Work Health & Safety and Risk Management

Work Health & Safety
and Risk Management

PART A
Question 1.Provide four examples of barriers to WHSMS (Work Health and Safety
Management System) implementation and provide your own strategies on how to
overcome them. (2 marks)
Barriers to WHSMS implementation Strategies to overcome the barrier
Staff ignorance to safety and health –
According to this employees working at
WHSMS ignore health and safety measures
which is wrong for respective sector.
Provide training to staffs so that they can
under importance of safety and health as
well as through that they get motivated to
adopt it properly.
Avoiding responsibilities – There are some
employees working in same sector avoid their
allotted responsibility which may leads to
major mis-happening.
In order to encourage staffs that they not
avoid their responsibilities firm may
provide incentives as well as rewards as
that help in conducting operation
properly.
Cost related to safety implementation –
According to this cost of safety
implementation is high which can be challenge
for the Work Health and Safety Management
system.
In order to this WHSMS must conduct
planning of that system which is sustain
for the long run as that will contain the
costs properly.
Over complicated system – the system
implemented to Work Health and Safety
Management system are complicated in nature
which impact on the performance of
employees.
In respect of this management must
design as well as develop system which
is simple as well as linear in nature as
that will be user friendly.
Question 2. Describe the structure and functions of a generic WHSMS that can be used
by an Australian organisation.(2 marks)
In this the development of system is based on the organization itself. There are numbers of
sources which outline a general WHS management system structure that include AS/ NZS
4801:2001 and AS/NZS 4804:2001. From 2018 ISO 45001 has replaced 4801 as well as
4804. There are several standards which are recommended to a company so that they develop
proper structure such as their must be minimum or no workplace injuries, ensure compliances
as well as they must provide continual evaluation as well as improvement. Along with this,
while developing structure management need to consider policies and regulation as that will
help in avoiding risks as well as conduct work properly. In addition to this, functions of
generic WHSMS are related to planning, implementation of plan as well as reviewing it,
conduct improvement related to safety at workplace. They also impact to the content of safety
data and information or documents in a managed as well as ongoing manner which minimise
risk and enhance organization safety.
Question 3. Summarise the WHSMS auditing guidelines and standards in your own. In
your summary you must highlight the most important aspects of WHSMS audit and
standards. Keep your summary within 250 words. Refer to document linked for review.
(3 marks)
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

The Work Health and Safety Management System evaluation or audit is considered as
procedure where system of WHS inside a company will determine through the third parties in
order to verify whether it is consistent as well as compliant along with the law. The main
responsibilities on respective procedure are implemented to two different government
agency, parties as well as audit team. The initial one is responsible for the several
responsibilities from which some are mentioned below:-
 Review the plan related to project of WHS Management in order to develop whether
it will fulfil the requirement for the main key elements or aspects.
 Develop or plan schedule for audit.
 Do engagement of audit team.
 Prepare for conduct audit.
 Notify contractors about the audit.
 Hold or conduct exit meeting.
 Conduct follow up relared to the implementation of preventive as well as corrective
actions.
 Do recording of the project.
The team who do auditing are responsible for the several task which are mentioned below:-
 Be preparing for conducting audit.
 Conduct the auditing.
 Conduct entry meeting.
 Do work according to the audit methodology
 Hold meeting for with the final audit team.
 Organized exit meeting.
These are some of the main guidelines as well as standards which are need to be follow by
Work Health and Safety Management System for conducting operations and plans
effectively. Along with this these are the main audit as well as their standard which are
followed by WHSMS.
Question 4. Outline at least two essential requirements for recordkeeping that address
WHS Act 2011 and Privacy Act 1988. Refer to the relevant Act or regulation on
Internet.(2 marks)
Act Name Recordkeeping Requirement 1 Recordkeeping Requirement 2
WHS Act 2011 Their will all records related to
the health and safety at the
workplace are retained by a
company.
Gathering information or data in
effective manner of a company
related to health and safety system
as well as it is required to conduct
review of all records related to the
KPI (Key Performance Indicator).
Privacy Act
1988
It is used to keep record which are
authenticated, up to date as well
as carry complete personal data or
information.
This will conduct record keeping
that include the management of the
electronic records properly.
Question 5. Provide a brief description of the relevant WHS Acts, regulations, and
codes of practice, standards followed at your workplace? (Not more than 300words) (3

marks)
(Note: Consider the place you are currently working, and if not working then consider a club
or restaurant you have recently visited. Research and analyse the relevant regulations and
codes of practices applicable for that workplace.)
WHS Act 2011: The Work Healthy and Safety Act 2011 generally provide guidance related
to a project based on safety, health as well as welfare of the employees at the workplace.
Respective legislation also helps aid in protecting the safety as well as security of all other
individuals that may get impacted by the organization practices. This Act include several
types of workers such as employees, outworkers, volunteers, contractors, subcontractors,
apprentices and trainees, employer who conduct work and work experience students. The
WHS Act set requirement for the several aspects such as issues resolving, offence as well as
penalties, incident notification, inspector power and functions as well as consultation with the
staffs.
Workplace Type: Retail supermarket is workplace.
Relevant WHS regulations -
 Provide safe and healthy working environment so that they employee feel comfortable
as well as secure at the workplace.
 Conduct proper risk management and risk assessment as that will help in determining
risk at the workplace accordingly to which strategies will be developed.
 It is also essential for a company to handle as well as move stock in proper ways so
that there will be minimum chance of accident and wastage.
 It is necessary for a company to develop as well as maintain proper working condition
as well as according to that they need to ensure that employees have proper
equipments while working.
Relevant WHS codes of practices –
 There must be proper first aid facility at the workplace so that when any emergency
occur at the company.
 Their will proper guidance related to the how to manage work health as well as safety
risk in effective manner.
 It is necessary that there must be proper labelling of workplace hazardous chemicals
so that accident can be avoid.
 It is also essential for a company to develop as well as maintain proper positive as
well as satisfied working environment.
Question 6. Describe at least three essential data and information that are required to
measure and indicate a good and reliable WHSMS (Work health and safety
management system) in an organisation? Refer to the link for further research: (3
marks)http://risksupport.org.au/resources/Documents/Using%20Positive%20Performance
%20Indicators%20Fact%20Sheet.pdf
1: It is essential for a company to create as well as maintain safety working environment
because through that business operations and functions will conduct properly and effectively.
2: It is also necessary that at a company there is proper implementation of WHS laws as well
as regulations including due diligence obligations.
3: This is also essential for a company it is to demonstrate continuous improvement in order
to safety system in effective as well as appropriate manner.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

PART B

PART A
Question 1.Provide four examples of barriers to WHSMS (Work Health and Safety
Management System) implementation and provide your own strategies on how to
overcome them. (2 marks)
Barriers to WHSMS implementation Strategies to overcome the barrier
Staff ignorance to safety and health –
According to this employees working at
WHSMS ignore health and safety measures
which is wrong for respective sector.
Provide training to staffs so that they can
under importance of safety and health as
well as through that they get motivated to
adopt it properly.
Avoiding responsibilities – There are some
employees working in same sector avoid their
allotted responsibility which may leads to
major mis-happening.
In order to encourage staffs that they not
avoid their responsibilities firm may
provide incentives as well as rewards as
that help in conducting operation
properly.
Cost related to safety implementation –
According to this cost of safety
implementation is high which can be challenge
for the Work Health and Safety Management
system.
In order to this WHSMS must conduct
planning of that system which is sustain
for the long run as that will contain the
costs properly.
Over complicated system – the system
implemented to Work Health and Safety
Management system are complicated in nature
which impact on the performance of
employees.
In respect of this management must
design as well as develop system which
is simple as well as linear in nature as
that will be user friendly.
Question 2. Describe the structure and functions of a generic WHSMS that can be used
by an Australian organisation.(2 marks)
In this the development of system is based on the organization itself. There are numbers of
sources which outline a general WHS management system structure that include AS/ NZS
4801:2001 and AS/NZS 4804:2001. From 2018 ISO 45001 has replaced 4801 as well as
4804. There are several standards which are recommended to a company so that they develop
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

proper structure such as their must be minimum or no workplace injuries, ensure compliances
as well as they must provide continual evaluation as well as improvement. Along with this,
while developing structure management need to consider policies and regulation as that will
help in avoiding risks as well as conduct work properly. In addition to this, functions of
generic WHSMS are related to planning, implementation of plan as well as reviewing it,
conduct improvement related to safety at workplace. They also impact to the content of safety
data and information or documents in a managed as well as ongoing manner which minimise
risk and enhance organization safety.
Question 3. Summarise the WHSMS auditing guidelines and standards in your own. In
your summary you must highlight the most important aspects of WHSMS audit and
standards. Keep your summary within 250 words. Refer to document linked for review.
(3 marks)
The Work Health and Safety Management System evaluation or audit is considered as
procedure where system of WHS inside a company will determine through the third parties in
order to verify whether it is consistent as well as compliant along with the law. The main
responsibilities on respective procedure are implemented to two different government
agency, parties as well as audit team. The initial one is responsible for the several
responsibilities from which some are mentioned below:-
 Review the plan related to project of WHS Management in
order to develop whether it will fulfil the requirement for the main key elements or
aspects.
 Develop or plan schedule for audit.
 Do engagement of audit team.
 Prepare for conduct audit.
 Notify contractors about the audit.
 Hold or conduct exit meeting.
 Conduct follow up relared to the implementation of
preventive as well as corrective actions.
 Do recording of the project.
The team who do auditing are responsible for the several task which are mentioned below:-
1. Be preparing for conducting audit.

2. Conduct the auditing.
3. Conduct entry meeting.
4. Do work according to the audit methodology
5. Hold meeting for with the final audit team.
6. Organized exit meeting.
These are some of the main guidelines as well as standards which are need to be follow by
Work Health and Safety Management System for conducting operations and plans
effectively. Along with this these are the main audit as well as their standard which are
followed by WHSMS.
Question 4. Outline at least two essential requirements for recordkeeping that address
WHS Act 2011 and Privacy Act 1988. Refer to the relevant Act or regulation on Internet.
(2 marks)
Act Name Recordkeeping Requirement 1 Recordkeeping Requirement 2
WHS Act 2011 Their will all records related to the
health and safety at the workplace
are retained by a company.
Gathering information or data in
effective manner of a company related
to health and safety system as well as it
is required to conduct review of all
records related to the KPI (Key
Performance Indicator).
Privacy Act
1988
It is used to keep record which are
authenticated, up to date as well as
carry complete personal data or
information.
This will conduct record keeping that
include the management of the
electronic records properly.
Question 5. Provide a brief description of the relevant WHS Acts, regulations, and codes
of practice, standards followed at your workplace? (Not more than 300words) (3 marks)
(Note: Consider the place you are currently working, and if not working then consider a club
or restaurant you have recently visited. Research and analyse the relevant regulations and
codes of practices applicable for that workplace.)
WHS Act 2011: The Work Healthy and Safety Act 2011 generally provide guidance related
to a project based on safety, health as well as welfare of the employees at the workplace.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Respective legislation also helps aid in protecting the safety as well as security of all other
individuals that may get impacted by the organization practices. This Act include several types
of workers such as employees, outworkers, volunteers, contractors, subcontractors,
apprentices and trainees, employer who conduct work and work experience students. The
WHS Act set requirement for the several aspects such as issues resolving, offence as well as
penalties, incident notification, inspector power and functions as well as consultation with the
staffs.
Workplace Type: Retail supermarket is workplace.
Relevant WHS regulations -
 Provide safe and healthy working environment so that they employee feel
comfortable as well as secure at the workplace.
 Conduct proper risk management and risk assessment as that will help in
determining risk at the workplace accordingly to which strategies will be developed.
 It is also essential for a company to handle as well as move stock in proper
ways so that there will be minimum chance of accident and wastage. It is necessary for a company to develop as well as maintain proper working
condition as well as according to that they need to ensure that employees have proper
equipments while working.
Relevant WHS codes of practices –
 There must be proper first aid facility at the workplace so that when any
emergency occur at the company.
 Their will proper guidance related to the how to manage work health as well as
safety risk in effective manner.
 It is necessary that there must be proper labelling of workplace hazardous
chemicals so that accident can be avoid.
 It is also essential for a company to develop as well as maintain proper positive
as well as satisfied working environment.
Question 6. Describe at least three essential data and information that are required to
measure and indicate a good and reliable WHSMS (Work health and safety management
system) in an organisation? Refer to the link for further research: (3

marks)http://risksupport.org.au/resources/Documents/Using%20Positive%20Performance
%20Indicators%20Fact%20Sheet.pdf
1: It is essential for a company to create as well as maintain safety working environment
because through that business operations and functions will conduct properly and effectively.
2: It is also necessary that at a company there is proper implementation of WHS laws as well
as regulations including due diligence obligations.
3: This is also essential for a company it is to demonstrate continuous improvement in order to
safety system in effective as well as appropriate manner.
PART B
Task 1
a)
BRIEF FROM YOUR ORGANISATION'S EXISTING WHS PLANS
The existing WHS plans of the respective company include that the students must report any
incident that takes place within the premises. If there is such an incident, the emergency
services will take the first action.
REASONS FOR A WHSMS
The reason for a WHSMS is that it protects all people like customers, contractors etc. and is a
shared responsibility of the management of the company as well as the staff of the company.
PURPOSE OF WHSMS
The primary purpose of a Work Health and Safety Policy is to make sure the overall health
and safety of all the workers at the workplace. The students and staff share a responsibility
regarding WHSMS.
FUNCTIONS OF WHSMS (You may list in bullet points)
 To protect the people including visitors, customers etc.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

 To ensure the health as well as welfare of the students and staff members
 to make sure that health and safety standards are followed by all
FORM/TYPE/STRUCTURE OF WHSMS (You may illustrate in a diagram or mention the
type in bullet points)
The planning activities, organizational structure, policies, practices, different resources,
implementing achieving, planning activities, maintaining etc. form the structure or WHSMS.
c)
ACADMIES AUSTRALASIA
<Date>
Subject: Agreement and approval for the Implementation of WHSMS for the
organization
Dear General manager and current WHS members,
Hope you are doing well. As discussed earlier, this letter is in regard to request an
approval for the implementation of WHSMS for the organization. For your convenience, I
have attached a copy of the agreement regarding the same as well as other documents. I
request you to kindly provide me an acknowledgment with the required approval so that Work
Health and Safety Policy can be implemented as soon as possible in order to ensure the safety,
health and safety welfare of the students as well as staff members within the premises. Kindly
find all the necessary documents attached along with this letter.
I will be very obliged for your support and any kind of suggestions would be welcomed.
I hope to hear from you soon so that the policy can be put into effect as soon as possible. I
would be extremely grateful to you for providing the approval.
Thanks.

