Planning and Development

Guideline

4.4 Construction Health and

Safety

Capital Projects and Service

Planning
August 2009
Document Control

Prepared Checked Approved Version Date

by by by No.

Mark Davy Ben Gelnay Leanne Price V1 20 08 09

Revision V2 13 06 11

Disclaimer

The guideline is part of a series prepared by Capital Projects &

Service Planning (CPSP). It has been produced to assist in the
process of undertaking Department of Health (DH) major capital
projects for the health care services sectors. Other users of the
guideline are responsible for the outcome of the application and
the DH will not retain any obligations regarding their use in
whole or part.

The DH does not accept any liability to any person for the
information or advice (or the use of such information or advice)
which is provided in this guideline or incorporated into it by
reference. The information is provided on the basis that all
persons accessing the information undertake responsibility for
assessing the relevance and accuracy of its content.

Departmental consultants are to ensure facilities

developed/redeveloped meet Whole-of-Government Regulations,
Legislations, Codes, Acts and associated Departmental Standards
and Policies.

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Contents

1 Context iv
2 Introduction 5
3 Legislation and compliance 6
4 Contractor OH&S Management System 10
5 Contract Specifications 11
6 Tender Evaluation 14
7 Contract Management 16
8 Model OH&S Specification Clauses 22
9 Tenderer Questionnaire 28
10 Review of Questionnaire 31
11 Review of Health & Safety Coord Plans 36
12 Contract Inspection Checklists 37
13 Non Conformance Report Form 44
14 Contractor OH&S Performance Report 65

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1 Context

The Planning and Capital Development Guidelines (PDG) are intended

as a practical guide to provide CEOs, Directors, Senior Managers and
Boards of Management together with staff, consultants and contractors
with assistance in planning, organising and implementing capital
investment projects.

The guidelines are to apply to all public projects under the jurisdiction
of DH regardless of size, cost, complexity and source of funds.
Use of the guidelines is intended to ensure that projects enhance
service delivery through:
 facilitating good governance and enhancing managers
understanding of their responsibilities including addressing key
issues, risks and decisions;
 assisting projects completion within scope, time, cost and quality
objectives;
 complying with Government policy and statutory requirements;
 adding value to projects and to ensure best use of Government
funds and
 minimise risk associated with the procurement of major capital
investments.

The guidelines should be referred to as a tool to help ensure the

development achieves its objectives. It is expected projects comply
with the requirements set out in the guidelines. If this is not
practicable, it will be necessary to meet the intent of the guidelines.

Additional Government requirements for the planning and development

of major DH capital investment are contained in the Gateway
procedures and can be located at:

http://www.dtf.vic.gov.au

The Capital Development Guidelines can be found on the Internet at

the following address:
http://www.capital.health.vic.gov.au/capdev

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2 Introduction

This guideline is intended to provide relevant and practical guidance to

ensure health and safety requirements are integrated into all stages of
capital works projects.

The guideline provides information on ensure health and safety

requirements for all major capital investment projects from design and
documentation to the tendering and construction stages.

During the course of all capital investment projects, it is important that

documentation be provided to the principal to the contract and the PCG
to assist with their governance responsibility. Their responsibilities
together with roles of the Principal Contractor, the consultants and CPSP
are also set out to:

o assist in making decisions or providing endorsements or facilitating

the other roles associated with good management of health and
safety requirements;

o provide key issues for action and

o provide the auditable trail of discussions, decisions and other actions

affecting the design and procurement of public works and services.

The Principal may delegate selected aspects however cannot contract

out of their responsibilities. Examples have been set out together with
the person delegated with responsibility for actioning the issue.

Other requirements regarding the tender selection process and contract

administration are located in the accompanying text and templates.

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3 Legislation and compliance
Legislation and Other Compliance Publications
The principle legislation is the Occupational Health and Safety Act 2004
Secondary legislation includes:
 Occupational Health and Safety (Combined) Regulations 2007
 Equipment (Public Safety) Act 1994
 Equipment (Public Safety) Regulations 2007
 Dangerous Goods Act 1985
 Dangerous Goods Regulations 2005

Codes of Practice
There are Codes of Practice relevant to Occupational Health and Safety
in capital projects. They may be obtained from the WorkCover websites,
specifically referring to:
 Code of Practice (No. 13) – Building and Construction Workplaces
 Code of Practice (No. 14) – Demolition
 Code of Practice (No. 3) – Workplaces
 Code of Practice (No. 19) – Plant
 Code of Practice (No. 8) – Trenching
 Code of Practice (No. 24) – Hazardous Substances
 Code of Practice (No. 25) – Manual Handling
 Code of Practice (No. 27) – Dangerous Goods Storage and Handling

Objectives of the Occupational Health and Safety Act 2004 are:

(a) to secure the health, safety and welfare of employees and other
persons at work; and
(b) to eliminate, at the source, risks to the health, safety or welfare
of employees and other persons at work; and
(c) to ensure that the health and safety of members of the public is
not placed at risk by the conduct of undertakings by employers
and self-employed persons; and
(d) to provide for the involvement of employees, employers, and
organisations representing those persons, in the formulation and
implementation of health, safety and welfare standards

Duties of Employers
The duties of employers under the Act are: (Selective extracts from the
Act)
An employer must, so far as is reasonably practicable, provide and
maintain for employees of the employer a working environment that is
safe and without risks to health.
provide or maintain plant or systems of work that are, so far as is
reasonably practicable, safe and without risks to health;

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make arrangements for ensuring, so far as is reasonably practicable,
safety and the absence of risks to health in connection with the use,
handling, storage or transport of plant or substances;
maintain, so far as is reasonably practicable, each workplace under the
employer's management and control in a condition that is safe and
without risks to health;
provide, so far as is reasonably practicable, adequate facilities for the
welfare of employees at any workplace under the management and
control of the employer;
provide such information, instruction, training or supervision to
employees of the employer as is necessary to enable those persons to
perform their work in a way that is safe and without risks to health.

Notes:

1. A reference to an employee includes a reference to an

independent contractor engaged by an employer and any
employees of the independent contractor.
2. The duties of an employer extend to an independent contractor
engaged by the employer, and any employees of the independent
contractor, in relation to matters over which the employer has
control or would have control if not for any agreement purporting
to limit or remove that control.
3. Part 5.1 of the OHS Regulations recognises the unique
nature of Construction Contracts and specifically allows for
the appointment and authorisation of a Principal
Contractor to manage and control the construction
workplace. On behalf of the Principal, consultants are to
include provisions in the contract for the appointment and
authorisation of the Principal Contractor through the
Special Conditions to AS 2124 contracts.

An employer must, so far as is reasonably practicable—

monitor the health of employees of the employer; and
monitor conditions at any workplace under the employer's management
and control; and
provide information to employees of the employer (in such other
languages as appropriate) concerning health and safety at the
workplace, including the names of persons to whom an employee may
make an enquiry or complaint about health and safety.

An employer must, so far as is reasonably practicable—

keep information and records relating to the health and safety of
employees of the employer; and

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employ or engage persons who are suitably qualified in relation to
occupational health and safety to provide advice to the employer
concerning the health and safety of employees of the employer.

An employer must ensure, so far as is reasonably practicable, that

persons other than employees of the employer are not exposed to risks
to their health or safety arising from the conduct of the undertaking of
the employer.

Duties of the Principal to a Construction Project are:

The Principal to a construction contract is required to exercise such care
and take such steps as are practicable in the circumstances to avoid a
foreseeable risk of death or injury.

It is important that the Department or Agency be able to demonstrate

due diligence in attempting to meet health and safety obligations when
engaging Contractors. This may be achieved by taking steps that are
reasonable in the circumstances to see that a competent Contractor with
relevant experience is engaged; and that the Contractor and its
employees carry out the work in safe premises, using proper and safe
plant and substances, employing systems of work that are safe and
include adequate instruction, training and supervision.

