CHEMICAL AND ALLIED INDUSTRIES’ ASSOCIATION ......2009/01/04 · CHEMICAL AND ALLIED INDUSTRIES’ ASSOCIATION RESPONSIBLE CARE HEALTH AND SAFETY: AUDIT GUIDANCE DOCUMENT Date:

CHEMICAL AND ALLIED INDUSTRIES’ ASSOCIATION RESPONSIBLE CARE

HEALTH AND SAFETY: AUDIT GUIDANCE DOCUMENT

Date: January 2009 Revision 4

Health Safety AGD Rev 4 January 2009.docx

Name of Responsible Care Signatory Organisation ………………………………………...…………………………………………………...... Name of Site being Audited ……………………………………………………………………………………………….. Responsible Care Management Representative Name ………………………………………Signature …………………………………… Authorised by Subsidiary Division/Business Unit/Facility CEO Name ………………………………………Signature …………………………………… Date of Internal Audit ……………………………………………………………………………………………….. Internal Auditor Name ………………………………………Signature …………………………………… Tel No. ……………………………………………………………………………………………….. Fax No. ………………………………………………………………………………………………..

E-mail ………………………………………………………………………………………………..




Not scored – Not applicable

0 = No program 2 = documentation exists, but requires improvement

1 = Practice and program exists, but no documentation 3 = Practice in place 4 = Practice in place maintained

Page 1 of 26

ORGANISATION, RECRUITMENT AND SKILLS DEVELOPMENT

1. Ensure availability of security procedures, systems and facilities to control entry and exit of personnel and materials at worksite.

Elements Subsidiary Elements Comments Score

1.1 All possible security risks have been assessed.

a) An assessment is made of the site for possible security risks, which is formally documented.

1.2 Suitable access control measures and procedures have been implemented for the identification, authorisation and control of all persons and vehicles accessing the premises.

a) The facility is protected with controls, appropriate to the risk involved, such as perimeter controls, lighting and patrols.

b) Access to the company premises is controlled.

c) Procedures are implemented for the control of materials and goods entering and leaving the site.

1.3 Adequate security personnel who are properly trained are available.

a) The effectiveness of the controls is evaluated.

b) The training requirements for the security personnel to effectively undertake their job are identified.

c) Formal training curricula are developed and implemented.

d) Records are maintained on who has been trained, the training received and when training was undertaken.

e) Formal job descriptions are compiled.

1.4 Adequate security procedures for the investigation of any incidents involving company property have been implemented.

a) Formal security procedures for the investigation of incidents are implemented.

b) All documentation relating to incident investigations is maintained.

Total Score

Average Score







Page 2 of 26

2. Investigate and report timeously appropriate corrective action and follow-up of each incident which resulted or could result in occupational illness or injury, fire, explosion or accidental chemical release.


2.1 All incidents are investigated and reported on by trained, competent persons, to identify basic causes and proposed corrective action.

a) Formal procedures are implemented for the process to be followed in the event of an incident.

b) The responsibility and authority for handling and investigating incidents and for initiating and completing corrective and preventative action is formally allocated to responsible employees.

c) The training needs of the responsible personnel are identified, appropriate training programmes implemented and competency confirmed. Records are maintained of who has received training, in what, when and by whom.

2.2 The Health and Safety Committees and management consider the incident report and agree on corrective actions.

a) Incident reports are discussed at the Health and Safety Committee meetings.

b) Minutes of meetings are maintained which, include the issues discussed and agreement of actions to be taken and by whom.

2.3 System is in place for implementing agreed actions and for follow-up until actions are completed.

a) Formal procedures are implemented for undertaking and monitoring corrective action.

b) Responsible employees are formally allocated with the responsibility of implementing corrective action.

c) Regular updates on the progress of implementation of corrective action are formally issued to senior management for review and monitoring.

2.4 Incident statistics are kept, displayed, analysed and reported upon.

a) Formal procedures are implemented for the appropriate storage and retrieval of the incident data and information.

b) Incident statistics are reviewed and trends analysed and corrective action identified.

c) Incident statistics, trends and corrective action are prominently displayed within the company and included in annual reports.

d) Records of documentation issued in compliance with the legal requirements are maintained.

Total Score

Average Score







Page 3 of 26

3. Create opportunities for employees to participate in developing, implementing and reviewing health and safety programmes, specifically through the Health and Safety Committee and in accordance with the OH&S Act.


3.1 System of Health and Safety representatives and Committees are in place.

a) Health and safety representatives are trained, formally appointed and Health and Safety Committees are established.

3.2 Workplace inspections by Health and Safety representatives are undertaken and written reports are available.

a) A formal programme of inspections is developed and implemented.

b) Results of inspections are documented and records maintained.

