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EDITION 6

Work Health & Safety management guidelines

For construction procurement

April 2021 DRAFT

NSW Department of Planning, Industry and Environment | dpie.nsw.gov.au

Published by NSW Department of Planning, Industry and Environment

dpie.nsw.gov.au

Title: Work Health & Safety management guidelines

Subtitle: For construction procurement

Document number: DOC19/1307289

More information

Further information on these guidelines should be addressed to NSW Procurement Client Support Centre:

Telephone: 1800 NSW BUY (1800 679 289)

Email: [email protected]

Terms and definitions

Refer to Terms used in this guideline

© State of New South Wales through Department of Planning, Industry and Environment 2019. You may copy, distribute, display, download and otherwise freely deal with this publication for any purpose, providing you attribute the Department of Planning, Industry and Environment as the owner. However, you must obtain permission if you wish to charge others for access to the publication (other than at cost); include the publication in advertising or a product for sale; modify the publication; or republish the publication on a website. You may freely link to the publication on a departmental website.

Disclaimer: The information contained in this publication is based on knowledge and understanding at the time of writing (December 2019) and may not be accurate, current or complete. The State of New South Wales (including the NSW Department of Planning, Industry and Environment), the author and the publisher take no responsibility, and will accept no liability, for the accuracy, currency, reliability or correctness of any information included in the document (including material provided by third parties). Readers should make their own enquiries and rely on their own advice when making decisions related to material contained in this publication.

mailto:[email protected]

http://www.dpie.nsw.gov.au/


Contents1 Scope.........................................................................................................................................22 Purpose......................................................................................................................................23 Specifying requirements..........................................................................................................24 General requirements...............................................................................................................3

4.1 Contracts valued up to $1 million.........................................................................................34.2 Contracts valued over $1 million..........................................................................................3

5 WHS Management System Compliance.................................................................................45.1 Legal and other requirements..............................................................................................45.2 WHS Management Plan......................................................................................................45.3 Priority Harms......................................................................................................................65.4 Training and Competence.................................................................................................125.5 Incident management and corrective action......................................................................125.6 Workplace injury management..........................................................................................13

6 Evaluation................................................................................................................................146.1 Procurement......................................................................................................................146.2 Delivery..............................................................................................................................14

7 Documents and records.........................................................................................................16Appendix A: Terms and definitions..............................................................................................17

NSW Department of Planning, Industry and Environment | DOC19/1307289 | 1


1 Scope These guidelines are aligned to AS/NZS 4801 2001 - Occupational health and safety management systems – Requirements for guidance and use and AS/NZS ISO 45001:2018 – Occupational health and safety management systems—Requirements with guidance for use.1 The latter is anticipated to come in to effect in 2023.

The guidelines are specific to construction procurement and apply to all project and contract activities on NSW Government construction projects, including those involving private sector investment and financing.

Project and contract activities may include:

detailing project requirements project management option and concept development design and construct asset maintenance and operation decommissioning and/or demolition.

The guidelines should be read and applied in conjunction with NSW Government’s Procurement Policy Framework. https://www.procurepoint.nsw.gov.au/policy-and-reform/nsw-government-procurement-policy-framework and, if applicable, Quality management guidelines.

2 Purpose The purpose of these guidelines is to:

establish and maintain the minimum work health and safety (WHS) standards to be applied to prevent injury, ill health and/or fatality during the delivery of NSW Government construction projects

support the goals in the NSW Government Building and Construction Work Health and Safety Sector Plan to 2022 through well considered procurement activities

provide a consistent approach to plan and implement WHS management systems improve WHS for all construction industry workers.

3 Specifying requirementsTo ensure prospective contractors are aware of any project specific requirements, including the extent of monitoring and auditing activities, agencies must specify all WHS management requirements:

as part of the request for tender and tender documentation in special clauses of the contract between the agency, the contractor and related suppliers.

These guidelines and the agency’s specified requirements do not in any way provide for NSW Government agencies to assume any liability or responsibility as ‘Principal Contractors’ under the Work Health and Regulation 2017 or otherwise occupy or have any management or control of project/construction workplaces. Rather, they provide guidance for prospective contractors to address WHS matters in the procurement and delivery stages of a project.

1 AS/NZS 4801:2001 is anticipated to be replaced by AS/NZS ISO 45001:2018 in July 2023. Contractors certified to AS/NZS 4801 will be required to transition to ISO AS/NZS 45001.


https://www.procurepoint.nsw.gov.au/policy-and-reform/nsw-government-procurement-policy-framework

https://www.procurepoint.nsw.gov.au/policy-and-reform/nsw-government-procurement-policy-framework

https://www.standards.org.au/standards-catalogue/sa-snz/publicsafety/sf-001/as-slash-nzs--iso--45001-colon-2018

https://www.standards.org.au/standards-catalogue/sa-snz/publicsafety/sf-001/as-slash-nzs--iso--45001-colon-2018


4 General requirements 4.1 Contracts valued below $1 millionAll contractors bidding for government construction contracts where the value is less than $1 million must undertake the following activities during the tender/procurement phase:

Provide a risk register detailing critical health and safety risks specific to the contract scope. Include in the register the control measures selected in accordance with the control hierarchy and the determination and justification of the highest level of protection, so far as is reasonably practicable (SFAIRP).

Detail and describe for the past five (5) years, all:o fatalitieso major health and safety incidents that have led to:

regulatory investigation prosecution or enforceable undertakings injuries caused to member(s) of the public

o identified root causes of those items listed aboveo corresponding corrective actions; ando evaluation of corrective action effectiveness in preventing any reoccurrence.

Prepare and implement an acceptable Work Health and Safety Management Plan (WHSMP) that complies with the requirements specified in NSW and Federal Government WHS and other relevant legislation.

During contract delivery, the contractor must:

implement their WHSMP, prepared under the WHS Regulation 2017 for construction projects costing $250,000 or more

submit monthly WHS performance reports report WHS incidents undertake and participate in periodic audits of their AS/NZS 4801:2001 or AS/NZS ISO

45001:2018 compliant WHS system and plan.

4.2 Contracts valued at $1 million or greaterAll contractors bidding for government construction contracts valued at $1 million or greater must undertake the following activities during the tender/procurement phase:

Fulfil the requirements of this Guideline Provide evidence of a JAS-ANZ certified WHS Management System (WHSMS) aligned with

AS/NZS 4801 or AS/NZS ISO 45001. Any party holding AS/NZS 4801:2001 will require transitioning to AS/NZS ISO 45001:2018 by 2023

Provide examples2 that demonstrate innovative WHS in design practice(s); and/or best practice WHS engineering solution(s).

Detail and describe how the successful performance of the following project specific programs will be determined:

o Health and safety leadership and cultural maturity

2 Three (3) examples maximum



o Health and safety in designo Occupational health and hygiene risk managemento Heavy vehicle risk management, including:

Risks to vulnerable road users Compliance with National Heavy Vehicle Law (Chain of Responsibility)

o Where applicable, compliance with Rail Safety National Law.

During contract delivery, the contractor must:

Fulfil the requirements of Section 4 Undertake and participate in periodic audits of their WHS System and Plan undertaken by

the Agency Collaborate with the NSW Government Agency on initiatives that improve WHS outcomes.

5 WHS Management System Compliance 5.1 Legal and other requirementsThe contractor must ensure legal and other WHS requirements are:

Identified, evaluated for compliance Recorded in a separate register of requirements, that includes, but is not limited to:

o Local and national legislation, including Acts and Regulationso Directives and orders issued by a regulatoro Permits, licences or other forms of authorisationo Contract conditionso Agreements with authoritieso Non-regulatory standards, consensus standards and guidelineso Voluntary principles, codes of practice, technical specifications, charterso Public commitments.

Applied to relevant elements when establishing, implementing and maintaining these requirements.

5.2 WHS Management PlanThe contractor must document a Work Health and Safety Management Plan (WHSMP) that meets the requirements of the WHS Regulation 2017 and use it as their primary means of managing WHS. This includes:

Managing WHS policy and the organisational risk profile planning and implementation of activities WHS performance management through monitoring, reviewing, auditing and implementing

improvement actions.

The WHSMP must include, but is not limited to:

Details and descriptions of senior project leader’s roles, accountabilities and responsibilities in risk governance, arrangements for decision making and oversight, methods for stakeholder consultation and engagement, and project health and safety management review



Defined responsibilities and accountabilities for all persons whose position or role involves specific health and safety duties

Identify methods for complying with legal and other requirements Reference to requirements documented in other project-specific plans or processes, which

when applied, are intended to inform the control of WHS risks Explanation of how the WHSMP integrates with the contractor’s WHS management system The strategy for promoting leadership and improving project health and safety culture Methods for the management of wellbeing across the workforce, not limited to the

identification and control of psychosocial hazards Methods for identifying, consulting, collaborating and communicating with stakeholders,

both internal and external; including but not limited to non-English speaking workers Methods for complying with internal and external reporting requirements, in particular, those

relevant to regulatory authorities Methods that ensure the currency of the WHSMP, including the communication of any

amendments Identification of owners of WHS risks Identification of the methods that will be applied to monitor, measure and verify the

effectiveness of risk controls, including the frequency Detail of the performance criteria that must be applied to determine control effectiveness Describing the system that will be applied in circumstances where control effectiveness is

less than adequate Describing how control monitoring data will be used to inform risk reviews and the

identification of improvement opportunities Detailing how, the format and frequency in which the NSW Government agency will be

informed of the results of: o control verification monitoring o trends o investigations where control effectiveness is less than adequate.

Detailing and describing the methods that will be applied to capture improved knowledge associated with managing health and safety risks, including how such lessons will be communicated to the NSW Government Agency and the wider construction industry. The WHSMP must demonstrate how the organisation will implement key elements of their WHSMS.

Some specific matters for which responsibilities and authorities need to be defined in documented procedures include:

defining the contractor’s WHS policies and objectives

detailing and describing senior leaders roles, accountabilities and responsibilities in health and safety risk governance, arrangements for decision making and oversight

defining responsibilities and accountabilities for all persons whose position or role involves health and safety duties

the allocation of sufficient time and resources to implement the contractor’s WHS management system

defining the methods for complying with relevant WHS legislation, regulations, codes and standards

defining the strategy for promoting leadership and improving health and safety culture



identifying personnel responsible and qualified for WHS processes

identifying internal audit and review requirements

managing compliance with the contractor's WHS management system

managing WHS in design

acquiring and disseminating WHS and related information

establishing and implementing consultation arrangements with workers, workplace committees and others’ representatives on WHS matters

planning and conducting WHS training, including induction, task and refresher training

developing and implementing emergency procedures

assessing the contractor's service providers’ ability to comply and compliance with WHS requirements

compliance with safe working rules

identifying hazards, and assessing and controlling WHS risks

occupational exposure monitoring for health hazards

fit for duty medicals and health monitoring for health hazard exposure

preparing and implementing Safe Work Method Statements (SWMS), including for high risk construction work as defined in the WHS Regulation (2017)

verifying (by inspections and tests) that work areas, work methods, materials, plant and equipment comply with WHS legislation, Regulations, Codes and Standards

stopping, rejecting or quarantining unsafe work methods, work areas, materials, plant and equipment

managing and reporting incidents, near misses and illness/injury, and providing and collating incident, near misses and illness/injury information and statistics

investigating incidents, near misses and illness/injuries, and initiating corrective and preventive actions

developing and implementing injury management programs and coordinating the rehabilitation of injured personnel.

5.3 Priority HarmsThe following requirements align to the Building and Construction Work Health and Safety Sector Plan to 2022 and should be adopted by each NSW Government Agency and Contractor, subject to a risk assessment taking into account specific project and contract related WHS risks.

The assessment of risks arising from health and safety hazards must be performed in conjunction with competent persons, in alignment with the WHSMS hazard identification and risk assessment methodologies, and as per the duties of a Principal Contractor within the WHSMP. The assessment of risk to health from health affecting agents (e.g. respirable crystalline silica), must be performed under the governance of a Certified Occupational Hygienist (COH)® for projects with a contract value over $1 million.

5.3.1 Falls from HeightsThe contractor must ensure that:



Controls, selected to manage risks associated with working at height are prioritised in the following order:

A. Performing activities on the groundB. Performing activities on a solid constructionC. Installing fall prevention devicesD. Using a work positioning systemE. Using a fall arrest system.

working from a ladder is only performed in circumstances where it is not reasonably practicable to use higher-level controls

where ladders (including fixed ladders) are determined to be the preferred method of access/egress, the Principal Contractor must ensure that a risk assessment (SWMS) is prepared and approved

all boom-type mobile elevating work platforms must be fitted with approved secondary protective guarding devices.

5.3.1.1 Scaffolding Solid constructions such as platforms, walkways, stairways, guardrails and fixed ladders

must be provided where practical to ensure safe access and enable working at height. Solid constructions must meet the design requirements as per with AS1576 such that:

A. they are designed based upon anticipated loads and intended usageB. they are structurally capable of supporting all persons and equipment located or

placed on itC. they have complete floors, guardrails and toe-boardsD. barriers around the perimeter and any openings prevent a fallE. the surface and gradient of the ground is even and readily negotiableF. a safe means of entry and exit is provided.

Temporary edge protection must be installed in circumstances where personnel work near unprotected edges and must:

A. meet the design requirements per AS1576B. be constructed to withstand the force of someone falling against the guardrail with

momentum

5.3.1.2 Exclusion Zones a system must be in place that ensures barricades are erected to delineate and prevent

personnel from entering a drop zone where overhead work is performed all tools, equipment and personal items must be secured against falling from height.

5.3.2 Contact with ElectricityThe contractor must have a system in place that ensures electrical risks are controlled in a systematic manner.

This includes defining roles, responsibilities and competency requirements for all personnel conducting, supervising and authorising electrical work.

The system must also consider methods for the purchase and procurement of electrical equipment and installations, methods for the performance of electrical work and methods for inspection and testing of electrical equipment, methods for de-energising electrical energy sources, methods for repair and removal of faulty electrical equipment; and emergency response protocols.



Specific control requirements must be in place for:

accessing controlled electrical areas working on energised electrical equipment.

5.3.3 PlantThe contractor must have a system in place that ensure that plant risks are managed and controlled in a systematic manner.

This includes but is not limited to:

conducting a risk assessment to inform control requirements associated with the operation and maintenance of mobile plant

receipt of mobile plant by Contractor from suppliers to occur only after the provision of evidence demonstrating testing and certification of safety critical systems and design documentation

system in place for the inspection, servicing and maintenance of all authorised plant. a system that ensures modification of mobile plant does not increase the risk of harm to

operators, maintainers, passengers or other stakeholders excavators:

> 5t must be fitted with fully-automatic quick hitches

< 5t and fitted with semi-automatic hitches must only be used in conjunction with plant isolation systems.

the prohibition of: o 9-inch angle grinderso Petrol and diesel-powered plant in any confined space

Isolation and lockout system that ensures risks associated with all hazardous energy sources.

5.3.1 Traffic Management Plans

The contractor must have Traffic Management Plans in place at all Project Sites to control the interaction between mobile plant, passenger vehicles and pedestrians and must be designed to include, but not be limited to:

physically separating and segregating mobile plant from designated passenger vehicle parking areas and pedestrians

restricting or excluding passenger vehicle access from identified high risk mobile plant areas

limiting speed on roads and within areas where pedestrians are present designating parking, refuelling, boarding and disembarking areas based upon plant size,

function and purpose standardised road traffic signage and road markings.

5.3.4 Falling ObjectsThe contractor must have a system in place to eliminate and control any potential falling objects as required by clauses 54 and 55 of the WHS Regulation 2017.



This includes but is not limited to the provision of:

secure barriers, screening nets or catch platforms a safe system of raising and lowering the object establishing exclusion zones providing overhead protection on mobile plant appropriate Personal Protective Equipment (ie. Hard Hats).

5.3.5 Mental HealthThe contractor must document a Wellbeing Management Plan that details and describes methods for the systematic management of physical, psychological and social risks including, but not limited to:

leadership and management commitment to wellbeing risk control measures to eliminate or minimise wellbeing risks, including monitoring the

effectiveness of such minimum work-related psychosocial health and well-being competency and training

requirements for health and safety team members, managers, members of the workforce and mental health first aiders

methods for consulting, communicating and engaging with all stakeholders, and communicating lessons learned and other information with the NSW Government agency

targeted initiatives aimed at reducing personal risk factors likely to impact workers performance

targeted methods to encourage workforce diversity and inclusion and provide for individuals who may be vulnerable to psychosocial hazards

suicide prevention program(s) promotional wellbeing information.

5.3.6 AsbestosThe contractor must submit to the NSW Government Agency:

All asbestos air monitoring results as soon as practicable A clearance certificate for each asbestos removal work area, prior to re-occupancy A final clearance certificate that encompasses all asbestos removal work activities in

circumstances where a project comprises multiple asbestos removal work areas.

Any exceedance of the workplace exposure standard that is not adequately controlled must be reported to the NSW Government Agency as a health and safety incident.

5.3.6.1 Inadvertent importation of asbestos containing materialsA documented system must be implemented to ensure the inadvertent importation of asbestos or asbestos-containing materials into Australia is prevented. The system must incorporate the Principal Contractor’s supply chain and must include, but not be limited to:

describing all prohibited and restricted products, including those products at risk of containing asbestos

inspection and testing programs to identify all prohibited and restricted products, informed by country of origin; material and product type, end-use, and supplier



methods for managing recalled products, including methods for communicating and managing any emergencies associated with such

methods applied to ensure prohibited and restricted products are not procured, including those circumstances where products are directly imported from overseas, and products are procured from a supplier within Australia

quality control requirements that ensure the validity and reliability of test certificates, including NATA laboratory accreditation or international equivalent, and evidence demonstrating the testing was performed on the imported product batch

communicating to the NSW Government Agency all action taken throughout the supply chain in circumstances where any prohibited or restricted product has inadvertently been procured.

5.3.7 SilicaThe contractor must document an exposure control plan in situations where respirable crystalline silica exposure presents a significant risk to health. The respirable crystalline silica exposure control plan must include, but not be limited to:

1. Prohibition of: uncontrolled dry cutting and/or grinding hand-held dust suppression (e.g. “spotters on hoses”) dry housekeeping methods pervious seat covers in plant, including fabric and cloth.

2. Adequate ventilation, provided in circumstances where environmental contamination cannot be prevented

3. Mobile plant control requirements including: enclosed cabins, sealable windows and doors air conditioning to prevent the need to open windows.

4. Where tunnel excavation plant is used, control requirements including: enclosed, pressurised and filtered cabins that function to prevent operators long-term

reliance on the use of respiratory protection dust suppression systems, designed and installed to allow the safe operation of plant.

5. Respiratory protection requirements including: implementation of a Respiratory Protection Program in accordance with AS/NZS

1715:2009 annual respirator fit testing ensuring respiratory protection meeting the requirements of AS1716 or NIOSH-

42CFR84 respiratory protection that is approved for use at the contractor’s site must be

signposted in photographic format and displayed at the entrance to each site.6. Signposting positioned at the entrance or boundary of all hazardous respirable crystalline

silica areas that clearly indicates the mandatory use of respiratory protection, including respirator class

7. Real-time sampling of respirable dust concentrations for purposes of evaluating the adequacy and effectiveness of controls

8. Monthly personal exposure sampling performed under the governance of a COH, conducted for workers at significant risk to health, including those performing:



any material excavation activity masonry or concrete cutting, sanding, grinding or drilling; shotcreting underground activities structural demolition.

9. Health monitoring for crystalline silica 10. Silica dust awareness training11. The contractor must submit to the NSW government agency:

All respirable crystalline silica exposure control plans All silica personal exposure monitoring results and associated reports, following the

month of sampling Any exceedance of the workplace exposure standard that is not otherwise adequately

controlled3 must be reported to the NSW government agency as a health and safety incident. The determination of “adequately controlled” is where (a) The type of respiratory protective equipment (RPE) afforded protection against the

exposure concentration demonstrates that the wearer:a. was clean-shaven or otherwise absent of facial hairb. used the respiratory protection for the entire duration of exposurec. passed a fit test in the last 12-months for the specific make and model of

respiratory protection used.

5.3.8 Musculoskeletal disorders (MSDs)The contractor must have a system in place that ensures that musculoskeletal risks are managed and controlled in a systematic manner. This includes but is not limited to:

education of workers in how to apply ‘correct’ manual handling techniques task-specific interventions focused on the provision of equipment or aids to reduce physical

loads required by workers to undertake specific tasks within their job, work organisation and job design factors to reduce prolonged repeated activities.

5.4 Training and CompetenceContractors must implement a training, competency and awareness program including, but not limited to a Training Needs Analysis (TNA) for all roles with health and safety accountabilities and responsibilities.

The TNA must:

be documented be specific to the project be based on role specific competency requirements assess and consider the language profile of the workforce be reviewed and updated periodically.

A system must be implemented that ensures the verification of competency of all:

3 Uncontrolled: inadequate respiratory protection worn



persons licenced to perform high risk work mobile plant operators Any role requiring a competent person.

Training and instruction provided to the project workforce must be documented.

5.5 Incident management and corrective action5.5.1 Incident Management The Contractor must establish a procedure for the management of all incidents, including standardised methods and timeframes for incident recording, reporting and investigation.

The Contractor must ensure the timely reporting of incidents notifiable to relevant Regulators, Authorities or external stakeholders. In addition, contractors must report incidents to the agency as required by their contract.

The Contractor must develop and implement processes and procedures for the investigation of all health and safety incidents or near misses.

Incident reports must include the necessary detail to prevent reoccurrence of the incident, including an action plan.

5.5.2 Corrective Action The contractor must establish procedures to control the handling of unsafe products, the management of work practices which do not meet WHS requirements and also to appropriately address WHS issues through corrective action.

A WHS issue exists when materials, construction methods, plant or equipment, temporary work, protective systems, work practices, work site conditions or other work activities do not meet WHS requirements. WHS issues also include incidents and near misses. It is essential that WHS issues are documented and rectified, with monitoring of trends to identify root causes.

WHS inspections, audits and reviews, incidents, illness/injury, and near misses provide definite pointers to unsafe work practices and processes.

Incidents, near misses and illness/injury and their causes must be recorded, investigated and analysed. The results should be used to bring about improvements in policies, standards, procedures, processes and work practices, and progressively lift WHS performance.

Procedures should be established and used for recording and implementing corrective actions. These procedures should include consultation with personnel and advisors so that their views on any proposed measures can be considered before implementation.

Corrective action should not only arise when an inspection, audit or review is carried out or an illness/injury or incident occurs. Work site activities should be regularly assessed for WHS issues and potential risks to health and safety, and action taken to minimise risks by the contractor, in consultation with affected workers and service providers, to avoid illness/injury and incidents.

Contractors must establish procedures for recording the results of these assessments, and implement "corrective action plans" as outputs of the procedures for making good the identified issues or defects.



With the reviewing of past errors and issues, and anticipating possible future errors and issues, contractors and their service providers should continue to improve the level of WHS performance achieved.

5.6 Workplace injury managementWorkplace injury management encompasses all measures for facilitating an early and safe return to work of workers who have been injured or become ill.

An injury management and return to work program is a requirement of all employers under the Workplace Injury Management and Workers Compensation Act 1998. The return to work program must comply with the State Insurance Regulatory Authority’s (SIRA) Guidelines for Workplace Return to Work programs.


https://www.legislation.nsw.gov.au/#/view/act/1998/86


6 Evaluation 6.1 ProcurementA potential contractor’s WHS management capability must be assessed in a tender evaluation process, using the identified evaluation criteria. Evaluation criteria may include:

the status of their WHSMS certification the nature of the WHS management systems and plans implemented on current and/or

recent comparable contracts. the ability of the potential contractor to identify, assess and control critical health and safety

risks specific to the contract scope the assessment of a potential service provider’s past WHSMPs. a review of past WHS performance, as well as technical and safety competence an assessment of current or past prosecutions related to WHS identified history of deliberate liquidation and restarting of companies by the Director/s

and/or complaints against the company from members of the public the level of innovation proposed by the contractor in mitigating critical health and safety

risks the ability of the contractor to demonstrate successful WHS performance throughout the

contract consideration of how principal contractors select sub-contractors.

In evaluating a contractor’s submission, the principal’s assessment scores should be weighted against the requirements set out in these guidelines to help demonstrates that reasonable steps have been taken to ensure that the contractor is competent.

6.2 Delivery6.2.1 Contractor performanceAgencies must follow the minimum performance requirements outlined in Table 2 and 3 in assessing a contractor’s capability prior to mobilisation and during contract delivery.

Table 2: Agency requirements for assessing contractor capability prior to commencement of work

Item Activity

WHSMP Verify the WHSMP has been documented and forms part of the Contractors integrated management system or safety management system and addresses the nature and scope of the work package and associated risk profile as per the requirements of the WHS Regulation (2017).

Contractor Organisational Chart Verify key health and safety roles are appointed and include defined responsibilities, accountabilities and relevant competencies.

Contractor Health and Safety Risk Verify the contractor’s risk register has been documented and



Item Activity

Register captures risks relevant to the nature and scope of the work package and includes the identification of critical controls.

Emergency Management Procedures

Verify the contractor has prepared and documented processes for responding to emergency scenarios identified and documented in the risk register.

Medical Examination and Health Monitoring

Verify the contractor has prepared and documented processes for medical examination and health monitoring

Table 3: Agency requirements for assessing contractor capability during delivery

Item Activity

WHSMP Review contractor’s implementation of their WHSMP through undertaking surveillance of contractors activities and reviewing records identified in the WHSMP

Priority harms Regular and routine surveillance of priority harm hazards to verify that documented control measures are implemented and working effectively

Including metrics for priority harm areas in health and safety performance reports

Incidents Review incident investigation reports to assess appropriateness and confirm the implementation of corrective actions from investigation reports

Include breaches of control measures for priority harm areas in health and safety incident reporting

Monthly performance reports Reviewing contractor’s WHS performance to monitor and analyse trends in performance over time

Agency reports Report WHS performance using agency’s reporting processes

Audit Audit the contractor’s implementation of their WHSMP and associated WHSMS.

6.2.2 Withdrawal of acceptanceDuring a contract, an agency may review and/or audit the contractor’s WHSMS to assess if it remains compliant. Grounds to withdraw acceptance of the contractor’s WHSMS include:

failure by a contractor or its service providers to implement compliant WHSMS or WHSMPs failure by a contractor to properly execute the accepted WHSMS repeated health and safety breaches

Before an agency withdraws acceptance of the WHSMS:

the contractor will be given an opportunity to comment the agency must properly consider these comments.



If an agency decides to withdraw acceptance of the WHSMS, the contractor’s work under the contract will be suspended until the non-compliance is rectified. The financial impact of this will be settled according the terms of the contract.

An agency may (but is not obliged to) withdraw acceptance of a contractor’s WHSMS without further review if it is withdrawn by another agency

7 Documents and recordsAgencies must maintain records of the WHS performance of their service providers, including WHSMS review reports, WHSMP review and performance reports, and comments by service providers on review and performance assessment findings.

Contractors are required to keep and maintain the following documents and records, which are to be made available to the NSW Government Agency upon request:

WHSMPs SWMS, including high risk construction work as defined in the WHS Regulation (2017) safe work procedures first aid treatment records emergency procedures hazard identification and risk assessments incident and illness/injury reports occupational exposure monitoring data and reports medical records (e.g. health monitoring) plant and equipment records work permits and training records safety data sheets hazardous chemicals records inspection, testing and servicing records details of qualifications held by individuals internal review reports minutes of workplace WHS meetings and toolbox talks safety equipment records WHS design review records audit reports injury and workers’ compensation management records.



Appendix A: Terms and definitions

Term Definition

Agency NSW government department, authority, corporation or entity established by an Act of the NSW Parliament. The terms ‘government agencies’, ‘agency’ or ‘agencies’ are used interchangeably in these Guidelines.

Consultant Professional party that contracts with a client to provide design, management or other professional services related to construction.

Construction All organised activities concerned with demolition, building, landscaping, maintenance, civil engineering work, process engineering, mining and heavy engineering. It includes infrastructure projects.

Notifiable incident An incident involving the death of a person, or serious injury or illness of a person or a dangerous incident, (as defined in the WHS Act 2011) that must be notified to SafeWork NSW.

Person conducting a business or undertaking (PCBU)

May be an individual person or an organisation conducting a business or undertaking (as defined in the WHS Act 2011).

Principal Party inviting and receiving tenders and letting contracts.

Principal contractor The entity that contracts with an agency, as the client, and is appointed as principal contractor (as defined in WHS Regulation 2017) for nominated work.

Project An undertaking with a defined beginning and objective by which completion is defined. A project may be completed using a single contract or multiple contracts.

Service providers Includes principal contractors, contractors, subcontractors, consultants and suppliers.

Subcontractor PCBU that contracts with a contractor as the client to carry out construction and related services.

Supplier PCBU that contracts with a client to provide a product and/or service.