To fulfil their obligations, the Principal should:

 Use experts to advise and prepare the project documentation
 Identify any health and safety information in their possession. This
may include specific infection control issues, issues related to Juvenile
Justice, the presence of asbestos containing materials and issues
related to research and treatment facilities, which may include
radiation etc.
 Ensure incorporation of health and safety information into project
documentation through the Designer and Specifier, and if required,
provide a special briefing on site specific issues to the contractor
before work commences.
 Ensure that tenderers are advised through the tender documents that
Occupational Health and Safety is an important criterion in the
evaluation of Tenders
 Require that selection processes confirm that Tenderers acknowledge
in their tender, their health and safety obligations
 Appoint a Principal Contractor for the construction work performed for
or on behalf of the owner, and authorise the Principal Contractor to
manage or control the workplace to the extent necessary to discharge
the duties imposed on a Principal Contractor under subdivision 2
Duties of Principal Contractor of part 5.1 Construction, of the OHS
Regulations 2007

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 Require the Contractor to provide site-specific safety plans and safe
work method statements (SWMS) for all high risk activities and to
keep them up to date and available on site at all times
 Require health and safety to be reviewed regularly on site by the
Contractor; at all site meetings, and be reported at Project Control
Group meetings

Responsibilities of Designers
The OHS Act now covers the role of Designers, such as Architects and
Engineers. The Act requires that Designers responsibility is to ensure
that buildings and workplaces are safe for the purpose for which
they are designed. They are to retain records showing how they have
identified and deal with risks as part of their duties as a designer. In
those instances where the contractor supplies designs or shop drawings,
as part of the contract, the same obligations and conditions shall apply.

Designers must consider all locations of the building and site being
designed and consult with representatives of the future workers who will
use those locations; about the tasks and activities to be performed at
each location. Each location must be so designed that it will be a safe
workplace. In consulting with representatives of the future workers,
designers must endeavour to seek out workers at the level who will use
the location. It will not be adequate to limit this consultation to
management representatives!

As well as designing workplaces to be safe for operational requirements

of day-to-day users, they must also be designed to be safe for
occasional users, such as those people who inspect, service, maintain or
clean plant, equipment and the building.

Role of Capital Projects & Service Planning

Capital Projects & Service Planning is responsible for the management of
capital investment projects of the Department of Health, specifically for
health and community services facilities and infrastructure (excludes
public housing).

Capital Projects & Service Planning’s role and responsibilities include:

 Prepare guidelines for capital investment by the Department of Health

and agencies
 Regularly report and review with Governance Bodies such as PCG’s
the assessment and management of risk exposure areas of capital
investment projects
 Engage and manage consultants and building contractors on behalf of
the Department to undertake the planning and implementation of

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 capital projects, including meeting Health and Safety compliance
requirements.
 Act on behalf of the Crown in the role of Principal representative or
superintendent on Departmental projects.

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4 Contractor OH&S Management System

Contractor OH&S Management System - Elements

A systematic approach is required to integrate health and safety requirements into

contract management activities effectively and to fulfil obligations in relation to
health and safety.
There are three important stages in the contracting process.
Contract and Determining OH&S Tender & Contract
Specification Requirements
Ensuring that appropriate health and safety requirements
are incorporated into the contract, conditions of tender
and the specification documents. Include requirements
which tenderers may not otherwise be aware of, such as
ongoing occupation by the Principal, access and egress
restrictions, time limits for certain activities, and the
presence of asbestos containing materials, soil
contamination or other harmful materials.
Tender Evaluation Evaluating Tenderer OH&S Capabilities and
systems
Establishing a systematic approach to evaluating
Tenderers health and safety capabilities and resources.
Note, Ministerial Directions under the Project
Development and Construction Management Act require
OH&S to be a Key Selection Criteria for selection of
contractors. This task may be simplified, if the tenderer
has an accredited OHS Management System, the most
common being an AS 4801 OHS Management System, or
Victorian WorkCover SafetyMap system. Tenderers may
also have systems pre-qualified by the Victorian,
Construction Supplier Register ‘CSR’ or for tenderers
active on Commonwealth Government projects, the
Commonwealth equivalent. Note that contract specific
requirements may not have been incorporated into a
management system at tender stage
Contract Management Monitoring & Supervising Contractor OH&S
Performance
Ensuring that Contractor health and safety performance
is adequately managed and monitored for the duration of
the contract. The emphasis during the Contract stage
should be on confirming the preventative and pro-active
and corrective OH&S management by the Contractor.

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 5 Contract Specifications

1.1 Contract Specifications

The contract specification documents are an important first stage in specifying health
and safety requirements to Contractors tendering for works. By ensuring that health
and safety requirements are clearly identified in specification documents, several key
messages are conveyed. These are:

 OH&S is an important priority to the way of conducting business, including

Contractors engagement.
 Contractors are required to demonstrate that they have an appropriate OH&S
management system and to verify its implementation in practice, including
maintaining records, and making them available to the Principal and the
Superintendent.
 Contractors are required to demonstrate that they comply with contract specific
OH&S requirements.
 Contractors are required to liaise with the host (Principal) regarding specific issues
to be incorporated into the site induction.

Smaller Contractors typically have less formalised OH&S management systems, in

comparison to larger contracting organisations. The Contractor management system
should be sufficiently flexible to accommodate the different levels of OH&S system
development. For major contracts Contractors are expected to demonstrate a higher
level of development of their OH&S management system. For minor contracts
Contractors are required to demonstrate appropriate health and safety competencies
associated with performing the contract tasks.

1.2 Classification of Contract Works

The decision to classify a contract as major or minor will depend on a range of
factors including:

 Level of risk associated with the contract.

 Duration of the contract.
 Complexity of the contract.
 Value of the contract.

High Risk Construction Work

Section 5.1.3 of the OHS Regulations classifies the following works as ‘High Risk
Construction Works’. These works must not be performed without appropriate ‘safe
work method statements’ prepared by the contractor and confirmed to be adequate
in the specific circumstances of the site. Workers must be trained in the use of the
safe work method statements. The 19 specified high risk areas are as follows:

 where there is a risk of a person falling more than 2 metres;

 on telecommunications towers;
 involving demolition;
 involving the removal or likely disturbance of asbestos;

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 involving structural alterations that require temporary support to prevent
collapse;
 involving a confined space;
 involving a trench or shaft if the excavated depth is more than 1·5 metres;
 involving a tunnel;
 involving the use of explosives;
 on or near pressurised gas distribution mains or piping;
 on or near chemical, fuel or refrigerant lines;
 on or near energised electrical installations or services;
 in an area that may have a contaminated or flammable atmosphere;
 involving tilt-up or precast concrete;
 on or adjacent to roadways or railways used by road or rail traffic;
 at workplaces where there is any movement of powered mobile plant;
 in an area where there are artificial extremes of temperature;
 in, over or adjacent to water or other liquids where there is a risk of drowning;
 involving diving.

For the purposes of Departmental projects, construction work on occupied facilities

or facilities with specialised protocols shall be deemed High Risk Construction Work
and must be managed and controlled as per the requirements of Section 5.1.3.

Level of Complexity
Where the project involves the use of subcontracted labour the contract should be
classified as major. Requirements for suitable systems of selection and supervision
also apply to subcontractors used on projects.

Duration of Contract
Contracts that extend beyond 2 years should be classified as major and Contractors
required to have formalised OH&S management systems that reflect the type of
work they are performing.

Value of Contract
Although contracts cannot be classified as major on cost alone and depending on
other considerations, contracts over $250,000 are generally considered as a major
contract.

1.3 Contract Specification—Health & Safety Requirements

Incorporation of health and safety requirements into contract documentation should
be considered as early as possible in the specification stage.

Consultation should be undertaken with Department or Agency health and safety

personnel, contract managers and other relevant personnel to ensure that relevant
health and safety issues are identified and considered when preparing specification
documentation.