3.3 Inspection reports are considered by Health and Safety Committee.

a) Inspection reports are formally issued to members of the Health and Safety Committee.

b) Discussion of inspection reports is an item on the agenda at the Committee meetings.

c) Minutes of meetings are recorded and maintained.

d) Copies of the final reports are signed by the Health and Safety Representatives.

3.4 Existing and proposed Health and Safety policy, programme and procedures are regularly reviewed by the Health and Safety Committee.

a) The Health and Safety policy, programme and procedures are regularly reviewed at the Health and Safety Committee meetings.

3.5 Employees participate in health and safety management audits.

a) Formal procedures are implemented to ensure that employees and safety representatives participate in audits.

b) Records are maintained of employees that have participated in the audit process and their position within the company.

3.6 Incident reports are considered by Health and Safety Committee.

a) Incident reports are formally issued to Health and Safety Committee members.

b) Discussion of incident reports is included as an agenda item at the Health and Safety Committee meetings.

3.7 Health and safety discussions, incident recall or other health and safety activities are held in the workplace.

a) Various communication activities are implemented for interaction with employees in the workplace.

b) Records of discussions and a register of attendees are maintained.







Page 4 of 26

3. Create opportunities for employees to participate in developing, implementing and reviewing health and safety programmes, specifically through the Health and Safety Committee and in accordance with the OH&S Act.


3.8 Active health and safety suggestion scheme or similar mechanism is in place.

a) Various mechanisms are established to obtain input from employees on health and safety issues.

b) Responsible personnel are formally allocated to address employees concerns.

3.9 Employees are informed of their occupational, health and safety rights and responsibilities in the workplace.

a) Employees receive induction training on appointment that includes issues related to their occupational health and safety rights and responsibilities.

b) These issues are also addressed during refresher training.

c) Ongoing awareness raising is implemented through e.g. the use of posters and discussion groups.

d) Records are maintained of the training that has been received by each employee and the date of training.

3.10 Mechanism has been established for employees to consult with health and safety specialists.

a) Formal procedures are implemented regarding employees’ consultation with health and safety specialists.

b) Procedures are formally communicated to all employees.

c) The service is made available to all employees.

Total Score

Average Score







Page 5 of 26

4. Undertake risk assessments to evaluate the impacts of workplace hazards on employees, e.g. exposure assessments and safety analysis to evaluate hazards to employees from processes and equipment. Implement operational procedures which safeguard the health and safety of the employees and others, based on the results of the risk assessments.


4.1 Risk assessments are undertaken by suitably qualified persons.

a) Records are maintained of employees and external experts that have the necessary training and experience in risk assessment.

b) A record is maintained of all personnel that have been involved in the evaluation process and their qualifications.

4.2 Risk assessments are formalised and consider all aspects of the business and its processes.

a) Formal procedures are implemented for undertaking risk assessments and subsequent review of risk assessments throughout the business. Aspects which may be considered include:

• Equipment hazards (machine guarding etc.)

• Physical and ergonomic hazards (e.g. noise)

• Chemical hazards

• Biological hazards

• Housekeeping

• Major incident scenarios

• Results of biological monitoring

• Results of occupational hygiene monitoring

b) Risk assessments are documented and retained.

4.3 Risk assessments are conducted to a level of detail which is appropriate for the hazards. The effectiveness with which risk assessment actions are completed is audited and reported to line management.

a) Formal procedures are implemented for the identification and assessment of risks, and mitigation mechanisms to reduce potential risks in activities at the workplace. The type of risk assessment is appropriate to the hazard being assessed.

b) Formal operational procedures which safeguard the health and safety of employees and others are developed and implemented on the basis of the results of the risk assessments.

c) A formalised audit/monitoring programme is in place to monitor the effectiveness of the procedures that have been implemented.

Total Score

Average Score







Page 6 of 26

5. Train all employees to reach and maintain proficiency in safe work practices and the skills and knowledge necessary to perform their jobs and ensure of proof of competence. Demonstrate and document skill proficiency prior to assignment to independent work and periodically thereafter.


5.1 Training needs have been identified. a) An analysis is undertaken of the skills and knowledge requirements for each job category.

b) An assessment is undertaken of the level of skills and expertise of the employees in each job category, level of responsibility, literacy and risk.

c) The training needs for each employee to reach and maintain proficiency to perform their work safely and in accordance with laid down procedures is determined and regularly reviewed.

5.2 Written curricula for training are in place. a) Formalised training curricula/procedures which include safety and health aspects are developed and implemented.

b) Formal criteria are developed and implemented for health and safety issues that are used to assess the performance of employees during their annual performance appraisals.

