Workplace Auditing OHSW&IM
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2. Workplace OHSW&IM System Self-Assessment
3. Outcomes of Workplace Self-Assessment and Internal Audits
Purpose
This procedure outlines the requirements for each workplace in the University to self-assess its Workplace OHSW&IM Management Systems.
Planning and Assurance Services (PAS) will carry out Internal Auditing of OHSW&IM in accordance with the University of South Australia Internal Audit Plan and PAS procedures. Procedures for PAS Internal Audits are outside the scope of this procedure; however, responsibilities are outlined for responding to the outcomes of both workplace self-assessments and Internal Audits covering the University OHSW&IM System, legislative compliance and injury management.
The outcomes of all audits will be used to enhance the OHSW&IM Management System, to achieve improvements in overall occupational health and safety performance and contribute to the University meeting its strategic goals.
Definitions
Audit – a systematic examination against defined criteria to determine whether activities and related results conform to planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve the organisation's policy objectives.
Workplace Self-Assessment – an assessment of the workplace OHSW&IM system to determine the level of implementation of workplace OHSW&IM action plans, carried out by a competent person appointed by the line manager.
Internal Audit – an independent audit carried out by a competent person, appointed by Planning and Assurance Services, in accordance with the Internal Audit Plan approved by the Audit and Risk Management Committee.
OHSW&IM Management System – the part of the overall management system which includes organisational structure, planning activities, responsibilities, practices, procedures and resources for developing, implementing, achieving, reviewing and maintaining the OHSW&IM policy and so managing the risks associated with the business of the University.
Non-conformance or non-compliance - represents a non-fulfilment of a specified requirement and should be given the highest priority when determining corrective actions.
Observations or areas requiring attention - these findings represent a non-fulfilment of a specified requirement and are recognized as being a lower risk to UniSA. They may be a once off situation or a minor deviation from the criteria being reviewed, that have little or no risk attached to them.
Process improvement – a suggestion regarding an improvement of the element being audited.
Roles and Responsibilities
Planning and Assurance Services is responsible for:
coordinating, scheduling and conducting the OHSW&IM Internal Audit Plan as approved by the Audit and Risk Management Committee, in consultation with senior managers and line managers.
OHSW Services is responsible for:
- providing training of assessors and assisting workplaces with self-assessment
- assisting line managers with technical advice and assistance with regard to rectifying non-conformances from internal audits and workplace self-assessments.
Line Managers are responsible for ensuring that:
- workplace OHSW&IM Self-Assessments are conducted at least annually
- results from any internal audit or workplace self-assessments conducted of workplace OHSW&IM systems are communicated and discussed with staff.
- recommended actions from reports are included in workplace action plans and implemented.
- six monthly reports are prepared in relation to the level of implementation of the Workplace OHSW&IM Action Plan as per form OHSW7 – OHSW&IM Performance Reviews.
Workplace Assessors are responsible for:
- planning and conducting workplace self-assessments
- reporting on findings and non-conformances
- verifying that agreed corrective actions adequately address detected system or procedural deficiencies, non-conformances and process improvements.
Procedure
1. OHSW&IM Audit Requirements
Planning and Assurance Services will ensure the coordination of internal OHSW&IM System audits across the University as defined in the Internal Audit Plan. Workplaces will be notified in writing of an impending audit by PAS.
Line managers should conduct workplace self-assessments to identify gaps within their own system and to ensure continuous improvement for preparation of the six monthly reviews on form OHSW7 – OHSW&IM Performance Reviews
2. Workplace OHSW&IM System Self-Assessment
Workplace OHSW&IM System Self-Assessment are to be conducted using form OHSW 4 – Workplace OHSW&IM System Assessment.
OHSW 4 – incorporates the performance measures from some OHSW Procedures. These include:
- hazard/incident management
- hazardous substances
- training
- consultation.
Performance measures from other key procedures relevant to a particular workplace should also be included.
Workplaces should conduct a Workplace OHSW&IM System Self-Assessment at least annually to assist with OHSW&IM planning and the development of workplace action plans.
Workplace OHSW&IM assessors are to receive appropriate training and are to be kept up to date with relevant standards and requirements to enable them to perform their assessments competently.
3. Outcomes of Workplace Self-Assessments and Internal Audits
The assessor or auditor is to inform the Line Manager immediately if areas of concern are identified in regards to any possible breach of OHSW legislative requirements and/or potentially imminent risk and recommend any action to remedy the situation.
Line Managers shall consider the outcomes of workplace self-assessments and relevant Internal Audits conducted under the Planning and Assurance Services Internal Audit Plan. The Workplace OHSW&IM Action Plan should be modified to include necessary actions or process improvements.
Any action resulting from self-assessments and audits conducted are to be taken into consideration when performing a systematic review of the organizational needs and to contribute to OHSW7 - OHSW&IM Performance Review
Copies of the Workplace OHSW&IM System Self-Assessment report and Workplace OHSW&IM Action Plan are to be provided to the Manager, OHSW Services.
Performance Measures
- All workplaces have had a Workplace OHSW&IM System Self-Assessment conducted within a 12 month period.
- 95% of non-conformances identified in any workplace self-assessment or internal audit have been either resolved or, if not, included in an action plan for resolution.
Documents/Forms
References
University OHSW&IM Strategic Plan (PDF 358kb)
University OHSW&IM Management System (PDF 250kb)
Occupational Health Safety and Welfare Act 1986
Occupational Health Safety and Welfare Regulations 1995
Workers Rehabilitation and Compensation Act 1986
AS/NZS 4804: 2001 Occupational Health and Safety Management Systems – General guidelines on principles, systems and supporting techniques
AS 4801: 2001 Occupational Health and Safety Management Systems – Specification with guidance for use
WorkCover Corporation Self Insurer Performance Standards and the Natural Consequences Model