Determining OH&S Requirements for Contract Specifications

Different approaches should be considered in relation to OH&S requirements for
major and minor contracts. These are outlined below.

Model OH&S Special Conditions

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CPSP participates in whole of Government Construction activities, including the
development of model OH&S special condition clauses to be used in all Government
and Agency Contracts. These model clauses will be made available by the CPSP
Project Manager. Reference should be made to OH&S Specification and Tender
Document Requirements of this guideline for Model OH&S Special Condition and
Contract Clauses for incorporation into major contracts. The clauses cover
compliance, management systems, risk assessment, reporting, incident notification
and non-compliance.

Tenderer OH&S Management System Questionnaire

The Tenderer OH&S Management System Questionnaire is to be incorporated with
tender documents for all major contracts. The questionnaire is to be completed by
Tenderers and submitted as part of their tender to enable evaluation of their health
and safety competency. For minor works contracts, the questionnaire may only be
avoided if pre-qualified tenderers are selected from the Department of Infrastructure
-Construction Supplier Register.

Health and Safety Coordination Plans

Guidelines for preparation of a Health and Safety Coordination Plan are contained in
section 5.1.17 of the OH&S Regulations. The completed Health and Safety
Coordination Plan should be inspected by the Superintendent prior to
commencement of the construction work.
The Health and Safety Coordination plan which must be available for inspection is to
include:

A list of the names, positions and responsibilities of all persons who will have
specific responsibilities for health and safety; and
The arrangements for the co-ordination of the health and safety of persons
engaged to perform construction work; and
The arrangements for managing occupational health and safety incidents when
they occur; and
Any site safety rules, with the arrangements for ensuring that all persons at the
workplace are informed of the rules.

Specification Elements to be provided by Consultants at the Documentation Stage

In general terms, the contract specification should incorporate the following contract
health and safety requirements. Example clauses can be found in the Model OH&S
Specification Clauses section of this guideline:
 Comply with health and safety legislative requirements.
 Demonstrate evidence of an OH&S management system.
 Complete the Tenderer OH&S Management System Questionnaire.
 Develop a Health and Safety Coordination Plan.
 Develop an induction and training register.
 Prepare Safe Work Method Statements for all high risk construction work.
 OH&S performance reporting.
 OH&S incident reporting.
 Establish a recording and action system for non-compliance.

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6 Tender Evaluation

The evaluation of Tenderers health and safety capabilities and systems is an

important consideration in the selection process and should be included as a
selection criterion in the Selection Report. This stage provides the opportunity to:

 Evaluate and verify the Tenderer’s OH&S management system and

performance.
 Determine the Tenderer’s understanding of the OH&S requirements of the
specification.
 Review how the Tenderer will manage OH&S issues associated with the contract
works and services (i.e. with particular regard to the Health and Safety
Coordination Plan and Safe Work Method Statements for high risk construction
work).

A Selection Panel comprised of the Consultant, Agency Personnel, and supported

by the Departmental generally undertakes the Tender Evaluation process. The
Tender Evaluation process involves several stages:

 Evaluation and verification of Tenderer’s OH&S System.

 Review of Health and Safety Coordination Plan
 Review of typical Safe Work Method Statements to control risks

1.4 Evaluation and Verification of Tenderer’s OH&S System

A systematic approach is required to the evaluation and verification of the
Tenderer’s OH&S system. The Selection Panel should include the following steps:

 Review of completed Tenderer OH&S System Questionnaires.

 Examination of Tenderer’s OH&S management system documentation,
(manuals, procedures, safe work method statements, training/competency
records).
 Verification of the operation of the Tenderer’s OH&S management system.
 Undertaking interviews with Tenderers to clarify particular issues and areas
where more information is required.

The Tenderer is to demonstrate the active implementation and operation of their

OH&S management system by providing the following records to the Selection
Panel:

 Health and safety audits: Copies of completed audit reports, details of audits
undertaken. This will be particularly applicable to tenderers having undertaken
large contracts, and tenderers with accredited OH&S management systems.
 Hazard inspection records: copies of completed hazard inspection reports
showing corrective actions undertaken. Examples may include records of regular
‘site safety walks’ by the site OHS manager in conjunction with worker
representatives, and sometimes the contract Superintendent or an OH&S
Consultant.
 Plant maintenance and inspection records: evidence of completed
maintenance logs, pre-start daily safety inspections etc.
 Safety meetings: evidence of minutes of meetings, meeting schedules,
personnel involved. These meetings are often called ‘Tool Box Meetings’.
 Incident investigation: evidence of completed incident investigation reports.
 Training and induction: records of health and safety training and induction
programs, competency certificates, qualifications and evidence that workers
have been trained in the use of applicable safe work method statements.

Review of Health and Safety Coordination Plan

Sections 5.1.16 & 5.1.17 of the OH&S Regulations require that a health & safety
coordination plan must be prepared before construction work commences, and
that it must be monitored, maintained and kept up to date by the Principal
Contractor. The plan must include the following and be available for inspection at
all times:

 a list of the names, positions and responsibilities of all persons who will have
specific responsibilities for health and safety; and
 the arrangements for the co-ordination of the health and safety of persons
engaged to perform construction work; and
 the arrangements for managing occupational health and safety incidents when
they occur; and
 any site safety rules, with the arrangements for ensuring that all persons at the
workplace are informed of the rules.

Note: At the tender evaluation stage, prior to commencement of work on site, the
tenderer will not have a site specific Health and Safety Coordination plan, but
should be able to produce typical examples.

Review of Typical Safe Work Method Statements (SWMS) to Control Risks

Section 5.1.5 of the OH&S Regulations requires that a Safe Work Method
Statement is documented for all high risk construction work, and that it:

 identifies work that is high risk construction work; and

 states the hazards and risks to health or safety of that work; and
 sufficiently describes measures to control those risks; and
 describes the manner in which the risk control measures are to be implemented.

Note: Safe Work Method Statements may have other names, such as Job Safety
Analysis (JSA) etc. The name is not important, so long as it meets the
requirements for a SWMS. Preparation of an asbestos control plan in accordance
with OH&S Regulation 4.3.69 is taken to be preparation of a SWMS. SWMS’s must
be retained on site. At the tender evaluation stage, prior to commencement of
work on site, a tenderer will not have prepared site specific SWMS’s but should be
able to produce typical examples. OH&S Regulation 5.1.7 provides the hierarchy of
controls which must be used for the control of risks within the SWMS.
7 Contract Management
The Principal is responsible for appointing a ‘Principal’ Contractor and authorising
the principal contractor to manage or control the construction workplace.

Where the Principal has some management control over the construction
workplace, such as where construction works occur on an occupied site, the
Principal has a legal obligation to monitor and supervise the activities of, and
interactions between the Principal Contractor’s and the Principal’s workers (such as
staff and sub-contractors) and the public, with regard to health and safety,
irrespective of whether the contract is major or minor.

In order to perform this function, the Principal must appoint a Contract

Superintendent and may for large or complex contracts also engage an OH&S
Specialist Consultant. On occupied sites, the Principal should also involve it’s own
OH&S Management Representative and OH&S Staff Representative/s.

The Superintendent’s Representative, and all consultants and CPSP Project

personnel who may visit the construction work place from time to time must have:
 Access to the contract documents and specifications.
 A good understanding of the health and safety requirements set out in the
contract documents.
 Access to other documents referred to in the contract, eg: Health and Safety
Coordination Plan, Safe Work Method Statements and the OH&S records of the
Contractor.
 Adequate contract supervision training and appropriate health and safety
knowledge and skills relevant to the contract. The minimum acceptable OH&S
training will be Construction Induction Training enabling registration to perform
construction work,(includes the ‘Foundations for Safety Red Card’), plus
completion of the Contractor’s OH&S Site Induction.