5.3 Initial and refresher training is provided for all employees that includes the health and safety aspects of the job.

a) All employees undertake induction training and periodic refresher training courses.

b) Health and safety issues are included in the training curricula.

c) Records should be available of who has received training, in which courses, when and by whom.

5.4 Criteria have been established and documented for the competence of instructors to ensure that only competent instructors are used.

a) The qualification, knowledge and skill requirements of instructors for implementing the various training programmes are established and documented.

b) Formal procedures are in place for the selection of appropriate instructors for specific training programmes.

c) Records are maintained of the instructors and their qualifications.

d) The effectiveness with which training is carried out is determined periodically.

5.5 Employees are made aware of and are held accountable for compliance with the requirements of the workplace procedures

a) Employee capability to perform effectively to the laid down procedures, standards etc is determined on a regular basis and corrective actions developed as necessary.







Page 7 of 26

5. Train all employees to reach and maintain proficiency in safe work practices and the skills and knowledge necessary to perform their jobs and ensure of proof of competence. Demonstrate and document skill proficiency prior to assignment to independent work and periodically thereafter.


5.6 All training is documented to provide a permanent record of who has been trained, date of training, nature of training and effectiveness.

a) Records are maintained of the training matrix developed for the company and all employee training.

b) Records are maintained of the certified courses attended by employees, the date of training and the instructor.

5.7 Proof of competency is required for personnel performing tasks that impact on health and safety in the workplace.

a) Formal procedures are implemented that cover the process to formally test the skills proficiency of employees against the qualification criteria for the activities to be undertaken before the employee is assigned to independent work.

b) Ongoing competency checks are undertaken through observation of performance on the job and a review of incident records.

c) The results of the testing and competency checks are documented and recorded.

5.8 Operating procedures are documented and used as a basis for training.

a) Complete up to date safe operating procedures are available for all tasks.

b) Operating procedures are updated and revised when operational changes are made. Updated documents are signed and dated.

c) Training curricula are based on the operating procedures. Curricula are revised where necessary when changes are made to the operational procedures.

Total Score

Average Score







Page 8 of 26

6. Establish authorised procedures and work practices for safe operating and maintenance activities, including initial commissioning, start-up, normal running and emergency procedures.


6.1 Procedures are documented, up-to date and authorised by a nominated, competent person.

a) Written operating and maintenance procedures are available.

b) Where change is contemplated the impact of such change on operating procedures is assessed and, as appropriate, revised operating procedures prepared, issued and training given before the change is implemented.

c) The date of issue of the procedures and dates of all revisions are shown on the procedure; review dates are scheduled.

d) The procedures are signed by the person who has been formally assigned responsibility to ensure they remain current and appropriate.

6.2 Procedures cover initial commissioning and start-up, normal operation (i.e. start-up, normal running, shutdown, maintenance) and defined emergencies.

a) All tasks involved in implementing a procedure are assessed and, appropriate and comprehensive instructions to safely accomplish these tasks are included in the written procedures.

6.3 Safe operating limits are specified, the consequences of deviations and appropriate corrective action.

a) The written operating procedures clearly specify the safe operating limits, safety systems and their functions, the consequences of deviation and the steps required to correct the situation.

6.4 A system is available for review and revision of procedures and work practices as appropriate when modifications are made.

a) Formal procedures are implemented for reviewing and updating the operating procedures and work practices.

6.5 A documented work permit system is in place which covers any operating, maintenance or modification activity

a) A formal work permit system is implemented, which covers all work activities.

b) The work permits are authorised by designated persons. The responsibilities and duties of the designated employees are documented (e.g. included in the job descriptions and in the letter of appointment).

Total Score

Average Score







Page 9 of 26

7. Conduct health assessments, based on job specifications, to determine employee medical fitness for specific job tasks by medical personnel who are familiar with workplace conditions.


7.1 Job specifications have been prepared for every job.

a) Job specifications are current and documented for each job.

b) All safety critical jobs have been identified.

c) Job specifications include relevant and pertinent health and safety information covering all stages of the job including but not limited to equipment, raw materials and processes.

7.2 Pre-employment and transfer medicals are undertaken for each prospective employee or transferee, according to the job specifications.

a) Employees whose work could expose them to health hazards are identified.

b) Medical examinations, including pre-employment and transfer assessments, are undertaken on the identified employees.

c) Records of medical examinations are maintained in accordance with legal requirements or, where such legal requirements are not specified, for the life of the plant plus 10 years.

7.3 The medical personnel conducting the medical examinations and assessing persons for jobs are familiar with workplace conditions.

a) Medical personnel receive training on all activities in the workplace and their associated health and safety risks.

