIT GUIDANCE DOCUMENT

Name of Responsible Care Signatory Organisation ………………………………………...…………………………………………………......

Name of Site being Audited ……Rayson…………………………………………………………………………………..

Responsible Care Management Representative Name ………………………………………Signature ……………………………………

Authorised by Subsidiary Division/Business Unit/Facility CEO Name ………………………………………Signature ……………………………………

Date of Internal Audit ………………………………………………………………………………………………..

Internal Auditor Name ………………………………………Signature ……………………………………

Tel No. ………………………………………………………………………………………………..

Fax No. ………………………………………………………………………………………………..

E-mail ………………………………………………………………………………………………..
 ORGANISATION, RECRUITMENT AND SKILLS DEVELOPMENT
1. Ensure availability of security procedures, systems and facilities to control entry and exit of personnel and materials at worksite.
Elements
1.1 All possible security risks have been
assessed.
1.2 Suitable access control measures and
procedures have been implemented for
the identification, authorisation and
control of all persons and vehicles
accessing the premises.
1.3 Adequate security personnel who are
properly trained are available.
1.4 Adequate security procedures for the
investigation of any incidents involving
company property have been
implemented.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) An assessment is made of the site for possible security risks,
which is formally documented.
a) The facility is protected with controls, appropriate to the risk
involved, such as perimeter controls, lighting and patrols.
b) Access to the company premises is controlled.
c) Procedures are implemented for the control of materials and
goods entering and leaving the site.
a) The effectiveness of the controls is evaluated.
b) The training requirements for the security personnel to
effectively undertake their job are identified.
c) Formal training curricula are developed and implemented.
d) Records are maintained on who has been trained, the training
received and when training was undertaken.
e) Formal job descriptions are compiled.
a) Formal security procedures for the investigation of incidents are
implemented.
b) All documentation relating to incident investigations is
maintained.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 1 of 26
2. Investigate and report timeously appropriate corrective action and follow-up of each incident which resulted or could result in occupational illness or injury, fire,
explosion or accidental chemical release.
Elements
2.1 All incidents are investigated and
reported on by trained, competent
persons, to identify basic causes and
proposed corrective action.
2.2 The Health and Safety Committees and
management consider the incident
report and agree on corrective actions.
2.3 System is in place for implementing
agreed actions and for follow-up until
actions are completed.
2.4 Incident statistics are kept, displayed,
analysed and reported upon.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Formal procedures are implemented for the process to be
followed in the event of an incident.
b) The responsibility and authority for handling and investigating
incidents and for initiating and completing corrective and
preventative action is formally allocated to responsible
employees.
c) The training needs of the responsible personnel are identified,
appropriate training programmes implemented and competency
confirmed. Records are maintained of who has received
training, in what, when and by whom.
a) Incident reports are discussed at the Health and Safety
Committee meetings.
b) Minutes of meetings are maintained which, include the issues
discussed and agreement of actions to be taken and by whom.
a) Formal procedures are implemented for undertaking and
monitoring corrective action.
b) Responsible employees are formally allocated with the
responsibility of implementing corrective action.
c) Regular updates on the progress of implementation of
corrective action are formally issued to senior management for
review and monitoring.
a) Formal procedures are implemented for the appropriate storage
and retrieval of the incident data and information.
b) Incident statistics are reviewed and trends analysed and
corrective action identified.
c) Incident statistics, trends and corrective action are prominently
displayed within the company and included in annual reports.
d) Records of documentation issued in compliance with the legal
requirements are maintained.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
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3. Create opportunities for employees to participate in developing, implementing and reviewing health and safety programmes, specifically through the Health and
Safety Committee and in accordance with the OH&S Act.
Elements
3.1 System of Health and Safety
representatives and Committees are in
place.
3.2 Workplace inspections by Health and
Safety representatives are undertaken
and written reports are available.
3.3 Inspection reports are considered by
Health and Safety Committee.
3.4 Existing and proposed Health and Safety
policy, programme and procedures are
regularly reviewed by the Health and
Safety Committee.
3.5 Employees participate in health and
safety management audits.
3.6 Incident reports are considered by
Health and Safety Committee.
3.7 Health and safety discussions, incident
recall or other health and safety activities
are held in the workplace.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Health and safety representatives are trained, formally
appointed and Health and Safety Committees are established.
a) A formal programme of inspections is developed and
implemented.
b) Results of inspections are documented and records maintained.
a) Inspection reports are formally issued to members of the Health
and Safety Committee.
b) Discussion of inspection reports is an item on the agenda at the
Committee meetings.
c) Minutes of meetings are recorded and maintained.
d) Copies of the final reports are signed by the Health and Safety
Representatives.
a) The Health and Safety policy, programme and procedures are
regularly reviewed at the Health and Safety Committee
meetings.
a) Formal procedures are implemented to ensure that employees
and safety representatives participate in audits.
b) Records are maintained of employees that have participated in
the audit process and their position within the company.
a) Incident reports are formally issued to Health and Safety
Committee members.
b) Discussion of incident reports is included as an agenda item at
the Health and Safety Committee meetings.
a) Various communication activities are implemented for
interaction with employees in the workplace.
b) Records of discussions and a register of attendees are
maintained.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
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26
3. Create opportunities for employees to participate in developing, implementing and reviewing health and safety programmes, specifically through the
Health and Safety Committee and in accordance with the OH&S Act.
Elements
3.8 Active health and safety suggestion
scheme or similar mechanism is in
place.
3.9 Employees are informed of their
occupational, health and safety rights
and responsibilities in the workplace.
3.10 Mechanism has been established for
employees to consult with health and
safety specialists.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Various mechanisms are established to obtain input from
employees on health and safety issues.
b) Responsible personnel are formally allocated to address
employees concerns.
a) Employees receive induction training on appointment that
includes issues related to their occupational health and safety
rights and responsibilities.
b) These issues are also addressed during refresher training.
c) Ongoing awareness raising is implemented through e.g. the use
of posters and discussion groups.
d) Records are maintained of the training that has been received
by each employee and the date of training.
a) Formal procedures are implemented regarding employees’
consultation with health and safety specialists.
b) Procedures are formally communicated to all employees.
c) The service is made available to all employees.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 4 of 26
4. Undertake risk assessments to evaluate the impacts of workplace hazards on employees, e.g. exposure assessments and safety analysis to evaluate hazards
to employees from processes and equipment. Implement operational procedures which safeguard the health and safety of the employees and others, based on
the results of the risk assessments.
Elements
4.1 Risk assessments are undertaken by
suitably qualified persons.
4.2 Risk assessments are formalised and
consider all aspects of the business
and its processes.
4.3 Risk assessments are conducted to a
level of detail which is appropriate for
the hazards. The effectiveness with
which risk assessment actions are
completed is audited and reported to
line management.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Records are maintained of employees and external experts that
have the necessary training and experience in risk assessment.
b) A record is maintained of all personnel that have been involved in
the evaluation process and their qualifications.
a) Formal procedures are implemented for undertaking risk
assessments and subsequent review of risk assessments
throughout the business. Aspects which may be considered
include:
• Equipment hazards (machine guarding etc.)
• Physical and ergonomic hazards (e.g. noise)
• Chemical hazards
• Biological hazards
• Housekeeping
• Major incident scenarios
• Results of biological monitoring
• Results of occupational hygiene monitoring
b) Risk assessments are documented and retained.
a) Formal procedures are implemented for the identification and
assessment of risks, and mitigation mechanisms to reduce
potential risks in activities at the workplace. The type of risk
assessment is appropriate to the hazard being assessed.
b) Formal operational procedures which safeguard the health and
safety of employees and others are developed and implemented
on the basis of the results of the risk assessments.
c) A formalised audit/monitoring programme is in place to monitor
the effectiveness of the procedures that have been implemented.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 5 of 26
5. Train all employees to reach and maintain proficiency in safe work practices and the skills and knowledge necessary to perform their jobs and ensure of