It is desirable for the Superintendent to have higher OH&S Qualifications, such as

a Certificate 3 in OH&S, or access to a specialist OH&S consultant if required. The
Monitoring of Contract OH&S section which follows, should however be
manageable by a Superintendent with the minimum OH&S qualifications for most
contracts.
1.5 Monitoring of Contract OH&S
The Superintendent is responsible for monitoring the contractor’s compliance with
the contract, including the OH&S aspects of the contract. The Superintendent does
not have authority to assume management control of the construction workplace.
The emphasis of monitoring by the Superintendent should be to ensure that the
contractor has systems in place to manage and control safety in the construction
workplace in accordance with the contract. Aspects of this control include the
following:

 Site Signage.
 The Health and Safety Coordination Plan, monitored, maintained and kept up to
date by the contractor, including systems for the identification and management
of non-conformance, risks or incidents and training regarding site safety rules.
 Site Induction for site personnel including sub-contractors, the Superintendent
and other consultants, delivery personnel, the Principal or Principal’s
Representative/s and other site visitors. If the Superintendent is not
requested by the contractor to undergo induction, the Superintendent
should immediately issue an OH&S non-conformance notice to the
contractor. Any site visitor who is not registered (or taken to be registered) to
perform construction work under OH&S Regulation 6.2 must be escorted at all
times while on the site.
 Safe Work Method Statements for all high risk construction activities.

Note: The main records which evidence this control may include, Site Induction &
Training Registers, Site Safety Inspection (or Walk) observations and resulting
controls, and minutes of Safety Meetings (or Tool-Box Meetings). Some other
records are also listed below.

A higher level of monitoring may be required in special circumstances such as

works undertaken in occupied facilities and particularly in facilities with special
requirements eg custodial or secure facilities.

Monitoring may also need to be targeted to specific key elements of a contract, for
example:
 Contract start-up: ensuring that suitable systems and procedures are in place
and the workplace is appropriately established.
 High-risk or complex activities: monitoring conformance with safe work
method statements and procedures and other risk control measures.
 High level of interaction with other parties: review of co-ordination and
notification systems operating at the workplace.
 Introduction of new plant, equipment or systems of work: may require
special monitoring of control procedures.

Monitoring of Contractor Activities Includes:

Regular review by the Superintendent or Superintendent’s Representative of
Contractor health and safety documentation. This may involve review of:

 Induction records
 Plant and equipment maintenance/inspection records
 Health and safety inspection reports
 Risk assessment documents
 Employee training/competency records
 Safety meeting minutes.

Regular review by the Superintendent or Superintendent’s Representative of

Contractor health and safety performance. This shall include review of:
 Accident/incident reports
 Third party reports or complaints
 Review of monthly OH&S performance reports

Ensuring that corrective action is taken where non conformance is identified by the
Superintendent or Superintendent’s Representative:
 Issuing of non-conformance report
 Reviewing and confirming that corrective action is implemented
 Issuing formal notice (i.e.: site instruction) when action is not taken within a
reasonable timeframe

The Superintendent or Superintendent’s Representative incorporating health and

safety issues as part of regular contract review meetings. This should include:
 Health and safety as a comprehensive agenda item
 Safety inspections undertaken after/before site meetings
 Health and safety issues considered as a high priority in relation to overall
contract performance.

Incorporating reports on Contractor health and safety performance as a standard

agenda item for Project Control Group meetings. Refer to Contractor OH&S
Performance Report.

Site Meetings
Regular site meetings are an important means for the Superintendent to monitor
the OH&S performance of the contractor. Health and Safety should be a
comprehensive agenda item for each meeting.

At First Site Meeting, as a minimum, confirm that the contractor is maintaining

management and control of OHS and has:
A Health & Safety Coordination Plan for the site — you should be shown this as
part of your site-specific safety induction.
Site signage showing the name and contact details of the contractor and those
people responsible for health and safety, and other safety related information.
OHS manual, including OHS Policy signed by contractor’s senior management
representative.
Sufficient meal and shelter facilities, toilets, washing facilities and drinking water
and other amenities for use by the contractor, construction workers and the
Superintendent and other consultants.

At Subsequent Site Meetings, as a minimum, confirm the Contractor is

maintaining its OHS Management and Control Plan. Request details of current
works being undertaken, upcoming works and how the contractor will ensure
health and safety.

Inspect records of recent Safety Inspections (or Site-Safety-Walks):

 Safety Inspections must be conducted by the contractor’s senior

management representative and at least one employee representative at
 regular intervals, at least fortnightly but more frequently if appropriate for the
level of activity on site.
 Site-safety-walks observe whether works are being undertaken safely;
using correct procedures, equipment and tools.
 Confirm that observations have been recorded — usually on a standard
checklist from the contractor’s OHS manual.
Confirm that issues have been addressed.
 Confirm that site amenities are being maintained in hygienic condition.

Workplace Inspections
The Principal demonstrates their fulfilment of obligations in relation to Contractor
Health & Safety by monitoring the standard of workplace safety and compliance
with the contract and the Contractor’s OH&S systems. Inspection programs
undertaken by Contractors are a key element in monitoring the health and safety
standards of the Contractor’s operations and play a significant role in identifying
health and safety issues before they result in injury or damage at the workplace.
The Superintendent or Specialist OH&S Consultant may wish to accompany the
Contractor on Workplace Inspections from time to time.

Contract Inspection Checklists

Use by the Superintendent of the Contract Inspection Checklists allows the
systematic review of health and safety issues relevant to the contract activities.

Sample Contract Inspection Checklists are provided as part of this Guideline for
use if the Superintendent of Specialist OH&S Consultant undertakes health and
safety inspections of Contractor operations from time to time. The checklists are
designed to consider a broad range of general health and safety issues in the
workplace and should be modified as required to include specific safety aspects
associated with the contract.

Responsibility for Carrying Out Inspections

The Contractor has a duty of care as an employer to provide and maintain a safe
workplace and consequently has an important responsibility to conduct workplace
inspections on a regular basis. A team comprising management and employee
representatives should generally undertake the inspections. The Contractor should
make available copies of health and safety inspection reports for review when
requested.

Although not required to be expert in all matters The Superintendent or other

Consultants appointed to represent the Principal shall check that the Contractor
has adequately fulfilled their health and safety obligations, as far as they can
reasonably establish. The Superintendent shall raise with the Contractor any
health and safety issues that come to their attention through their inspection and
monitoring of Contractor operations.

Where the Superintendent or OH&S Consultant participates in inspections these

should be conducted in conjunction with a representative of the Contractor to
enable discussion and resolution of issues as they are identified. The
Superintendent or Consultants may seek input from specialist health and safety
staff to be available during and after the inspection to give advice on health and
safety issues.
Frequency of Inspections
The Principal Contractor shall establish an inspection schedule prior to the
commencement of the contract.

For large complex projects it may be appropriate for the Contractor to undertake
daily health and safety inspections. Weekly or fortnightly health and safety
inspections are likely to be more practicable for smaller simpler contracts with
lower associated risk. It is good practice for the contractor to inspect the safety
practices of new sub-contractors to the construction workplace on a daily basis for
the first few days. Daily pre-start safety inspections may be required for particular
high-risk plant, equipment and processes.

Contract Records
Effective contract management requires a systematic approach to record keeping.
Relevant health and safety records retained by consultants provide documentary
evidence of the Principal’s due diligence in relation to the health and safety of
Contractors. These records are particularly important in situations where the
Contractor is in breach of health and safety requirements or a significant incident
or accident occurs as a result of activities performed by the Contractor.

The Superintendent and other Consultants on behalf of the Principal are to notify
the Contractor promptly of any breach of health and safety they identify. Breaches
should be notified using a non-conformance report. Refer to Non Conformance
Report Form. The Contractor must take immediate action to rectify the breach and
must document the remedial actions taken. The Superintendent on behalf of the
Principal should retain a copy of the report and documented remedial action
undertaken by the Contractor.