Total Score

Average Score







Page 10 of 26

EMPLOYEE AND CONTRACTOR – HEALTH AND SAFETY

8. Design programmes to assure that employees in safety critical jobs are fit for duty and are not compromised by external influences, including alcohol and drug abuse.


8.1 Employee assistance programmes are available to assist employees in dealing with personal problems

a) Employees have access to an employee assistance programme which can assist them with counselling on personal problems.

b) Details regarding the availability of employee assistances services are communicated to all employees.

c) Where the business operates an internal employee assistance programme, the responsibility for facilitating this is formally allocated to a responsible person in the company.

8.2 An employee education programme is in place that includes alcohol and drug abuse, as well as lifestyle problems and primary health care.

a) Formal training curricula are developed and implemented.

b) A programme schedule is developed that is communicated to all employees.

c) Awareness raising and educational material is available to all employees.

8.3 Security personnel, managers and supervisors are trained to observe employees and recognise symptoms of alcohol or drug abuse.

a) Formal training curricula include issues related to alcohol and drug abuse and the observation of associated symptoms in staff members.

b) Records are maintained of employees that have received training and when the training was received.

8.4 Company policy and procedures are in place that cover the exclusion from the workplace of employees suspected of being under the influence of alcohol or drugs.

a) A formal written policy and associated procedures are implemented that details the procedures to be implemented in the event of a staff member being found unfit to perform his / her duties.

b) The policy is communicated to all employees.

c) The policy is covered in the induction training for new employees. Induction forms are signed by each employee acknowledging understanding of the policy and procedures.







Page 11 of 26

8. Design programmes to assure that employees in safety critical jobs are fit for duty and are not compromised by external influences, including alcohol and drug abuse.


8.5 Regulatory requirements are complied with.

a) A current legal register is maintained of health and safety related legislation.

b) A person is nominated in writing to ensure legal register is kept up to date.

c) Formal procedures are implemented for reviewing relevant legislation and for updating the legal register.

d) Procedures are implemented to ensure that all employees have a current understanding of the legal register as far as it applies to them and their job.

e) Employees are formally assessed on this understanding.

Total Score

Average Score







Page 12 of 26

9. Tailor employee occupational medical surveillance programmes to worksite hazards, including workplace risk assessments and appropriate medical examinations.


9.1 Specific workplace occupational health risks are identified and quantified.

a) Formal procedures are implemented for undertaking occupational health risk assessments.

b) The health risk assessments are signed and dated by the competent responsible person whose responsibilities are described in their job description and letter of appointment.

9.2 Workplace risk assessments and job specifications are used to identify the requirements for the medical surveillance programme and periodic examinations.

a) Formalised procedures for health risk assessment are in place.

b) Medical surveillance programmes are in place where the risk assessment or legislative requirements has indicated their necessity.

c) Records of the results of the surveillance programme and associated reports are maintained in a central and secure place and are under the control of a designated medical professional.

9.3 Appropriate periodic medical examinations are undertaken on all employees who are identified as being exposed to chemical or biological agents or any physical or ergonomic hazards, which may be detrimental to

employees’ health.

a) Employees are identified that are at risk from exposure to health hazards.

9.4 The results of such medical surveillance are compared with the results of exposure assessments.

a) The results of the medical surveillance are analysed and form the basis against which corrective action are implemented. .

9.5 Company policies and procedures are in place that cover the action to be taken in the event of an employee being found unfit for their current job as a direct consequence of exposure to workplace hazards. Such a policy is in the spirit of Responsible Care and current labour legislation.

a) Formal company policies and procedures are implemented that cover the action to be taken in the event of an employee being found unfit for their current job due to exposure to workplace hazards.

b) The policy incorporates the legal requirements, as well as the principles of Responsible Care.

c) The policy and procedures are communicated to all employees and are publicly displayed in the workplace.

d) The policy and procedures are included in the induction training curricula.







Page 13 of 26

9. Tailor employee occupational medical surveillance programmes to worksite hazards, including workplace risk assessments and appropriate medical examinations.


Total Score

Average Score







Page 14 of 26

10. Provide emergency medical assistance for people at worksites, including first aid facilities and training.


10.1 First aid facilities and training are provided in accordance with legislative requirements.

a) A survey is undertaken of the site to assess the legal requirements for facilities, in accordance with job activities and employee distribution. Records are maintained of the surveys.

b) Responsible employees are formally appointed and trained to provide first aid assistance in the event of an emergency on site.

c) Records are maintained of employees that have received first aid training, the programmes undertaken and the date training was received.