proof of competence. Demonstrate and document skill proficiency prior to assignment to independent work and periodically thereafter.
Elements
5.1 Training needs have been identified.
5.2 Written curricula for training are in place.
5.3 Initial and refresher training is provided
for all employees that includes the health
and safety aspects of the job.
5.4 Criteria have been established and
documented for the competence of
instructors to ensure that only competent
instructors are used.
5.5 Employees are made aware of and are
held accountable for compliance with the
requirements of the workplace
procedures
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) An analysis is undertaken of the skills and knowledge
requirements for each job category.
b) An assessment is undertaken of the level of skills and expertise
of the employees in each job category, level of responsibility,
literacy and risk.
c) The training needs for each employee to reach and maintain
proficiency to perform their work safely and in accordance with
laid down procedures is determined and regularly reviewed.
a) Formalised training curricula/procedures which include safety
and health aspects are developed and implemented.
b) Formal criteria are developed and implemented for health and
safety issues that are used to assess the performance of
employees during their annual performance appraisals.
a) All employees undertake induction training and periodic
refresher training courses.
b) Health and safety issues are included in the training curricula.
c) Records should be available of who has received training, in
which courses, when and by whom.
a) The qualification, knowledge and skill requirements of
instructors for implementing the various training programmes
are established and documented.
b) Formal procedures are in place for the selection of appropriate
instructors for specific training programmes.
c) Records are maintained of the instructors and their
qualifications.
d) The effectiveness with which training is carried out is
determined periodically.
a) Employee capability to perform effectively to the laid down
procedures, standards etc is determined on a regular basis and
corrective actions developed as necessary.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
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26
5. Train all employees to reach and maintain proficiency in safe work practices and the skills and knowledge necessary to perform their jobs and
ensure of proof of competence. Demonstrate and document skill proficiency prior to assignment to independent work and periodically thereafter.
Elements
5.6 All training is documented to provide a
permanent record of who has been
trained, date of training, nature of
training and effectiveness.
5.7 Proof of competency is required for
personnel performing tasks that impact
on health and safety in the workplace.
5.8 Operating procedures are documented
and used as a basis for training.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Records are maintained of the training matrix developed for the
company and all employee training.
b) Records are maintained of the certified courses attended by
employees, the date of training and the instructor.
a) Formal procedures are implemented that cover the process to
formally test the skills proficiency of employees against the
qualification criteria for the activities to be undertaken before the
employee is assigned to independent work.
b) Ongoing competency checks are undertaken through
observation of performance on the job and a review of incident
records.
c) The results of the testing and competency checks are
documented and recorded.
a) Complete up to date safe operating procedures are available for
all tasks.
b) Operating procedures are updated and revised when
operational changes are made. Updated documents are signed
and dated.
c) Training curricula are based on the operating procedures.
Curricula are revised where necessary when changes are made
to the operational procedures.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 7 of 26
6. Establish authorised procedures and work practices for safe operating and maintenance activities, including initial commissioning, start-up, normal running and
emergency procedures.
Elements
6.1 Procedures are documented, up-to
date and authorised by a nominated,
competent person.
6.2 Procedures cover initial
commissioning and start-up, normal
operation (i.e. start-up, normal
running, shutdown, maintenance) and
defined emergencies.
6.3 Safe operating limits are specified, the
consequences of deviations and
appropriate corrective action.
6.4 A system is available for review and
revision of procedures and work
practices as appropriate when
modifications are made.
6.5 A documented work permit system is
in place which covers any operating,
maintenance or modification activity
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Written operating and maintenance procedures are available.
b) Where change is contemplated the impact of such change on
operating procedures is assessed and, as appropriate, revised
operating procedures prepared, issued and training given before
the change is implemented.
c) The date of issue of the procedures and dates of all revisions are
shown on the procedure; review dates are scheduled.
d) The procedures are signed by the person who has been formally
assigned responsibility to ensure they remain current and
appropriate.
a) All tasks involved in implementing a procedure are assessed and,
appropriate and comprehensive instructions to safely accomplish
these tasks are included in the written procedures.
a) The written operating procedures clearly specify the safe
operating limits, safety systems and their functions, the
consequences of deviation and the steps required to correct the
situation.
a) Formal procedures are implemented for reviewing and updating
the operating procedures and work practices.
a) A formal work permit system is implemented, which covers all
work activities.
b) The work permits are authorised by designated persons. The
responsibilities and duties of the designated employees are
documented (e.g. included in the job descriptions and in the letter
of appointment).
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 8 of 26
7. Conduct health assessments, based on job specifications, to determine employee medical fitness for specific job tasks by medical personnel who are familiar
with workplace conditions.
Elements
7.1 Job specifications have been prepared
for every job.
7.2 Pre-employment and transfer medicals
are undertaken for each prospective
employee or transferee, according to
the job specifications.
7.3 The medical personnel conducting the
medical examinations and assessing
persons for jobs are familiar with
workplace conditions.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Job specifications are current and documented for each job.
b) All safety critical jobs have been identified.
c) Job specifications include relevant and pertinent health and
safety information covering all stages of the job including but not
limited to equipment, raw materials and processes.
a) Employees whose work could expose them to health hazards are
identified.
b) Medical examinations, including pre-employment and transfer
assessments, are undertaken on the identified employees.
c) Records of medical examinations are maintained in accordance
with legal requirements or, where such legal requirements are
not specified, for the life of the plant plus 10 years.
a) Medical personnel receive training on all activities in the
workplace and their associated health and safety risks.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 9 of
26
EMPLOYEE AND CONTRACTOR – HEALTH AND SAFETY
8. Design programmes to assure that employees in safety critical jobs are fit for duty and are not compromised by external influences, including
alcohol and drug abuse.
Elements
8.1 Employee assistance programmes are
available to assist employees in dealing
with personal problems
8.2 An employee education programme is in
place that includes alcohol and drug
abuse, as well as lifestyle problems and
primary health care.
8.3 Security personnel, managers and
supervisors are trained to observe
employees and recognise symptoms of
alcohol or drug abuse.
8.4 Company policy and procedures are in
place that cover the exclusion from the
workplace of employees suspected of
being under the influence of alcohol or
drugs.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Employees have access to an employee assistance programme
which can assist them with counselling on personal problems.
b) Details regarding the availability of employee assistances
services are communicated to all employees.
c) Where the business operates an internal employee assistance
programme, the responsibility for facilitating this is formally
allocated to a responsible person in the company.
a) Formal training curricula are developed and implemented.
b) A programme schedule is developed that is communicated to all
employees.
c) Awareness raising and educational material is available to all
employees.
a) Formal training curricula include issues related to alcohol and
drug abuse and the observation of associated symptoms in staff
members.
b) Records are maintained of employees that have received
training and when the training was received.
a) A formal written policy and associated procedures are
implemented that details the procedures to be implemented in
the event of a staff member being found unfit to perform his /
her duties.
b) The policy is communicated to all employees.
c) The policy is covered in the induction training for new
employees. Induction forms are signed by each employee
acknowledging understanding of the policy and procedures.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
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8. Design programmes to assure that employees in safety critical jobs are fit for duty and are not compromised by external influences, including alcohol
and drug abuse.
Elements Subsidiary Elements Comments Score
8.5 Regulatory requirements are complied a) A current legal register is maintained of health and safety
with. related legislation.
b) A person is nominated in writing to ensure legal register is kept
up to date.
c) Formal procedures are implemented for reviewing relevant
legislation and for updating the legal register.
d) Procedures are implemented to ensure that all employees have
a current understanding of the legal register as far as it applies
to them and their job.
e) Employees are formally assessed on this understanding.
Total Score
Average Score

Not scored – Not applicable

0 = No program 2 = documentation exists, but requires improvement
1 = Practice and program exists, but no documentation 3 = Practice in place
4 = Practice in place maintained
Page 11 of 26
9. Tailor employee occupational medical surveillance programmes to worksite hazards, including workplace risk assessments and appropriate medical
examinations.
Elements
9.1 Specific workplace occupational health
risks are identified and quantified.
9.2 Workplace risk assessments and job
specifications are used to identify the
requirements for the medical
surveillance programme and periodic
examinations.
9.3 Appropriate periodic medical
examinations are undertaken on all
employees who are identified as being
exposed to chemical or biological
agents or any physical or ergonomic
hazards, which may be detrimental to
employees’ health.
9.4 The results of such medical
surveillance are compared with the
results of exposure assessments.
9.5 Company policies and procedures are
in place that cover the action to be
taken in the event of an employee
being found unfit for their current job as
a direct consequence of exposure to
workplace hazards. Such a policy is in
the spirit of Responsible Care and
current labour legislation.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Formal procedures are implemented for undertaking
occupational health risk assessments.
b) The health risk assessments are signed and dated by the
competent responsible person whose responsibilities are
described in their job description and letter of appointment.
a) Formalised procedures for health risk assessment are in place.
b) Medical surveillance programmes are in place where the risk
assessment or legislative requirements has indicated their
necessity.
c) Records of the results of the surveillance programme and
associated reports are maintained in a central and secure place
and are under the control of a designated medical professional.
a) Employees are identified that are at risk from exposure to health
hazards.
a) The results of the medical surveillance are analysed and form
the basis against which corrective action are implemented. .
a) Formal company policies and procedures are implemented that
cover the action to be taken in the event of an employee being
found unfit for their current job due to exposure to workplace
hazards.
b) The policy incorporates the legal requirements, as well as the
principles of Responsible Care.
c) The policy and procedures are communicated to all employees
and are publicly displayed in the workplace.
d) The policy and procedures are included in the induction training
curricula.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 12 of 26
9. Tailor employee occupational medical surveillance programmes to worksite hazards, including workplace risk assessments and appropriate medical
examinations.
Elements Subsidiary Elements Comments Score
Total Score
Average Score

Not scored – Not applicable

0 = No program 2 = documentation exists, but requires improvement
1 = Practice and program exists, but no documentation 3 = Practice in place
4 = Practice in place maintained
Page 13 of 26

EMPLOYEE AND CONTRACTOR – HEALTH AND SAFETY

10. Provide emergency medical assistance for people at worksites, including first aid facilities and training
Elements
10.1 First aid facilities and training are
provided in accordance with legislative
requirements.
10.2 First aid boxes are properly equipped
for specific emergencies that could
arise at the site. The boxes are
checked regularly and first aiders are
trained for site-specific emergencies.
10.3 Procedures are in place for obtaining
the necessary expert medical
treatment without delay when more
than first aid is necessary.
10.4 Relevant procedures for emergency
medical response and/or antidote
administration are easily available to
designated and appointed emergency
medical personnel.
Subsidiary Elements Comments Score
a) A survey is undertaken of the site to assess the legal
requirements for facilities, in accordance with job activities and
employee distribution. Records are maintained of the surveys.
b) Responsible employees are formally appointed and trained to
provide first aid assistance in the event of an emergency on site.
c) Records are maintained of employees that have received first aid
training, the programmes undertaken and the date training was
received.
a) An assessment is undertaken of the specific emergencies that
may arise at the different job activities and the recommended first
aid requirements. Records are maintained of this assessment.
b) The first aid boxes are equipped in accordance with legislative
requirements and an assessment of the emergencies that may
arise. A first aid box equipment list and a record of usage is
maintained.
c) An inspection schedule is implemented for appointed persons to
check the contents of the first aid box against the specified
equipment list.
d) Inspection forms are signed and dated by the responsible person.
e) Appropriate training programmes are developed and
implemented for first aiders that are based on the specific
emergencies that could arise
a) Formalised procedures are implemented on the action to be
taken in the event of an emergency.
b) The duties and the responsibilities of designated employees in
the event of an emergency are formalised.
c) The contact details of medical personnel and services are current
and available to designated employees.
a) Procedures for handling specific hazards and associated medical
emergencies are documented.
b) Emergency medical personnel are trained in the administration
and storage of antidotes
Page 14 of 26
10. Provide emergency medical assistance for people at worksites, including first aid facilities and training.
Elements Subsidiary Elements Comments Score
Total Score
Average Score

Not scored – Not applicable

0 = No program 2 = documentation exists, but requires improvement
1 = Practice and program exists, but no documentation 3 = Practice in place
4 = Practice in place maintained
Page 15 of 26
11. Select, maintain and use appropriate systems to verify health and safety equipment.
Elements
11.1 A responsible person is appointed to
provide overall co-ordination of the
PPE programme.
11.2 Specific PPE requirements are
identified and assessed.
11.3 PPE is selected, tested and approved
on a scientific basis by authorised,
competent persons with user
involvement.
11.4 Procedures and specifications for the
selection of PPE are documented.
11.5 A record is kept of all PPE issued.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Designated employees are formally appointed with the overall
responsibility for coordinating the PPE programme.
b) The responsible person ensures that all employees are formally
informed of the correct PPE to be used for their job and trained
how this must be worn.
a) A job specific risk assessment is used to identify the PPE
requirements.
b) Operating procedures are current and include the PPE
requirements for each job.
c) Formal procedures are implemented that cover review and
updating of the PPE requirements when operational changes are
made.
a) A trained and formally appointed employee carries the overall
responsibility for verifying the correctness of PPE purchased and
used.
b) The selection and use of appropriate PPE is based on the
identified occupational health hazards.
c) Manufacturers’ specifications are available for the selected PPE.
d) A formal consultation process is implemented to ensure that
employees are consulted during the selection process.
e) A record is kept of the all decision make in regard to PPE.
a) Formal procedures are in place for undertaking risk assessments
and evaluating potential health risks for the required PPE.
b) PPE selection criteria are formally documented.
a) Employees sign control forms on receipt of PPE.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 16 of 26
11. Select, maintain and use appropriate systems to verify health and safety equipment.
Elements
11.6 PPE is checked on a regular basis by
employees and supervisors and
maintained or replaced as necessary.
11.7 Employees are trained in the safe use
and care of PPE.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Formal procedures containing guidelines to assess the fitness of
PPE are implemented for regularly checking PPE.
b) Standards are implemented for the care and maintenance of the
PPE, as well as a schedule and criteria for replacement.
c) A written record is maintained of the inspection date, name of the
inspector and associated comments.
a) Formal procedures on the care and use of PPE are implemented.
Induction training and refresher training curricula cover the use of
PPE.
b) Participation by employees at demonstrations by suppliers, is
arranged.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 17 of 26
12. Include provisions in tender and contract documents for contractors either to have programmes for their own employees consistent with applicable sections of
this code, or to be included in the member company’s programme, or some combination of the two.
Elements
12.1 Enquiry/tender documents clearly
specify the company’s safety and health
requirements.
12.2 Contract documents between the
contractor and company specify the way
in which the health and safety
requirements will be applied at the site.
Company response to the contract or
non-compliance should be clearly stated
and understood by all persons
concerned.
12.3 A programme is in place to inspect/audit
the contractor’s activities and facilities to
ensure compliance with the agreed
contractual conditions.
12.4 A person is specifically appointed to
control contractor activities and liaise
with contractors.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) The company’s policy on the appointment of contractors is
formally documented.
b) Tender documents include clauses that cross reference
legislative requirements and requirements specific to the site.
c) Health and safety requirements are included in the documented
site rules that are issued to contractors.
a) Health and safety requirements at the site are included in the
completed and signed contracts between the company and
contractor.
b) Clauses in the contract cover the action to be taken for non-
compliance.
c) Health and safety requirements are covered during the
contractor employee induction process. Records are
maintained of the training undertaken and the date of training.
a) The company policy on the appointment of contractors makes
provision for the auditing and inspection of the contactor’s
activities and facilities.
b) The contract between the company and the contractor cover the
process to be implemented for audits and inspections.
c) Audit checklists are compiled by an appointed company
employee and an inspection programme developed and
implemented.
d) Records of the results of the audits and inspections are
maintained.
a) An employee is formally designated responsibility for liaison with
contractors and auditing their activities.
b) Duties and responsibilities are documented.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 18 of 26
12. Include provisions in tender and contract documents for contractors either to have programmes for their own employees consistent with applicable sections of
this code, or to be included in the member company’s programme, or some combination of the two.
Elements
12.5 Legal documents and other legal
requirements are available for
inspection.
12.6 A documented procedure is in place for
the site specific health and safety
training of contractors’ personnel,
including training on-site emergency
procedures.
12.7 Provision is made for the routine medical
examination or biological monitoring of
contractor employees, where necessary.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) The legal requirements for compliance by contractors are
documented.
b) The contract places the onus on the contractor to familiarise
himself with the legislative requirements and compliance with
same.
c) Documents that confirm compliance by the contractor to
relevant legislation are maintained and available for inspection
by the company.
d) Legal compliance by the contractor is audited by the company
and the results of the audits recorded.
a) Formal procedures are implemented that cover health and
safety issues for the contractor.
b) Contractor employees receive induction training that includes
health and safety training programmes.
c) Records are kept of those employees that have successfully
undertaken the training.
d) Contractors participate in emergency drills.
e) Records of training of contract employees by the company are
maintained.
a) The contract between the company and the contractor contains
clauses covering the medical surveillance programme for the
contractor’s personnel.
b) Monitoring programmes are developed and formally issued to
the contractor.
c) Results of the monitoring programmes are formally issued to
the contractor.
d) Records are maintained of the results of pre-employment and
periodic medical surveillance.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
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12. Include provisions in tender and contract documents for contractors either to have programmes for their own employees consistent with applicable sections of
this code, or to be included in the member company’s programme, or some combination of the two.
Elements
12.8 Provision is made for the inclusion of
contractor personnel in industrial
hygiene inspection programmes.
12.9 Contractor injury/incident statistics are
recorded and reported by either the
company or contractor.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) The contract between the company and the contractor covers
the inclusion of contractor personnel in industrial hygiene
inspection programmes.
b) Industrial hygiene inspection programmes are developed and
formally issued to the contractor.
c) Results of the industrial hygiene inspection programmes are
formally issued to the contractor.
d) The company maintains records of the results of the industrial
hygiene inspection programmes.
a) The contract between the company and the contractor covers
the procedure to be followed in the event of an injury or incident.
b) Records are maintained of reports compiled in accordance with
legal requirements.
c) Records of incidents statistics are maintained, as well as any
documents associated with the incident.
d) All incidents are investigated and the outcomes used to
implement corrective actions
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 20 of 26
13. Provide functioning Occupational Health (Medical and Hygiene) Services which comply with specified standards.
Elements
13.1 Medical and hygiene staff are
adequately trained and accredited.
13.2 The medical centre is adequately
equipped to carry out the intended duties
13.3 Occupational hygiene equipment is
correct and properly calibrated.
13.4 Reporting lines to other company units
and within the departments is clearly
defined.
13.5 The health and safety department is
consulted in the preparation of the
company’s emergency plan.
13.6 A formal action plan is in place for health
and safety monitoring, in accordance to
acceptable standards and practices.
13.7 Written procedures are in place for the
continuing efficiency and maintenance of
good standards.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Basic qualification criteria and hazard knowledge standards are
established.
b) The level of competency required for medical and hygiene staff
positions is specified and included in their job descriptions.
c) Medical and hygiene personnel are registered with the appropriate
council.
a) The operational activities of the medical centre are evaluated and
documented and the required equipment identified.
b) Lists are compiled of the basic and specific equipment that is
available at the medical centre.
c) A schedule of equipment maintenance is developed and
implemented and records retained.
a) Calibration certificates for equipment are available.
a) Reporting lines are shown in the company organisational chart and
formalised in company procedures.
a) The final documented emergency plan is signed by the relevant
company personnel, including representatives of the Occupational
Health Services.
b) Members of the Health and Safety department actively participate in
the compilation of the plan. Minutes of Meeting, internal
correspondence and associated reports are formally issued to the
department and are retained
a) A formal action plan is developed based on the health risk profile.
b) The action plan includes a programme of activities to be undertaken
and the frequency of monitoring.
a) Performance and compliance with company procedures is audited
on a regular basis. Results of audits are maintained. Corrective
action is implemented based on the results of the audit.
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 21 of 26
13. Provide functioning Occupational Health (Medical and Hygiene) Services which comply with specified standards.
Elements
13.8 Medical waste is correctly disposed of.
13.9 Proof is available that correct and
relevant action has been taken according
to the results of environmental surveys
and biological monitoring.
13.10 Relevant advice and guidance is given to
employees in regard to the findings of
the surveys and monitoring.
13.11 Occupational health and safety staff are
included in changes to process
procedures.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) Formal procedures are implemented for the proper management of
medical waste.
b) Records are maintained of waste generated and disposed.
Certificates of safe waste disposal are available.
a) Recommendations of corrective action are based on the results of
environmental surveys and biological monitoring.
b) A responsible employee is designated to ensure that corrective
action is implemented and to monitor its effectiveness. The duties
and responsibilities are included in the employee’s job description.
c) Records are maintained of all Minutes of Meeting and
correspondence associated with implementation of corrective
action.
a) Results of the surveys and the appropriate advice and guidance are
formally issued to employees, in writing.
b) Records are maintained with all correspondence with employees.
a) Formal procedures define the responsibility of occupational health
and safety personnel when changes in process procedures are
considered.
b) Occupational health and safety personnel actively participate in
discussions related to changes in process procedures.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 22 of 26
RECORDS
14. Maintain occupational health and safety records to protect employee rights, control information flow and comply with legislation.
Elements
14.1 Record retention complies with legal
requirements.
14.2 Record control is exercised over the
interaction of the company with external
legislative or semi legislative bodies.
14.3 A statistical database is maintained on
accidents, illness and other cases
handled. These statistics form part of
the Occupational Health and Safety
Department’s annual report to
management.
14.4 Systems are in place to ensure the
employees right to confidentiality.
14.5 System is in place to ensure that
employees have access to their own
survey and medical records.
Not scored – Not applicable
0 = No program
1 = Practice and program exists, but no documentation
Subsidiary Elements Comments Score
a) The legal requirement for the retention of records is identified
and documented.
b) Formal systems are implemented to ensure that records are
appropriately stored.
a) Records are maintained of all correspondence and
documentation of the registration of the company with the
Department of Labour and the associated rates assessment.
b) Control over the Compensation for Occupational Injuries and
Diseases (COID) system and liaison with the commissioner is
designated in writing to a responsible employee.
a) The statistics are included in the annual report formally issued to
management by the Occupational Health and Safety
department.
b) The performance of the company in this regard is included in the
company’s Annual Report.
a) The written permission of the employee is obtained whenever
information is requested.
b) Records are maintained of the approval of the employee for the
use of information.
a) Formal procedures are implemented with regard to the rights
of employees to results of medical surveys.
b) All employees are informed of this right during their induction
training.
Total Score
Average Score
2 = documentation exists, but requires improvement
3 = Practice in place
4 = Practice in place maintained
Page 23 of 26