Other relevant health and safety records that should be retained by the
Superintendent or OH&S Consultant on behalf of the Principal include:
 Contract documents
 Health and Safety Coordination Plan
 Safe Work Method Statements for high risk construction work
 Minutes of Site Meetings where Health and Safety should be a comprehensive
agenda item
 Health and Safety Inspection Reports
 Minutes of Safety Meetings
 Incident Investigation Reports
 Monthly OH&S Performance Reports
 Non-conformance Reports and Corrective Actions
 Photographs and Test Results
 Site Instructions and Diary Notes

Relevant health and safety documents should be consolidated and retained in the
contract file. These are important documents that may be required even some
time after the contract has been completed.

1.6 Contractor Performance Reporting

On a Monthly basis, and at the completion of the contract, the Superintendent is to
complete and retain on file a Contractor OH&S Performance Report. Monthly
reports should be submitted to PCG meetings. Refer to Contractor OH&S
Performance Report.
8 Model OH&S Specification
Clauses
The following section outlines model clauses relating to OH&S requirements, to be
incorporated into the specification and tender documents. The requirements
should then be specifically incorporated into the contract. This can be easily
achieved by a suitable clause in the contract that references the OH&S
specification requirements.

1.7 Special Conditions of Contract for AS2124 Contracts

The Following Special Conditions of Contract Clause has been approved by the
Construction Contracts Advisory Panel ‘CCAP’ of the Victorian Government. It is to
be included in all contracts.

55 Principal Contractor

55.1 This clause shall apply to the Contractor unless otherwise provided
pursuant to clause 56. The Principal acknowledges that the appointment of a
Principal Contractor does not abrogate the obligations of the Principal under
the Occupational Health and Safety Act 2004 (Vic).

55.2 The Principal hereby appoints the Contractor as the Principal Contractor
in accordance with regulation 5.1.14(1)(a) of the Occupational Health and
Safety Regulations 2007.

55.3 The Contractor hereby acknowledges and accepts the appointment as

Principal Contractor and agrees to carry out and discharge the obligations of
a Principal Contractor contained in the Occupational Health and Safety
Regulations 2007 and accepts all liability in respect thereof.

55.4 The Principal hereby authorises the Contractor to manage and control
the Site to the extent necessary to discharge the duties imposed on a
Principal Contractor by the Occupational Health and Safety Regulations 2007
for the period commencing from the date the Contractor takes possession of
the Site and ending on the Date of Practical Completion. Furthermore, the
Contractor acknowledges that its responsibilities as Principal Contractor
continue (or resume) for any Works undertaken prior to the date the Final
Certificate is issued. The Contractor hereby acknowledges and accepts that
the management and control of the Site afforded by the Principal is sufficient
to allow the Contractor to fulfil the obligations of a Principal Contractor.

55.5 The Contractor undertakes to promptly upon request by, or on behalf

of, the Principal demonstrate that the obligations of a Principal Contractor
under the Occupational Health and Safety Regulations 2007 have been, and
will continue to be met, including providing evidence of measures taken to
achieve compliance.

In this clause Principal Contractor has the meaning given to that term in
regulation 5.1.14 of the Occupational Health and Safety Regulations 2007
and Construction Work has the meaning given to that term in regulation
5.1.2 of the Occupational Health and Safety Regulations 2007.

56 Principal Contractor where the Contractor has Comcare insurance

56.1 This clause shall apply to the exclusion of clause 55 in the event that
the Contractor is licensed to self insure under the Safety, Rehabilitation and
Compensation Act 1988 (Cth) and is therefore covered by the Occupational
Health & Safety Act 1991 (Cth) (the Commonwealth OHS Act) rather than the
Occupational Health & Safety Act 2004 (Vic) (the Victorian OHS Act) and the
Occupational Health & Safety Regulations 2007 (Vic) (the Victorian OHS
Regulations)

56.2 The Principal hereby appoints the Contractor as the Principal Contractor
in accordance with regulation 5.1.14(1)(a) of the Victorian OHS Regulations.

56.3 The Contractor hereby acknowledges and accepts the appointment as

the Principal Contractor and agrees to strictly comply with the terms of the
Victorian OHS Act and the Victorian OHS Regulations and do all things
necessary and in a manner which ensures that the Contractor satisfies the
obligations of a Principal Contractor under the Victorian OHS Regulations
which apply, or which, but for the Commonwealth OHS Act, would apply.

56.4 The Contractor hereby acknowledges and accepts that it has the
management and control of the Site necessary to discharge the duties
imposed on a Principal Contractor by the Victorian OHS Regulations for the
period commencing from the date the Contractor takes possession of the Site
and ending on the date a Certificate of Practical Completion is issued
pursuant to clause 42.5 of the General Conditions.

Furthermore, the Contractor acknowledges that it will have the necessary

management and control of the Site to discharge the Principal Contractor
duties during any period that it performs Construction Work on the Site
during the Defects Liability Period.

56.5 The Contractor undertakes to:

(a) immediately comply with directions on safety issued by any relevant

authority or by the Principal;

(b) indemnify and hold harmless the Principal against any loss suffered by the
Principal which may arise as a result of any breach by the Contractor of the
Victorian OHS Act or the Victorian OHS Regulations; and

(c) promptly upon request by, or on behalf of, the Principal demonstrate that
the obligations of a Principal Contractor under the Victorian OHS Regulations
have been and will continue to be met, including providing evidence of
measures taken to achieve compliance.

In this clause Principal Contractor has the meaning given to that term in
regulation 5.1.14 of the Occupational Health and Safety Regulations 2007
and Construction Work has the meaning given to that term in regulation
5.1.2 of the Occupational Health and Safety Regulations 2007.
1.8 Additional OH&S Contract Clauses required by the
Department

1 General Occupational Health & Safety Requirements

The Department is obligated to provide and maintain, so far as is reasonably
practicable, a working environment for its employees and members of the public,
that is safe and without risk to health. As a condition of this contract, the
Department requires that any Contractors or subcontractors that may be engaged
to perform a service on its behalf will at all times identify and exercise all
necessary precautions for the health and safety of all persons including Contractor
employees, Departmental or Agency employees and members of the public who
may be affected by the services.
The Contractor will inform itself of all occupational health and safety policies,
procedures or measures implemented or adopted by the Department, Agency
and/or the occupiers of any premises at or within which the Contractor will
perform works under this contract. The Contractor will comply with all such
policies, procedures or measures; and in the event of any inconsistency, will
comply with such procedures or measures as they produce the highest level of
health and safety.

2 Legislative Compliance
The Contractor must manage and control the construction workplace in accordance
with the contract and must comply with and ensure that its employees,
subcontractors and agents comply with any Acts, Regulations, Local Laws and By-
laws, Codes of Practice, Australian Standards and Departmental OH&S Policy and
Procedures which are in any way applicable to this contract or the performance of
the services under this contract.

3 Contractor OH&S Management Systems

The Contractor must when requested by The Superintendent, submit a complete

copy of their company OH&S management system documentation which must
include as a minimum requirement:
 OH&S policy and objectives
 Health and Safety Coordination Plan, including Organisation structure &
responsibilities
 Safe Work Method Statements or other safe work practices and procedures
 OH&S training and induction systems and records
 OH&S auditing & inspection procedures and records
 OH&S consultation procedures and outcomes
 OH&S performance monitoring and reports

Optional Requirement to Subclause 3

The Contractor must provide evidence of certification of their OH&S management
system. The minimum level of certification is SafetyMAP Initial Level Achievement
or equivalent established by independent audit by the Victorian WorkCover
Authority or other recognised certifying body. If the Contractor does not maintain
certification of their OH&S management system as required in this contract the
Principal may terminate the contract.