<Insert your name>
<Insert your position>
Task 2
a)
WHSMS CONSULTATION AND
COMMUNICATION
RECORDKEEPING
DATE
AGENDA / TITLE WHS policy requirements and commitment requirements
STAKEHOLDERS
PRESENT President, Board of Directors, Executive Management Team,
Students and workplace health and safety committees
POLICY AND
COMMITMENT
The policy will be committed to maintaining a safe environment at
the campus for the students, staff, visitors etc. The policy will lay
down the rights that the students as well as staff members at the
campus possess. The commitment on the other hand, will recognize
that each and every individual has a right to work in a safe
environment.
REQUIREMENTS
ON WHSMS
The requirements will include a provision of adequate resources
within the campus and effective conditions within the workplace.
The health of the workers will be monitored from time to time. The
students, staff members as well as visitors will be required to adhere
to the policy at all times.
CONSULTATION
OUTCOME
The outcome of the consultation will be that all the people or
stakeholders will be safe and healthy. As a result the workplace will
be a better place for all of the stakeholders.
RECORDED BY
b)
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

INITIAL WHS REVIEW AND AUDIT REPORT (Summarise and list your findings in
bullet points)
 The WHS plan is submitted and it is important to review the same by any of
the government agencies. The audit schedule is then developed and the audit leader
is then engaged. Then the audit schedule is then developed and the agreement
regarding when the audit will be covered.
 During the audit, there will be certain documents that will be missing and it
is important to report them. Also, it will be checked if all the procedures are being
followed din an effective manner.
 The existing WHS policy will be reviewed thoroughly because it will help
in identifying any missing information in the same. Apart from this, absence of any
physical resources will also be checked.
 This will help in conducting the auditing process in an effective as well as
efficient manner. And the same will be addressed. Thus, the documentation will be
processed in an effective manner. Thus, this is the review of the audit and review
report.
c)
WORK HEALTH AND SAFETY POLICY
ACADMIES AUSTRALASIA / CHOSEN ORGANISATION
The new Work Health and Safety Policy will include all the documentation and will clearly
state what the employer at the respective university is expected to do. The policy will also
explain all the responsibilities as well as duties of the staff members as well as the students. It
will also outline what will be done when and how will it be done. The different aspects
included in the policy will be risk assessments, safe handling of the substances and consulting
employees in case of any kind of emergency. Apart from this, the policy will be developed
using an easy to understand and simple language. The training procedures and rules for the
employees will also be included in the revised Work Health and Safety Policy. The policy will

then be implemented in an effective manner to ensure that all people follow it and comply to
the rules that are stated in it. Also, it will be reviewed from time to time.
d)
ACADMIES AUSTRALASIA
<Date>
Subject: Communication and Agreement on the new Work Health and Safety Policy
Dear organizational members,
Hope this letter finds you all in good health. As per our earlier discussion, this is in regard
to the formulation of a new Work Health and Safety Policy. I request you to provide your
approval for the same. This is because a lot of important documents, procedures etc. were
found to be missing during the audit that was conducted. As a result, a decision of developing
a new policy is taken for which your approval is required. Once you provide an approval, the
policy will be developed and executed as soon as possible. This will help in protecting all the
people within the premises from any kind of incident or emergency that might take place.
Please find a draft of the policy attached with this letter for your reference. Any
changes or suggestions are welcomed. Waiting for your early response. If you approve the
same the new Work Health and Safety Policy and Procedures of the organization are in effect
from next month. Thanking you and I will be grateful.
Thanks.
<Insert your name>
<Insert your position>
TASK 3: DEVELOP A WHS PLAN
In this section you are required to establish and maintain procedures for identifying hazards,
assessment and control of risks. To do this you will develop relevant procedures, maintain
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

procedures for implementing risk controls, take new measures and ask for expert advice from
a WHS specialist. For the purpose of this task, your trainer and assessor will act as the role of
WHS specialist from whom you will seek advice and feedback. You will complete the sub
tasks sequentially based on some of the simulated situations/scenarios that the tasks
You are required to:
Communicate to individuals and parties the requirements of a WHS plan
Work with individuals and parties to produce a WHS plan appropriate to the organisation,
that meets requirements
Facilitate and support the participation of, and consultation with, individuals and parties in
developing and agreeing to a WHS plan
a) Communicate to individuals and parties requirements of a new WHS plan. This
communication recordkeeping must be completed after you have completed the presentation
TASK 7.
WHSMS COMMUNICATION
RECORDKEEPING
DATE
AGENDA/ TITLE Requirements of a WHS plan
STAKEHOLDERS
PRESENT
The stakeholders involve in this are university director, students,
professor, government, media and so on.
REQUIREMENTS
OF A WHS PLAN
 Respective plan will help in providing guideline to the
company so that they can conduct their work properly by
maintaining safety and healthy working environment.
 Through WHS a company also able to minimise chance of
occurrence of accident due to inappropriate working healthy
and safety environment.
CONSULTATION
OUTCOME
The consultation outcome is that at every organization these issues are
arising due to which some major accident take place. So it is essential
for the management of a firm to develop proper strategies related to
the WHS guidelines.
RECORDED BY
b)Scenario/Situation: At this stage, you have done the initial consultation on WHSMS
implementation and have also developed and implemented the new Work Health and Safety
policy for the organisation. Your general manager (with consultation from an external WHS
specialist) has advised you that a WHS plan should be developed and carried out for your

new WHSMS implementation project. Currently in your organisation, there are no formal of
"Work Health and Safety" plan. Having a plan will help everyone involved in WHS to
understand how to react or what actions to take in situations. The plan will also help you to
monitor the planned WHS actions that you will set for the whole year.
Using the template below, develop a WHS plan for the simulated organisation's (Academies
Australasia) or your chosen workplace.
WHS PLAN -
ACADEMIES
AUSTRALASIA
WHS plan version 1.0 Approved by: Approved date:
March 2019
Date:
Summary or Brief on the
WHS Plan
In respect of this it is
essential for the management
of Academies Australasia to
develop proper plan and
strategies in order to ensure
safety and healthy
environment of students as
well as staffs. In respect of
this management must also
develop training and
development session so that
employees and students face
every situation properly.
Resource Requirement for
the WHS Plan
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Resource Type Resource Details and
Purpose for this project
Experienced
person
It is required in order to
provide training to students
and staffs related to WHS.
Arrange of
class
Seating arranges projectors
and other equipments which
is required while training is
conducting.
Estimated Total Resource Costs
Hazard Plan (for guidance,
refer to Risk Score Matrix
within this plan)
Re
f
Hazards &
hazardous
tasks
Examples
I Chemical
related
Felt off of
chemical
substance
on a person
II Physical related
Slip of a
students on
stairs

Planned WHS Actions
Cross
reference
(number)
Date
Raised
Agreed Actions
Clearly and concisely,
state what need to be
done.
5th July,
2020 Develop policy
6th July,
2020
Communicate at
university
8th July,
2020
Conduct session related
to this
9th July,
2020
Implement WHS
guidelines
10th
July,
2020
Monitor and evaluation
Appendix: Risk Score
Matrix (guidance on
risk/hazard analysis)
2. What is the
likelihood of
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

1. What is the
severity of the
outcome for this typeVery likely
Could happen
WHS training and
instruction(tick that applies
to your organisation)
 New workers must
complete the online WHS
induction within their first 4
weeks at work
New workers (incl.
students) receive specific
local inductions prior to
being given access to their
workplace
 Staff who manage other
staff (Supervisor) complete
WHS for Managers online
training course
 Supervisors regularly (at
least annually) review the
training needs of workers and

assign other relevant
WHSTraining
 Workers (incl. students)are
instructed on relevant and
provided with ongoing
supervision
Notes on WHS training and
instruction, WHS
consultation,
hazard/incident reporting:
(use bullet points)
 It is essential for company to provide
consultation session.
 For every members it is essential that they report about hazard/incident at the initial
stage so that it can be handle and mange properly.
End of WHS Plan
c)In this task you will now facilitate agreement of individuals and parties in agreeing to the
WHSplan that you have developed. To do this you will now officially send a formal letter to
the all members of the organisation and to your immediate supervisor (General Manager) for
their approval and agreement. You may wish to use your fellow learners to be the employees
and other stakeholders.
ACADMIES AUSTRALASIA
<14th July 2020 >
Subject: Communication and Agreement on the Work Health and Safety Plan
Dear organisational members,
This letter is to inform you that our university Academies Australasia is adopting new work
health and safety plan in order to ensure safety of you. In respect of this we are hoping that
you follow the guidelines and plan properly.
The new Work Health and Safety Plan of the organisation are in effect from the 20th July
2020.
Thanks.
<XYZ>
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

<Human resource >
WHS AGREEMENT FORM
Communicated to all? Yes
Approved and agreed by
stakeholders?
Yes
Signature of relevant
parties
Date of agreement
TASK 4: IMPLEMENT THE WHS PLAN
In this section you are required to implement the WHS plan, To do this you will
communicate on the implementation, facilitate the participation of individuals and parties and
eventually work with others to ensure the new policies, procedures, processes and systems
support implementation of the WHS plan.
You are required to:
Communicate to individuals and parties the WHS plan implementation requirements, as
appropriate to the organisation
Facilitate and support the participation of, and consultation with, individuals and parties in
implementing the WHS plan
Work with individuals and parties to ensure policies, procedures, processes and systems
support implementation of the WHS plan, according to own job role
a)Communicate to individuals and parties on the WHS planimplementation requirements.
This communication recordkeeping must be completed after you have completed the
presentation TASK 7.
WHSMS COMMUNICATION
RECORDKEEPING
DATE
AGENDA/ TITLE WHS plan implementation requirements
STAKEHOLDERS
PRESENT
In this stakeholders are teacher, students, government and
management
WHS PLAN AND
IMPLEMENTATION
REQUIREMENTS
 In order to implement the plan the Academies Australasia
management will develop training and develop plan so that
employees know about WHS policies and procedure

properly.
 For this they will conduct analysis how many people at
Academies Australasia are aware about the effectiveness of
WHS guidelines.
CONSULTATION
OUTCOME
The outcome is that there are very few students and other members
of Academies Australasia who are aware about the WHS guidelines
and polices.
RECORDED BY
b) In this task you will now facilitate agreement of individuals and parties in agreeing to the
WHS plan that you have developed. To do this you will now officially send a formal letter to
the all members of the organisation and to your immediate supervisor (General Manager) for
their approval and agreement. You may wish to use your fellow learners to be the employees
and other stakeholders.
ACADMIES AUSTRALASIA
<20th July 2020>
Subject: Communication on the WHS Plan Implementation
Dear organisational members,
This is to inform you that our university Academies Australasia are going to implement
guidelines and plan of WHS according to which it is essential for every staff to conduct their
work in proper way by ensuring safety and healthy working.
Thanks.
<XYZ>
<Human resource>
WHS AGREEMENT FORM
Communicated to all? Yes
Approved and agreed by
stakeholders?
Yes
Signature of relevant
parties
Date of agreement
c)In this task you highlight on how you are implementing the planned actions and the
relevant WHS policies, procedures, processes and systems within the organisation. Some of
the planned WHS actions that you have already communicated to stakeholders in Tasks 4a
and 4b can be also included here. You must include at least TWO from each section in the
implementation table. One example for each is provided in the first column for your
reference.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

WORK HEALTH
AND SAFETY
POLICY
IMPLEMENTATI
ON
Planned Actions Details Responsible
person, role or
team
Target
deadline
Conduct training and
development plan at
campus
According to this
management of respective
company will develop
proper training and
development activities to
staffs so that they can
conduct work according to
WHS.
Management,
teacher and
students
10 days
Develop a new
emergency evacuation
plan for this campus
In respect of this
management always ready
with the emergency plan.
Management 15 days
WHS Procedures Details Responsible
person, role or
team
Target
deadline
Manual handling
procedure
According to this
management have procedure
of manually handing.
Management 4 days
Regular training program
Management develop proper
training and develop plan
Management 4 days
WHS Processes Details Responsible
person, role or
team
Target
deadline
WHS training and
induction process
According to this
management will develop
process of training.
Management 10 days
Conduct evaluation In this management will do
regular evaluation of
campus.
Management Interval of 6
months
WHS Systems Details Responsible
person, role or
team
Target
deadline
Review the incident
reporting form
According to this
management will review
incident report.
Management 5 days
Evaluate gap In this management will
determine gap of issues.
Management 4 days
TASK 5: MEASURE AND EVALUATE WHS PERFORMANCE

In this section you are required to evaluate and maintain the Work Health and Safety
Management System (WHSMS) that you have implemented for your work area. To do this
you will communicate, get feedback and finalise WHS evaluation and performance.
You are required to:
Communicate to individuals and parties the measurement and evaluation requirements of the
WHS plan as appropriate to the organisation
Facilitate and support the participation of, and consultation with, individuals and parties in
measuring and evaluating WHS performance; Assess policies, procedures, systems and
processes in relation to their ability to support implementation of the WHS plan, according to
own job role
a)Communicate to individuals and parties on therequirement for measuring and evaluating
WHSperformance within your organisation. This communication recordkeeping must be
completed after you have completed the presentation TASK 7.
WHSMS COMMUNICATION
RECORDKEEPING
DATE
AGENDA/ TITLE WHS measurement and evaluation requirements
STAKEHOLDERS
PRESENT
Management, students, teacher and so on.
WHS
MEASUREMENT
AND
EVALUATION
REQUIREMENTS
 According to this management will conduct regular evaluation
of outcome.
CONSULTATION
OUTCOME
The outcome is that at campus there are every less people who follow
WHS guideline
RECORDED BY
b)Scenario/Situation:As you have finalised the implementation of WHS policy, procedures,
plans and systems, you will now work on measuring the success and failure of your overall
WHSMS. However, you will need to first identify on what are to be evaluated and how will
they be measured against in terms of compliance, performance, deadlines, and standards. To
do this facilitation and participation you will first evaluate the WHSMS using the template
below to verify that if it aligns appropriately with your organisational WHS objectives and
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

with legislation. You will need to evaluate at least four WHSMS targets. The third column in
the template could be completed by getting feedback (e.g. if the new policy meets
requirements) from various stakeholders such as your staff members, HSC, and your general
manager.
WHSMSEVALUAT
ION &
PERFORMANCE
REVIEW
TEMPLATE
Organisational
WHS policy,
procedure, system
or process
WHSMS Targets WHSMS Actual
Performance
Review Necessary
(Y/N)?
Discuss what changes
to be made in your
WHSMS
Conduct training for
WHS
Ensure that every
individual at
campus follow
guideline and
policy of WHS.
At campus not all
members able to
attain program.
Y, ensure every one
attain program.
Ensure every
member follow
WHS
Not every individual
follow guideline
Y, ensure all member
follow rules.
You will now facilitate and communicate the measuring standards and evaluation of your
WHS performance. To do this you will now officially send a formal letter to the all members
of the organisation and to your immediate supervisor (General Manager) to explain the
standards, benchmarks, deadlines and expectations on those areas that you have highlighted
in previous evaluation template.
ACADMIES AUSTRALASIA
<21st July 2020>
Subject: Communication on the WHS performance review
Dear organisational members,
It is to inform you that our campus is going to review how many people a campus are follow
WHS while conducting their work. According this performance review your future career
grading is dependent.
Thanks.
<XYZ>
<Human Resource>
WHS AGREEMENT FORM
Communicated to all? Ye s

Approved and agreed by
stakeholders?
Yes
Signature of relevant
parties
Date of agreement
TASK 6: REVIEW AND IMPROVE THE WHSMS
In this section you are required to review and improve the Work Health and Safety
Management System (WHSMS) that you have implemented for your organisation. To do this
you will develop a continuous improvement plan for WHS and communicate to various
stakeholders.
You are required to:
Communicate to individuals and parties the review and improvement requirements of the
WHSMS as appropriate to the organisation
Facilitate and support the participation of, and consultation with, individuals and parties in
reviewing and improving the WHSMS; Document review outcomes and suggested WHSMS
improvements, according to own job role and submit to management for consideration
a) Communicate to individuals and parties onreview and improvement requirements of the
WHSMS. This communication recordkeeping must be completed after you have completed
the presentation TASK 7 and TASK 6b.
WHSMS COMMUNICATION
RECORDKEEPING
DATE
AGENDA/ TITLE WHS review and improvement requirements
STAKEHOLDERS
PRESENT
Teacher, students and management
WHS REVIW
AND
IMPROVEMENT
REQUIREMENTS
 It is necessary because through that further decision can be
developed in proper manner.
CONSULTATION
OUTCOME
It is determine that not all members at campus are adopting WHS plan.
RECORDED BY
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

b)Scenario/Situation:As you have completed the stage of evaluating your WHSMS
including the policy, procedures, plans and systems, you will now work on preparing a
continuous improvement plan for your overall WHSMSIn this task, you will prepare a
continuous improvement plan for your WHSMS based on your organisational requirements.
For a sample WHS continuous improvement action plan, please click the icon below.
Please be reminded that the sample linked is just a guide and your organisational
improvement plan maybe different with different requirements.
CONTINUOUS IMPROVEMENT PLAN FOR WHSMS
Planned WHS Improvement Actions
Cross
reference
(checkbo
x or “top
5”
number)
Date
Raised
Improvement Actions
Clearly and concisely,
state what need to be
done.
Owner(s)
Must be
people not
roles
Target
date of
completion
Completed
Date
10th july
2020
In order to conduct
improvement it is
essential to provide
training to all employees
so that they know proper
ways to develop and
manage WHS at
workplace.
Director of
university
25th july
2020
24th July
2020
PART C
PART 1: ESTABLISH RISK CONTEXT (20 Marks)
Your CEO advised you to go through your current workplace vision, mission, goals and/or
values and various departmental objectives and tactics. Review your observation; you have
identified the following key problems:
A. Lack of internal controls, particularly over cash handling at premises, premises
monitoring and management of events.

B. Failure to meet compliance standards in duty of care and WHS, Privacy and
confidentiality, Freedom of Information, environment law, reasonable adjustment for
newly appointed disable staff and Industrial relations law.
C. Due to poor implementation of contract law, lack of written policy and procedures to
guide staff in performing their job duties.
D. Lack of a professional business culture in the family run business.
E. Failure of the business to monitor the external environment and align opportunities
and threats to the business.
A. Use any one of the above issues - review organisational processes, procedures and
requirements for undertaking risk management. Identify whether your business
has any relevant risk management plan to tackle this situation. Record your
comments.
The issues experiencing by Academies Australasia, is that they are getting failure in
monitoring the external environment due to which they not able to determine threat as well as
opportunities which is faced by students who are leaving at the Australia. Moreover they are
also not able to conduct interaction with the student support team due to which students faced
issues in communication related to the language barriers. In order to this, organization develop
process that these students can also interact with the teacher of faculties of the college as well
as they also develop requirements and procedure related so that students can effectively
overcome from the risk successfully who are not from the same place. The respective
educational institution is not conducting risk management properly because students not able
to interest with the student support due to which they faced issue in college campus.
B. Determine the scope for your risk management process and justify your previous
response
The scope of the risk management process is that a management able to understand as well as
analyse the risk in effective manner according to which they can develop proper strategies as
well as plans. In respect of Academies Australasia, their students who are from outside the
Australia are experiencing issues in communication as well as they also not able to meet the
student support of college who will resolve their issues. So by developing risk management
respective institution able to understand issues of students as well as they also able to develop
strategies as well as plans in effective manner. Through this students able to interact and
communicate with others in proper and effective manner.
C. Identify internal/primary and external/secondary stakeholders and their issues.
Express how you communicate (organisational communication channel such as
email, newsletter, intranet, social sites, LinkedIn, mobile etc) and discuss with
those relevant parties about the risk management process?
Internal Preferred
Communication
Channel
External Preferred
Communication
Channel
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Students In order to
communicate to the
student’s university
may adopt
communication
channel like news
letter, mobile, e mail
and intranet.
Competitors In order to conduct
communication with
the competitors
respective university
may use social
networking sites and
Linked In. It is so
because through that
they can show their
competitive
advantage at the
marketplace.
Teacher For conducting
communication with
teacher management of
university may adopt
communication
channels such as e
mail, intranet, mobile
and news letter.
Vendors At a university
vendors are those who
supply stationary,
food and beverages
and other products at
the campus. In order
to communicate them
university
management may
adopt channels like
mobile and e mail.
Owner/ Director In respect to done
interaction with owner
or directors
management may
adopt communication
channels like mobile, e
mail and intranet
because they need to
take decision quickly
so they need to know
every information
quickly.
Government They plays main role
because management
of university need to
develop strategies and
plans accordingly so
in order to
communicate with
government
university may adopt
communication
channel like e mail.
Trustees In order to conduct
interaction or
communication with
the trustee
management of
respective university
may adopt e mail,
mobile as well as news
letter.
Media In order to conduct
interaction with the
media respective
university mat adopt
communication
channels like e mail,
mobile and social
networking sites.
*Organizational Communication methods

The main method of communication which are used by Academies Australasia are e mail,
mobile, news letter, social networking sites and intranet because through these channels they
can interact with each and every members of university properly.
D. Construct a PEST/PESTLE analysis based on that chosen issue in A and B.
Political The political factors which may affect profit or chances of firm
survival are quite diverse. In Australia, the education industry is more
impacted through respective factors of country. The education industry
is impacted through various political factors such as government
strategy, admission process, policies and method and others. So, the
government and private both institutions face political process changes
into its sector. In Academies Australasia, there are various
international students facing visa charges. Therefore, it will be risky
for respective firm.
Economic This factor includes some aspects such as interest rate, foreign
exchange rate and others. The financial condition is very much
competitive into Australian educational marketplace. The earnings
through the country’s people is enhancing, so it experiences economic
development. So, respective country academics economic situation is
stable. But the international students who comes from different place
has to pay higher course fees in comparison to other countries which
may affect their business
Social In Australia, the student demand within educational sector is changing
continuously. So, various universities and institutions are modifying
its structure for meeting the students demand. For example, they
upgraded teaching styles and others. Moreover, the international
student who comes from another country are also facing the
communication problem due to which they cannot able to interact with
other students. Also, not able to understand the lectures that are
provided into classes. So, it will the risk for Academies Australasia.
Technological The current times is mostly based on technology. The Australian
economy is spending about 65 billion US dollars into technology.
Respective country is also known for their technological innovations.
They adapt new technology in more frequent manner than other
countries. So, most of the institution and universities provides world
classroom facilities to its students. For example they are providing
classes on Skype and others. So, the risk that can be identified for
respective firm are hacking problems and many more. In addition to it,
due to this, the students are facing the issues related to transition
within life as well as study into Australia cannot above to contact
student support officers.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Legal
This factor can impact both external as well as internal environment of
firm. It includes employment laws, regulatory bodies and many more.
So, the Academies Australasia has to comply some laws related to
information privacy policy, work health and safety policy and other.
As this develops trust among international and national students.
Moreover, they also follow Australian Qualifications Framework
(AQF). In addition to this, they comply access and equity policy due to
which all students are facilitated reasonable as well as fair opportunity
for attending and complete its training into expected and agreed time
durations. Also, indirect or direct discrimination is not tolerated.
Ecological/
Natural
The ecological factors involve whole those related to physical
environment as well as to general environment protection needs. The
environment is essential for almost all industries. It includes
geographical location, weather, climates and many more. The various
policy related to environment may be risk for Academies Australasia
so; it has to comply respective ecological policies.
E. Based on your response in D, complete a SWOT analysis.
Strength (Internal)
The strengths of Academies Australasia are
they have skilled as well as experienced
professors who deliver high quality lecture
that help them in attracting more numbers of
students around the world. Moreover they
also provide wide numbers of courses which
help in attract major population of students
for getting admission in respective campus.
Weakness (Internal)
The weakness of respective university is
that they not able to deliver quality services
to the students who came from outside the
Australasia. Due to this issues goodwill of
the university getting decrease as student
satisfaction level get decreased which
directly impact on the university goodwill
as well as market shares.
Opportunities (External)
The opportunity for the Academies
Australasia is that they may adopt digital
technology in order to provide support
system to the students who are not from the
Australasia. This is so because through that
they able to provide support to the students
who came from outside the Australasia.
Threats (External)
The threat for the Academies Australasia is
that there are other competitive university
which offer quality services as well as
facilities to students who are from outside.
This may attract students from Academies
Australasia to other which affect their profit
and market share.
F. Examine your response in D and F; document at least two critical success factors,
goals or objectives for area included in scope.
The two main succession factor for the Academies Australasia are respective university
teacher or faculties are well educated as well as experienced which attract students and
encourage them to retain at college for accomplishing their course. The another main factor

which lead to succession of the factor is technology that respective university adopt proper
technology which attract students. Through these two factors management of Academies
Australasia able to attract students from around the world as well as retain them to accomplish
their course properly.
G. Propose a way to obtain support for risk management activities.
In order to obtain support for the risk management activities the management of Academies
Australasia need to train their employees as well as them also ensure that they need to ensure
that student support systems are working their work in effective manner. In addition to this
respective university also need to ensure that students who are outsider can easily find as well
as communicate with the student support members properly and successfully.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

PART 2: IDENTIFY AND ANALYSE RISKS (20 Marks)
Your CEO advised you to go through your current workplace vision, mission, goals and/or
values and various departmental objectives and tactics. Review your observation; you have
identified the following key problems:
i. Lack of internal controls, particularly over cash handling, monitoring and recording.
ii. Failure to meet compliance standards in duty of care and WHS, Privacy and
confidentiality, Freedom of Information, environment law, reasonable adjustment for
newly appointed disable staff and Industrial relations law.
iii. Due to poor implementation of contract law, lack of written policy and procedures to
guide staff in performing their job duties.
iv. Lack of a professional business culture in the family run business.
v. Failure of the business to monitor the external environment and align opportunities
and threats to the business.
Use the similar context to answer this part:
A. Identify Risks and Analyse Risks
Identify the relevant parties from three levels of management in your organisation or an
imaginary workplace and define appropriate risks associated with the business. You
further analyse and explain which specific tools and techniques you recommend is the
most suitable for consultation engagement with relevant parties.
Risk Relevant Parties Levels of
Management
Tools and
Techniques for
Risk Management
Students who are
from outside
Australasia not
able to find student
support due to
which they
experience
difficulties in
communication.
In this parties who are
involved are students,
student support
department and
university
management.
Here involvement of
middle level
management.
In order to overcome
this management
need to develop a
digital platform
where students can
conduct interaction
accordingly.
There is mis In this parties that The level of In order to overcome

management of
things due to
which students are
facing issues.
involve are Academies
Australasia
management, teachers
and students.
management which
involve in this is top
level.
this management
need to develop
policy and allot
every member work.
So that they can
accomplish it
properly and lead to
attainment of goal.
B. Based on your previous responses, answer following questions:
Various Risks
(1.1, 1.2)
Likelihood
3.1
Consequences
3.2
Risk Priority as per
matrix
3.3
Students who are
from outside
Australasia not
able to find
student support
due to which they
experience
difficulties in
communication.
Due to this issue
goodwill and market
value of Academies
Australasia get reduce
that they cannot offer
quality service to the
students who belong
from different nation.
Due to this
respective
university’s
goodwill, market
value and profit get
reduce.
It must be priority of
the university that they
must resolve these
issues properly as that
directly impact on their
business as well as
market value.
There is mis
management of
things due to
which students are
facing issues.
This mis management
will likely to impact on
the respective university
student as they not able
to conduct their studies
properly at university.
The respective
issues will impact
on the university
goodwill as well as
market value. Due
to this their
business also gets
impacted and very
less student will
came to university.
It is also essential for
the company to
understand overcome
respective risk as that
will impact on their
business negatively
which leads to decrease
in profit, admissions
and so on.
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

PART 3: SELECT AND IMPLEMENT TREATMENTS (10 marks)
Use the similar context to answer this part:
A. Once again, use your previous responses - determine and select most appropriate
options for treating risks and further create an action plan for implementation.
In order to treat the risk related to student support for the outside students it is essential for
management of Academies Australasia to conduct analysis and determine the root cause that
why students are facing such issues. Then they need to develop proper policies as well as plan
in order to ensure that members of student support conduct their work in effective manner so
that new student not faced any issues. In addition to this they will also develop proper
strategies and plans for non Australasia students so that they not faced any issues.
B. Explain the importance of risk documentation and storing of risk information?
For every company it is essential to do risk documentation because through that they have
proper information related to issues which occur in the past and for that which types of
strategies are used can be determined. This will also help in developing decision when similar
time of issues or situation takes place in future. In addition to this storing of risk information
is essential because that provide guidance to the management that how in past same situation
will be handled by people. According to that they can develop strategies and plans.
C. Evaluate one example of your workplace risk context, analyse the use of specific
legislative framework during communication to relevant parties, risk
documentation and storing of risk information? Justify your judgment.
The risk which takes place at the Academies Australasia is that the new students who are not
from Australasia faced issues in communication due to language barriers. In respect of these
respective institutions adopt legislation related to human right and diversity at campus as well
as according to that they also need to develop policy that at class students and teacher need to
communicate in common language which can be understand by both types of students. The
respective framework can be communicate through e mails, intranet and news letter of
college. Management of Academies Australasia also conduct risk documentation as well as
storing of risk information as that will help in providing guidance in future when similar
situation take place at the campus.
D. Discuss why we require analysing monitor and evaluation of risk management
process? Justify your question using logic.
It is essential to conduct analysis and evaluation of the risk management because through that
management able to ensure that the strategies which they developed for overcoming as well as
managing risk is working properly. Moreover through that they able to know and understand
requirement of improvement at the initial stage of procedure.
E. Prepare a list of most appropriate insurances for this business. Justify your
question using logic.
The most appropriate type of insurance of the Academies Australasia is professional liability
insurance. This is so because through that management able to develop proper strategies and
plan related to the error or issues which take place at the workplace due to ant situation.
Moreover these types of insurance also help in developing strategy that will fit in each and
every situation properly as well as successfully.

Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

TASK 7: WHS COMMUNICATION & PRESENTATION
In this task several elements are included. See the marking table for details.
WHS COMMUNICATION & PRESENTATION GUIDELINES
Attach the WHS communication, consultation, presentation slides at the end of the
assessment as Appendix 1. Your trainer will inform you on when your presentation/oral
session will be held.
Information that you MUST deliver and include in your presentation:
Organisational WHS objectives & WHSMS brief
Information about the form, content, purposes and functions of a WHSMS and its
implementation
Information on the WHS policy requirements and commitment requirements to implement a
WHSMS. A brief on the new policy.
Information on the new WHS plan
Information on the WHS plan implementation requirements
Information on Measuring and evaluating WHS performance
Information on review and improvement requirements of the WHSMS.
Record feedback, suggestions and outcome from stakeholders on the previous SIX points.
APPENDICES
Work Health and Safety
Management Systems and
Auditing Guidelines

Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Work Health and Safety
Management Systems and Auditing Guidelines
Issue log
Issu
e
Release
date
Details
1.
2. December
1994
Revised to apply to projects over $20M
3. November
1998
Revised to apply to projects over $3M
4. June 2004 Revised to include requirements of OHS Act 2000 and OHS Regulation 2001
Revised to apply to projects over $1M
5. September
2013
Revised to include requirements of the WHS Act 2011, WHS Regulations
2011 and Codes of Practice applicable in NSW
Removed reference to requirement for agency accreditation of Work Health
and Management Systems
December
2013
Clarification of OHS Auditor requirements (p4).
Clarification of certificate requirements (p4).
Principal Contractor requirements (p5) updated to remove reference to
accreditation
March
2014
Email address updated
May 2014 Added ‘Evidence of Implementation’ to Checklist
PART A.........................................................................................................................2
PART B.........................................................................................................................5
PART A.........................................................................................................................6
PART B.......................................................................................................................10
Task 1...............................................................................................................................................................10
Task 2...............................................................................................................................................................12
PART C.......................................................................................................................25
Purpose of the Guidelines .............................................................................................................................40
Better WHS management performance.......................................................................................................40
Other changes..................................................................................................................................................40

Scope ...............................................................................................................................................................40
Definitions........................................................................................................................................................40
7.APPLICATION OF THE GUIDELINES...................................................................42
Contract requirements...................................................................................................................................42
Acceptance and Certification of WHS Management Systems ...................................................................43
Legal obligations.............................................................................................................................................44
Government agency requirements................................................................................................................46
8.WHAT IS A WHS MANAGEMENT SYSTEM?.......................................................48
Corporate WHS Management System.........................................................................................................48
Project WHS Management Plan..................................................................................................................48
WHS Management Plan.................................................................................................................................48
Safe Work Method Statements......................................................................................................................49
9.DOCUMENTING A CORPORATE WHS MANAGEMENT SYSTEM.....................50
Documenting the system.................................................................................................................................50
Responsibilities of the parties........................................................................................................................53
Government agency........................................................................................................................................53
Audit teams .....................................................................................................................................................53
Task and responsibilities for auditing...........................................................................................................54
2 People with health and safety responsibilities...........................................................................................83
3 Communication and consultation..............................................................................................................83
4 Managing incidents......................................................................................................................................83
5 Site Safety Rules...........................................................................................................................................84
6 WHS training...............................................................................................................................................84
7 Safe Work Method Statements...................................................................................................................85
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

WORK HEALTH AND SAFETY MANAGEMENT SYSTEMS AND AUDITING
GUIDELINES................................................................................................................1
1. SUMMARY........................................................................................................1
Purpose of the Guidelines................................................................................................................................1
Better WHS management performance.........................................................................................................1
Other changes...................................................................................................................................................1
Scope..................................................................................................................................................................1
Definitions..........................................................................................................................................................2
2. APPLICATION OF THE GUIDELINES........................................................3
Contract requirements.....................................................................................................................................3
Acceptance and Certification of WHS Management Systems......................................................................4
Legal obligations...............................................................................................................................................4
Principal Contractor requirements................................................................................................................5
Government agency requirements..................................................................................................................6
3. WHAT IS A WHS MANAGEMENT SYSTEM?..........................................7
Corporate WHS Management System..........................................................................................................7
Project WHS Management Plan....................................................................................................................7
WHS Management Plan...................................................................................................................................7
Safe Work Method Statements........................................................................................................................7
4. DOCUMENTING A CORPORATE WHS MANAGEMENT SYSTEM.....8
Documenting the system..................................................................................................................................8
5. AUDITING PROJECT WHS MANAGEMENT PLANS..............................9
Responsibilities of the parties........................................................................................................................10
Government agency........................................................................................................................................10
Audit teams.....................................................................................................................................................10
Task and responsibilities for auditing..........................................................................................................11

6. WHS MANAGEMENT SYSTEM ELEMENTS..........................................14
1Senior Management Commitment..............................................................................................................15
2.............................................................................................WHS Communication and Consultation
16
3........................................................................................Managing Subcontractors and Consultants
18
4Design............................................................................................................................................................20
5Risk Management.........................................................................................................................................22
6Training.........................................................................................................................................................24
7Inspection, Testing and Servicing...............................................................................................................25
8Incident Management and Corrective Action...........................................................................................28
9Purchasing, Handling, Storage, Packaging and Delivery.........................................................................30
10 Client Reporting and Project Performance Measurement..................................................................32
11 Internal Reviews.......................................................................................................................................33
12 Documentation and Records...................................................................................................................34
7. WHS MANAGEMENT PLANS....................................................................35
1Risk Management.........................................................................................................................................36
2People with health and safety responsibilities...........................................................................................36
3Communication and consultation...............................................................................................................36
4Managing incidents......................................................................................................................................36
5Site Safety Rules...........................................................................................................................................36
6WHS training................................................................................................................................................37
7Safe Work Method Statements...................................................................................................................37
APPENDIX A...........................................................................................................39
Work Health and Safety Management Systems and Auditing
Guidelines – May 2014

Summary
Purpose of the Guidelines
The Guidelines have been developed to enable
NSW government agencies which undertake
construction and infrastructure projects to
work with the construction industry in a
manner that:
 Improves safety outcomes for all
construction industry participants;
 Facilitates a safety management systems
approach by construction contractors;
 Increases productivity and efficiency by
improving planning and reducing
accidents;
 Supports NSW government agencies in
demonstrating they are meeting their
obligations under Work Health and Safety
laws.
Better WHS management
performance
The 4th edition of the Guidelines has been
revised to ensure the following requirements
of the WHS Act 2011 and WHS Regulations
2011 and Codes of Practice applicable in NSW
are included:
 Change of terminology to include the new
terms defining Person Conducting a
Business or Undertaking (PCBU), worker
and officer
 The principle of ensuring safety so far as is
reasonably practicable
 Due diligence obligations of officers
 New duties for designers
 New requirements for the PCBU who
commissions construction work to provide
information to the designer
 New requirements for PCBUs who
commission construction work to provide
complete and up to date asbestos registers
for contractors undertaking refurbishment
and demolition work
 Revised requirements for safe work
method statements
 Access to asbestos registers for all workers
Other changes
Since the 4th Edition there has been increased
recognition by construction industry clients
and contractors of the pivotal importance of
safety leadership in building a sustainable
safety culture and improved safety
performance in the construction industry.
The Guidelines have been revised to reinforce
further the importance of safety leadership,
including senior management commitment,
and the importance of analysing project safety
management performance and client
reporting.
Scope
These WHS Management Systems and
Auditing Guidelines apply to all NSW
government construction projects, and provide
the framework for applying a systematic
approach to the management of WHS.
Definitions
Client
Party inviting and receiving tenders and letting
contracts.
Consultant
Professional party that contracts with a client to
provide design, management or other
professional services related to construction.
Construction
All organised activities concerned with
demolition, building, landscaping, maintenance,
civil engineering work, process engineering,
mining and heavy engineering.
Construction Consultative Committee
The Construction Consultative Committee
consists of representatives of key agencies
involved in construction procurement and
assists the Government in the development of
Work Health and Safety Management Systems 43
and Auditing Guidelines - May 2014

consistent and effective construction
procurement practices, and in promoting the
application of these practices by agencies.
Contractor
PCBU that contracts with a client to carry out
construction and related services.
Government agency
NSW government department, authority,
corporation or entity established by an Act of
the NSW Parliament. The terms ‘government
agencies’, ‘agency’ or ‘agencies’ are used
interchangeably in these Guidelines.
Notifiable incident
An incident involving the death of a person, or
serious injury or illness of a person or a
dangerous incident, (as defined in the WHS Act
2011) that must be notified
Person conducting a business or
undertaking (PCBU)
May be an individual person or an organisation
conducting a business or undertaking (as
defined in the WHS Act 2011) and include.
 Public companies
 Private companies
 Partners in a partnership
 Sole traders and self employed people
 Government departments and authorities
 Associations, including not-for profits, if
they have one or more workers
 Local government councils
 Independent schools
 Cooperatives
 Universities.
Principal contractor
Contractor that contracts with an agency as the
client, and is appointed as principal contractor
(as defined in WHS Regulation 2011) for
nominated work.
Project
An undertaking with a defined beginning and
objective by which completion is defined. A
project may be completed using one contract or
a number of contracts.
Safe design report
A report, prepared by the designer of a
structure with unusual or atypical design
features, which specifies hazards relating to the
design, that, so far as the designer is
reasonably aware, create a risk during
construction work
Safe design WHS file
One method of recording WHS information for
transfer from the designer to the client
Service providers
Includes principal contractors, contractors,
subcontractors, consultants and suppliers.
Subcontractor
PCBU that contracts with a contractor as the
client to carry out construction and related
services.
Supplier
PCBU that contracts with a client to provide a
product and/or service.
.
44 Work Health and Safety Management Systems
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7. Application of the Guidelines
Contract requirements
Contracts valued at $1m or more
For contracts valued at $1m or more, or lower
where the agency otherwise determines,
contracts will only be awarded to contractors
with an acceptable Corporate WHS
Management System.
Contracts valued at below $1m
For contracts valued at below $1m million,
contracts will only be awarded to contractors
that are able to prepare and implement an
acceptable WHS Management Plan
Work Health and Safety Management Systems 45
and Auditing Guidelines - May 2014