10.2 First aid boxes are properly equipped for specific emergencies that could arise at the site. The boxes are checked regularly and first aiders are trained for site-specific emergencies.

a) An assessment is undertaken of the specific emergencies that may arise at the different job activities and the recommended first aid requirements. Records are maintained of this assessment.

b) The first aid boxes are equipped in accordance with legislative requirements and an assessment of the emergencies that may arise. A first aid box equipment list and a record of usage is maintained.

c) An inspection schedule is implemented for appointed persons to check the contents of the first aid box against the specified equipment list.

d) Inspection forms are signed and dated by the responsible person.

e) Appropriate training programmes are developed and implemented for first aiders that are based on the specific emergencies that could arise.

10.3 Procedures are in place for obtaining the necessary expert medical treatment without delay when more than first aid is necessary.

a) Formalised procedures are implemented on the action to be taken in the event of an emergency.

b) The duties and the responsibilities of designated employees in the event of an emergency are formalised.

c) The contact details of medical personnel and services are current and available to designated employees.

10.4 Relevant procedures for emergency medical response and/or antidote administration are easily available to designated and appointed emergency medical personnel.

a) Procedures for handling specific hazards and associated medical emergencies are documented.

b) Emergency medical personnel are trained in the administration and storage of antidotes.







Page 15 of 26

10. Provide emergency medical assistance for people at worksites, including first aid facilities and training.


Total Score

Average Score







Page 16 of 26

11. Select, maintain and use appropriate systems to verify health and safety equipment.


11.1 A responsible person is appointed to provide overall co-ordination of the PPE programme.

a) Designated employees are formally appointed with the overall responsibility for coordinating the PPE programme.

b) The responsible person ensures that all employees are formally informed of the correct PPE to be used for their job and trained how this must be worn.

11.2 Specific PPE requirements are identified and assessed.

a) A job specific risk assessment is used to identify the PPE requirements.

b) Operating procedures are current and include the PPE requirements for each job.

c) Formal procedures are implemented that cover review and updating of the PPE requirements when operational changes are made.

11.3 PPE is selected, tested and approved on a scientific basis by authorised, competent persons with user involvement.

a) A trained and formally appointed employee carries the overall responsibility for verifying the correctness of PPE purchased and used.

b) The selection and use of appropriate PPE is based on the identified occupational health hazards.

c) Manufacturers’ specifications are available for the selected PPE.

d) A formal consultation process is implemented to ensure that employees are consulted during the selection process.

e) A record is kept of the all decision make in regard to PPE.

11.4 Procedures and specifications for the selection of PPE are documented.

a) Formal procedures are in place for undertaking risk assessments and evaluating potential health risks for the required PPE.

b) PPE selection criteria are formally documented.

11.5 A record is kept of all PPE issued. a) Employees sign control forms on receipt of PPE.







Page 17 of 26

11. Select, maintain and use appropriate systems to verify health and safety equipment.


11.6 PPE is checked on a regular basis by employees and supervisors and maintained or replaced as necessary.

a) Formal procedures containing guidelines to assess the fitness of PPE are implemented for regularly checking PPE.

b) Standards are implemented for the care and maintenance of the PPE, as well as a schedule and criteria for replacement.

c) A written record is maintained of the inspection date, name of the inspector and associated comments.

11.7 Employees are trained in the safe use and care of PPE.

a) Formal procedures on the care and use of PPE are implemented. Induction training and refresher training curricula cover the use of PPE.

b) Participation by employees at demonstrations by suppliers, is arranged.

Total Score

Average Score







Page 18 of 26

12. Include provisions in tender and contract documents for contractors either to have programmes for their own employees consistent with applicable sections of this code, or to be included in the member company’s programme, or some combination of the two.


12.1 Enquiry/tender documents clearly specify the company’s safety and health requirements.

a) The company’s policy on the appointment of contractors is formally documented.

b) Tender documents include clauses that cross reference legislative requirements and requirements specific to the site.

c) Health and safety requirements are included in the documented site rules that are issued to contractors.

12.2 Contract documents between the contractor and company specify the way in which the health and safety requirements will be applied at the site. Company response to the contract or non-compliance should be clearly stated and understood by all persons concerned.

a) Health and safety requirements at the site are included in the completed and signed contracts between the company and contractor.

b) Clauses in the contract cover the action to be taken for non-compliance.

c) Health and safety requirements are covered during the contractor employee induction process. Records are maintained of the training undertaken and the date of training.

12.3 A programme is in place to inspect/audit the contractor’s activities and facilities to ensure compliance with the agreed contractual conditions.

a) The company policy on the appointment of contractors makes provision for the auditing and inspection of the contactor’s activities and facilities.

b) The contract between the company and the contractor cover the process to be implemented for audits and inspections.

c) Audit checklists are compiled by an appointed company employee and an inspection programme developed and implemented.

d) Records of the results of the audits and inspections are maintained.

12.4 A person is specifically appointed to control contractor activities and liaise with contractors.

a) An employee is formally designated responsibility for liaison with contractors and auditing their activities.

b) Duties and responsibilities are documented.







Page 19 of 26



12.5 Legal documents and other legal requirements are available for inspection.

a) The legal requirements for compliance by contractors are documented.

b) The contract places the onus on the contractor to familiarise himself with the legislative requirements and compliance with same.

c) Documents that confirm compliance by the contractor to relevant legislation are maintained and available for inspection by the company.

d) Legal compliance by the contractor is audited by the company and the results of the audits recorded.

12.6 A documented procedure is in place for the site specific health and safety training of contractors’ personnel, including training on-site emergency procedures.

a) Formal procedures are implemented that cover health and safety issues for the contractor.

b) Contractor employees receive induction training that includes health and safety training programmes.

c) Records are kept of those employees that have successfully undertaken the training.

d) Contractors participate in emergency drills.

e) Records of training of contract employees by the company are maintained.

12.7 Provision is made for the routine medical examination or biological monitoring of contractor employees, where necessary.

a) The contract between the company and the contractor contains clauses covering the medical surveillance programme for the contractor’s personnel.

b) Monitoring programmes are developed and formally issued to the contractor.

c) Results of the monitoring programmes are formally issued to the contractor.

d) Records are maintained of the results of pre-employment and periodic medical surveillance.







Page 20 of 26



12.8 Provision is made for the inclusion of contractor personnel in industrial hygiene inspection programmes.

a) The contract between the company and the contractor covers the inclusion of contractor personnel in industrial hygiene inspection programmes.

b) Industrial hygiene inspection programmes are developed and formally issued to the contractor.

c) Results of the industrial hygiene inspection programmes are formally issued to the contractor.

d) The company maintains records of the results of the industrial hygiene inspection programmes.

12.9 Contractor injury/incident statistics are recorded and reported by either the company or contractor.

a) The contract between the company and the contractor covers the procedure to be followed in the event of an injury or incident.

b) Records are maintained of reports compiled in accordance with legal requirements.

c) Records of incidents statistics are maintained, as well as any documents associated with the incident.

d) All incidents are investigated and the outcomes used to implement corrective actions

Total Score

Average Score







Page 21 of 26

13. Provide functioning Occupational Health (Medical and Hygiene) Services which comply with specified standards.


13.1 Medical and hygiene staff are adequately trained and accredited.

a) Basic qualification criteria and hazard knowledge standards are established.

b) The level of competency required for medical and hygiene staff positions is specified and included in their job descriptions.

c) Medical and hygiene personnel are registered with the appropriate council.

13.2 The medical centre is adequately equipped to carry out the intended duties

a) The operational activities of the medical centre are evaluated and documented and the required equipment identified.

b) Lists are compiled of the basic and specific equipment that is available at the medical centre.

c) A schedule of equipment maintenance is developed and implemented and records retained.

13.3 Occupational hygiene equipment is correct and properly calibrated.

a) Calibration certificates for equipment are available.

13.4 Reporting lines to other company units and within the departments is clearly defined.

a) Reporting lines are shown in the company organisational chart and formalised in company procedures.

13.5 The health and safety department is consulted in the preparation of the company’s emergency plan.

a) The final documented emergency plan is signed by the relevant company personnel, including representatives of the Occupational Health Services.

b) Members of the Health and Safety department actively participate in the compilation of the plan. Minutes of Meeting, internal correspondence and associated reports are formally issued to the department and are retained

13.6 A formal action plan is in place for health and safety monitoring, in accordance to acceptable standards and practices.

a) A formal action plan is developed based on the health risk profile.

b) The action plan includes a programme of activities to be undertaken and the frequency of monitoring.

13.7 Written procedures are in place for the continuing efficiency and maintenance of good standards.

a) Performance and compliance with company procedures is audited on a regular basis. Results of audits are maintained. Corrective action is implemented based on the results of the audit.







Page 22 of 26

13. Provide functioning Occupational Health (Medical and Hygiene) Services which comply with specified standards.


13.8 Medical waste is correctly disposed of. a) Formal procedures are implemented for the proper management of medical waste.

b) Records are maintained of waste generated and disposed. Certificates of safe waste disposal are available.

13.9 Proof is available that correct and relevant action has been taken according to the results of environmental surveys and biological monitoring.

a) Recommendations of corrective action are based on the results of environmental surveys and biological monitoring.

b) A responsible employee is designated to ensure that corrective action is implemented and to monitor its effectiveness. The duties and responsibilities are included in the employee’s job description.

c) Records are maintained of all Minutes of Meeting and correspondence associated with implementation of corrective action.

13.10 Relevant advice and guidance is given to employees in regard to the findings of the surveys and monitoring.

a) Results of the surveys and the appropriate advice and guidance are formally issued to employees, in writing.

b) Records are maintained with all correspondence with employees.

13.11 Occupational health and safety staff are included in changes to process procedures.

a) Formal procedures define the responsibility of occupational health and safety personnel when changes in process procedures are considered.

b) Occupational health and safety personnel actively participate in discussions related to changes in process procedures.

Total Score

Average Score







Page 23 of 26

RECORDS

14. Maintain occupational health and safety records to protect employee rights, control information flow and comply with legislation.


14.1 Record retention complies with legal requirements.

a) The legal requirement for the retention of records is identified and documented.

b) Formal systems are implemented to ensure that records are appropriately stored.

14.2 Record control is exercised over the interaction of the company with external legislative or semi legislative bodies.

a) Records are maintained of all correspondence and documentation of the registration of the company with the Department of Labour and the associated rates assessment.

b) Control over the Compensation for Occupational Injuries and Diseases (COID) system and liaison with the commissioner is designated in writing to a responsible employee.

14.3 A statistical database is maintained on accidents, illness and other cases handled. These statistics form part of the Occupational Health and Safety Department’s annual report to management.

a) The statistics are included in the annual report formally issued to management by the Occupational Health and Safety department.

b) The performance of the company in this regard is included in the company’s Annual Report.

14.4 Systems are in place to ensure the employees right to confidentiality.

a) The written permission of the employee is obtained whenever information is requested.

b) Records are maintained of the approval of the employee for the use of information.

14.5 System is in place to ensure that employees have access to their own survey and medical records.

a) Formal procedures are implemented with regard to the rights of employees to results of medical surveys.

b) All employees are informed of this right during their induction training.

Total Score

Average Score


Health and Safety Audit Guidance Document


Page 24 of 26

ALIGNMENT WITH OTHER AUDITING SYSTEMS

RC Element No ISO 14001:2004 OHSAS 18001:2007 NOSA CMB253

1.1 4.3.1, 4.3.2 4.3.1, 4.3.2 3.08

1.2 4.4.5, 4.4.6 4.4.5, 4.4.6 3.08

1.3 4.4.2 4.4.2 3.08.3; 5.30; 5.30.1; 5.30.5

1.4 4.4.4, 4.4.5 4.4.4, 4.4.5 3.08.2

2.1 4.4.2, 4.5.3 4.4.2, 4.5.3 4.12 ; 5.30

2.2 4.4.1, 4.5.3 4.4.1, 4.5.3 4.11.2 ; 5.13 ; 5.13.3

2.3 4.5.3 4.5.3 4.12.4

2.4 4.4.3 4.4.3 4.13

3.1 4.3.2 4.4.1 5.12 ; 5.13

3.2 4.3.2, 4.5.5 4.5.5 1.14 ; 3.04 ; 5.11 ; 5.12 ; 5.40

3.3 4.3.2, 4.4.3, 4.5.5 4.3.2, 4.4.3, 4.5.5 5.13

3.4 4.2, 4.3.2 4.2, 4.3.2 5.13

3.5 4.3.2, 4.5.5 4.3.2, 4.5.5 5.12 ; 5.13

3.6 4.3.2 4.4.1, 4.5.3 4.11.3 ; 5.13

3.7 4.3.2, 4.4.2 4.3.2, 4.4.2, 4.23

3.8 4.3.2, 4.4.2, 4.5.3 4.3.2, 4.4.2, 4.5.3 5.23

3.9 4.4.3 4.4.3 5.30.2

3.10 4.3.2 4.4.1, 4.4.3 5.11.2

4.1 4.3.2, 4.4.2 4.4.2 5.11;5.12

4.2 4.3.2 4.3.1 5.02

4.3 4.3.2 4.3.1 5.02

5.1 4.4.2 4.4.2 5.30.1

5.2 4.4.2 4.4.2 5.30.1

5.3 4.4.2 4.4.2 5.12.3 ;5.21.1 ; 5.30.2

5.4 4.4.2 4.4.2 5.30.2

5.5 4.4.1 4.4.1 5.21.1

5.6 4.5.4 4.5.4 5.30.2

5.7 4.5.4 4.5.4 5.30.2

5.8 4.4.5, 4.4.6 4.4.5, 4.4.6 5.30.2

6.1 4.4.5 4.4.5 2.10 ; 2.12

6.2 4.4.6 4.4.6 2.10 ; 2.12

6.3 4.4.6, 4.5.3 4.4.6, 4.5.3 2.10 ; 2.12

6.4 4.4.5 4.4.5 5.07

6.5 4.4.6 4.4.6 5.52

7.1 4.4.1 4.4.1 5.32.2

7.2 4.3.2 4.4.6 5.32.2

7.3 4.4.2, 4.4.6 4.4.2, 4.4.6 5.32.2

8.1 4.4.1, 4.4.2 4.4.1, 4.4.2 5.15.4

8.2 4.4.2 4.4.2 5.15.4

8.3 4.3.2, 4.4.2 4.3.2, 4.4.2 5.15.4

8.4 4.3.2 4.3.2 5.15.4

8.5 4.3.2 4.3.2 5.15.4

9.1 4.3.1, 4.3.2 4.3.1, 4.3.2 5.32.2

9.2 4.3.1, 4.3.2, 4.5.5 4.3.1, 4.3.2, 4.5.5 5.02; 5.32.2

9.3 4.5.1, 4.5.2 4.5.1, 4.5.2 5.32.2

9.4 4.5.1, 4.5.2 4.5.1, 4.5.2 5.32.3

9.5 4.3.2, 4.4.4 4.3.2, 4.4.4 5.15.4

10.1 4.3.2, 4.4.2, 4.4.6 4.3.2, 4.4.2, 4.4.6 5.15.1; 5.16

10.2 4.4.2, 4.4.5, 4.5.1, 4.5.2 4.4.2, 4.4.5, 4.5.1, 4.5.2 5.15.1

10.3 4.4.5 4.4.5 5.15.1

10.4 4.4.5 4.4.5 5.15.1


Health and Safety Audit Guidance Document


Page 25 of 26

RC Element No ISO 14001:2004 OHSAS 18001:2007 NOSA CMB253

11.1 4.4.3, 4.4.1 4.4.3, 4.4.1 2.40.1

11.2 4.3.1, 4.3.3 4.3.1, 4.3.3 2.40.1; 5.02

11.3 4.3.1, 4.3.2, 4.4.1, 4.3.1, 4.3.2, 4.4.1 2.40.1; 5.02

11.4 4.4.4, 4.4.5 4.4.4, 4.4.5 2.40.1

11.5 4.5.4 4.5.4 2.40.1

11.6 4.5.1, 4.5.2, 4.5.4 4.5.1, 4.5.2, 4.5.4 2.40.1

11.7 4.4.2 4.4.2 2.40.1

12.1 4.4.5, 4.4.6 4.4.5, 4.4.6 5.43.1

12.2 4.3.2, 4.4.5 4.3.2, 4.4.5 5.43.1

12.3 4.3.2, 4.5.1, 4.5.2, 4.5.5 4.3.2, 4.5.1, 4.5.2, 4.5.5 5.43.1

12.4 4.4.1 4.4.1 5.43.1

12.5 4.3.2, 4.4.5 4.3.2, 4.4.5 5.03; 5.43.1

12.6 4.4.4, 4.4.5 4.4.4, 4.4.5 5.43.1

12.7 4.3.2 4.3.3, 4.5.1 5.43.1

12.8 4.3.2 4.5.1, 4.5.2 5.43.1

12.9 4.3.2 4.5.3, 4.5.4 4.13; 5.43.1

13.1 4.4.2 4.4.2 5.32.3

13.2 4.4.6 4.4.6, 4.4.7 5.32.3

13.3 4.4.6 4.4.6, 4.5.1, 4.5.2 5.32.3

13.4 4.4.3 4.4.3 5.32.3

13.5 4.3.2 4.3.2, 4.3.3, 4.4.3 3.09

13.6 4.3.1, 4.3.2, 4.5.1, 4.5.2 4.3.1, 4.3.2, 4.5.1, 4.5.2 5.32.3; 5.39

13.7 4.4.4, 4.4.5 4.4.4, 4.4.5 5.32.3

13.8 4.3.2, 4.4.6 4.3.2, 4.4.6 5.32.3

13.9 4.5.4 4.5.4 5.02; 5.39; 5.32.3

13.10 4.4.2, 4.4.3 4.4.2, 4.4.3 5.32.3

13.11 4.4.5 4.4.5 5.32.3; 5.39.2; 5.50

14.1 4.3.2, 4.5.4 4.3.2, 4.5.4 5.24; 5.32.2

14.2 4.3.2 4.4.3, 4.4.6 5.24; 5.32.2

14.3 4.4.3, 4.5.1, 4.5.2, 4.5.4 4.4.3, 4.5.1, 4.5.2, 4.5.4 4.13; 5.24; 5.32.2

14.4 4.3.2, 4.5.4 4.3.2, 4.5.4 5.24

14.5 4.4.5, 4.5.4 4.4.5, 4.5.4 5.24