4 Tenderer OH&S Management System Questionnaire

[To be incorporated in Conditions of Tender]
Tenderers shall complete the Tenderer OH&S Management System Questionnaire
and incorporate the completed document with their tender submission. Tenderers
who do not complete the questionnaire shall be ineligible for selection. Tenderers
will be required to verify their responses noted in the questionnaire by providing
evidence of their ability and capacity in relevant matters. By submission of the
tender and questionnaire the Tenderer acknowledges and confirms as accurate all
details contained in the questionnaire and any verifying documents.

5 Safe Work Method Statements (SWMS) Required for High Risk

Construction Work
All high risk construction work as defined by Clause 5.1.3 of the OH&S Regulations
2007 shall be controlled by the prior preparation of, and use of Safe Work Method
Statements, using the hierarchy of risk control measures contained in Clause 5.1.7
of the OH&S Regulations 2007. The SWMS must be reviewed and if necessary
revised to ensure safe systems of work. If there is non-compliance with a SWMS
or any indication that risk control measures are not adequately controlling the
risks to health and safety, the work must stop and not resume until the statement
is complied with or reviewed and if necessary revised.

6 Health and Safety Coordination Plan

Prior to commencing the works under the contract the Contractor shall submit to
The Superintendent a Health and Safety Coordination Plan specific to the contract
and works.

7 OH&S Performance Reporting

The Contractor must when requested by the Principal provide evidence of ongoing
performance of the Contractor’s OH&S management system. Without limiting the
requirements of this obligation, the Contractor shall provide the following
information on a monthly basis in the form of a Contractor OH&S Performance
Report:

 Details of current and upcoming work and the details of the Safe Work Method
Statements which will be employed to control risks for high risk construction work
 Number of lost time injuries
 Working days lost due to injury
 Current status of any injured personnel, damaged property or environmental
damage or pollution
 Status of the implementation and outcomes of corrective actions undertaken
as a result of OH&S inspections and risk assessments
 Status of OH&S management system audits undertaken

The OH&S Performance Report shall be submitted by the Contactor using the
Contractor Monthly OH&S Performance Report Form.

The Contractor shall when requested by The Superintendent provide reports on

OH&S inspections, audits or assessments undertaken during the course of the
contract.
8 Incident Notification
If the Contractor is required by the Occupational Health and Safety Regulations
2007 or by any other regulations to give any notice of an accident or incident
occurring during the performance by the Contractor of works under the contract,
the Contractor shall at the same time or as soon thereafter as possible in the
circumstances, give a copy of the notice to the Superintendent.

The Contractor must notify the Superintendent promptly of any accident, injury,
property or environmental damage that occurs during the carrying out of the
contract works. All lost time incidents shall be immediately notified to the
Superintendent. The Contractor must within 3 days of any such incident provide a
report giving complete details of the incident, including results of investigations
into its cause, and any actions or strategies for prevention in the future.

9 Non Compliance
If during the performance of works under the contract, the Superintendent informs
the Contractor that it is the opinion of the Superintendent that the Contractor is:

 Not conducting the work in compliance with the Contractor’s Health and Safety
Coordination Plan, relevant Safe Work Method Statements, relevant legislation or
health and safety procedures provided by the Department from time to time, or
 Conducting the work in such a way as to endanger the health and safety of
Contractors employees or the Department’s or Agency’s or its Contractors’ and
subcontractors’ employees, and the public.
 Conducting the work in such a way as to risk property, plant, equipment or
materials.

The Contractor shall remedy that breach of health and safety promptly.

The Superintendent may direct the Contractor to suspend the work until such time
as the Contractor satisfies the Superintendent that the work will be resumed in
conformity with applicable health and safety provisions.

During periods of suspension referred to above, the Principal shall not be required
to make any payment whatsoever to the Contractor.

If the Contractor fails to rectify any breach of health and safety for which the work
has been suspended, or if the Contractors performance has involved recurring
breaches of health and safety, the Principal may as its option terminate the work
forthwith, without further obligation to the Contractor. In this event, the Principal’s
liability shall be limited to payment for the work performed and costs incurred by
the Contractor up to the time of termination or an earlier suspension of works.
9 Tenderer OH&S Management
System Questionnaire

This questionnaire forms part of the Department’s tender evaluation process and is
to be completed by Tenderers and submitted with their tender offer. The objective
of the questionnaire is to provide an overview of the status of the Tenderers OH&S
Management System. Short-listed Tenderers will be required to verify their
responses noted in their questionnaire by providing evidence of their ability and
capacity in relevant matters.

Certification
The information provided in this questionnaire is an accurate summary of the company’s
occupational health and safety management system.
Company Name:
Signed: Name:
Position: Date:

Contract Details
Contract Name Contract Number:

Yes No

Tenderer OH&S Management System Questionnaire

OH&S Policy and Management

Is there a written company health and safety policy?
If yes provide a copy of the policy
Comments

Does the company have an OH&S Management system certified by recognised

independent authority (e.g. SafetyMAP or AS4801)
If yes provide details

Is there a company OH&S Management System manual?

If yes provide a copy of the content page(s)
Comments
 Yes No

Tenderer OH&S Management System Questionnaire

Are health and safety responsibilities clearly identified for all levels of
Management and staff?
If yes provide details

Safe Work Method Statements, Practices and Procedures

Has the company prepared safe work method statements or specific safety
instructions relevant to its operations?
If yes provide a summary listing of SWMS, procedures or instructions
Comments

Is there a register of injury document?

If yes provide a copy

Is there a documented incident investigation procedure?

If yes provide a copy of a standard incident report form
Comments

Are there procedures for maintaining, inspecting and assessing the hazards of
plant operated/owned by the company?
If yes provide details

Are there procedures for storing and handling hazardous substances?

If yes provide details

Are there procedures for identifying, assessing and controlling risks

associated with manual handling?
If yes provide details

OH&S Training
Describe how health and safety training is conducted in your company

Is a record maintained of all training and induction programs undertaken for

employees in your company?
If yes provide examples of safety training records

Health and Safety Workplace Inspection

Are regular health and safety inspections at worksites undertaken?
If yes provide details
 Yes No

Tenderer OH&S Management System Questionnaire

Is there a procedure by which employees can report hazards at workplaces?
If yes provide details

Health and Safety Consultation

Is there a workplace health and safety committee?

Are employees involved in decision making over OH&S matters?

If yes provide details

Are there employee elected health and safety representatives?

Comments

OH&S Performance Monitoring

Is there a system for recording and analysing health and safety performance
statistics including number and type of injuries and incidents?
If yes provide details

Are employees regularly provided with information on company health and

safety performance?
If yes provide details

Has the company ever been convicted of an occupational health and safety
offence?
If yes provide details

Company References
Provide the following information for the three (3) most recent contracts
completed by the company
Location of Contract
Name and Contact details for the Principal or Client
Nature of the Construction Contract
Latest OH&S Performance Report for each contract
10 Review of Tenderer OH&S
Management System Questionnaire

Not Acceptable
Acceptable

N/A
Review of Tenderer OH&S Management System Questionnaire

Contract Name:

Contract Description:

Contract Manager:

Contractor:

Date:

OH&S Policy and Management

- Company Health and Safety Policy?
The Policy provided by the Tenderer is:
- Signed by the CEO or equivalent
- Outlines clear statement of objectives
- Shows commitment to improve performance
- Relevant to company operations
- Reviewed on a regular basis

- Certified OH&S Management System

Certification demonstrates that the tenderer meets minimum standards,
verified by an independent party. These may include:
- SafetyMAP (three levels of certification)
- Australian Standard AS 4801
- NCSA 5 star System
- ISR System

Certificates available for perusal

OH&S Management System Manual

The company OH&S Manual includes as a minimum:
- Occupational health and safety policy
- Management OH&S responsibilities
- Health & Safety Coordination Plan (template)
- General occupational health and safety procedures
- Safe Work Method Statements or procedures relevant to the company
 Not Acceptable
Acceptable

N/A
Review of Tenderer OH&S Management System Questionnaire
operations
- Public safety procedures
- Induction and training procedures and records
- Covers Sub-contractors and their employees
- Issue resolution and OHS consultation mechanisms
- Includes Emergency Response