Acceptance and Certification of
WHS Management Systems
The contractor will develop a WHS
Management System that meets the
requirements of the NSW Government WHS
Management Systems and Auditing Guidelines
5th Edition.
Corporate WHS Management Systems
accredited in accordance with the NSW
Government Occupational Health and Safety
Management Systems Guidelines Edition 4 will
be deemed to be acceptable for three years
from the date of accreditation.
The contractor will be responsible for engaging
an independent OHS Auditor certified by a JAS-
ANZ personnel certifier such as RABQSA or
equivalent, as a Principal, Lead or Business
Improvement OHS Auditor, to provide
certification that the contractor's WHS
Management System complies with the NSW
Government WHS Management Systems and
Auditing Guidelines 5th Edition.
The OHS Auditor must be independent and not
associated with the contractor or any person
who developed the Contractor's WHS
Management System. An OHS Auditor who is
an employee of a registered organisation
(under the Fair Work Act or similar) may be
engaged to undertake the certification audit.
The OHS Auditor will be required to undertake
a desk-top audit of the contractor's WHS
Management System and, if it complies, to
provide certification, on the OHS Auditor's
letterhead, that the Contractor's WHS
Management System complies with the NSW
Government WHS Management Systems and
Auditing Guidelines 5th Edition. The certificate
should include full details of the contractor
and the OHS Auditor including business names,
ABN numbers and addresses, and the
certificate issue date and expiry date of not
longer than 3 years.
A copy of the letter of certification, along with
a completed and signed copy of the checklist
(at Appendix A of these Guidelines) used to
verify compliance, should be maintained by
the contractor and provided to any NSW
government agency, upon request.
Accreditation under the Australian
Government Building and Construction OHS
Accreditation Scheme (Office of the Federal
Safety Commission) is deemed to comply with
the requirements of the NSW Government
WHS
Management System Guidelines, Edition 5.
Withdrawal of WHS
Management System
acceptance
Failure by a contractor or its service providers
to implement properly a Project WHS
Management Plan or WHS Management Plan,
or repeated safety breaches, may constitute
grounds for withdrawal of acceptance of the
contractor’s WHS Management System.
Audits of a contractor’s and its service
providers’ implementation of Project WHS
Management Plans and WHS Management
Plans will be taken into account when an
agency determines whether or not the
contractor’s WHS Management System
continues to be acceptable.
The contractor and its service provider will be
given an opportunity to comment on any such
audits and the agency must properly consider
these comments before withdrawing
acceptance of the contractor’s WHS
Management System Agencies may (but are
not obliged to) withdraw acceptance of a
contractor’s WHS Management System
without further review if it is withdrawn by
another NSW Government Construction
Agency.
46 Work Health and Safety Management Systems
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Legal obligations
These Guidelines, any associated guidelines or
any previous guidelines do not in any way
relieve service providers of their legal
obligations.
Service providers are and remain responsible
for meeting their obligations under WHS laws.
Work Health and Safety Management Systems 47
and Auditing Guidelines - May 2014

Principal Contractor requirements
Contract category At tender
stage
Before work
begins
During contract
Contracts valued at
$1m or more
OR
Where the government
agency otherwise
determines
Provide evidence of a
WHS Management
System that meets
the requirements of
the NSW
Government WHS
Management
Systems and Auditing
Guidelines 5th
Edition (see sections
3 and 4) and
previous satisfactory
WHS management
performance.
Submit a Project WHS
Management Plan.
Implement Project WHS
Management Plan
Submit WHS
Management Monthly
Reports
Report WHS incidents
Contracts valued at
below $1m
Provide evidence of
previous satisfactory
WHS Management
performance.
Submit a WHS
Management Plan
Implement WHS
Management Plan
Submit WHS
Management Monthly
Reports
Report WHS incidents
48 Work Health and Safety Management Systems
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Government agency requirements
Contract
category
Preparing
the tender
During
tender
review
Post award
of contract -
before work
begins
During
contract
Design
consultancy
Include safety
risks relating to
the site where
the construction
work is to be
carried out
Confirm designer
is capable of
meeting safe
design obligations
Not applicable Consult with the
designer about
safety.
Require the
designer to
provide safe
design
information.
Contract valued
at $ 1m or more
or lower if
determined by
the government
agency
Include safe
design report
and asbestos
register (if
refurbishment /
demolition)
Confirm
contractor has
Acceptable WHS
Management
System and has
demonstrated
satisfactory WHS
management
Review Project
WHS
Management Plan
Audit the
contractor’s
implementation of
their Project WHS
Management
Plan.
Review
Contractor’s WHS
Management
Monthly Reports.
Investigate any
reported
Notifiable WHS
Incident.
Report WHS
performance
using Contractor
Performance
Reporting system.
Contract below
$1m
Include safe
design report
and asbestos
register (if
refurbishment /
demolition)
Confirm
contractor has
demonstrated
satisfactory WHS
management
Review WHS
Management Plan
Review the
contractor’s
implementation of
their WHS
Management
Plan.
Review
Work Health and Safety Management Systems 49
and Auditing Guidelines - May 2014

Contractor’s WHS
Management
Monthly Reports.
Investigate any
reported
Notifiable WHS
Incident.
Report WHS
performance
using Contractor
Performance
Reporting system.
50 Work Health and Safety Management Systems
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8. What is a WHS Management System?
This section defines the minimum WHS Management System standard required, at both the
corporate and project levels. A WHS Management System contains a corporate system, project WHS
Management Plan and safe work method statements.
Corporate WHS
Management
System
A Corporate WHS Management System will demonstrate a contractor’s WHS structure, policies and
resources and identify who is accountable for this. It will also demonstrate the integration of WHS
requirements with the general management procedures, practices and performance standards of
the contractor. It should give clear guidelines for the contractor’s consultation and risk management
processes, define who has responsibility for WHS, and outline how these policies, practices,
standards and procedures will be communicated.
The WHS Management System will also demonstrate the methods used to make sure that the
contractor and its service providers in the supply chain (with their agents and workers) understand
their WHS responsibilities. As a minimum it will address and provide all twelve (12) key elements
described in these Guidelines for the contractor See Section 6.
Project WHS
Management Plan
A Project WHS Management Plan is a document setting out the specific WHS resources, consultation
and risk management processes, responsibilities, procedures and practices, for a particular project.
The Plan describes how the contractor intends to implement its Corporate WHS Management
System for the whole of the project, and Safe Work Method Statements.
The Plan will address and provide all twelve (12) key elements described in these Guidelines for the
project. See Section 6.
WHS Management Plan
For contracts under $1m the NSW Government Agency may determine that in place of a Project
WHS Management Plan covering the twelve (12) elements, a Work Health and Safety Management
Plan is required
The WHS Management Plan must address the seven (7) element describes in these Guidelines. See
Section 7
Work Health and Safety Management Systems 51
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Both the Project WHS Management Plan and WHS Management Plan will identify and address
project-specific WHS hazards – for example, peculiarities of access and egress, areas requiring
protection of people from site hazards, unusual work practices, and the like.
Safe Work Method
Statements
A Safe Work Method Statement is a document that will identify the controls that will be put in place
to control and minimise the health and safety hazards and risks associated with high risk
construction work. See section 7.
52 Work Health and Safety Management Systems
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9. Documenting a Corporate WHS Management
System
Documenting the system
WHS system documentation will describe WHS
policies and procedures covering all the
activities of the organisation, including how
the documents will be managed, and who will
be responsible for keeping and updating them.
The WHS Management System documents will
generally consist of the following components.
WHS policy
The WHS policy sets out the contractor’s
commitment to work health and safety. The
most senior person within the organisation,
such as the Chief Executive Officer or
Managing Director, should endorse the policy.
The WHS policy should include a commitment
to:
 Risk management processes
 Compliance with relevant WHS legislation,
regulations and codes
 Establishing measurable objectives and
targets for continuous improvement
 WHS training
 Consultation, communication and
cooperation
 Disseminating WHS and related
information
 Implementing the WHS policy.
WHS manual
The manual broadly describes how the
organisation will comply with each system
element, and will refer to the other system
documents for descriptions of the processes
required.
WHS procedures
Each system element involves a number of
activities, and the way these activities are to be
performed will be specified in system
procedures. At least one procedure is usually
required and written for each system element.
Procedures may be written in a text format, or
presented as flowcharts or diagrams. They
should spell out for each activity:
 Proposed risk management processes and
how they will be recorded
 The purpose of the activity
 What should be done, and by whom
 When, where and how it is done
 What materials, plant, equipment and
documents are to be used.
Work procedures and
instructions
Technical procedures or work procedures
address work-related activities. Examples are
plant maintenance procedures, and site safety
inspection procedures.
These documents are particularly important
for training and informing, as they describe the
steps to be taken in performing tasks. Written
instructions allow WHS requirements for
particular tasks (applicable to most projects) to
be built into day-to-day operational
procedures.
Work procedures and instructions should be
provided for all tasks with WHS risks to help
achieve best practice in WHS management and
performance. They must be available and used
at the work site in order to help control the
work processes and associated risks.
Forms and records
Various forms are used to help keep a record
of health and safety performance.
The checklist in Appendix A also provides
guidance in preparing a documented System.
Work Health and Safety Management Systems 53
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Auditing Project WHS Management Plans
General principles
There must be a clear understanding between
the audit team and the contractor about the
scope and terms of the audit.
The audit team should have a right of access at
all reasonable times to the service providers’
WHS records, and be entitled to get from the
contractor any information and explanations
the audit team needs for the audit.
If any dangerous or life-threatening situation is
observed by the audit team in the course of an
audit, the issue must be raised immediately
with the contractor’s local supervisor to enable
corrective action to take place as a matter of
urgency.
A consistent approach
These Guidelines have been developed to
facilitate a consistent approach to audits of
Project WHS Management Plans by
government agencies. They may also be used
by contractors with their reviews and audits.
Audits should be carried out at least twice in
the life of a project or as otherwise
determined by a government agency to suit
the level of risk in the course of a project. At
least one audit should be carried out within
three months of the start of site work.
The audit results will be included by agencies,
with other matters, in the Contractor
Performance Reports.
The objective of an audit
The objective of an audit is to verify formally
that the documented procedures in a Project
WHS Management Plan are being followed.
The audit process should focus on checking
whether the contractor’s workers are
implementing the Project WHS Management
Plan.
54 Work Health and Safety Management Systems
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Responsibilities of the parties
Government agency
Reviewing the plan
The government agency will review the
contractor’s Project WHS Management Plan to
determine whether the 12 key elements
detailed in the WHS Management Systems and
Auditing Guidelines are clearly addressed.
Scheduling audits
The government agency will schedule, arrange
and participate in Project WHS Management
Plan audits with the contractor to be audited.
Following up
The government agency will follow up to
confirm that the contractor has completed all
the necessary corrective and preventive
actions within the required timeframes.
Audit teams
The audit team will conduct the audits
scheduled by the government agency with the
contractor.
The audit team must carry out a Project WHS
Management Plan audit:
 With fairness and honesty
 With full regard to confidentiality and
 In a timely manner.
When carrying out an audit, the audit team
must have regard for the fact that contractors
have a responsibility to protect the health,
safety and welfare of their workers and others
and service providers in the supply chain from
any WHS risks arising out of the work.
A member of the audit team must not
participate in a Project WHS Management Plan
audit if he or she:
 Is in debt to the contractor or its service
provider
 Is a partner or other business associate of
the contractor or its service providers
 Is a worker, agent or consultant of the
contractor or its service provider
 Is a relative of one of the contractors or its
service providers, or
 Has any other conflict of interest.
(See Appendix A for a checklist for auditing a
Project WHS Management Plan)
Qualifications
The audit team must collectively have the
following qualifications:
1 Successful
completion of a Management System
auditing course covering:
BSBAUD501A Initiate a quality audit
BSBAUD502A Prepare a quality audit
BSBAUD503A Lead a quality audit
BSBAUD504A Report on a quality audit
2 Demonstrat
ed knowledge of WHS Acts, regulations,
Codes and Standards as they apply to the
construction industry. Demonstrated
knowledge can be either formal WHS
qualifications or the accepted equivalent;
such criteria must be acceptable to senior
management in the accrediting authority
Knowledge of the contract, project work site,
and site WHS requirements.
Work Health and Safety Management Systems 55
and Auditing Guidelines - May 2014

Task and responsibilities for auditing
This table provides an overview of the tasks and responsibilities of the government agency, Principal
Contractor audited and audit team members in relation to auditing Project WHS Management Plans.
A Project WHS Management Plan Review and Project WHS Management Plan Audit Checklist are
included as Appendix A.
.
Task Responsibility `Description
Revi
ew
&
Plan
ning
1. Review the Project
WHS Management
Plan to establish
whether it satisfies the
requirements for the
12 key elements
Government agency  The Project WHS Management Plan
is submitted by the contractor and
must be reviewed by the government
agency to verify that it addresses all
12 key elements of the WHS
Management Systems and Auditing
Guidelines.
2. Plan the audit
schedule
Government agency
and contractor
 Prepare the audit schedule and
consider the order in which the key
elements will be audited.
For example, the first audit may
assess compliance with
requirements pertaining to the key
elements of Management
Responsibility, Risk Management
and Incident Management and
Corrective Action.
The first audit should occur soon
after the commencement of site work
– generally within the first three
months.
Engage the audit
team
Government agency  Engage audit leader to manage
audit, and form audit team
Notify the
contractor of the
audit
Government agency  Discuss audit schedule with
contractor and agree on date for the
audit.
56 Work Health and Safety Management Systems
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Task Responsibility `Description
Pre
para
tion
&
con
duc
ting
the
audi
t
3. Prepare for the audit. Government agency
and audit leader
Audit leader and audit
team
Audit leader, audit team,
contractor’s
representative,
government agency
 Develop program for audit and assign
responsibilities to audit team
members.
 Discuss scope and objectives of
audit.
 Develop itinerary for audit.
 Agree on communication to be used
throughout the audit process.
 Review contractor’s Project WHS
Management Plan.
Review any other relevant
documentation, for example, previous
audit reports, contractor’s actions to
address any Corrective Action
Requests from previous audits.
 Meet with government agency and
contractor to confirm scope and
objectives of audit and approach to
be taken.
 Audit leader allocates responsibilities
to team members.
4. Conduct the audit
Hold entry meeting
Follow audit methodology
Audit leader and audit
team
Meet with government agency and
contractor to enable the audit team to
explain the audit process and the
approach to be taken.
 Review and assess the
implementation and effectiveness of
the Project WHS Management Plan.
 Visit the specific areas of the
contractor’s operation covered by the
audit scope, and review and evaluate
conformance to the Plan (see
Appendix A for an Audit Checklist).
 Document any non-conformances.
 Request the contractor’s
representative to confirm the non-
conformance by signing a document
recording the non-conformance.
Work Health and Safety Management Systems 57
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Task Responsibility `Description
Pre
par
atio
n &
con
duc
ting
the
audi
t
Hold final audit team
meeting
Audit leader and audit
team
 Meet to review audit findings.
 Identify and discuss areas where the
contractor is performing well.
 Clarify and discuss issues and areas
of concern.
 Discuss any non-conformances.
 Prepare an audit report containing
non-conformances and completion
dates for corrective actions.
The audit report should be written
and provided on the day of the audit
and explained to the contractor at the
exit meeting. If this is not possible,
then the non-conformances must be
documented so they can be provided
to the contractor at the exit meeting.
The audit report should then be
submitted within one week of the
audit to the government agency, who
should then immediately forward it to
the contractor.
Hold exit meeting Audit leader, audit
team, government
agency, contractor
 Meet with government agency and
contractor to discuss the audit
report, corrective actions, and
timeframes for completion by the
contractor.
 The non-conformances should be
documented and provided to the
contractor at the exit meeting.
 If the audit report is available, the
government agency will provide the
contractor with a copy. If not the
audit report will be provided as soon
as possible thereafter. The
contractor will be given the chance
to comment on the audit, and the
comment will be properly
considered.
58 Work Health and Safety Management Systems
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Foll
ow
up
acti
ons
5. Follow up on
implementation of
corrective and
preventive actions
Record
Government agency
and contractor
Government agency
and contractor
 Make sure the required corrective
action and preventive actions are
carried out within the agreed
timeframes.
 Audit reports and comments by the
contractor will be managed within
each agency for its projects.
 The results of audits and contractor
performance will be included, with
other matters, in Contractor
Performance Reports.
WHS Management System elements
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The system starts at the top
The requirement is to develop a WHS
'Management System', not merely a site
'safety program’. Responsibility for the system
starts at the senior management level, with a
corporate WHS policy that applies to all
projects.
Defining responsibilities
The first step after establishing the WHS policy
is to define responsibilities, authorities and
who is accountable for all activities, personnel
and positions which can have an effect on
WHS, from the initial tender process through
to completion of a contract and handover of
the project.
Senior management must provide appropriate
levels of competent supervision and contract
management, that are trained, know their
responsibilities and have sufficient authority to
make sure that WHS requirements are met.
Identifying a Senior
Management
Representative
A Senior Management Representative must be
identified and made responsible for
implementing and maintaining the WHS
System/project plans and monitoring
compliance.
Specific issues for which
responsibilities should be
defined
Senior management must clearly detail the
responsibilities and authorities of personnel
for each specific task. It is important to make
clear who can make decisions on WHS issues,
especially regarding the actions required with
actual and potential non-compliances, non-
conformance or other problems. (See box )
60 Work Health and Safety Management Systems
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Why communication and
consultation are
important
Workforce participation in planning and
managing WHS improvements is an effective
means of tapping into the knowledge of
workers and service providers about their
activities and the ways in which WHS
management and performance can be
improved.
Contractors must consult with other
contractors and with their own workers to
enable them to contribute to decisions that
may impact on health and safety at work.
When is WHS
consultation required?
Consultation is required before taking any
decision that may affect the health, safety or
welfare of workers while they are at work,
with their workers and affected service
providers. This includes:
 When establishing the site-specific
communication and consultation
arrangements and when reviewing these
arrangements
 When work-related health and safety
hazards are identified, risks are assessed,
and the assessment of those risks is
reviewed
 When decisions are made about measures
to be taken to eliminate or control those
risks
 When introducing or altering procedures for
monitoring those risks (including health
surveillance procedures)
 When decisions are made about the
adequacy of provisions for the welfare of
workers and others
 When changes that may affect health,
safety or welfare are proposed for the place
where people work, to the systems or
methods of work, or to the plant/equipment
or substances used at work
 When conducting investigation into
incidents, dangerous occurrences or near
misses.
Work Health and Safety Management Systems 61
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All contractors must show their commitment
to the implementation and monitoring of their
WHS Management System, including how they
intend to select and monitor their service
providers’ and workers’ compliance.
Contractors should demonstrate:
 A clear chain of responsibility
 Adequate supervision
 How they consult with their workers and
service providers
 The formal arrangements for interfacing
with their service providers
 The formal arrangements for interfacing
and communicating with labour hire
companies
 How they and their service providers
comply with WHS requirements.
Communication and consultation is vital when
working with service providers. WHS issues to
discuss and resolve with subcontractors may
include:
 Site Safety Rules
 Safe Work Method Statements
 Changes to work site conditions
 Introduction of new processes, materials
and substances onto the work site
 WHS training
 Hazard identification and risk assessments.
Principal Contractors
The WHS Regulation 2011 provides that a
Principal Contractor must be appointed or
identified for all construction work:
 Costing over $250,000, or
 Of high risk (as defined in WHS
Regulation), or
 Involving demolition or asbestos work
for which a licence is required under the
WHS Regulation 2011.
Contractors appointed as the principal
contractor by an agency must show how their
Corporate WHS Management System
procedures address the additional
responsibilities of a Principal Contractor, as
well as, their normal responsibilities as a
contractor, workplace controller and
employer.
A Principal Contractor also has responsibility
for the following:
WHS Induction training
Principal Contractors must make sure that all
persons carrying out the work on site are
provided with WHS induction training prior to
commencing such work. The Principal
Contractor must keep records of such training.
See key element 6.
Certificates of competency
Principal Contractors must make sure that the
relevant certificates of competency, licences or
62 Work Health and Safety Management Systems
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permits required to carry out particular work
on site are sighted prior to commencement of
that work. See key element 5 and key element
6
Consultation
Principal Contractors must facilitate
consultation between all service providers on
site and their workers, as well as between the
service providers. See key element 2.
Hazardous chemicals register
Principal Contractors must keep a register of
all hazardous chemicals present at the work
site, (including all those used by all service
providers on site). See key element 9.
Service provider compliance
Principal Contractors must monitor on-site
service provider compliance with legislation,
the project WHS Management Plan and Safe
Work Method Statements. Where non-
compliance is identified, any affected work
must cease until the safety issue is rectified
WHS Management Plan
Principal Contractor must make the WHS
Management Plan readily accessible and
ensure all people made aware of the contents
prior to commencing work.
The Principal Contractor must review, and as
necessary revise the project WHS
Management Plan.
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Safe Work Method Statements
The Principal Contractor must require Safe
Work Method Statements to be prepared for
high risk construction work.
The Principal Contractor must obtain a copy of
the Safe Work Method Statement before the
high risk construction work commences.
The contractor must ensure the SWMS is
reviewed and also revised if circumstances
change which require a review of the control
measures.
Subcontractors /
consultants
Working with service
providers in the supply
chain
Working with service providers in the supply
chain adds another dimension to the risk
management process. WHS legislation obliges
service providers in the supply chain to
manage risks to the health safety and welfare
of all persons working at the service provider’s
place of work.
Risks to some service providers can be higher,
and need special attention, because they:
 Are on a site for a short period of time
 Are working with various people on various
sites
 Sometimes work in isolation from the main
project activities.
The benefits of working closely with service
providers on work site WHS issues may
include:
 Better management of on-site safety
 Improved identification of hazards and
control of WHS risks
 Improved development and compliance
with WHS Management Plans and Safe
Work Method Statements
 Fewer project delays.
Selecting service providers
Selecting service providers on their ability to
comply with WHS requirements is an
important aspect of service provider
management.
To assist this, a panel could be maintained of
qualified service providers that have been
confirmed as capable of meeting base
requirements. Some aspects to look for in
selecting service providers include:
 Past performance and demonstrated
capability
 Quality of past work
 Safe work practices, including past use of
WHS Management Plans and Safe Work
Method Statements
 Ability to comply with WHS requirements
 Having an acceptable Corporate WHS
Management System
 Compliance with workers’ compensation
and other insurance arrangements
 Records of the various levels of WHS
induction and other training
 Evidence of any WorkCover NSW
certificates of competency, licences or
permits relevant to the proposed work.
Monitoring service providers in the supply
chain
Contractors must show how they monitor and
review the performance of their service
providers. This can be achieved through such
things as:
 Performance reporting
 Monitoring compliance with Safe Work
Method Statements, safety procedures
and site safety rules
 Monitoring compliance with WHS,
workplace injury management and
workers’ compensation requirements
 Monitoring compliance with induction
and other training requirements.
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The elimination of risks at the design or
planning stage is often easier and cheaper to
achieve than making changes later when the
risks become real hazards in the workplace.
Consideration of WHS issues in the design
phases of a construction project is essential to
optimising WHS outcomes. Design decisions
made at the early stages of a project influence
construction processes and the health and
safety of personnel on site during and after
construction.
Contractors' corporate WHS Management
Systems and WHS Management Plans should
cover and include procedures that address the
following.
Management of the
design process
The design process should include
consideration of WHS requirements, hazard
identification, and the evaluation and control
of health and safety risks, in relation to:
 Use and maintenance, especially risks
arising out of the nature of the design of a
facility, including operational risk
management
 The construction method, and, when
removal and disposal will be required, the
demolition method)
 The construction work site, such as existing
services below ground and geo-technical
issues
 Compliance with WHS legislation,
regulations and Codes of Practice
The design process should also include the
development and provision of design related
construction risk and operational risk
management information about:
 The facility to be constructed that may
affect health and safety
 Plant and equipment that may affect health
and safety.
Design procedures
Contractors, their clients and designers should
consult about the hazards identified during all
stages of the design. This includes hazards
identified with construction, use, maintenance
and disposal, and determining and describing
how they will to be managed.
Design procedures should:
 Define the process for consultation with the
Client and designer about:
 health and safety risks arising from
the design during construction work
are eliminated or minimised
 any information they have in relation
to hazards and risks at or in the
vicinity of the workplace where the
construction work is to be carried out
 Describe how the safe design report, safe
design WHS file or similar design
information will be obtained from the Client
or designer
 Require a review of the safe design
information applying a hazard identification
and WHS risk assessment approach
 Apply the hierarchy of hazard controls to
design out or otherwise manage hazards
 Include the process for consultation with
subcontractors, consultants and users
about hazards and WHS risk management
 Describe the communication and
consultation process for discussing with
workers and service provides of WHS
design issues and risk control measures
 Aim to achieve reasonable and safe
constructability; safety with use; longevity
of product; reduced, simplified and safe
maintenance; and safe disposal
 Specify how the safe design information will
be incorporated into the Project WHS
Management Plan
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For effective WHS management, contractors
must establish procedures for:
 Identifying work site and work activity WHS
hazards
 Assessing risks associated with these
hazards and devising ways to eliminate or
minimise the risks
 Implementing and prioritising control
measures following risk assessment and
monitoring risk control measures
 Reviewing the adequacy of the risk
assessment and the effectiveness of the
control measures
Work processes
A work process may be a specific activity or a
number of activities. It may include measures
such as temporary work (for safe access and
exit), emergency procedures, plant
maintenance, and protective or preventive
measures (to make work sites safe).
All construction related work processes have
some potential to be hazardous to those
involved or on the work site. Poorly planned or
poorly controlled processes are most likely to
cause illness or injury.
How to identify a hazardous process
 Identify illness/injury and incidents that
have occurred in the past, and recognised
high risk work (See box on Page 24)
 Consult with personnel and advisers to
identify what they consider to be safety
issues
 Inspect the work area for specific hazards
 Review all applicable information, such as
Safety Data Sheets to identify the WHS
hazards involved and precautions required
Effective procedures should be developed and
implemented at the place of work to identify
hazards:
 Prior to works commencing on site
 Prior to using work site premises for the
first time
 Before installing, erecting, commissioning
or altering plant or equipment
 Before changes to work practices are
introduced
 While work is being carried out when new
or additional information becomes
available, or hazards become apparent
 Responding to concerns raised by workers,
health and safety representatives or others
at the workplace
 New information about workplace risks
becomes available
 Responding to workplace incidents
 Required by the WHS Regulations for
specific hazards.
Risk Management process
Minimum documentation
for effective risk
management
Contractors must document:
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 Methods for identifying WHS hazards, and
assessing and controlling WHS risks
 Practices to minimise the risk of
illness/injury and incidents occurring, and
ensure compliance with the relevant WHS
legislation, regulations, standards and
codes
 Safe Work Method Statements
 General site safety procedures and rules
 Emergency procedures
 Training requirements, including induction,
toolbox talks, work activity and refresher
training
Using Safe Work Method
Statements for
identifying, assessing and
controlling high risk
construction work
For effective WHS management, frameworks
must be established by contractors for
identifying high risk construction work and for
devising measures to control the specific risks.
Work instructions
Work instructions or Safe Operational
Procedures can provide such a framework,
enabling the necessary planning to be
undertaken and written instructions to be
made available on how to perform each task in
a safe manner. Workers need to be able to
demonstrate they are competent to work in
accordance with the work instruction. This
means they need to be trained and assessed in
accordance with the work instruction and then
monitored on an ongoing basis. Details of
training and assessment could be recorded in a
training register.
General site safety
procedures
General site safety procedures and rules must
be in force on every work site. These include
rules for protective clothing, safe access and
egress, traffic and personnel movement,
induction and other training and locating and
identifying services, including electricity and
gas. The procedures and rules must be
documented and appropriately communicated
to all people working on the site.
The contractor must provide and maintain
adequate amenities for the welfare and
personal hygiene needs of people on the work
site.
High risk work requiring a
licence
Particular risk control measures (such as
specialised facilities, proven work methods and
specialised training) are required for high risk
works.
Contractors should consult with their service
providers, and together identify and document
any high risk work, licence requirements,
competency and training needs and implement
appropriate measures to control the associate
risks.
A properly designed training program will
consider the training needs for each stage of a
construction process. It will allow for regular
and ongoing WHS communication, for example
through ‘toolbox’ meetings. It will facilitate the
delivery of appropriate training by
appropriately qualified personnel.
Conditions on construction work sites are
often hazardous and change frequently, and
the safety of many can be put at risk by
incorrectly performing a simple task. Due to
the changing nature of construction sites and
construction work, training needs should be
regularly reviewed and reassessed.
Requirements for training
Training programs must cover WHS induction,
task training, emergency procedures, WHS
committee and WHS representative
consultation training as well as ongoing
training needs.
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Contractors must:
 Identify the project-specific WHS training
needs of management, supervisors and
other workers in accordance with the WHS
Management Plans and the WHS risk
identification and control measures
identified for the project
 Require that all their workers and service
providers undergo induction and necessary
task and ongoing training to conform with
WHS requirements
 Maintain records of WHS training provided
and keep these records for at least three
years after project or contract completion
Refresher training
To ensure the required knowledge and attitude
are maintained, refresher training will be
required on longer-duration projects or for
particular high-risk activities, such as work
underground or in confined spaces, plant
operation, use of hazardous substances,
manual handling and First Aid.
WHS induction training
An appropriate induction program builds
understanding and responsible attitudes, as
well as knowledge about site safety rules, and
WHS issues, hazards, risks and procedures.
Induction training must cover WHS matters
associated with:
 General construction work
 Each specific work activity to be
undertaken
 The specific work site.
Site-specific training must explain the site
safety rules, relevant Safe Work Method
Statements, content of the WHS Management
Plan, risk management procedures, emergency
procedures, and consultative arrangements at
the work site.
Programs for general construction work and
specific work activity based training must be
checked regularly to make sure they are
current.
.
Regular inspection and testing must be carried
out to verify that appropriate WHS
management is in place, and that construction
work processes are proceeding safely and in
accordance with WHS Management Plans and
requirements.
The work site activities, work methods,
materials, plant and equipment will be subject
to planned inspections and test programs to
verify compliance and conformity. Inspection
and testing will also occur at key stages of the
project, including receipt of products, during
high-risk activities and on completion of
construction.
Checklists and records are commonly used to
measure compliance and conformity.
Inspection and Testing Plans
An Inspection and Testing Plan should be
developed for each work process/product
before that work begins, allowing for the WHS
risks involved. It should take into account.
 The timing and nature of high-risk
construction work and/or an activity
requiring a high risk work licence
 The identified work site hazards, and the
risks and controls associated with these
hazards
 The likelihood of unforeseen hazards or
risks emerging in between inspections
 Any instructions provided by the designers,
manufacturers or suppliers of products
 Any regulatory requirements, such as
registration of plant.
An Inspection and Testing Plan will specify:
 Particulars of the inspection and test
program, including hold/witness points,
methods and acceptance criteria for WHS
with processes and products
 Personnel to whom the responsibility for an
inspection or test and acceptance has been
assigned, and their qualifications
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 The type and form of the records to be
maintained
 Where records will be kept, allowing that
these will be made available to any party
who has a legislated or contractual right of
access.
Incoming products
Inspection and tests usually start with
incoming materials, manufactured products,
plant and equipment. In some cases inspection
and tests are carried out at the supplier’s or
other premises.
The levels of direct inspection and testing
required by a contractor will depend on the
extent of the quality control exercised by their
suppliers and subcontractors, and on the
importance of the particular component or
work activity.
As a minimum, an incoming materials
inspection on the work site should check for
correct type and quantity, safe packaging,
correct labelling, correct documentation,
provision of WHS information, and that no
transit damage has occurred.
Plant and equipment
Plant and equipment must be regularly
inspected and maintained, in accordance with
regulatory requirements and the instructions
provided by manufacturers, designers or
suppliers. In particular, lifting equipment and
fall arrest equipment must be checked
regularly.
These inspections and tests must be carried
out by suitably qualified personnel in
accordance with approved procedures and
requirements.
Inspection and test status
A method of identification is required to show
that incoming products, construction work
generally, plant, equipment, temporary work,
protection systems and work environments
have passed the required inspections and
tests.
A system of tags, colours, stickers, stamps,
barriers, special storage areas or records
should be used to indicate inspection and test
status, to indicate special precautions are to be
taken, and to designate unsafe areas/plant.
Measuring equipment
So that accurate measurements can be made
during inspections and tests, measuring and
testing equipment should be regularly
maintained and calibrated in accordance with
the manufacturer’s instructions, and
maintenance and calibration records kept.
Servicing
Where ongoing servicing is provided, such as
maintenance of plant and equipment or
follow-up repairs, then WHS requirements
must be identified and addressed in any
service Management Plan and procedures.
Such servicing should generally be carried out
in accordance with the manufacturer’s
instructions, paying particular attention to
maintenance of safety devices and the use of
appropriate lock-out, isolation, danger tags,
and ‘permit to work’ systems.
Health surveillance and
monitoring
The need for, nature and frequency of health
surveillance may be specified in legislation, in
guidelines, Codes of Practice and/or
determined by a risk assessment and
monitoring of workers
The contractor should identify work activities
where personnel exposure monitoring / health
surveillance is required and develop
procedures for conducting this health
surveillance monitoring.
Work activities that may require health
surveillance/monitoring include:
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 Exposure to hazardous substances, such
as asbestos, lead
 Noise, >85dB (A) over continuous periods
 Radiation
 Exposure to hot and cold work
environments
Records
There are regulatory requirements for keeping
records of some types of inspections, testing
and servicing, for example:
 Electrical equipment inspection reports
 Plant inspection and testing records
 Plant maintenance records
 Maintenance and calibration records for
measuring equipment.
 Health surveillance and monitoring records
WHS Inspection and Test Plans
 Should define the requirements and
criteria for performing health and safety
inspections and tests on the project
 Should define the frequency, content, and
competency requirements of personnel
conducting the inspection and tests
 Should define and incorporate statutory
inspection requirements in relation to
plant and equipment eg lifting gear,
temporary structures, mobile and tower
cranes, scaffold, gas monitors, fire fighting
equipment, first aid kits etc
 Should identify the records required to
demonstrate the performance of the
inspection and test
Inspection checklists and measures should:
 Cover all the WHS risks known to be
present on the work site
 Verify that risk controls are working
effectively
 Provide scope for identifying and managing
new or previously unforeseen WHS risks.
Inspections and tests are particularly required
with WHS for:
 Plant and equipment
 Incoming products
 Work site conditions
 Work methods and monitoring adherence
to Safe Work Method Statements
 Work site access and exits
 Personal protective equipment
 Protective measures
 High risk construction work activity
Managing WHS issues
A WHS issue exists when materials,
construction methods, plant or equipment,
temporary work, protective systems, work
practices, work site conditions or other work
activities do not meet WHS requirements. WHS
issues also include incidents and near misses. It
is essential that WHS issues are documented
and rectified, with monitoring of trends to
identify root causes.
Incident management
Incident management involves taking action
to:
 Notify WorkCover of notifiable incidents
 Promptly detect, identify and document any
non-compliance
 Report illness/injury and incidents
 Eliminate unsafe work practices and unsafe
areas
 Quarantine non-complying materials and
other products
 Advise appropriate parts of the contractor,
its service providers and relevant
authorities
 Rectify irregularities, non-conformances
and non-compliances
 Consult with personnel about proposed
changes that may affect their health, safety
or welfare at work.
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Corrective action
WHS inspections, audits and reviews,
incidents, illness/injury, and near misses
provide definite pointers to unsafe work
practices and processes.
Incidents, near misses and illness/injury and
their causes should be recorded, investigated
and analysed. The results should be used to
bring about improvements in policies,
standards, procedures, processes and work
practices, and progressively lift WHS
performance.
Procedures should be established and used for
recording and implementing corrective actions.
These procedures should include consultation
with personnel and advisers so that their views
on any proposed measures can be taken into
account before implementation.
Ongoing process
Corrective action should not only arise when
an inspection, audit or review is carried out or
an illness/injury or incident occurs. Work site
activities should be regularly assessed for WHS
issues and potential risks to health and safety,
and action taken to minimise risks by the
Contractor, in consultation with affected
workers and service providers, to avoid
illness/injury and incidents.
Contractors must establish procedures for
recording the results of these assessments,
and the corrective action taken.
With the reviewing of past errors and issues,
and anticipating possible future errors and
issues, contractors and their service providers
should continue to improve the level of WHS
performance achieved.
Workplace injury
management
Workplace injury management encompasses
all measures for facilitating an early and safe
return to work of workers who have been
injured or become ill.
An injury management and return to work
program is a requirement of all employers
under the Workplace Injury Management and
Workers Compensation Act as amended. The
return to work program should address:
 Treatment of injury and illness
 Rehabilitation and return to work
 Retraining
 Claims management
 Employment management practices
Statistical techniques
Statistical techniques should be applied to
illness/injury, incident, injury, disease and
compensation data, both at the work site level
and at the planning level with the Contractor.
This is with a view to monitoring the trends so
that corrective and preventive action can be
taken where necessary to improve WHS
performance, including injury management.
(This is not a complete list
but only a guide)
Improving health and safety performance
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Purchasing and hiring
Purchasing and hiring activities involve
bringing materials, plant, equipment and
services onto the construction work site.
Substandard materials or poorly maintained
leased plant or equipment may cause serious
illness/injury.
Contractors must define and implement
systems to manage safely purchasing and
hiring for the work site. For example:
 All plant, equipment, goods or substances
bought or hired must be assessed against
required WHS standards (as exist for
chemicals and other hazardous
substances, for most building materials,
such as cement and glass, and for plant
and equipment)
 Before new plant, equipment, goods or
substances are introduced into the
workplace, WHS hazards must be identified
and risks controlled, and consultation with
the personnel involved must occur
The four principles of hazard control should
also be applied to purchasing and hire
decisions. See key element 5.
Supply
Contractors must make sure that the products
supplied, such as plant, equipment, materials,
goods and substances, are safe and without
risks to health and safety when properly used.
Adequate information must be provided to the
people who are supplied with the product. This
includes information about:
 The purpose of the product
 The testing and inspections required
 Installation, commissioning, operation,
maintenance, cleaning, transport, storage
and dismantling information
 Systems of work needed for the safe use of
the product
 The knowledge, training or skill needed to
undertake inspection and testing
 Emergency procedures
Contractors that erect or install plant or
equipment, or use materials, goods or
substances, at a workplace must obtain the
necessary information from their suppliers to
enable the elimination or control of WHS risks
before their installation or use.
Client-supplied products
Sometimes the client may provide products for
use for a project by a service provider (such as
materials and equipment to be incorporated
into the constructed work, or software, data or
services).
When this occurs, the service provider needs
to know the product is safe to use, and any
special safety precautions that are necessary.
The same procedures used for receiving
products from other suppliers will apply.
Product identification and
traceability
Contractors must keep sufficient records to
enable products to be identified and traced if
future health and safety issues arise.
For example, identifying on drawings where
‘clean’ fill was used and where it came from
would allow tracing later if testing
subsequently found the fill to be
contaminated. Traceability of components
allows safety analyses to be undertaken if
subsequent testing reveals a substandard
product.
Disposal and decommissioning
The safe disposal of used or left over goods
and substances or the decommissioning of
hired plant and equipment should be planned
and the required disposal/decommissioning
processes identified prior to purchasing or
hiring.
Materials handling and manual handling are
major activities on construction work sites.
Contractors should plan and implement
procedures to make sure that plant,
equipment and materials are handled, stored,
packaged and delivered in accordance with
legislative and other requirements and good
WHS practice.
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Highest priority given to
safety issues
WHS risks associated with the use and
movement of products need to be identified
and managed. This may be achieved by action
such as:
 Conducting hazard identification and risk
assessments before products are moved
 Developing and implementing Safe Work
Method Statements or work instructions
 Minimising the use of hazardous chemicals
and dangerous goods
 Arranging appropriate storage, handling
and licensing of dangerous goods and
hazardous substances
 Checking that operators of plant and
equipment have the appropriate licences
 Planning safe entry and exit points for
materials storage sites and work sites
 Using mechanical devices to lift and move
products instead of manual handling.
Manual handling
Particular attention needs to be given to
identifying and assessing any manual handling
risks prior to the commencement of related
work.
Hazardous chemicals and
dangerous goods
Procedures should allow for verification and
ensuring that dangerous goods, and chemicals
and other hazardous chemicals are labeled,
stored, transported and used appropriately, and
are accompanied by a Safety Data Sheet
(SDS). A register must be kept of all hazardous
chemicals brought onto a construction site.
High risk work licences
Many materials handling activities are
hazardous and require licensed operators such
as riggers, crane operators and other plant
operators.
Procedures should be in place and used to
check (before the work begins) that the
operators of plant and equipment have the
appropriate licence certificates and are
competent to operate the equipment.
Performance
Measurement
Performance measurement is an essential
aspect of monitoring and evaluating WHS
performance in an enterprise and/or industry.
One of the primary objectives of measuring
WHS performance is to provide feedback
regarding health and safety performance.
The benefits associated with the introduction
of a performance measurement system for
WHS include:
 The ability to provide an indication of how
an enterprise is performing in relation to
WHS issues
 The ability to identify problem areas where
adverse outcomes are occurring and
subsequently to identify where preventive
action should take place
 The ability to document effects of attempts
to improve WHS. For example, a
measurement system could provide
feedback as to whether implemented safety
interventions are operating adequately
 The ability to promote WHS reviews of
existing work practices and work
organisation
 The use of performance measures for
benchmarking or comparative performance
assessments
Project Performance procedures should:
 Define the methodology for establishing,
monitoring and reviewing WHS objectives
and targets for corporate and project level
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 Require objectives and targets to be
incorporated into the Project WHS
Management Plan
 Specify how requirements in regards to
preparing regular WHS performance
reports / records, e.g. monthly
 Define the process for collating WHS
performance reports from all projects and
benchmarking performance across the
contractor operations
 Require the review of the Performance
Reports by the contractor’s senior
management and provide feedback to the
Project Team
Reporting Culture
Reporting culture is the willingness for the
contractor to report incidents, near misses and
errors to the Client.
A reporting culture is one in which reporting is
actively encouraged by all NSW Government
Construction Agencies and contractors, with an
emphasis on learning from these reports.
These Guidelines enhance the reporting
culture.
Client Reporting
The contractor should establish procedures for
the timely reporting to the Client of:
 WHS Incidents, including, for notifiable
incidents, investigation reports and
corrective actions;
 Worksite incidents, including such things as
near misses, contact with hidden services
 WorkCover site visits
 WorkCover Notices issued and corrective
action taken
 Visits by Unions, Federal Safety
Commission and similar organisations to
the site
 Results of internal reviews, site inspections
and implementation of inspection and
testing plans
 Results of audits, including non-
conformances and the implementation of
corrective actions
A schedule of internal reviews must be
established and implemented to verify that
WHS processes and practice match the
required plans and procedures, and that the
corrective actions resulting from reviews are
effective.
Procedures must be established and
implemented for the systematic review of the
WHS Management System and project WHS
Management Plans and their implementation,
and the responses required to these reviews.
Reviews must be capable of identifying
deficiencies in the System and project WHS
Management Plans and their implementation,
and assessing the effectiveness of corrective
actions. Reviews should be scheduled to suit
the importance of, and risks with, the element
or area being reviewed.
Results of internal reviews must be brought to
the attention of the contractor’s personnel
responsible for the area reviewed, who must
take corrective action immediately
Contractor Senior Management must be
provided with reports on the outcomes of
internal reviews and the status of outstanding
corrective actions.
An important factor for the success of
construction projects is accurate and detailed
documents such as plans, specifications,
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Standards and Codes. These include
documents dealing with WHS work practices.
WHS Management System documents,
including procedures, work instructions,
checklists, forms and electronic data must be
approved for adequacy before use, and be
made available at all appropriate locations and
to all applicable personnel.
A contractor should have and implement
procedures and processes to verify that at any
point during a project:
 Documents and data are accurate, easy to
understand and up-to-date
 Documents and data can be easily found
when required, and the people who need
them get them when they need them
 Documents and data are periodically
reviewed and revised as required by
competent personnel
 Changes are recorded and, unless
otherwise required, superseded documents
and data are removed from use
WHS records
It is important to keep records to monitor the
effectiveness of WHS management and to
verify that people follow the required
procedures. Records also provide evidence of
compliance with the corporate WHS
Management System, with WHS Management
Plans and with the various WHS requirements,
standards, regulations and laws that apply.
Identification, filing,
retrieval and retention
Procedures should be established and used to:
 Clearly identify the current version of the
document that is applicable to the project
 Identify, collect, document, retain and
protect WHS information and data
 Allocate responsibility for the retention of
records
 Maintain a register to control the storage
and disposal of records
 Audit compliance and show evidence that
required actions have been taken on WHS
records and record issues.
(This is not necessarily a complete list, and
other records and documentation may also be
required)
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WHS Management Plans
What is a WHS
Management Plan?
A WHS Management Plan sets out the
arrangements to manage work health and
safety on a construction project.
The intention of a WHS Management Plan is to
ensure the risks associated with a construction
project are managed, as there are usually
many contractors and subcontractors involved
and circumstances can change quickly from
day to day.
The WHS Management Plan must be in writing,
accessible and easily understood by workers
on the site. It may not be necessary to
communicate the entire WHS Management
Plan to all workers; including contractors and
subcontractors, however, they must be made
aware of the parts that are applicable to the
work they are carrying out.
The WHS Management Plan must be
implemented, maintained and kept up to date
during the course of the work on the site.
Preparing a WHS
Management Plan
The level of detail required for a WHS
Management Plan will depend on how
complex the workplace is (in particular, the
number of contractors at the workplace at any
one time) and the risks involved in the work.
The principal contractor should prepare a WHS
Management Plan that includes:
1. A Project-specific Risk Assessment,
identifying hazards and assessing the risks
associated with the work, and
documenting the risk control measures to
be taken
2. The names, positions and health and
safety responsibilities of all persons at the
workplace, whose positions or roles
involve specific health and safety
responsibilities in connection with the
construction project
3. The arrangements in place between any
persons conducting a business or
undertaking at the workplace for
consultation, cooperation and coordination
of activities in relation to compliance with
their duties under the WHS Act and
Regulations
4. The arrangements in place for managing
any work health and safety incidents that
occur
5. Any site-specific health and safety rules
and the arrangements for ensuring that all
persons at the workplace are informed of
these rules
6. The arrangements that will be in place to
ensure that all persons receive the
appropriate WHS training before
commencing work on site.
7. The arrangements to collect and assess,
monitor and review the SWMS.
The WHS Management Plan may include the
following information:
 Details of the Client, that is the person
commissioning the construction work, for
example their name, representative and
contact details
 Details of the principal contractor
 Details of the construction project, for
example address of the workplace,
anticipated start and end date and a brief
description of the type of construction work
that the WHS Management Plan will cover
 Details on how subcontractors will be
managed and monitored, including how the
principal contractor intends to implement
and ensure compliance with the WHS
Management Plan such as checking on the
performance of subcontractors and how
non-compliance will be handled
 Details on how the risks associated with
falls, falling objects, moving plant, electrical
work and all high risk construction work that
will take place on a construction project will
be managed
It should also include information on:
 The provision and maintenance of a
hazardous chemicals register, safety data
sheets and hazardous chemicals storage
 The safe use and storage of plant
 The development of a construction project
traffic management plan
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 Obtaining and providing essential services
information – electrical, gas, telecom, water
and similar
 Workplace security and public safety
 Ensuring workers have appropriate
licences and training to undertake the
construction work
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1 Risk Management
The hazards associated with each work activity
must be identified and the associated risks
assessed, and measures for eliminating or
minimising and monitoring the risk controls
developed, documented and implemented.
The principal contractor must manage the risks
associated with: the storage, movement and
disposal of construction materials at the
workplace; storage at the workplace of plant
that is not in use; traffic in the vicinity of the
workplace that may be affected by the
construction work; and essential services,
including underground/hidden electrical and
gas and overhead power lines.
2 People with health and safety
responsibilities
The statement of responsibilities must list the
names and positions of the people on the work
site, who will be responsible for WHS
management, including:
 Identifying hazards and assessing the risks
associated with the work, and documenting
the risk control measures to be taken
 Managing compliance with WHS workplace
injury management and workers’
compensation legislation, Regulations,
standards and codes, Safe Work Method
Statements and the Site Safety Rules
 Assessing and monitoring the capability of
subcontractors and other service providers
in the supply chain, and verifying that they
meet WHS requirements
 Displaying and making Site Safety Rules
available to personnel on, and visitors to,
the work site
 Making sure that the WHS Management
Plan is prepared and kept up to date, is
assessable to all persons working on site
and that the people work on site are aware
of the content of the WHS Management
Plan
 managing the WHS communication and
consultation provisions in accordance with
the regulatory and other requirements
 conducting site-specific induction, and
other training
 Making sure that before starting work on
site all personnel attend suitable induction
training courses)
 Preparing, maintaining and making
accessible the register of hazardous
chemicals
 Managing workplace injury management
processes to suit procedures
 Maintaining first aid stocks and providing
first aid
 Managing illness/injury and emergency
processes to suit procedures
 Keeping WHS records.
3 Communication and
consultation
The principal contractor must include details in
the WHS Management Plan about how the
persons conducting a business or undertaking
at the workplace will consult and cooperate
with each other.
There should be ongoing consultation and
cooperation between all duty holders so that
when work overlaps, each person is aware of
other construction activities and can control
any associated hazards and risks.
4 Managing incidents
The principal contractor should consider about
the types of health and safety incidents that
might occur. The WHS Management Plan
should document the actions that will be taken
and who will represent the principal
contractor.
The procedures should address
 Incident Management; including notifying
WorkCover and Client and emergency
services as necessary
 Emergency situations; including
arrangements for testing of the Emergency
Plan
 First Aid arrangements; including facilities
and First Aid equipment and the
arrangements for training in First Aid
5 Site Safety Rules
Principal contractor must prepare and
implement Site Safety Rules, display them on
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noticeboards and other suitable locations on
the work site, and provide them to all
personnel who may work on the site and
visitors to the site.
The Site Safety Rules must cover and include,
but are not limited to, the following.
Induction and safety
training
 Before starting work on site all workers
must attend induction training in health and
safety aspects of general construction work
 Before starting work on site all workers
must attend adequate site-specific
induction training and induction training for
the particular work activity being
undertaken
 All workers must attend appropriate
refresher training and be involved in regular
discussion of work site WHS matters
 All visitors when on the work site must be
accompanied by a person who has
received the above training
Personal protective
equipment
 All workers and visitors must wear
appropriate personal protective equipment
(PPE) when on the work site
Site access and security
 All entry to, movement on, passage
adjacent to, and exit from, the work site of
workers and other persons, vehicles and
equipment will be controlled in accordance
with required procedures
Illness/injury and
emergency procedures
 All first aid facilities and illness/injury and
emergency procedures will be clearly
identified and used, including reporting
illness/injury and incidents
Protection of all workers
and the public
 Effective barricades, fencing and overhead
protection will be used
Elevated work
 All work at heights will be done in
accordance with the relevant legislation,
regulations, standards, codes and
procedures
Electrical work, overhead
wiring, installations and
equipment
 No working live
 All electrical work, plant and equipment
must comply with WHS and electrical
safety legislation, regulations, standards,
codes and procedures, including inspection
and tagging of leads and power tools
 The presence and location of all electrical
cables will be identified before commencing
adjacent work
Demolition, excavation,
formwork and other
structural frames
 All demolition, excavation, formwork and
work with other structural frames will be
done in accordance with the relevant
legislation, regulations, standards, codes
and procedures
Hazardous chemicals and
dangerous goods
 A register of hazardous chemicals must be
kept and maintained for all hazardous
chemicals brought onto the work site.
 All hazardous chemicals and dangerous
goods must be used, handled and stored in
accordance with requirements
Safe working
 Fire prevention, housekeepng and other
site safe working procedures should be
included
6 WHS training
Induction training
Before any person commences work on site
they must be provided with WHS induction
training. This must cover WHS matters
associated with:
 General construction work
 The specific work activities to be
undertaken
 The specific work site.
Site-specific induction must explain Site Safety
Rules, content of the WHS Management Plan,
relevant Safe Work Method Statements, risk
management and emergency procedures and
consultative arrangements at the work site.
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7 Safe Work Method Statements
The WHS Management Plan must include
details of the arrangements for the
preparation, collection and any
assessment/approval, monitoring and review
of SWMS at the workplace.
The WHS Management Plan must also include
arrangements to ensure that SWMS are
followed by all affected workers (including
contractors and subcontractors), and that
work is ceased if the SWMS is not being
followed.
Safe Work Method Statements
Safe Work Method Statements must be
prepared and implemented for all high risk
construction work activities.
The primary purpose of a SWMS is to enable
supervisors, workers and any other persons at
the workplace to understand the requirements
that have been established to carry out the
high risk construction work in a safe and
healthy manner so they can implement them.
When preparing Safe Work Method
Statements, the workers who are to follow
them must be consulted and involved. This will
help improve, and encourage their ownership
of, the required actions and procedures in the
Statements.
The SWMS must be able to be easily read by
those who need to know what has been
planned to manage the risks, implement the
control measures and ensure the work is being
carried out in accordance with the SWMS.
The SWMS must:
 Identify the work that is high risk
construction work
 Specify hazards relating to the high risk
construction work and risks to health and
safety associated with those hazards
 Describe the measures to be implemented
to control the risks
 Describe how the control measures are to
be implemented, monitored and reviewed
A SWMS should also include the following
information:
 The name of the person conducting a
business or undertaking, their address and
ABN (if they have one)
 Details of the person(s) responsible for
ensuring implementation, monitoring and
compliance with the SWMS
 If the work is being carried out at a
construction project:
 the name of the principal contractor
 the address where the high risk
construction work will be carried out
 the date the SWMS was prepared and
the date it was provided to the principal
contractor
 the review date (if any)
Complying with a SWMS
All contractors who are involved in high risk
construction work must develop and
implement arrangements to ensure the work is
carried out in accordance with the SWMS.
Arrangements may include a system of routine
or random workplace work activity
observations, for example, observing workers
and supervisors to see if the control measures
outlined in the SWMS are being implemented.
If the work is not being carried out in
accordance with the SWMS, then the work
must stop immediately or as soon as it is safe
to do so.
Work must not resume until the work can be
carried out in accordance with the SWMS.
Reviewing a SWMS
A SWMS must be reviewed (and revised if
necessary) if relevant control measures are
revised.
The review process should be carried out in
consultation with workers (including
subcontractors) who may be affected by the
operation of the SWMS and their health and
safety representatives who represented that
work group at the workplace.
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When a SWMS has been revised, the person
conducting a business or undertaking must
ensure:
 All workers involved with the high risk
construction work are advised that a
revision has been made and how they can
access the revised SWMS. The principal
contractor should be given a copy of the
revised SWMS
 All workers who will need to change a work
procedure or system as a result of the
review are advised of the changes in a way
that will enable them to implement their
duties consistently with the revised SWMS.
 All workers that will be involved in the high
risk construction work are provided with the
relevant information and instruction that will
assist them to understand and implement
the revised SWMS
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APPENDIX A
Work Health and Safety Management Systemsand Auditing Guidelines - September 2013