- Health And Safety Responsibilities

Health and Safety responsibilities in the company documented and
comprise:
- OH&S responsibility statements
- Part of employee’s job description
- Part of formal and informal performance appraisal
- Nominated OH&S Advisers or Consultants

Line managers and supervisors formally held accountable for health and
safety performance of their employees

Safe Work Method Statements, Practices and

Procedures
- Safe Work Method Statements
The tenderer is able to demonstrate safe work procedures which:
- Cover all high risk construction work
- Are relevant to company operations
- Contain a description of the tasks and associated hazards
- Outline control measures and methods to minimise health and safety
risks
- Make reference to any relevant Legislation, Codes of Practice or
Australian Standards

- Safe Work Permits

Where relevant, the tenderer should be able to demonstrate safe work
permits for the following types of work:
- Work in Confined Spaces (Confined Space Entry Permits)
- Hot Work (Hot Work Permit)
- Lockout Permits (plant, electrical systems, steam)

- Incident reporting and Investigation

Tenderer able to provide evidence of:
- Incident report and investigation form
- Incident investigation procedure
- Evidence of completed investigation forms
 Not Acceptable
Acceptable

N/A
Review of Tenderer OH&S Management System Questionnaire
- Plant Safety
Tenderer has mechanisms in place for the identification of hazards,
assessment of risks and the implementation of control measures associated
with plant. This includes:
- Documented risk assessments for relevant plant or risk assessment
procedure
- Copy of plant operator licences, permits
- Register of plant requiring registration
- List of persons responsible for undertaking plant risk assessments
- Plant maintenance and inspection forms for plant
- Pre-start daily safety inspection forms for plant
- Plant fault reporting system and forms

- Hazardous Substances
Tenderer has provided evidence demonstrating safe handling and storage
of hazardous substances
- Manifest or register of chemicals used by the company
- Material Safety Data Sheets for chemicals used
- Safe handling procedures, including personal protective equipment
- Relevant training documentation

- Manual Handling
Tenderer able to demonstrate evidence of:
- Documented risk assessments for manual handling hazards
- Systems used to control manual handling risks (eg lifting aids, work
procedures)

OH&S Training
- Tenderer able to demonstrate evidence of:
- Records of training and competencies of employees (licences, permits,
certificates)
- Records of ‘on the job’ training
- Tool box meetings conducted
- Induction training program and records

Health and Safety Workplace Inspection

- Regular Inspections
Tenderer provides evidence of:
- Workplace inspection schedules
- Completed inspection reports
- Types of inspections undertaken
 Not Acceptable
Acceptable

N/A
Review of Tenderer OH&S Management System Questionnaire
- Standard Inspection Checklists
Copies of the types of inspection checklists used by the tenderer

- Hazard Reporting from Tenderer

Evidence includes:
- Documented Hazard reporting procedure and forms
- Completed hazard reports

Health and Safety Consultation

- Health And Safety Committee and Issue Resolution Processes
Evidence includes records which show:
- Structure of committee
- Meeting schedule
- Minutes of meetings
- Documented issue resolution methodology

- Employees Consultation
Tenderer provides evidence of:
- List of employee health and safety representatives
- Documented procedures for consultation dissemination of information
and maintaining currency of OH&S awareness
- Employee involvement in inspection, accident investigation

OH&S Performance Monitoring

- Safety Performance Statistics
Evidence includes:
- Reports on company health and safety representatives
- Performance targets established (eg lost time injuries, person days
lost)

- Health and Safety Performance Information

Evidence of information provided to employees
- Records of who receives reports
- Types of reports produced

- Convicted of Health and Safety Offence

If conviction reported, determine:
- Nature and circumstances of incident
- Corrective actions undertaken
 Not Acceptable
Acceptable

N/A
Review of Tenderer OH&S Management System Questionnaire
Comments
11 Review of Health and
Safety Coordination Plans
This form is to be used by the Superintendent or Consultants when
reviewing the elements of the Health and Safety Coordination Plan
prepared by the Contractor.

The Contractor should provide documentation referenced in the Health

and Safety Coordination Plan prior to the commencement of work at the
construction workplace. Where the Project Health and Safety
Coordination Plan does not satisfy the requirements of the Principal the
Contractor shall be notified and the appropriate modifications should be
made to the Plan.

Yes No

Health and Safety Coordination Plan Review

Health and Safety Coordination Plan Elements (as per section

5.1.17 of the OH&S Regulations 2007)

- List of the names, positions and responsibilities of all persons who will have specific
responsibilities for health and safety

- The arrangements for the coordination of health and safety of persons engaged to
perform construction work

- The arrangements for managing occupational health and safety incidents when
they occur

- Any site safety rules, with the arrangements for ensuring that all persons at the
workplace are informed of the rules.
12 Contract Inspection
Checklists
An important element of the contract management process is undertaking
inspections of the work and documenting the status of OH&S performance.
The frequency of inspections will depend on a range of criteria, which will be
determined by the Contractor but as a minimum should occur fortnightly.
Daily inspections may be warranted for large and complex contracts. The
Superintendent may choose to accompany the contractor on some of its
workplace inspections.

The following Contract Inspection Checklists have been designed to be

simple and relevant to the specific contract. The checklists will provide a
simple record for use by the Contractor as the basis of its supervision
program and by The Superintendent as part of their monitoring role. The
contractor may wish to use its own version of the checklists. If remedial
action is required this should be noted against the particular item and notes
can be made as to what action is necessary.

These checklists have been prepared from various Construction Safety

Notices for Builders & Building Trades Contractors by WorkSafe Victoria.
They are not an exhaustive set of checklists, and users are encouraged to
add to them to suit particular needs.

More detailed information and guidance can be obtained from WorkSafe

Victoria; The Master Builders Association; The Housing Industry Association;
The Civil Contractors Association and from other Trade Specific
Associations; and various documents such as, the Safety notices from which
these checklists have been prepared, WorkSafe Guidance Notes, OHS
Regulations and Codes or Practice.

This document may be copied or shared with colleagues.

Its various uses may include assistance/guidance/prompts for:

 Superintendent assessments of Contractor’s Safe Work Practices
 Contractor’s Site Safety Walks/Inspections/Toolbox Meetings/OHS Self
Assessment
 OHS Auditor’s of Construction Projects

Checklist Compliance Comments

Site Establishment Checklist

Is site secure
Adequate amenities provided for
workers & Superintendent
First Aid & emergency systems
in place
Existing grounds & buildings

39
checked
Adequate safety signs & notices
posted
Correct registers & forms on site
Site induction program & records
Safe Work Method Statements
for all high risk construction
work
Has an OHS representative been
elected
Safety needs for whole job
identified (job specific SWMSs)

Hazardous Substances
Checklist
Are hazardous substances used
on site
Are Material Safety Data Sheets
on site
Training & information provided
Risk Assessment conducted
Records kept

Dangerous Goods Checklist

Are dangerous goods used
Are flammable & combustible
liquids stored
Is LPG used
Are welding sets used
Are explosives used

Work Permit Checklist

Confined Spaces Permit
Hot Work Permit
Services Impairment Permit

Certification & Qualifications

Checklist
Site register
Scaffolders hold correct
certificates
Dogmen & riggers hold correct
certificates
Crane & hoist operators hold
correct certificates
Forklift operators hold correct
certificates
Earthmoving equipment
operators hold correct
certificates
Welders hold appropriate
qualification cards
Plumbers & electricians licensed
Trainees under adequate
supervision
Access to certificate assessors
for trainees

40
Public Safety Checklist
Complied with local government
requirements
Site secure
Traffic properly managed
Public protected from dust &
debris
Work in public space properly
managed

Personal Protection Checklist

Worker PPE needs identified
PPE signs posted where
necessary
Adequate PPE provided
Workers understand need for
PPE
Workers trained to use of PPE
PPE being adequately monitored
PPE inspected & replaced as
necessary
PPE needs reviewed

Demolition Checklist
Building checked for asbestos
All services identified
Power & gas disconnected
Fire services available
Demolition sequence planned
Demolition tools & equipment
used safely
Workers protected from falls
Public properly protected
Rigging work done safely
Are suspended floors safe for
loads

Trenching & Excavation

Checklist
All underground services located
Earthmoving plant used safely
WorkSafe notified (1.5 Metres
+)
Workers protected from trench
collapse (1.5 Metres +)
Are confined space precautions
needed
Are people safeguarded from
falling into excavations
Safe access to trenches & shafts
Observer present when worker
below ground
Open excavation regularly
inspected

41
Formwork & Trenching
Checklist
Falsework system properly
designed
Falsework properly constructed
Formwork laid safely
Steel fixing undertaken safely
Wall & column shutters safely
lifted & properly secured
Concrete pumps used safely
Kibbles used safely
Concrete vibrators used safely
Concretors working safely
Formwork stripped safely

Electrical Hazards Checklist

Switchboards properly
constructed & set up (tested &
tagged monthly)
Circuits, portable equipment,
plant & tools protected from
earth leakage
Correct GPO’s being used
Portable outlet devices suitable
Cabling protected from
mechanical damage
Power tools & leads in safe
condition (tested & tagged
quarterly)
Certificates of electrical safety
issued
Have RCD’s been tested
Portable generators suitable
Leads set out safely
Plant & temporary structures a
safe distance from power lines
Overhead power lines dis-
connected or fitted with tiger
tails
Electrical installation & repair
work undertaken safely

Scaffolding Checklist
Scaffolding costs allowed in price
Scaffolders properly certified
Scaffolding strong enough for
loads
Scaffolding stable
Scaffold protects workers &
other people
Safe access to every scaffold
platform
Scaffolds safe distance from
power lines
Scaffolders working safely
Scaffold users working safely
Scaffolds regularly inspected

42
Powered Mobile Plant
Checklist
Operators certified or qualified
Operator trained in particular
machine
Plant registered with WorkCover
Plant properly maintained,
checked & serviced
Plant fitted with reversing
beepers
Roll-over protective structures
Falling object protective
structures
Plant operated safely
Safety harnesses used as
necessary
Unattended plant secure

Roofing Checklist
Safe access to roof areas
Existing roofs checked
Workers protected from falling
off edges
Workers protected from falling
from incomplete roofs
Workers protected from falling
through skylights & penetrations
People protected from dangers
of falling materials
Roof workers tools & equipment
used safely
Roof workers have appropriate
footwear
Roof workers protected from UV
& glare

Bricklaying Checklist
Sufficient space set aside for
deliveries
Cement mixers used safely
Bricklayers scaffolds properly
constructed
Bricklayers using scaffold safely
Barrow hoists properly set-up &
used safely
Brick cleaning being done safely
Bricklayers protected from UV
rays

Fit-out & Finishing Checklist

Tools & equipment used safely
PPE being used where
appropriate
Mobile scaffolds used safely
Ladders used safely
Manual handling tasks done

43
safely

Tilt Panel & Steel Erection

Checklist
Riggers properly certified
Erection sequence properly
planned
Sufficient craneage
Cranes correctly sited & set up
Erectors working safely @
heights
Structural members correctly
secured
Multi-crane lifts done safely

Injury Management Checklist

Can injured workers be kept
working
Return to work plans
Injured workers offered suitable
employment
Disputes resolved on return to
work

Workers Compensation
Checklist
The correct WorkCover premium
Subcontractors have correct
WorkCover premium
WorkCover poster displayed
Injury register
WorkCover claim forms available
Workers claims accepted
Properly paying injured workers

Accidents & Incidents

Checklist
Injured person properly
attended & treated
Emergency services notified
WorkCover notified
Superintendent notified
Accident or incident area
isolated
Site incident register updated
Incident or accident properly
investigated
Improvements made to prevent
repetition

Publicly Accessed Sites

Checklist
Worker protection considered
Syringe disposal system
available
Other site related hazards

44
Owner Occupied Site
Checklist
Coordination arranged with
Principal
Principal’s Management and
Worker OH&S Representatives
involved

45
13 Non Conformance Report
Form
The Superintendent or the Superintendent’s Representative shall complete
the attached Non Conformance Report where areas of non-conformance are
identified as a result of inspections of Contractor operations.

The report should be issued following consultation with the Contractor

Representative and an agreed time frame should be documented on this
report for the rectification of issues.

Where the Contractor does not rectify the issue within the agreed timeframe
a second Non-Conformance report may be issued or the Principal may
consider suspension or termination of the contract if the issue is of sufficient
significance.

The following information should be recorded on the Non Conformance

Report:

 Details of non conformance

 Actions required
 Completion date
 Verification of completion

Details of Non Conformance

Specific details of non-conformance, which may include:

 Any plant or equipment involved

 Any chemicals or hazardous substances involved
 Safe Work Method Statements not followed
 Any other physical aspects
 Nature of the risk
Actions Required
Actions agreed to by all parties following consultation, and that should
adequately address the identified non-conformance. This may take the form
of specific control measures and should take into account the hierarchy of
controls.
Completion Date
The agreed timeframe by which the Contractor should have implemented
the actions documented in the Non Conformance Report.
Verification of Completion
The Superintendent or Superintendent’s Representative should verify that
the agreed actions have taken place on or soon after the agreed Completion
Date. Where the actions are complete the Superintendent’s Representative
and Contractor should sign the Non Conformance Form and file with
Contract documentation.

46
47
 Non Conformance Report
Contractor: Superintendent or Representative:
Contract Name: Contract No:
Contractor’s Representative: Telephone: Fax:
Telephone: Fax:
Signature: Date: Signature: Date:

Verification
Completion
Details of Non Conformance Action Required of
Date
Completion

Comments:

65
14 Contractor OH&S
Performance Report
The Contract Manager is to report on Contractor OH&S Performance to
the Project Control Group using the Contractor OH&S Performance
Report.

At the completion of the contract, the contract manager is to complete

the Summary Contractor OH&S Performance Report to be presented to
the Principal and retained on file with other contract documentation.

65
 Contractor OH&S Performance Report
Contract Name: Report for the month of:
Contract Number: Prepared by:
Contractor: Date:

Performance Indicators

Current
Indicator Mthly Avge Total
Month
No of Safe Work Method Statements
which apply on site
Number of OH&S Workplace Inspections
undertaken by the Contractor
Number of non-conformances identified
by the Contractor
Number of lost time injuries
Working days lost due to injury
Number of hazard inspections conducted

Status of Injured Personnel and Property Damage

Date of Days Lost Return to Work

Name/Item Injury/Damage Current
Incident Total Forecast Actual
Month

OH&S Corrective Actions

Status

Nature of Corrective Action Open Closed Comments

Outcomes of OH&S audits/inspections
Comments/Outcomes:
Comments on OH&S Performance
Contract Manager:
Contractor Representative:

Summary Contractor OH&S Performance Report

Contract Name:
Contract Number: Prepared by:
Contractor: Date:
Project Specific Risks:
Performance Indicators
Indicator Total
No of Safe Work Method Statements prepared:
Number of OH&S Workplace Inspections undertaken by the Contractor:
Number of non-conformances identified by the Contractor and corrected
Number of lost time injuries:
Working days lost due to injury:
Summary Contractor OH&S Performance Report
Number of deaths:
Number of non-conformance reports issued:
Comments on Contractor OH&S Performance
Contract OH&S Structure and System:
Contract induction and safety training:
Safe Work Method Statements:
Health & Safety Coordination Plan:
Workplace health and safety inspections:
Emergency procedures:
Incident recording and investigation:
Health and safety performance
monitoring:
Contractor Representative:

Signature: Date: