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Guide to Ministerial Direction No 1 – Tendering provisions for public constructionIssued by the Secretary, Department of Treasury and Finance Effective 1 March 2017

The SecretaryDepartment of Treasury and Finance1 Treasury PlaceMelbourne Victoria 3002AustraliaTelephone: +61 3 9651 5111Facsimile: +61 3 9651 2062dtf.vic.gov.au

Authorised by the Victorian Government1 Treasury Place, Melbourne, 3002

© State of Victoria 2017

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ISBN 978-1-925551-20-4 (pdf/online)Published January 2017

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Contents

Guide to Ministerial Direction No 1 – Tendering provisions for public construction................................................................................................................1

1. Introduction..........................................................................................................11.1 Authority............................................................................................................................. 11.2 Effectiveness..................................................................................................................... 11.3 Application......................................................................................................................... 11.4 Order of precedence.........................................................................................................11.5 Definitions and interpretation............................................................................................1

2. Tendering protocols.............................................................................................22.1 General principles.............................................................................................................22.2 Seeking tenders................................................................................................................. 3

2.2.1 Seeking tenders...................................................................................................................32.2.2 Size of tender fields.............................................................................................................3

2.3 Tendering conditions.........................................................................................................3

2.3.1 Tender terms........................................................................................................................32.3.2 Tender documentation.........................................................................................................42.3.3 Time for submitting tenders.................................................................................................42.3.4 Changes to tender documentation......................................................................................42.3.5 Evaluation criteria................................................................................................................42.3.6 Reduce unnecessary information requirements.................................................................42.3.7 Avoid pricing multiple options..............................................................................................5

2.4 Conduct of tender processes............................................................................................5

2.4.1 Probity..................................................................................................................................52.4.2 Responding to questions and providing clarifications........................................................5

2.5 Process closure................................................................................................................. 52.6 Urgent works or related consultancy services..................................................................5

2.6.3 Meaning of ‘urgency’...........................................................................................................52.6.4 Common urgent works........................................................................................................6

3. Accreditation of whole of government and Agency-specific registers................63.1 Whole of Government Registers.......................................................................................63.2 Agency Specific Registers.................................................................................................73.3 Conditions for the Accreditation of Registers....................................................................73.4 Panels of Suppliers...........................................................................................................8

4. Assessment protocols and criteria......................................................................84.1 Mandatory registration Categories or Classifications.......................................................84.2 Mandatory assessment criteria.........................................................................................9

4.2.1 Occupational Health and Safety (OHS) Criteria.................................................................94.2.2 Industrial Relations Management (IRM) Criteria..............................................................104.2.3 Project-specific criteria: Price............................................................................................10

4.3 Approved assurance systems.........................................................................................114.4 Recommended criteria....................................................................................................11

4.4.1 Construction Related Consultants.....................................................................................11

Page i

4.4.2 Contractors........................................................................................................................12

5. Reporting and Administrative Arrangements....................................................125.1 Performance Reporting...................................................................................................125.2 Standard reporting requirements....................................................................................125.3 Administrative arrangements..........................................................................................13

APPENDIX A - Detail Guidance on Occupational Health and Safety (OHS) Management Criteria................................................................................................14

The occupational health and safety criteria for Contractors - Part 1 – An explanation of the criteria................................................................................................................................... 14The occupational health and safety criteria for Contractors - Part 2 - Guide to acceptable evidence...................................................................................................................................... 23The occupational health and safety criteria for Consultants - Part 1 - An explanation of the criteria................................................................................................................................... 31The occupational health and safety criteria for Consultants - Part 2 - Guide to acceptable evidence...................................................................................................................................... 42

APPENDIX B - Detail Guidance on Industrial Relations (IR) Management Criteria......................................................................................................................52

Page ii

Guide to Ministerial Direction No 1 – Tendering provisions for public construction

1. Introduction

1.1 Authority

This Guide is issued by the Secretary under the delegation of the Minister for Finance in Ministerial Direction No 1 issued pursuant to the Act.

1.2 Effectiveness

This issue no. 4 of the Guide is effective from 1 March 2017 and supersedes issue no 3, effective from 4 April 2016, which is repealed and replaced from the effective date of this Guide.

1.3 Application

This Guide applies to public construction as defined in the Act.

1.4 Order of precedence

This Guide is incorporated into and must be read in conjunction with Ministerial Direction No 1 issued by the Minister under the Act.

1.5 Definitions and interpretation

(a) In this Guide, terms defined in Ministerial Direction No 1 shall have the same meaning in this Guide, and

Term Definition

Agency-specific Register or ‘ASR’

means a Register established by an Agency primarily to meet the business needs of that Agency.

Category means a division within a system of classifying pre-qualified Suppliers.

CCAP means the Construction Contracts Advisory Panel established under the Guide to Ministerial Direction No 2.

Classification means a group of Suppliers within a Category sharing common attributes.

Contractor means a person that supplies works.

Guide to Ministerial Direction No 1 – Tendering provisions for public constructionEffective 1 March 2017 Page 1

Term Definition

Consultant means a person that supplies related consultancy services.

Guide means this Guide to Ministerial Direction No 1.

Ministerial Direction No 1

means Ministerial Direction No 1: Tendering Provisions for Public Construction issued under the Act.

Ministerial Direction No 2

means Ministerial Direction No 2: Contractual Provisions for Public Construction issued under the Act.

project-specific means restricted to a particular project.

Qualification Criteria means standards applied to a Supplier to assess its capacity to successfully complete a project.

Register means a list of qualified Suppliers who have been assessed and deemed suitable to be considered for projects at varying levels.

Supplier means a Contractor or Consultant.

tenderer a Supplier that submits a tender.

VGPB means the Victorian Government Purchasing Board established under the FMA.

Whole of government Register or ‘WGR’

means a Register that may be used by all Agencies.

(b) For the purposes of this Guide, a reference to an Act or subordinate instrument is a reference to that Act or subordinate instrument as amended from time to time.

2. Tendering protocols

2.1 General principles

Ministerial Direction No 1 establishes the minimum requirements that Agencies must apply when tendering works or related consultancy services. These requirements are underpinned by the general principles to support the economical and efficient use of State resources in procurement through:

(a) applying relevant legislation, standards, policies and funding arrangements;

(b) achieving value for money;

(c) understanding and engaging the market;

Guide to Ministerial Direction No 1 – Tendering provisions for public constructionPage 2 Effective 1 March 2017

(d) encouraging open and fair competition;

(e) supporting probity, accountability and transparency; and

(f) managing risks appropriately.

2.2 Seeking tenders

Participating in tender processes involves time and cost for all participants. Agencies must endeavour to conduct tender processes efficiently and reduce unnecessary costs for tenderers.

2.2.1 Seeking tenders

When seeking competitive tenders or quotations for works and/or related consultancy services, Agencies should make reasonable attempts to obtain the minimum number of tenders as required by Ministerial Direction No 1.

In a selective tender process, it is good practice to check the willingness of potential tenderers prior to invitation, including where a Register is used to identify relevant tenderers.

If, despite making reasonable attempts or, in the case of a selective tender, confirming the willingness of all tenderers invited to participate, less than the minimum number of tenders is obtained, Agencies may be satisfied that sufficient effort has been made to maximise competition. In such cases the value for money evaluation of the remaining tender(s) may need to include a comparison with current market conditions before a decision to accept is finalised.

In cases where pre-qualified tenderers are unwilling to bid, their lack of interest in the project may indicate that an alternative procurement process should be considered such as a publicly advertised tender or restructuring the work packages to be more appropriate for the industry.

2.2.2 Size of tender fields

Generally, the number of tenders sought should be between three and six. In determining whether to seek more than the minimum number of tenders required by Ministerial Direction No 1, Agencies should consider any competitive benefit derived from a larger field against factors such as:

the time and cost of preparing and evaluating tenders; the complexity of the project; the project delivery method, and the structure of the supply market and interest among potential tenderers.

When Ministerial Direction No 1 requires an open tender, these considerations should be applied when considering the most appropriate way to structure the tender process, for example by using a two stage tender process or short-listing within a single stage tender process.

2.3 Tendering conditions

2.3.1 Tender terms

Tender documentation should clearly set out the terms and conditions applicable to the tender process.


The CCAP model tendering conditions provide relevant guidance to this provision.

2.3.2 Tender documentation

Agencies must clearly define project requirements in tender documentation in a manner that is appropriate for the procurement strategy and project delivery method.

Agencies must ensure that tender documentation is sufficiently resolved and appropriate for the procurement strategy and project delivery method prior to commencing a tender process.

2.3.3 Time for submitting tenders

When developing the overall project programme, Agencies should allow a reasonable time for tendering and construction.

Agencies must ensure that potential tenderers are given a reasonable amount of time to submit their tenders, taking account of the project delivery method, the time required for tenderers to make site visits (if applicable), obtain quotes from their sub-contractors and suppliers, and undertake any other work necessary to tender.

2.3.4 Changes to tender documentation

Agencies should avoid making changes to tender documentation during the tender process. In cases where changes are unavoidable, Agencies should ensure tenderers have a reasonable time frame to consider the changes and make any necessary adjustments to their tenders.

Where changes arise close to the time for submission of tenders, it may be appropriate to extend the closing time.

2.3.5 Evaluation criteria

Agencies must specify evaluation criteria in tender documentation. Where appropriate, Agencies may provide guidance to tenderers about the criteria to encourage responsive tenders.

When seeking tenders, Agencies must verify the tenderers’ compliance with the mandatory assessment criteria set out in Ministerial Direction No 1 (see paragraph 4.2 below) prior to acceptance of a tender.

When seeking tenders through a selective tender process from a Register, Agencies should confirm that the preferred tenderer remains pre-qualified before acceptance of the tender.

2.3.6 Reduce unnecessary information requirements

Agencies should not request unnecessary information from tenderers. In particular, Agencies should be mindful of the time and cost to tenderers of preparing project-specific plans and documents.

For large or complex projects, Agencies may consider using a two-stage process so that only short-listed tenderers are required to prepare project-specific documentation.

Agencies should consider whether preparation of project-specific plans and documents, such as project-specific environmental management plans, can be limited to the successful tenderer rather than requested from all tenderers where such plans and documents are not critical to the evaluation criteria and project programme.


When conducting a selective tender process using a Register, Agencies should consider making use of information provided during the pre-qualification process to reduce the amount of information that pre-qualified tenderers are required to provide during the tender process, if appropriate given the circumstances.

2.3.7 Avoid pricing multiple options

Agencies should establish cost estimates prior to releasing a tender, including, where appropriate, by engaging a professional cost advisor.

Agencies should avoid asking tenderers to price multiple, mutually exclusive options in a tender process. Where this is unavoidable or design alternatives are required, Agencies should select an appropriate procurement strategy and project delivery method.

2.4 Conduct of tender processes

2.4.1 Probity

Probity signifies integrity, fairness and honesty. Government often refers to probity in a general sense to mean good process demonstrated by transparency of actions, equity, confidentiality and managing conflicts of interest, whether actual or perceived.

The VGPB’s guide to managing probity and engaging probity practitioners provides relevant guidance on probity in procurement processes.

2.4.2 Responding to questions and providing clarifications

Agencies must endeavour to ensure that all tenderers have access to the same information and are promptly informed of any new information relevant to the tender process that is provided to any other tenderer(s), while maintaining the confidentiality of each tenderer’s commercially sensitive information and intellectual property.

Agencies must respond appropriately to questions and clarifications received from tenderers during the tender process including, where applicable, during interactive sessions.

2.5 Process closure

Agencies must notify unsuccessful tenderers of the outcome of their tender. Agencies must offer a de-brief to all tenderers, conducted by an appropriately senior officer of the relevant Agency.

2.6 Urgent works or related consultancy services

2.6.1 Meaning of ‘urgency’

Ministerial Direction No 1 provides for a range of special circumstances in which the processes described in Direction 2.1 of Ministerial Direction No 1 may be exempted by the Minister or relevant Accountable Officer. One such circumstance is when the works or related services are of an urgent nature.

Urgency may arise due to unforeseen events or occurrences relating to, but not limited to:

(a) life threatening situations;


(b) occupational health and safety;

(c) security;

(d) loss of essential services;

(e) avoiding significant loss or damage to assets, or significant service delivery disruption, and/or

(f) weather protection.

Urgency does not normally arise in circumstances where a project is simply running overtime.

2.6.2 Common urgent works

Where an Agency commonly requires urgent works and/or consultancy services, the Agency could consider arrangements to minimise the need to use procedures other than those specified in Direction 2.2 of Ministerial Direction No 1 to maximise competition, including:

(a) A period contractual arrangement for the management of urgent and/or minor works; or

(b) Establishment of a panel of Suppliers that can respond in urgent circumstances. The panel should be established through an appropriate tender process, including the identification of a purchasing price based on relevant rates for the type of work envisaged. Reference can be made to the VGPB’s guide to aggregated purchasing and guide to pre-qualified supplier arrangements.

3. Accreditation of whole of government and Agency-specific registers

The Secretary is responsible for the accreditation of Registers prepared and maintained by Agencies under Direction 5(a) of Ministerial Direction No 1.

3.1 Whole of Government Registers

The terms and conditions associated with the a WGR are the responsibility of the Agency responsible for that WGR.

The Agency responsible for a WGR must provide support services for the WGR including carrying out assessments on financial, operational, mandatory and other criteria and registering the details for the use of Agencies who are seeking tenders and quotations in accordance with Ministerial Direction No 1.

A WGR must be established and must operate in accordance with this Guide.

Accreditation of each WGR for Suppliers is subject to the approval of the Secretary.

Current accredited WGR:

Construction Supplier Register, Department of Treasury and Finance.


3.2 Agency Specific Registers

An ASR may be made available to other Agencies under the following conditions:

(a) Access to the ASR is subject to the consent of the Agency which established it.

(b) Responsibility for ensuring that the ASR criteria are appropriate to specific project needs lies with the Agency seeking to use the ASR.

An ASR must be established and must operate in accordance with this Guide.

Accreditation of each ASR is subject to the approval of the Secretary.

Current accredited ASR:

VicRoads Pre-Qualification and Registration Scheme; Places Victoria Register of Pre-qualified Contractors.

3.3 Conditions for the Accreditation of Registers

For accreditation of a Register, the Agency establishing the Register must:

(a) Clearly define the purpose, target users and responsible persons for the Register.

(b) Document conditions, obligations and undertakings of the responsible Agency, applicants and registrants, which form the terms of the agreement between the parties including a requirement to have required professional registrations in place.

(c) Provide for those conditions to be publicly available to prospective applicants and reissued to registrants when they are altered.

(d) Apply assessment criteria using a process that is fair and consistent for all applicants.

(e) Be an open system that allows applications to be made at any time and to also be publicly advertised to attract new applications at least once each year or employ a continuous advertisement process such as a website.

(f) Provide for both ongoing and periodic review of registrants.

(g) Manage feedback on registrant performance.

(h) Undertake reviews, preferably once a year, which may be in the form of a performance report.

(i) Maintain records of reviews.

(j) Advise applicants and registrants of their current status and, where relevant, of actions necessary to enable or retain registration.

(k) Provide an appeal process, independent of those responsible for the Register where an application has been refused or where downgrading or removal from the Register is proposed.

(l) Provide for the suspension or de-registration of registrants who no longer meet the mandatory or recommended criteria or whose performance is proven to be poor.

Accreditation of a Register for use by an Agency or Agencies, or the use of a Panel as a register of pre-qualified Suppliers, must be approved by the Secretary, in consultation with the CCAP.


Where a Register is proposed that does not include adoption of all the recommended criteria due to special business needs, the Agency making the proposal should provide supporting information for consideration by the Secretary.

3.4 Panels of Suppliers

Where existing arrangements for Suppliers, including any WGRs and ASRs, do not meet the business needs of an Agency, consideration could be given to establishing a panel of Suppliers.

Panels should be established through a suitable tender process and the Agency establishing a panel is responsible for its terms and conditions of use.

Panels are typically established to enable rapid selection and engagement of a Supplier because the terms of engagement and nominated rates are already in place.

A panel of Suppliers may also be used as a Register, in the same manner as an ASR, subject to the approval of the Secretary pursuant to paragraph 3.3.

Panels differ from WGR or ASR pre-qualification arrangements in a number of respects including:

(a) Being established for a specified period of time (e.g. for three years with an option to extend for one year);

(b) Requiring panellists enter into a contract with the sponsoring department;

(c) Requiring panellists to nominate rates and often personnel for the works or services to be delivered under the panel; and

(d) Other requirements including specialist qualifications and/or certification, such as industry-specific health and safety certification.

For the purposes of this Guide, panels are usually established for the use of a particular Agency.

Reference can be made to the VGPB’s guide to aggregated purchasing and guide to pre-qualified supplier arrangements.

4. Assessment protocols and criteria

4.1 Mandatory registration Categories or Classifications

The Secretary may determine, under Direction 5(b)(i) of Ministerial Direction No 1 that certain Categories or Classifications of Suppliers are to be maintained and to nominate the appropriate register(s).

Current mandatory Categories or Classifications are:

• Demolition Contractors – these are held as a Category within the Construction Supplier Register, Department of Treasury and Finance.


4.2 Mandatory assessment criteria

Under Direction 5(b)(iii) of Ministerial Direction No 1, the Secretary may determine mandatory assessment criteria and will take into account broad policy and cost impact issues.

Where relevant, Agencies must ensure compliance with these criteria prior to tender acceptance whether a Supplier is identified through pre-qualified or open tendering processes.

The current mandatory criteria for works exceeding $200,000 or related services exceeding $150,000 relate to the management of Occupational Health and Safety (OHS) and Industrial Relations Management (IRM) and are set out below.

4.2.1 Occupational Health and Safety (OHS) Criteria

OHS Criteria applicable to Contractors

Criterion 1 OHS Policy

Criterion 2 Officers' governance of OHS

Criterion 3 OHS Advisors

Criterion 4 Consultation and issue resolution

Criterion 5 Currency of awareness of OHS

Criterion 6 Induction and training

Criterion 7 Hazard identification and risk control

Criterion 8 Contractor and sub - contractor safety management

Criterion 9 Emergency response

Criterion 10 Incident notification, investigation and response

Criterion 11 Enforcement activity

Criterion 12 Workers’ compensation insurance

OHS Criteria applicable to Consultants

Criterion 1 OHS duties of Consultants as designers of buildings and structures*

Criterion 2 OHS Policy

Criterion 3 Officers' governance of OHS


OHS Criteria applicable to Consultants

Criterion 4 OHS Advisors

Criterion 5 Consultation and issue resolution

Criterion 6 Currency of awareness of OHS

Criterion 7 Induction and Training

Criterion 8 Hazard identification and risk control

Criterion 9 Emergency response

Criterion 10 Incident notification, investigation and response

Criterion 11 Enforcement activity

Criterion 12 Workers’ compensation insurance

* Note that if a Consultant is not being engaged to perform design work then they do not need to be assessed against Criterion 1.

Appendix A provides further guidance and a self-assessment checklist which can be used by evaluators to assess whether a Supplier has demonstrated a minimum level of commitment and capacity to effectively address the mandatory OHS criteria.

4.2.2 Industrial Relations Management (IRM) Criteria

IRM Criteria applicable to Contractors

Criterion 1 Policy Statement

Criterion 2 Identification of legal and other industrial relations and employment obligations

Criterion 3 Management plans

Criterion 4 Compliance over preceding 24 months

Criterion 5 Sub-contractors relationships

Appendix B provides further guidance and a self-assessment checklist which can be used by evaluators to assess whether a tenderer or applicant for pre-qualification has demonstrated a minimum level of commitment and capacity to effectively address the mandatory IRM criteria.

4.2.3 Project-specific criteria: Price

Price must be included in the overall evaluation of a tender for all Suppliers. The weighting and importance of price will vary, depending on the project and the related circumstances. While price is of obvious importance in any project, it is not the only factor in determining


value for money. Agencies should consider all relevant factors when determining potential value for money outcomes and selecting a preferred Supplier.

The VGPB’s guide to ‘value for money’ provides relevant guidance on the factors to be considered when assessing value for money.

4.3 Approved assurance systems

Direction 5(b)(iii) of Ministerial Direction No 1 allows the Secretary to approve assurance systems that verify compliance with the mandatory criteria on which Agencies can rely. The reliance is subject to adequate evidence of the currency and applicability of the assurance systems and its standards to the works or services being offered.

For OHS criteria the currently approved assurance systems, where the Supplier is independently certified by a JASANZ accredited certification body, are:

(a) “SafetyMAP”;

(b) AS 4801 2001: OHS Management Systems;

(c) Civil Contractors Federation Management Code; and

(d) Australian Government Building and Construction WHS Accreditation Scheme.

Note that : Assessment using the above schemes will address the mandatory OHS Management criteria numbered 1 – 10 for Contractors and Consultants set out in paragraph 4.2.1 but current information will always be required regarding the criteria numbered 11 and 12.

4.4 Recommended criteria

Under Direction 5(b)(iv) of Ministerial Direction No 1, the Secretary can recommend criteria, in addition to the mandatory criteria, for use in pre-qualification and tendering assessment processes to facilitate identification of an appropriate Supplier or the best value offer.

All the recommended criteria are in common use in the construction industry. The project-specific recommended criteria are relatively general and additional project-specific criteria may be required. These may relate to a particular procurement system, building type or location.

Agencies should carefully consider the relevance of the criteria and incorporate additional general or project-specific criteria as appropriate for their project. Agencies should ensure evaluation criteria are linked to the project objectives set out in the business case.

4.4.1 Construction Related Consultants

(a) General or pre-qualification criteria:

(i) Organisation capacity(ii) Technical and professional expertise and qualifications(iii) Quality assurance systems (iv) Previous experience(v) Innovative ability(vi) Resource availability(vii) Environmental management

(b) Project-specific criteria:


(i) Project personnel proposed and their competencies(ii) Methodology proposed for project(iii) Systems proposed for the project(iv) Capacity and current commitments (particularly for key personnel)

4.4.2 Contractors

(a) General or pre-qualification criteria:

(i) Financial capacity(ii) Organisation capacity(iii) Previous experience(iv) Resource availability(v) Performance capability(vi) Environmental Management(vii) Quality assurance systems

(b) Project-specific criteria:** see note below

(i) Project personnel and their competencies(ii) Methodology proposed for project including program(iii) Project Health and Safety Management Plan(iv) Systems proposed for project(v) Capacity and current commitments of key personnel(vi) Insurances

** Note: A number of policies of the Victorian Government are applicable to construction tendering, including the Victorian Industry Participation Policy, the Major Projects Skills Guarantee, and requirements for Suppliers to make declarations in respect of collusive tendering. The CCAP Model Conditions of Tender provide guidance on these policies, but Agencies should refer to the relevant policy guidance to ensure they meet the requirements.

5. Reporting and Administrative Arrangements

5.1 Performance Reporting

Under Ministerial Direction No 1 5(b)(v)the Secretary can establish reporting requirements for Agencies.

Those using the Construction Supplier Register maintained by the Department of Treasury and Finance (DTF) are required to provide performance reports on the Suppliers engaged from that Register. The performance report format developed by DTF, in consultation with CCAP, provides guidance for these reports.

5.2 Standard reporting requirements

Agencies should refer to DTF for guidance on standard disclosures in the report of their operations.


For the purposes of the reporting requirements of the FMA Consultants engaged in accordance with Ministerial Direction No 1 will invariably be engaged as ‘contractors’ and not as ‘reportable consultancies’. The use of the terms ‘consultant’ and ‘consultancy services’ in relation to Ministerial Direction No 1 and this Guide should be seen as reflecting common construction-industry terminology.

5.3 Administrative arrangements

In relation to matters concerning Ministerial Direction No 1 the CCAP will:

(a) Provide advice and recommendations to the Secretary on:

(i) WGRs and ASRs;(ii) Categories or Classifications of Suppliers;(iii) Mandatory and recommended criteria applicable to all Suppliers;(iv) Acceptable assurance systems;(v) Performance reporting systems; and(vi) Any other matter relating to qualification criteria.

(b) Develop, if applicable, further pre-qualification criteria to facilitate industry responses and evaluation.


APPENDIX A - Detail Guidance on Occupational Health and Safety (OHS) Management Criteria

The occupational health and safety criteria for Contractors - Part 1 – An explanation of the criteria

Criterion 1: OHS Policy

The Contractor must have and provide a copy of an organisational-specific OHS Policy that, at the least, states:

a clear commitment to providing for the health and safety of all employees and other workers and others who may be affected by their activities, and achieving legal compliance, through effective risk management;

the means by which that commitment will be met (e.g. risk assessment, safe systems of work, training);

the respective responsibilities and roles of stakeholders at all levels within and external to the organisation in ensuring safety; and

a commitment to continuous improvement and policy review, including a date or time within which the policy will be reviewed.

The Policy is significant as both a statement of values against which the organisation can be held accountable and an indication of the key criteria and roles in OHS. It can be a demonstration of the understanding of the organisation of the importance and criteria of OHS management.

The Policy should preferably be signed by the most senior person within the organisation (eg Chairman, Managing Director, CEO, General Manager) to demonstrate commitment at the top of the organisation.

Criterion 2: Officers’ governance of OHS

Sections 144 and 145 of the Occupational Health and Safety Act 2004provide for an officer of a company, partnership or association (“the organisation”) to be guilty of the same offence as that committed by the organisation, if that offence was attributable to the failure of the officer to exercise reasonable care.

The involvement of officers is considered to be a key to the proper and effective management of OHS in an organisation, by ensuring that the organisation has and applies appropriate resources and policies and procedures for OHS.

The definition of an officer in section 9 of the Corporations Act 2001 (Clth) is adopted in the Occupational Health and Safety Act 2004 and includes:

directors and secretary of a company; partners in a partnership; officers in an unincorporated association; persons involved in making decisions that affect the whole or a substantial part of the

organisation (commonly known as the Executive or Management); those who have the capacity to affect significantly the financial standing of the organisation; those on whose instructions or wishes the directors are accustomed to act; and

a liquidator, trustee, administrator, receiver and manager.

These are the people who have the role of governing the organisation and are able to determine or affect the ability of the organisation to properly and effectively manage OHS.


Ways in which the Contractor may demonstrate compliance with this criterion, and reasonable care for the purposes of the Occupational Health and Safety Act 2004 include:

a. evidence of advice provided to the Contractor identifying who the officers are;

Note: if the Contractor is a company whose directors are the only managers of the business, then the directors may be the only officers and this step may not be needed).

b. details of a governance (management) structure and process that provide for:

i. the gathering and analysis of relevant information;ii. reports on relevant matters to be provided to the officers, in a timely fashion

(e.g. regular reporting on some matters and timely reporting of incidents);iii. advice to be provided to the officers (from sources within and external to the business);

and

iv. monitoring, auditing and review of performance.

c. confirmation that information provided to officers allows them to have the required knowledge and understanding of each of the elements of the due diligence definition (e.g. as to hazards and risks, required resources and policies).

An officer may comply with this criteria where they receive and respond to information through direct involvement by them in work activities. This is typically the case for sole proprietors, small partnerships and for “hands on” directors and managers in small businesses. Officers who are not involved directly in work activities, typically in medium to large size companies or partnerships, will need to demonstrate other means by which they receive and respond to relevant information.

Criterion 3: OHS Advisors

Section 22(2)(b) of the Occupational Health and Safety Act 2004 requires an contractor to either (directly) employ or engage the services (externally) of a suitably qualified person [or persons] to provide advice to the contractor concerning the health and safety of employees.

The objective is to ensure that the contractor has available to it up to date knowledge of legal obligations and good industry practice. This is in part necessary to ensure that the Contractor meets the standard of ‘reasonably practicable’ required of them, and in part to enable the officers to meet their obligations for reasonable care and due diligence.

The contractor will need to demonstrate that:

the contractor has expertise and knowledge available to it covering all key aspects of OHS relevant to the business and activities of the contractor; and

that the advisor(s) are suitably qualified taking into consideration the nature of the activities of the contractor and on the numbers and types of advisors employed or engaged by the contractor. Tertiary or post-graduate qualifications are not necessary, but may make it easier for the assessor / evaluator to be satisfied that this criterion has been met.

This criterion may be satisfied by membership of an industry association or other organisation that provides the contractor with OHS advice and assistance. If the Contractor wishes to rely on membership of an association then the Contractor must clearly demonstrate understanding of how to access that association’s OHS assistance.

Criterion 4: Consultation and issue resolution

Introduction to Criterion 4

Effective OHS risk management requires decisions to be made and implemented based on a proper flow of information between the Contractor and workers.


OHS issues must be resolved as soon as is reasonably practicable, which requires effective mechanisms for the exchange of information and consideration of various viewpoints.

The Occupational Health and Safety Act 2004 and regulations recognise this by providing for management and employee representation in consultation and issue resolution and processes for undertaking those activities. Employees for this purpose include sub-contractors and their employees. The Occupational Health and Safety Act 2004 will provide for representation and consultation for ‘workers’.

It is important that the management representative be sufficiently senior and competent to deal effectively with OHS issues. Otherwise, the process may be slowed down by a lack of knowledge, poor communication or perceptions of bad faith. This is recognised for example in section 73(2)(b) of the Occupational Health and Safety Act 2004 which requires seniority and competence of the Contractor’s representative.

Criterion 4a: Management representation for consultation, issue identification and response

For this criterion the Contractor must produce evidence that an appropriate management representative has been nominated for consultation and issue resolution, and that the person has sufficient and current knowledge or timely access to appropriate sources of knowledge to effectively undertake that role.

There are no set standards or qualifications specified for the management representative, however tertiary or post-graduate qualifications may make it easier for the assessor / evaluator to be satisfied that this criterion has been met.

The management representative should be familiar with the OHS legal obligations of the Contractor and the key principles for effective OHS risk management.

The management representative should be able to demonstrate a good knowledge of consultation and issue resolution obligations and procedures; or at least knowledge of the Contractor’s obligations relating to consultation and issue resolution and access to an appropriate internal or external advisor. The availability to the management representative of advisors referred to in Criterion 3 above, may be relevant to the qualifications necessary for the management representative.

Currency of knowledge is important given regular changes to OHS laws and practice.

Criterion 4b: Elected Health and Safety Representative (HSR)

This criterion recognises that the election and training of a Health and Safety Representative (HSR) may assist in consultation and issue resolution (and is common in the construction industry). Representation is ordinarily limited to employees, but the Occupational Health and Safety Act 2004 provides for representation of the broader class of ‘workers’ by agreement, which commonly occurs in the construction industry.

The purpose of this criterion is:

to identify whether the workers are represented by a HSR elected under Part 7 of the Occupational Health and Safety Act 2004; and

whether the HSR has received training (which is usually a five day initial course with subsequent refresher and other training).

The law does not require the election of a HSR, or the training of the HSR, although the HSR is entitled to training if they require it.


Where there has been no request from workers for designated work groups or the election of a HSR, the Contractor may certify this to be the case. The absence of a HSR will place more significance on Criterion 4c and may require a higher level of detail of consultation arrangements to be provided to satisfy that criterion.

Criterion 4c: Consultation and issue resolution procedures

This criterion is concerned with ensuring that the contractor has in place a process for effectively undertaking communications relating to consultation and issue resolution.

For this criterion the contractor should be able to provide either consultation and issue resolution procedures that are agreed with workers (directly or through the HSR or other representative) or demonstrate that the contractor is familiar with the requirements of the Occupational Health and Safety Act 2004 and regulations, including the default process provided in the regulations, whether or not they have needed to use them.

Criterion 4d: Health and Safety Committee

It is recognised that an effective Health and Safety Committee can be a good means to develop OHS strategy and processes and to ensure that appropriate consultation occurs with employees.

It is not compulsory for a contractor to have a committee, although it must have if requested. The absence of an effective committee may however place greater significance on Criterion 4c.

The provision of committee charter or constitution or similar will assist in determining the effectiveness of it and the degree to which it assists in satisfying Criterion 4d.

Criterion 4e: Consulting and working with other parties

The Occupational Health and Safety Act 2004 does not includes a specific duty on a Contractor to consult, cooperate and coordinate activities with others who have a duty over the same matter.

These processes are however necessary in most situations for compliance with the duties under the Occupational Health and Safety Act 2004.

The Contractor has duties in relation to its employees under Section 21 of the Occupational Health and Safety Act 2004. These duties may require the Contractor to identify risks to its employees from attendance at workplaces that are managed or controlled by others, or at which the activities of others may expose the employees of the Contractor to OHS risks. The Contractor in carrying out its activities, including attendance at workplaces, also has a duty to persons who are not employees under Section 23 or 24 of the Occupational Health and Safety Act 2004.

Others involved in work in which the Contractor is involved may also owe duties to the Contractor and its employees.

To comply with these duties, the Contractor should ensure that it has the information necessary to enable it to understand and manage the risks arising from their involvement and that of other parties in the work and ensure that the Contractor works together with other parties for the effective management of OHS risks.

This means that a Contractor should in some circumstances consult, cooperate and coordinate activities in relation to OHS with the client, sub-contractors, labour on-hirers, the person with management or control of the workplace and suppliers of plant and substances.

The aim of this criterion is to ensure that OHS is properly and effectively catered for through each party:

having sufficient knowledge of the activities of others that may affect OHS


understanding what others have in place to provide for OHS risk management determining what they must do to provide for OHS risk management; and

coordinating their activities with those of others to ensure there are no gaps in risk management.

These activities represent good practice and may be necessary to meet the standard of ‘reasonably practicable’ and comply with duties of care under the Occupational Health and Safety Act 2004, particularly in relation to contractor safety management.

Compliance with this Criterion may be achieved by demonstrating the means by which the Contractor identifies other parties with whom they must consult, cooperate and coordinate activities, and the requirements to meet each of the elements noted above.

Documents showing examples of consultation with other parties and the outcomes may be sufficient to demonstrate this criterion is being met.

Criterion 5: Currency of awareness of OHS

This criterion is clearly linked to Criteria 3 and 4 above and reference is made to the comments in relation to those criteria.

The Checklist notes some of the means by which the contractor may keep informed of changes in OHS regulations, guidelines and practice. These are not exclusive. This is a specific element of the due diligence requirement for officers.

The assessor / evaluator must be satisfied however that the contractor has a consistent process by which it is regularly informed of changes relevant to its operations.

Criterion 6: Induction and training

The provision of information, instruction and training to employees and to other workers is clearly provided for in section 21(2)(e) of the Occupational Health and Safety Act 2004 and in the regulations.

Compliance with these obligations requires the provision of site specific induction and training that is relevant to the individual employee and as is necessary to enable them to safely perform their work tasks.

The assessor / evaluator must be satisfied through documented systems and training records that the Contractor has in place systems for ensuring induction and training occurs.

Criterion 7: Hazard identification and risk control

The Occupational Health and Safety Act 2004 requires a contractor to provide and maintain for its employees and other workers, so far as is reasonably practicable, systems of work that are safe and without risks to health.

Different construction projects will require the identification of specific systems of work. The systems of work must be appropriate to meet the risks associated with the particular work being undertaken. To meet this requirement the contractor will often need to have and use systems to identify, assess and control hazards and risks.

The Occupational Health and Safety Act 2004 also imposes requirements on contractors that may have the management or control of the workplace or the design of the workplace; design or manufacture or supply plant; install, erect or commission plant.


There are well known risks in the construction industry (e.g. fall from heights) for which systems of work and supporting training should be provided. Other identified construction industry risks may have accepted industry standard risk controls. However the contractor must still identify hazards and provide systems and other control measures for the elimination or reduction of associated risks.

For some activities involving high risks the contractor may be required to provide additional evidence of analysis of risks and availability of skills before the work can commence.

For Criterion 7 the Contractor needs to demonstrate and provide documentary evidence:

of the availability to the Contractor of safe systems of work and procedures; of the Contractor’s awareness of the need for such systems and progress toward the

provision of same; of a process for the identification of hazards and the identification and application of risk

controls; of the Contractor’s awareness of each of the obligations imposed on them by the

Occupational Health and Safety Act 2004 and regulations by virtue of the Contractor’s role and activities and has in place processes for meeting those obligations; and

showing how the Contractor assesses risks and identifies risk control measures.

Documents that show a system for doing this (e.g. formats for job safety analysis, or processes for developing safe work method statements) will assist in demonstrating the contractor’s compliance with this criterion.

The contractor must also provide an example of how these system documents have been used.

Third party certification of the contractor’s OHS management systems will be a strong indicator of satisfaction of this criterion, however , evidence may be required of such a certified system and in particular how specific legal requirements are met.

Regulations made under the Occupational Health and Safety Act 2004 require the process of hazard identification and risk control, with specific measures relevant to the activities of the contractor.

From 1 July 2008 this has included the requirement for coordination plans for higher value projects and the preparation of safe work method statements for high risk work.

Coordination Plans are required to be developed and maintained by Contractors where they are appointed to the role of Principal Contractor.

(Regulations 5.1.16, 5.1.17 and 5.1.18 of the Occupational Health and Safety Regulations 2007 – Part 5.1 – Construction).

Criterion 8: Contractor and sub-contractor safety management

For this criterion the Contractor must provide information as to how the Contractor complies with its obligations for the safety of all workers and others, including:

independent Contractors engaged by the Contractor; employees of those independent Contractors; sub-contractors; employees of Victorian Government Departments that use the Construction Supplier

Register; and

the public and others.

The Contractor must also provide documentary evidence of the systems, contractual and process documents supporting the systems and evidence of their implementation (e.g. completed checklist and inspection records).


For matters over which the Contractor has control or would, but for an agreement to the contrary, has had control, the Contractor has duties and requirements under the Occupational Health and Safety Act 2004 to “employees” which includes:

independent contractors engaged by the Contractor; employees of those independent Contractors; and

sub-contractors.

The hazardous nature of construction related activities, the extensive duties and obligations imposed by the Occupational Health and Safety Act 2004 and regulations and the complexity of activities on a construction site or project, mean that Contractor safety management can only be achieved through the implementation of effective and enforced systems.

The requirements of Criterion 4e relating to consultation, cooperation and coordination of activities with other duty holders are clearly relevant to this Criterion 8 and evidence provided by the Contractor relating to Criterion 4e may also satisfy this Criterion.

Criterion 9: Emergency response

Emergency response is a critical aspect of safety management in the construction industry, given the hazardous nature of the activities and the difficulties associated with site access etc.

Effective emergency response is a part of the Contractor’s obligations under the Occupational Health and Safety Act 2004 to provide and maintain safe systems of work, adequate welfare facilities and information, instruction and training for employees and other workers.

An important aspect of the Contractor’s emergency response is the regular review and testing of systems and training (e.g. through emergency evacuation trials).

Adequate welfare facilities must include first aid facilities and training as is appropriate to the nature of the activities, numbers of workers and location.

The Contractor must provide documents to:

verify the existence of emergency procedures; confirm first aid facilities and training; and

verify the dissemination of information to employees and other workers by notices, training and testing.

Criterion 10: Incident notification, investigation and response

The management of serious incidents is a critical aspect of safety management in the construction industry, given the hazardous nature of many construction activities, (e.g. failure of registered plant, collapse of a trench, explosion or fire, fall of an object from height).

The obligations of the Consultant for the safety of its workers and others necessarily require the proper investigation of incidents, identification of causes and remediation of deficiencies. Information available as a result of an incident is part of the knowledge on which an assessment will be made on what may be reasonably practicable for a Contractor to do.

The Occupational Health and Safety Act 2004 imposes obligations on the Contractor including:

a requirement to notify WorkSafe Victoria of serious incidents; a requirement to preserve an incident site following a notifiable incident until an inspector

attends or otherwise directs (except where disturbance of the site is necessary for rescue or health and safety protection); and

entitling HSRs to inspect a workplace after an incident and be involved in various processes and activities following an incident.


Under this criterion the Contractor will need to provide documented systems or records such as:

a procedure or instruction requiring information to be provided to a person nominated to fulfil these obligations for the Contractor, familiarity with the requirements and the notification form;

evidence of the Contractor’s satisfactory notification and investigation of an incident; and

evidence of the Contractor’s satisfactory response to the notifiable incident, for example to prevent its recurrence.

The requirements for due diligence by an officer include ensuring processes are in place to meet the obligations to notify incidents to WorkSafe Victoria.

Criterion 11: Enforcement activity

The level, nature and seriousness of enforcement activity and the response of the Contractor to it may be a significant indicator of the Contractor’s OHS capability and performance.

Enforcement activity may reflect non-compliance and poor safety performance by a Contractor. A timely and effective response by the Contractor to enforcement activity may demonstrate the quality of their safety systems and processes.

Demonstrated compliance with a notice, or effective response or remediation following enforcement activity may render that enforcement activity no longer relevant and may even show improvements in the Contractor’s systems and processes.

WorkSafe Victoria and other agencies relevant to OHS (e.g. Energy Safe Victoria) and HSRs may seek to enforce OHS related legislation and regulations through:

directions; improvement notices; prohibition notices; prosecutions; and enforceable undertakings.

HSRs are entitled to issue provisional improvement notices which have the same effect as an improvement notice issued by an inspector (unless a review is sought by the Contractor).

For this criterion the Contractor will need to provide information (if any) in relation to enforcement activity and the Contractor’s response. Documents which the Contractor should provide include:

associated Entry Reports, to provide a clear picture of the alleged non-compliance or risk; and

evidence that the Contractor has responded appropriately to the breach or the risk which was the subject of the enforcement activity.

Certification by the Contractor of an absence of regulator activity of the kind indicated will be satisfactory evidence of compliance with this criterion.

Criterion 12: Workers Compensation Insurance

Workers compensation premium rates for a Contractor reflect the claims performance of the Contractor and are related to industry average performance.

High levels of workers compensation claims may indicate poor safety performance.

The Contractor will need to provide details of the Contractor’s workers compensation insurance premium level compared to the industry rate.


Note: A premium rate of more than 150% of the industry rate will usually reflect an unacceptably high level of claims. Where the Contractor has a premium rate of more than 150% of the industry rate the Contractor will need to provide a satisfactory explanation for the high premium rate.


The occupational health and safety criteria for Contractors - Part 2 - Guide to acceptable evidence


OHS criteria The Contractor’s organisation-specific OHS Policy.

Guide to acceptable evidence

Provide a copy of the organisation’s OHS Policy which: has been signed by the most senior person within the organisation to

demonstrate commitment at the top of the organisation; outlines the Contractor’s commitment to OHS; allocates responsibilities; requires systems for managing risks from hazards associated with the

work of the Contractor; and has been drafted or reviewed in the last two years.


OHS criteria The identity of the officers of the Contractor, as defined in the Occupational Health and Safety Act 2004 and the means by which those officers effectively govern the Contractor in relation to OHS.Note: This does not apply to a Contractor who is a sole trader, but does apply to a company, partnership, alliance or association.For Information onlyCompany officers can be personally liable.Sections 144 and 145 of the Occupational Health and Safety Act 2004 provide for an officer of a company, partnership or association (“the organisation”) to be guilty of the same offence as that committed by the organisation, if that offence was attributable to the failure of the officer to exercise reasonable care.Also, the involvement of officers is considered a key to the proper and effective management of OHS in an organisation.Officers are generally the most senior people, such as the Chief Executive, a director, partner or other senior staff who are in a position to prevent breaches of the Occupational Health and Safety Act 2004.Company officers should be aware of their organisation’s health and safety obligations and how they are managed.Officers should take reasonable care to ensure that safety responsibilities are communicated to all staff, that appropriate safety procedures are in place, and that sufficient resources are allocated to health and safety. Any officers who are proactive and take reasonable care are not likely to be affected.


Provide an organisation chart or other information identifying who are officers by being:

directors and/or company secretary (for a company); partners (of a partnership); office holders (of an association); otherwise involved in making decisions that affect the whole or a

substantial part of the business or affect the financial standing of the Contractor.


Provide details of: information provided to the officers in relation to OHS hazards, risks and

compliance; the means by which that information is provided (e.g. reporting process,

committees, responsibilities for reporting on OHS); steps taken by officers to determine requirements for and allocation of

resources for OHS; steps taken by the officers to verify and respond to OHS information; and steps taken by the officers to verify implementation of policies and

procedures for OHS compliance.Notes:

Reference should be made to how the officers receive and respond to information.

An officer may comply with this criteria where they receive and respond to information through direct involvement by them in work activities. Officers who are not involved directly in work activities will need to demonstrate other means by which they receive and respond to relevant information.


OHS criteria Curriculum Vitae of person(s) with relevant OHS qualifications engaged or employed to advise the Contractor on OHS matters.


Provide copies of Curriculum Vitae or other details of your internal adviser or external adviser or organisation.Note: Contractors relying on their membership of an industry association that provides OHS advice / assistance should provide evidence of membership and evidence that the Contractor understands how to access the industry association’s OHS assistance.


4a. Management representation for consultation, issue identification and response

OHS criteria The identity of the firm’s management OHS representative / officer and any other resources assisting the identification of OHS concerns, their consideration and response.Details of satisfactory training / qualifications or source of assistance.


Provide evidence confirming the nomination of a manager or details of the process for identifying the relevant manager for a particular issue, and:

Copies of training certificate(s) or other relevant qualification information within the last 2 years (this is the preferred evidence); or

Evidence of acceptable refresher training or access to assistance to maintain currency of knowledge.

Note: In the absence of training/qualifications for the manager provide details of other resources (e.g. industry association) and means for timely communication with them.

4b. Elected Health & Safety Representative (HSR)

OHS criteria The identity of any employee(s) of the consultant, or an employee of another


employer where a multi-employer work-group has been agreed under Division 2 of Part 7 of the Occupational Health and Safety Act 2004, elected as a Health and Safety Representative under Occupational Health and Safety Act 2004 and details of training undertaken by them.orCertification by the Contractor that there has been no request for designated work groups and the election of HSRs.


Provide details and date of HSR election; andCopies of training certificate(s) or other relevant information.Note: an explanation for an absence of HSR training or details of planned training may be acceptable.Provide details of any process by which the Contractor manages the establishment of workgroups on specific projects or for specific workplaces, including any negotiations for multi-employer or multi-workplace workgroupsorProvide a signed statement to confirm that there has been no request for designated work groups and the election of HSRs.

4c. Consultation and issue resolution procedures

OHS criteria How consultation and issue resolution are undertaken with employees and HSRs (if any) as required by the Occupational Health and Safety Act 2004 and regulations.


Provide copies of consultation and issue resolution procedures that have been agreed with employees and/or workers, directly or through the HSR or other representative. This may include arrangements for consultation through a person who workers agree will represent them, and management accepts them doing so, were HSR’s have not been elected; or

Provide evidence that the Contractor is familiar with the requirements of the Occupational Health and Safety Act 2004 and regulations, including the default process provided in the regulations, whether or not the Contractor has needed to use them.

and Provide evidence of how consultation is undertaken (e.g. minutes of

toolbox meetings or other meetings with employees and/or HSRs).

4d. Health & Safety Committee

OHS criteria Details of any Health and Safety Committee (where appropriate) and the charter or constitution or rules that show how the Committee operates (meeting the requirements of Part 7 of the Occupational Health and Safety Act 2004)orCertification by the Contractor that there has been no request for the establishment of a Health & Safety Committee.


Provide a copy of the committee charter or constitution or similar rules.orProvide a signed statement to confirm that there has been no request for the establishment of a Health & Safety Committee.


4e. Consulting and working with other parties

OHS criteria The Contractor has duties in relation to its employees under Section 21 of the Occupational Health and Safety Act 2004. These duties may require the Contractor to identify risks to its employees from attendance at workplaces that are managed or controlled by others, or at which the activities of others may expose the employees of the Contractor to OHS risks. The Contractor in carrying out its activities including attendance at workplaces, also has a duty to persons who are not employees under Section 23 or 24 of the Occupational Health and Safety Act 2004.Others involved in work in which the Contractor is involved may also owe duties to the Contractor and its employees.The Contractor must accordingly demonstrate:

how it consults with other parties to ensure each has necessary OHS information; and

how it determines what is needed to work together with other parties for effective OHS risk management.

Other relevant parties may include the client, sub-contractors, other suppliers of labour, those with management or control of the workplace and suppliers of plant or substances.


Provide details of policies and procedures for identifying relevant parties, engaging in consultation about OHS directly affecting the Contractor and its employees, and determining how to work together for OHS risk management.Documents showing examples of consultation and the outcomes may be sufficient to demonstrate this criterion is being met.


OHS criteria Method(s) used to keep updated on changes to OHS legislation, regulations and guidelines and other information to maintain ongoing awareness of OHS requirements.


Provide: details of relevant memberships / subscriptions or processes for seeking

information from other bodies (e.g. through WorkSafe Victoria; Master Builders Association of Victoria; Housing Industry Association of Victoria; other safety alerts/bulletins); and

examples of information received.


6a. Processes

OHS criteria Details of processes by which the Contractor ensures that no person enters or works upon a construction site without induction or otherwise in compliance with requirements of regulations.


Provide copies of procedures for enforcing induction and supervision requirements and evidence of their implementation and enforcement.


6b. Records

OHS criteria Confirmation that OHS induction and necessary training of Contractor’s employees and sub-Contractors are ensured. Induction of people other than employees of the Contractor to workplaces under the management or control of the Contractor should also be provided for.The purpose of the induction is to ensure that the employees and others have an awareness of the workplace specific hazards and risks and measures in place to manage the risks (including emergency and evacuation measures).The purpose of training is to enable the Contractor’s employees and sub-Contractors to perform their work in a way that is safe and without risks to their health.


Provide copies of records verifying the nature and content of induction of employees and others and demonstrating that the Contractor has in place systems for ensuring induction and training occurs.


7a. Hazards and risk control

OHS criteria The means by which hazards and risks associated with the activities of the Contractor are identified, assessed and controlled.


Provide evidence of OHS management systems, manuals or policies/procedures (e.g. for Job Safety Analysis or risk assessment) and a completed risk assessment.Certification of systems (e.g. Safety Map, Federal Safety Commissioner or AS4801 will assist)

7b. Compliance with legal requirements

OHS criteria The means for compliance with specific legal requirements.Note: Coordination Plans are required to be developed and maintained by Contractors where they are appointed to the role of Principal Contractor.(Regulations 5.1.16, 5.1.17 and 5.1.18 of the Occupational Health and Safety Regulations 2007 – Part 5.1 – Construction)


Provide evidence or examples of the means for compliance with specific requirements, such as by completed Job Safety Analysis, safe work method statements and the means of coordinating safety activities on site. These are examples only and the specific compliance requirements will depend on the activities carried out by the contractor.Note: See also the requirements under Criterion 4e, to provide for consultation and coordination with other parties.

Criterion 8: Contractor and sub-contractor safety management

OHS criteria Procedures for managing the obligations of the Contractor under the Occupational Health and Safety Act 2004 for the safety of independent Contractors (sub-Contractors) engaged by the Contractor and of the employees of sub-Contractors and others.

Guide to Provide documentary evidence of safety systems, sub-Contractor management


acceptable evidence

systems, contract clauses or other documents supporting the systems and evidence of their effective implementation and enforcement (e.g. completed checklists and inspection records).Note: See also the requirements under Criterion 4e, to meet the specific duty to consult, cooperate and co-provide for consultation and coordination with other parties, which applies to contractor and sub-contractor management.


9a. Procedures and first aid

OHS criteria Effective emergency response procedures including review and testing requirements, the availability of suitable first aid facilities, and employee first aid training.


Provide: a copy of emergency response procedure including their review and

testing requirements; evidence of means by which the Contractor assesses first aid needs and

ensures adequate first aid facilities; and copies of first aid training records.

9b. Information and testing

OHS criteria The effective dissemination of emergency response information and of testing of emergency response procedures in the past 12 months.


Provide evidence of the dissemination of emergency response information to

employees by notices, training or other method; and evidence of emergency procedure testing (eg report on emergency

evacuation exercise).


10a. Internal incident notification

OHS criteria System for the notification of all incidents internally and (where relevant) to the employer with management and control of the workplace.


Provide copies of processes, procedures, form(s) and instructions to staff that cover internal and external incident notification.Where available provide completed examples.

10b. Notification of incidents to WorkSafe Victoria

OHS criteria System for the notification of incidents to WorkSafe Victoria as required by Part 5 of the Occupational Health and Safety Act 2004 (immediate oral notification of death, serious injury or an incident involving immediate risk to people from specified events).


Evidence of compliance with this criterion could include: documented systems to ensure compliance with the Contractor’s

obligations under the Occupational Health and Safety Act 2004 relating to incident notification;


a procedure or instruction nominating the person with responsibility for fulfilling the incident notification obligations for the Contractor and how and when information should be provided to that person;

evidence of the Contractor’s familiarity with the requirements and the notification form; and

evidence of satisfactory notification (if notifiable incidents have occurred).

10c. Investigation and action taken

OHS criteria System for investigating incidents to determine causes, identify and implement appropriate action to prevent a recurrence.


Evidence of compliance could include: documented systems for incident investigation and reporting; and/or

examples of investigations and action taken in response.

Criteria Nos. 11 and 12 relate to the Contractor’s OHS Performance as indicated by:

the level of OHS related enforcement activity; the Contractor’s response to such activity; and

the Contractor’s insurance premium rate, compared with the industry.

The way a Contractor responds to enforcement activity and notices, including the Contractor’s implementation of remedial action, can be an indicator of effective and continually improving OHS systems and processes.

Workers compensation premium rates are related to industry average performance. A premium rate of more than 150% of the industry rate may reflect an unacceptably high level of claims.

Criterion 11: Enforcement activityThis performance criterion seeks evidence of the consultant’s response to enforcement activity.

OHS performance criteria

Where there has been no enforcement activity refer to Guide to acceptable evidence below.

Where there has been enforcement activity within the past 24 months or issues raised by any WorkSafe Victoria, Environment Protection Authority, Energy Safe Victoria or other relevant inspectorate and/or HSR including:

prohibition notices; improvement notices; written directions; provisional improvement notices issued by a

HSR; activities relating to an incident notified to

WorkSafe Victoria under Part 5 of the Occupational Health and Safety Act 2004; and

any prosecution commenced by WorkSafe Victoria or completed, within the period.


Where there has been no relevant inspectorate or regulatory activity, notices, or prosecutions of the kind outlined in Criterion 11 the

Provide copies of relevant documents relating to the enforcement activity or issues raised including:

WorkSafe Victoria or WorkSafe Victoria Entry Reports and notices;

notices from other relevant bodies; HSR provisional improvement notices; summonses and particulars of charges or other


Contractor should provide a signed statement to that effect.

documents detailing alleged offences; documents relating to outcome of prosecution;

and provide documents showing the action taken by

the Contractor to correct deficiencies identified in the notices or proceedings.

Criterion 12: Workers Compensation insurance

OHS performance criteria

Comparison of the Contractor’s insurance premium rate with that of the industry as a reflection of the Contractor’s claims history.The Contractor’s current insurance premium rate not exceeding 150% of industry rate for the past 3 years.Not required for self-employed person not having employees or deemed employees.


Provide documentary evidence from Insurer / WorkSafe Victoria of currency of insurance, premium rate and industry classification (e.g. premium notice).Where the premium rate exceeds 150% of the industry rate the Contractor will need to provide a satisfactory explanation for the high premium rate.


The occupational health and safety criteria for Consultants - Part 1 - An explanation of the criteria

Consultants as Designers of Workplace Buildings and Structures

Who is a designer?

Designers under Section 28 of the Occupational Health and Safety Act 2004 include persons who design buildings or structures or part of part or structure in the course of undertaking their profession, trade or business.

WorkSafe Victoria considers that designing includes:

making preliminary sketches, plans or drawings for a building or a structure before it is constructed, commissioned and used as a workplace; and

making specialist, expert or technical decisions for incorporation into the design that may affect the risk to health or safety of people using the building or structure as a workplace.

The duty clearly applies to professionals with expertise and/or technical skills required to design a particular building, structure or part of a building or structure.

Given that the design process for a workplace building or structure may occur at various stages of a project, as shown below, several persons may have duties under Section 28:

General project stages involving design

Pre-design; siting, feasibility study; Conceptual and schematic design; Design development; Construction documentation; and

Construction, refurbishment or modification.

Designers may include:

architects, or draftspersons who undertake the design on behalf of clients, including conducting feasibility study, producing schematic design or preparing construction documentation or tendering, depending on the contractual arrangement;

other designers who participate in the design or make decisions during any of the project phases. These may include engineers, interior designers who design parts of the building or structure which are integral to the use of the building or structure as a workplace.

For additional reading; WorkSafe Victoria publication, Designing Safer Buildings and Structures. A Guide to Section 28 of the Occupational Health and Safety Act 2004.

What must be provided for?

The designer must ensure that the design of the building or structure is safe for use for a purpose for which it was designed. This is specifically provided for by Section 28 of the Occupational Health and Safety Act 2004.

A designer also has a duty under either Section 23 or 24 of the Occupational Health and Safety Act 2004 to ensure so far as is reasonably practicable that people other than their employees are not exposed to risks to their health or safety from the conduct of the undertaking (business) of the designer. Where the undertaking includes the design of buildings or other structures, this may require the designer to take account in the design risks that are reasonably foreseeable to the Consultant at the time of the design activity, which may include risks during construction or


maintenance – e.g. where the nature of the design means that it will be difficult to access high points in the structure using conventional means.

Compliance with this Criterion may include demonstrating an implemented policy requiring individuals undertaking design activity for the Consultant to consider reasonably foreseeable risks associated with the design.

Criterion 1a: The consultant’s corporate position on OHS in design and how it is disseminated

Business’s OHS position on OHS in design should be established to demonstrate the Business Management’s commitment to design safety. It will help create a culture for design safety at both corporate and project levels.

The Business’s OHS position statement should be known by employees and other workers carrying out design work and interested parties.

Criterion 1b: The consultant’s commitment to addressing health and safety in design at project level

To demonstrate OHS commitment at project level, the designer should develop a project-specific health and safety brief and provide it to prospective client before accepting and starting design project. It can be developed either as an independent brief or a part of the designer’s return brief.

The health and safety brief will inform the client about the designer’s safety objectives for the project and provide a scope for the selection or development of design options during the design process later on.

It is understandable that the designer’s control over design outcomes will be subject to the client’s final decision, however the designer’s OHS brief will help create a set of agreed principles for achieving safety outcomes at the onset of a design project.

This step is also relevant to the obligations noted below at Criterion 5e for consultation with and coordinating activities with others for effective OHS risk management.

Criterion 1c: The consultant’s systematic approach to address health and safety risks in design

Project-specific health and safety risks should be addressed in conformance with safety risk management systematic approach. This involves:

hazard identification and analysis; risk management and selection or development of options to eliminate or reduce risks

through design. The selection of suitable design options should be based on considerations such as: Standards solutions, industry / technical guidance and outcomes of risk assessments;

review/evaluation of design; and

communication to client regarding residual risks and suggested control measures (the information should be kept in a risk register).

Further information on the systematic process can be found in the WorkSafe Victoria’s publication titled Designing Safer Buildings and Structures. A Guide to Section 28 of the Occupational Health and Safety Act 2004 (page 12, 1st edition, 2005).


Criterion 1d: The means, by which the consultant builds, maintains and continuously enhances OHS knowledge and capabilities from a design perspective

The consultant should demonstrate the capability to identify and respond to health and safety hazards and risks associated with the design project. This requires the consultant to have relevant knowledge and information. The baseline knowledge and information must be demonstrated through appropriate means, such as training and qualifications of relevant personnel in OHS relevant to the design function.

As design concepts evolve and construction methods change, so does knowledge of the associated hazards and risks. The consultant must keep OHS knowledge up to date and needs to demonstrate the means by which that is done.

This may be achieved internal personnel or through membership of an appropriate association providing services that will meet this requirement, or through the engagement of a OHS consultant to advise.

This criteria may be satisfied by evidence of each of the following:

Relevant training of relevant design personnel, or of the qualifications of OHS advisors relating to OHS issues in design;

That the consultant has ongoing access to information about the current state of knowledge of OHS hazards and risks associated with the design of plant, buildings and structures, and the means for controlling hazards and risks in design;

The means by which that information is disseminated throughout the organisation to those involved in design activities; and

The means by which that information is updated.

Criterion 1e: Management review of overall OHS performanceThe review should be done at regular intervals to evaluate aspects such as:

the effectiveness of OHS performance in design projects; processes and systems applied during design process to address hazards and risks; and

good design practices and lessons learned which could be used in future design projects.

Consultants requirements for OHS in conducting a business


The Consultant must have and provide a copy of an organisational-specific OHS Policy that, at the least, states:

a clear commitment to providing for the health and safety of all employees and other workers and others who may be affected by their activities, and achieving legal compliance, through effective risk management;

the means by which that commitment will be met (e.g. risk assessment, safe systems of work, training);

the respective responsibilities and roles of stakeholders at all levels within and external to the organisation in ensuring safety; and

a commitment to continuous improvement and policy review, including a date or time within which the policy will be reviewed.

The Policy is significant as both a statement of values against which the organisation can be held accountable and an indication of the key criteria and roles in OHS. It can be a demonstration of the understanding of the organisation of the importance and criteria of OHS management.


The Policy should preferably be signed by the most senior person within the organisation (e.g. Chairman, Managing Director, CEO, General Manager) to demonstrate commitment at the top of the organisation.


Sections 144 and 145 of the Occupational Health and Safety Act 2004 provide for an officer of a company, partnership or association (“the organisation”) to be guilty of the same offence as that committed by the organisation, if that offence was attributable to the failure of the officer to exercise reasonable care.

The involvement of officers is considered to be a key to the proper and effective management of OHS in an organisation, by ensuring that the organisation has and applies appropriate resources and policies and procedures for OHS.

The definition of an officer in section 9 of the Corporations Act 2001 (Clth) is adopted in the Occupational Health and Safety Act 2004 and includes:

directors and secretary of a company; partners in a partnership; officers in an unincorporated association; persons involved in making decisions that affect the whole or a substantial part of the

organisation (commonly known as the Executive or Management); those who have the capacity to affect significantly the financial standing of the organisation; those on whose instructions or wishes the directors are accustomed to act; and

a liquidator, trustee, administrator, receiver and manager.

These are the people who have the role of governing the organisation and are able to determine or affect the ability of the organisation to properly and effectively manage OHS.

Ways in which the Consultant may demonstrate compliance with this criterion, and reasonable care for the purposes of the Occupational Health and Safety Act 2004 include:

a. evidence of advice provided to the Consultant identifying who the officers are;

Note: if the Consultant is a company whose directors are the only managers of the business, then the directors may be the only officers and this step may not be needed).

b. details of a governance (management) structure and process that provide for:i. the gathering and analysis of relevant information;ii. reports on relevant matters to be provided to the officers, in a timely fashion (e.g.

regular reporting on some matters and timely reporting of incidents);iii. advice to be provided to the officers (from sources within and external to the

business); and

iv. monitoring, auditing and review of performance.

c. confirmation that information provided to officers allows them to have the required knowledge and understanding of each of the elements of the due diligence definition (e.g. as to hazards and risks, required resources and policies).

An officer may comply with this criteria where they receive and respond to information through direct involvement by them in work activities. This is typically the case for single director companies, small partnerships and for “hands on” directors and managers in small businesses. Officers who are not involved directly in work activities, typically in medium to large size companies or partnerships, will need to demonstrate other means by which they receive and respond to relevant information.



Section 22(2)(b) of the Occupational Health and Safety Act 2004 requires an Consultant to either (directly) employ or engage the services (externally) of a suitably qualified person (or persons) to provide advice to the Consultant concerning the health and safety of employees.

The objective is to ensure that the Consultant has available to it up to date knowledge of legal obligations and good industry practice. This is in part necessary to ensure that the Contractor meets the standard of ‘reasonably practicable’ required of them, and in part to enable the officers to meet their obligations for reasonable care and due diligence.

The Consultant will need to demonstrate that:

the Consultant has expertise and knowledge available to it covering all key aspects of OHS relevant to the business and activities of the Consultant; and

that the advisor(s) are suitably qualified taking into consideration the nature of the activities of the Consultant and on the numbers and types of advisors employed or engaged by the Consultant. Tertiary or post-graduate qualifications are not necessary, but may make it easier for the assessor / evaluator to be satisfied that this criterion has been met.

This criterion may be satisfied by membership of an industry association or other organisation that provides the Consultant with OHS advice and assistance. If the Consultant wishes to rely on membership of an association then the Consultant must clearly demonstrate understanding of how to access that association’s OHS assistance.

Criterion 5: Consultation and issue resolutionIntroduction to Criterion 5

Effective OHS risk management requires decisions to be made and implemented based on a proper flow of information between the Employer and employees and workers.

OHS issues must be resolved as soon as is reasonably practicable, which requires effective mechanisms for the exchange of information and consideration of various viewpoints.

The Occupational Health and Safety Act 2004 and regulations recognise this by providing for management and employee representation in consultation and issue resolution and processes for undertaking those activities. Employees for this purpose include sub-contractors and their employees. The Occupational Health and Safety Act 2004 will provide for representation and consultation for ‘workers’.

It is important that the management representative be sufficiently senior and competent to deal effectively with OHS issues. Otherwise, the process may be slowed down by a lack of knowledge, poor communication or perceptions of bad faith. This is recognised for example in section 73(2)(b) of the Occupational Health and Safety Act 2004 which requires seniority and competence of the Consultant’s representative.

Criterion 5a: Management representation for consultation, issue identification and response

For this criterion the Consultant must produce evidence that an appropriate management representative has been nominated for consultation and issue resolution, and that the person has sufficient and current knowledge or timely access to appropriate sources of knowledge to effectively undertake that role.

There are no set standards or qualifications specified for the management representative, however tertiary or post-graduate qualifications may make it easier for the assessor / evaluator to be satisfied that this criterion has been met.


The management representative should be familiar with the OHS legal obligations of the Consultant and the key principles for effective OHS risk management.

The management representative should be able to demonstrate a good knowledge of consultation and issue resolution obligations and procedures; or at least knowledge of the Consultant’s obligations relating to consultation and issue resolution and access to an appropriate internal or external advisor. The availability to the management representative of advisors referred to in Criterion 3 above, may be relevant to the qualifications necessary for the management representative.

Currency of knowledge is important given regular changes to OHS laws and practice.

Criterion 5b: Elected Health and Safety Representative (HSR)

This criterion recognises that the election and training of a Health and Safety Representative (HSR) may assist in consultation and issue resolution (and is common in the construction industry). Representation is ordinarily limited to employees, but the Occupational Health and Safety Act 2004 provides for representation of the broader class of ‘workers’ by agreement, which commonly occurs in the construction industry.

The purpose of this criterion is:

to identify whether the workers are represented by a HSR elected under Part 7 of the Occupational Health and Safety Act 2004; and

whether the HSR has received training (which is usually a five day initial course with subsequent refresher and other training).

The law does not require the election of a HSR, or the training of the HSR, although the HSR is entitled to training if they require it.

Where there has been no request from workers for designated work groups or the election of a HSR, the Consultant may certify this to be the case. The absence of a HSR will place more significance on Criterion 5c and may require a higher level of detail of consultation arrangements to be provided to satisfy that criterion.

Criterion 5c: Consultation and issue resolution procedures

This criterion is concerned with ensuring that the Consultant has in place a process for effectively undertaking communications relating to consultation and issue resolution.

For this criterion the Consultant should be able to provide either consultation and issue resolution procedures that are agreed with workers (directly or through the HSR or other representative) or demonstrate that the Consultant is familiar with the requirements of the Occupational Health and Safety Act 2004 and regulations, including the default process provided in the regulations, whether or not they have needed to use them.

Criterion 5d: Health and Safety Committee

It is recognised that an effective Health and Safety Committee can be a good means to develop OHS strategy and processes and to ensure that appropriate consultation occurs with employees.

It is not compulsory for a Consultant to have a committee, although it must have if requested. The absence of an effective committee may however place greater significance on Criterion 4c.

The provision of committee charter or constitution or similar will assist in determining the effectiveness of it and the degree to which it assists in satisfying Criterion 4d.


Criterion 5e: Consulting and working with other parties

The Occupational Health and Safety Act 2004 does not include a specific duty on a consultant to consult, cooperate and coordinate activities with others who have a duty over the same matter.

These processes are however necessary in most situations for compliance with the duties under the Occupational Health and Safety Act 2004.

The Consultant has duties in relation to its employees under Section 21 of the Occupational Health and Safety Act 2004. These duties may require the Consultant to identify risks to its employees from attendance at workplaces that are managed or controlled by others, or at which the activities of others may expose the employees of the Consultant to OHS risks. The Consultant in carrying out its activities (e.g. design), including attendance at workplaces, also has a duty to persons who are not employees under Section 23 or 24 of the Occupational Health and Safety Act 2004.

Others involved in work in which the Consultant is involved may also owe duties to the Consultant and its employees.

To comply with these duties, the Consultant should ensure that it has the information necessary to enable it to understand and manage the risks arising from their involvement and that of other parties in the work and ensure that the Consultant works together with other parties for the effective management of OHS risks.

This means that a consultant should in some circumstances consult, cooperate and coordinate activities in relation to OHS with the client, sub-contractors, labour on-hirers, the person with management or control of the workplace and suppliers of plant and substances.

The aim of this criterion is to ensure that OHS is properly and effectively catered for through each party:

having sufficient knowledge of the activities of others that may affect OHS; understanding what others have in place to provide for OHS risk management; determining what they must do to provide for OHS risk management; and

coordinating their activities with those of others to ensure there are no gaps in risk management.

These activities represent good practice and may be necessary to meet the standard of ‘reasonably practicable’ and comply with duties of care under the Occupational Health and Safety Act 2004, particularly in relation to contractor safety management.

Compliance with this Criterion may be achieved by demonstrating the means by which the Consultant identifies other parties with whom they should consult and work together and the requirements to meet each of the elements noted above.

Documents showing examples of consultation with other parties and the outcomes may be sufficient to demonstrate this criterion is being met.


This criterion is clearly linked to Criteria 4 and 5 above and reference is made to the comments in relation to those criteria.

The Checklist notes some of the means by which the Consultant may keep informed of changes in OHS regulations, guidelines and practice. These are not exclusive. This is a specific element of the due diligence requirement for officers.

The assessor / evaluator must be satisfied however that the Consultant has a consistent process by which it is regularly informed of changes relevant to its operations.


Knowledge and capabilities from a design perspective

This will help designers:

fulfil statutory obligations relating to design safety; have a good understanding of and capabilities relevant to the management of health and

safety issues of the design; systematically approach to management of hazards and risks; and

apply experience and capabilities to design projects.

Professional development should also be provided to designers on some aspects of the capabilities such as skills to:

conduct workshops; apply various risk assessment/analysis techniques; and

effectively communicate with others: project stakeholders, members of the design team, e.g. design consultants from other disciplines.


The provision of information, instruction and training to employees and other workers is clearly provided in section 21(2)(e) of the Occupational Health and Safety Act 2004 and in the regulations.

Compliance with these obligations requires the provision of site specific induction and training that is relevant to the individual employee and as is necessary to enable them to safely perform their work tasks.

The assessor / evaluator must be satisfied through documented systems and training records that the Consultant has in place systems for ensuring induction and training occurs.


The Occupational Health and Safety Act 2004 requires a consultant to provide and maintain for its employees and other workers, so far as is reasonably practicable, systems of work that are safe and without risks to health.

Different construction projects will require the identification of specific systems of work. The systems of work must be appropriate to meet the risks associated with the particular work being undertaken. To meet this requirement the Consultant will often need to have and use systems to identify, assess and control hazards and risks.

The OHS Act also imposes requirements on Consultants that may have the management or control of the workplace or the design of the workplace; design or manufacture or supply plant; install, erect or commission plant.

There are well known risks in the construction industry (e.g. fall from heights) for which systems of work and supporting training should be provided. Other identified construction industry risks may have accepted industry standard risk controls. However the Consultant must still identify hazards and provide systems and other control measures for the elimination or reduction of associated risks.

High risk activities

For some activities involving high risks the Consultant may be required to provide additional evidence of analysis of risks and availability of skills before the work can commence.


For Criterion 8 the Consultant needs to demonstrate and provide documentary evidence:

of the availability to the Consultant of safe systems of work and procedures; of the Consultant’s awareness of the need for such systems and progress toward the

provision of same; of a process for the identification of hazards and the identification and application of risk

controls; of the Consultant’s awareness of each of the obligations imposed on them by the

Occupational Health and Safety Act 2004 and regulations by virtue of the Consultant’s role and activities and has in place processes for meeting those obligations; and

showing how the Consultant assesses risks and identifies risk control measures.

Documents that show a system for doing this (e.g. formats for job safety analysis, or processes for developing safe work method statements) will assist in demonstrating the Consultant’s compliance with this criterion.

The Consultant must also provide an example of how these system documents have been used.

Third party certification of the Consultant’s OHS management systems will be a strong indicator of satisfaction of this criterion, however, evidence may be required of such a certified system and in particular how specific legal requirements are met.

Regulations made under the Occupational Health and Safety Act 2004 require the process of hazard identification and risk control, with specific measures relevant to the activities of the Consultant.

From 1 July 2008 this has included the requirement for coordination plans for higher value projects and the preparation of safe work method statements for high risk work.

Coordination Plans are required to be developed and maintained by consultants where they are appointed to the role of Principal Contractor.

(Regulations 5.1.16, 5.1.17 and 5.1.18 of the Occupational Health and Safety Regulations 2007 – Part 5.1 – Construction)


Emergency response is a critical aspect of safety management in the construction industry, given the hazardous nature of the activities and the difficulties associated with site access etc.

Effective emergency response is a part of the Consultant’s obligations under the Occupational Health and Safety Act 2004 to provide and maintain safe systems of work, adequate welfare facilities and information, instruction and training for employees and other workers.

An important aspect of the Consultant’s emergency response is the regular review and testing of systems and training (e.g. through emergency evacuation trials).

Adequate welfare facilities must include first aid facilities and training as is appropriate to the nature of the activities, numbers of workers and location.

The Consultant must provide documents to:

verify the existence of emergency procedures; confirm first aid facilities and training; and

verify the dissemination of information to employees and other workers by notices, training and testing.



The management of serious incidents is a critical aspect of safety management in the construction industry, given the hazardous nature of many construction activities, (e.g. failure of registered plant, collapse of a trench, explosion or fire, fall of an object from height).

The obligations of the Consultant for the safety of its workers and others necessarily require the proper investigation of incidents, identification of causes and remediation of deficiencies. Information available as a result of an incident is part of the knowledge on which an assessment will be made on what may be reasonably practicable for a Consultant to do.

The Occupational Health and Safety Act 2004 imposes obligations on the Consultant including:

a requirement to notify WorkSafe Victoria of serious incidents; a requirement to preserve an incident site following a notifiable incident until an inspector

attends or otherwise directs (except where disturbance of the site is necessary for rescue or health and safety protection); and

entitling HSRs to inspect a workplace after an incident and be involved in various processes and activities following an incident.

Under this criterion the Consultant will need to provide documented systems or records such as:

a procedure or instruction requiring information to be provided to a person nominated to fulfil these obligations for the Consultant, familiarity with the requirements and the notification form;

evidence of the Consultant’s satisfactory notification and investigation of an incident; and

evidence of the Consultant’s satisfactory response to the notifiable incident, for example to prevent its recurrence.

The requirements for due diligence by an officer include ensuring processes are in place to meet the obligations to notify incidents to WorkSafe Victoria.

Criterion 11: Enforcement activity

The level, nature and seriousness of enforcement activity and the response of the Consultant to it may be a significant indicator of the Consultant’s OHS capability and performance.

Enforcement activity may reflect non-compliance and poor safety performance by a Consultant. A timely and effective response by the Consultant to enforcement activity may demonstrate the quality of their safety systems and processes.

Demonstrated compliance with a notice, or effective response or remediation following enforcement activity may render that enforcement activity no longer relevant and may even show improvements in the Consultant’s systems and processes.

WorkSafe Victoria and other agencies relevant to OHS (e.g. Energy Safe Victoria) and HSRs may seek to enforce OHS related legislation and regulations through:

directions; improvement notices; prohibition notices; prosecutions; and

enforceable undertakings.

HSRs are entitled to issue provisional improvement notices which have the same effect as an improvement notice issued by an inspector (unless a review is sought by the Consultant).


For this criterion the Consultant will need to provide information (if any) in relation to enforcement activity and the Consultant’s response. Documents which the Consultant should provide include:

associated Entry Reports, to provide a clear picture of the alleged non-compliance or risk; and

evidence that the Consultant has responded appropriately to the breach or the risk which was the subject of the enforcement activity.

Certification by the Consultant of an absence of regulator activity of the kind indicated will be satisfactory evidence of compliance with this criterion.

Criterion 12: Workers compensation Insurance

Workers compensation premium rates for a Consultant reflect the claims performance of the Consultant and are related to industry average performance.

High levels of workers compensation claims may indicate poor safety performance.

The Consultant will need to provide details of the Consultant’s workers compensation insurance premium level compared to the industry rate.

Note: A premium rate of more than 150% of the industry rate will usually reflect an unacceptably high level of claims. Where the Consultant has a premium rate of more than 150% of the industry rate the Consultant will need to provide a satisfactory explanation for the high premium rate.


The occupational health and safety criteria for Consultants - Part 2 - Guide to acceptable evidence

The duty under Section 28 of the Occupational Health and Safety Act 2004 is intended to ensure that hazards and risks that may exist in the design of a workplace are eliminated or controlled at the design stage, so far as is reasonably practicable. It requires that those who design a building or structure ensure that it is designed, so far as is reasonably practicable, to be safe and without risk to people using it as a workplace for a purpose for which it was designed.

The duty of a designer in Section 28 of the Occupational Health and Safety Act 2004 does not specifically extend beyond safe use and does not require the building or structure to be designed to be safe for construction or maintenance.

A designer has a duty under either Section 23 or 24 of the Occupational Health and Safety Act 2004 to ensure so far as is reasonably practicable that people other than their employees are not exposed to risks to their health or safety from the conduct of the undertaking (business) of the designer. Where the undertaking includes the design of buildings or other structures, this may require the designer to take account in the design risks that are reasonably foreseeable to the Consultant at the time of the design activity, which may include risks during construction or maintenance – e.g. where the nature of the design means that it will be difficult to access high points in the structure using conventional means.

Criterion No. 1 requires compliance from Consultants who perform the Duties of Designers of Buildings and Structures with respect to the following sub criterion:

Establish corporate position on OHS in design; Demonstrate designer’s commitment to addressing health and safety in design at project

level; Address health and safety risks in design applying a systematic approach; Build, maintain and continuously enhance OHS knowledge and capabilities from a design

perspective; and

Management review of overall OHS performance in design project.

Criterion 1

1a.

OHS duties criteria

Establish corporate position on OHS in design


A copy of the consultant’s corporate position statement on OHS in design which: has been signed or endorsed by top management; and

states the consultant’s overall design safety objectives and commitment to the effective performance of designers’ OHS duties.

Evidence of how the consultant disseminates the corporate position on OHS in design to employees and other interested parties.


1b.

OHS duties criteria

Demonstrate designer’s commitment to addressing health and safety in design at project level.


A copy of standard formats/templates for a project-specific health and safety brief or the consultant’s approved provisions for inclusion in the designer’s return brief.Copies should be approved at the consultant’s highest management level and should cover such aspects as: the project’s design safety objectives; potential health and safety issues related to the intended use of the

building and structure being designed; a commitment to adopting a systematic approach process to addressing

health and safety during design; OHS performance targets which will need to be agreed to by prospective

client; and how the client and designer could work together.

1c.

OHS duties criteria

Address health and safety risks in design applying a systematic approach.


Evidence that the consultant has implemented a systematic approach to address health and safety risks in design covering: hazard identification and analysis; process to select design options; design review and follow-up actions; residual risks and suggested control measures; and communication of residual risks and other safety information to clients or

interested parties.

1d.

OHS duties criteria

Build, maintain and continuously enhance OHS knowledge and capabilities from a design perspective.


Evidence of relevant training of relevant design personnel, or of the qualifications of OHS advisors relating to OHS issues in design.Evidence that the consultant has ongoing access to information about the current state of knowledge of OHS hazards and risks associated with the design of plant, buildings and structures, and the means for controlling hazards and risks in design.Details of the means by which that information is disseminated throughout the organisation to those involved in design activities.Evidence of the means by which that information is updated should be identified.

1e. Management review of overall OHS performance in design project.

OHS duties criteria

How the consultant ensures the effectiveness of its OHS performance in design including: effectiveness of processes and systems; and

lessons learned which could be used in future design projects.

Details of any Project Review meeting (where appropriate) and records of actions / plan to be taken by the designer/consultant to maintain or enhance OHS performance in future design projects.



Records of the schedule and conduct of regular OHS performance review, their outcomes and follow-up actions.Records should include records of design hazards and risks or issues and effective design solutions, good practices and lessons learned for future projects. Provide a copy of the meeting minutes, action plan (where appropriate)


OHS duties criteria

The Consultant’s organisation-specific OHS Policy.


Provide a copy of the organisation’s OHS Policy which: has been signed by the most senior person within the organisation to

demonstrate commitment at the top of the organisation; outlines the Consultant’s commitment to and responsibilities for OHS of

the Consultant’s employees and other workers; allocates responsibilities; requires systems for managing risks from hazards associated with the

work of the Consultant; and

has been drafted or reviewed in the last 2 years.

(Note: ‘workers’ refers to persons working in the business of the Consultant, as an employee, sub-consultants or their employees, labour-hire personnel, trainees, students gaining work experience, volunteers or otherwise).


OHS duties criteria

The identity of the officers of the Consultant, as defined in the Occupational Health and Safety Act 2004 and the means by which those officers effectively govern the Consultant in relation to OHS.Note: This does not apply to a Consultant who is a sole trader, but does apply to a company, partnership, alliance or association.For information only

Company officers can be personally liable. Sections 144 and 145 of the Occupational Health and Safety Act 2004

provide for an officer of a company, partnership or association (“the organisation”) to be guilty of the same offence as that committed by the organisation, if that offence was attributable to the failure of the officer to exercise reasonable care.

Also, the involvement of officers is considered a key to the proper and effective management of OHS in an organisation.

Officers are generally the most senior people, such as the Chief Executive, a director, partner or other senior staff who are in a position to prevent breaches of the Occupational Health and Safety Act 2004.

Company officers should be aware of their organisation’s health and safety obligations and how they are managed.

Officers should take reasonable care to ensure that safety responsibilities are communicated to all staff, that appropriate safety procedures are in place, and that sufficient resources are allocated to health and safety. Any officers who are proactive and take reasonable care are not likely to be affected.



Provide an organisation chart or other information identifying who are officers by being:

directors and/or company secretary (for a company); partners (of a partnership); office holders (of an association); and otherwise involved in making decisions that affect the whole or a

substantial part of the business or affect the financial standing of the Consultant.

Provide details of: information provided to the officers in relation to OHS hazards, risks

and compliance; the means by which that information is provided (e.g. reporting

process, committees, responsibilities for reporting on OHS); steps taken by officers to determine requirements for and allocation

of resources for OHS; steps taken by the officers to verify and respond to OHS information;

and steps taken by the officers to verify implementation of policies and

procedures for OHS compliance.Notes:

Reference should be made to how the officers receive and respond to information.

An officer may comply with this criteria where they receive and respond to information through direct involvement by them in work activities. Officers who are not involved directly in work activities will need to demonstrate other means by which they receive and respond to relevant information.


OHS duties criteria

Curriculum Vitae of person(s) with relevant OHS qualifications engaged or employed to advise the Consultant on OHS matters.


Provide copies of Curriculum Vitae or other details of your internal adviser or external adviser or organisation.Note: Consultants relying on their membership of an industry association that provides OHS advice/ assistance should provide evidence of membership and evidence that the Consultant understands how to access the industry association’s OHS assistance.


5a. Management representation for consultation, issue identification and response

OHS duties criteria

The identity of the firm’s management OHS representative / officer and any other resources assisting the identification of OHS concerns, their consideration and response.

Details of satisfactory training / qualifications or source of assistance.


Provide evidence confirming the nomination of a manager or details of the process for identifying the relevant manager for a particular issue, and:

Copies of training certificate(s) or other relevant qualification information


within the last two years (this is the preferred evidence); or Evidence of acceptable refresher training or access to assistance to

maintain currency of knowledge.Note: In the absence of training/qualifications for the manager provide details of other resources (e.g. industry association) and means for timely communication with them.

5b. Elected Health & Safety Representative (HSR)

OHS duties criteria

The identity of any employee(s) of the consultant, or an employee of another employer where a multi-employer work-group has been agreed under Division 2 of Part 7 of the Occupational Health and Safety Act 2004, elected as a Health and Safety Representative under Occupational Health and Safety Act 2004 and details of training undertaken by them.

or Certification by the Consultant that there has been no request for

designated work groups and the election of HSRs.


Provide details and date of HSR election; and Copies of training certificate(s) or other relevant information. Note: an explanation for an absence of HSR training or details of

planned training may be acceptable. Provide details of any process by which the Consultant manages the

establishment of workgroups on specific projects or for specific workplaces, including any negotiations for multi-employer or multi-workplace workgroups.

or Provide a signed statement to confirm that there has been no

request for designated work groups and the election of HSRs.

5c. Consultation and issue resolution procedures

OHS duties criteria

How consultation and issue resolution are undertaken with employees and HSRs (if any) as required by the Occupational Health and Safety Act 2004 and regulations.


Provide copies of consultation and issue resolution procedures that have been agreed with employees directly or through the HSR or other representative.

or Provide evidence that the Consultant is familiar with the requirements of

the Occupational Health and Safety Act 2004 and regulations, including the default process provided in the regulations, whether or not the Consultant has needed to use them; and

Provide evidence of how consultation is undertaken (e.g. minutes of toolbox meetings or other meetings with employees and/or HSRs).

5d. Health & Safety Committee

OHS duties criteria

Details of any Health and Safety Committee (where appropriate) and the charter or constitution or rules that show how the Committee operates (meeting the requirements of Part 7 of the Occupational Health and Safety Act 2004).

or Certification by the Consultant that there has been no request for the

establishment of a Health & Safety Committee.Guide to Provide a copy of the committee charter or constitution or similar


acceptable evidence

rules.or Provide a signed statement to confirm that there has been no

request for the establishment of a Health & Safety Committee.

5e. Consulting and working with other parties

OHS duties criteria

The Consultant has duties in relation to its employees under Section 21 of the Occupational Health and Safety Act 2004. These duties may require the Consultant to identify risks to its employees from attendance at workplaces that are managed or controlled by others, or at which the activities of others may expose the employees of the Consultant to OHS risks. The Consultant in carrying out its activities (e.g. design), including attendance at workplaces, also has a duty to persons who are not employees under Section 23 or 24 of the Occupational Health and Safety Act 2004.Others involved in work in which the Consultant is involved may also owe duties to the Consultant and its employees.The Consultant must accordingly demonstrate:

how it consults with other parties to ensure each has necessary OHS information; and

how it determines what is needed to work together with other parties for effective OHS risk management.

Other relevant parties may include the client, sub-contractors, other suppliers of labour, those with management or control of the workplace and suppliers of plant or substances.


Provide details of policies and procedures for identifying relevant parties, engaging in consultation about OHS directly affecting the Consultant and its employees, and determining how to work together for OHS risk management.Documents showing examples of consultation and the outcomes may be sufficient to demonstrate this criterion is being met.


OHS duties criteria

Method(s) used to keep updated on changes to OHS legislation, regulations and guidelines and other information to maintain ongoing awareness of OHS requirements, including how the consultant builds, maintains and continuously enhances OHS knowledge and capabilities as they relate to designers.


Provide: details of relevant memberships/subscriptions or processes for

seeking information from other bodies (e.g. through WorkSafe Victoria; Australian Institute of Architects; Consult Australia; other safety alerts/bulletins) and examples of information received; and

evidence of professional development programs, activities or any other approach adopted by the consultant to ensure that the consultant’s OHS knowledge and capabilities relating to design are built, maintained and continuously enhanced.


Criterion 7: Induction and Training

OHS duties criteria

Confirmation that OHS induction and necessary training of Consultant employees and sub-Consultants are ensured. Induction of people other than employees of the Consultant to workplaces under the management or control of the Consultant should also be provided for.The purpose of the induction is to ensure that the employees and others have an awareness of the workplace specific hazards and risks and measures in place to manage the risks (including emergency and evacuation measures).The purpose of training is to enable the Consultant’s employees and sub-Consultants to perform their work in a way that is safe and without risks to their health.


Provide copies of records verifying the nature and content of induction of employees and others and demonstrating that the Consultant has in place systems for ensuring induction and training occurs.


8a: Hazards and risk control

OHS duties criteria

The means by which hazards and risks associated with the activities of the Consultant are identified, assessed and controlled.


Provide evidence of OHS management systems, manuals or policies/procedures (e.g. for Job Safety Analysis or risk assessment) and a completed risk assessment.Certification of systems (e.g. Safety Map, Federal Safety Commissioner or AS4801 will assist)

8b: Process of compliance with legal requirements

OHS duties criteria

The process for compliance with legal requirements for the provision of risk assessment and control of information to other parties.Note:Coordination Plans are required to be developed and maintained by consultants where they are appointed to the role of Principal Contractor.(Regulations 5.1.16, 5.1.17 and 5.1.18 of the Occupational Health and Safety Regulations 2007 – Part 5.1 – Construction)


Show means which ensure that legal requirements are being achieved.Provide evidence or examples of the means for compliance with specific requirements, such as by completed Job Safety Analysis, safe work method statements and the means of coordinating safety activities on site. These are examples only and the specific compliance requirements will depend on the activities carried out by the consultant.Note: See also the requirements under Criterion 5e, to provide for consultation and coordination with other parties.


9a. Procedures and first aid

OHS duties criteria

Effective emergency response procedures including review and testing requirements, the availability of suitable first aid facilities, and employee first


aid training.


Provide: a copy of emergency response procedure including their review and

testing requirements; evidence of means by which the Consultant assesses first aid needs

and ensures adequate first aid facilities; and copies of first aid training records.

9b. Information and testing

OHS duties criteria

The effective dissemination of emergency response information and of testing of emergency response procedures in the past 12 months.


Provide: evidence of the dissemination of emergency response information to

employees by notices, training or other method; and evidence of emergency procedure testing (e.g. report on emergency

evacuation exercise).


10a. Internal incident notification

OHS duties criteria

System for the notification of all incidents internally and (where relevant) to the employer with management and control of the workplace.


Provide copies of processes, procedures, form(s) and instructions to staff that cover internal and external incident notification.Where available provide completed examples.

10b. Notification of incidents to WorkSafe Victoria

OHS duties criteria

System for the notification of incidents to WorkSafe Victoria as required by Part 5 of the Occupational Health and Safety Act 2004 (immediate oral notification of death, serious injury or an incident involving immediate risk to people from specified events).


Evidence of compliance with this criterion could include: documented systems to ensure compliance with the Consultant’s

obligations under the Occupational Health and Safety Act 2004 relating to incident notification;

a procedure or instruction nominating the person with responsibility for fulfilling the incident notification obligations for the Consultant and how and when information should be provided to that person;

evidence of the Consultant’s familiarity with the requirements and the notification form; and

evidence of satisfactory notification (if notifiable incidents have occurred).

10c. Investigation and action taken

OHS duties criteria

System for investigating incidents to determine causes, identify and implement appropriate action to prevent a recurrence.


Evidence of compliance could include: documented systems for incident investigation and reporting; and/or examples of investigations and action taken in response.


Criteria Nos. 11 and 12 relate to the Consultant’s OHS Performance as indicated by:

the level of OHS related enforcement activity; the Consultant’s response to such activity; and

the Consultant’s insurance premium rate, compared with the industry.

The way a Consultant responds to enforcement activity and notices, including the Consultant’s implementation of remedial action, can be an indicator of effective and continually improving OHS systems and processes.

Workers compensation premium rates are related to industry average performance. A premium rate of more than 150% of the industry rate may reflect an unacceptably high level of claims.

Criterion 11: Enforcement activityThis performance criterion seeks evidence of the consultant’s response to enforcement activity involving the consultant as a duty holder – for example, asan employera person conducting a business or undertakinga designer, manufacturer, supplier installer’.OHS performance criteria

Where there has been no enforcement activity refer to Guide to acceptable evidence below.

Where there has been enforcement activity within the past 24 months or issues raised by any WorkSafe Victoria, Environment Protection Authority, Energy Safe Victoria or other relevant inspectorate and/or HSR including:

prohibition notices; improvement notices; written directions; provisional improvement notices issued by a

HSR;

activities relating to an incident notified to WorkSafe Victoria under Part 5 of the Occupational Health and Safety Act 2004; and

any prosecution commenced by WorkSafe Victoria or completed, within the period.


Where there has been no relevant inspectorate or regulatory activity, notices, or prosecutions of the kind outlined in Criterion 11 the Consultant should provide a signed statement to that effect.

Provide copies of relevant documents relating to the enforcement activity or issues raised including:

WorkSafe Victoria or WorkSafe Victoria Entry Reports and notices;

notices from other relevant bodies; HSR provisional improvement notices; summonses and particulars of charges or other

documents detailing alleged offences; documents relating to outcome of prosecution;

and provide documents showing the action taken by

the Consultant to correct deficiencies identified in the notices or proceedings.

Criterion 12: Workers Compensation insurance

OHS performance Comparison of the Consultant’s insurance premium rate with that of the


criteria industry as a reflection of the Consultant’s claims history.The Consultant’s current insurance premium rate not exceeding 150% of industry rate for the past 3 years.Not required for self-employed person not having employees or deemed employees.


Provide documentary evidence from Insurer / WorkSafe Victoria of currency of insurance, premium rate and industry classification (e.g. premium notice).Where the premium rate exceeds 150% of the industry rate the Consultant will need to provide a satisfactory explanation for the high premium rate.


APPENDIX B - Detail Guidance on Industrial Relations (IR) Management Criteria

1. IntroductionThe construction industry is a major contributor to the Australian economy. The Victorian Government is supporting this key industry in becoming more forward-looking, innovative and internationally competitive. The keys to success are an improved workplace and management culture, better employer and employee relationships, and improved industrial relations planning and management at both the enterprise level and on projects.

Relevant federal and state legislation includes:

1.1. Fair Work Act 2009 (Clth)1.2. Fair Work (Building Industry) Act 2012 (Clth)1.3. Fair Work (Registered Organisations) Act 2009 (Clth)1.4. Construction Industry Long Service Leave Act 19971.5. Dangerous Goods Act 19851.6. Equipment (Public Safety) Act 19941.7. Long Service Leave Act 19921.8. Occupational Health and Safety Act 20041.9. Outworkers (Improved Protection) Act 2003

Government encourages the industry to adopt a strategic approach to the management of industrial relations at the enterprise level, and to integrate industrial relations management activity into project planning and management.

2. Industrial relations management criteria2.1 Policy Statement that addresses:

Senior management support; Enterprise goals for industrial and employee relations; Responsible personnel for managing industrial and employee relations; Communications processes; Subcontractor compliance.

The policy statement should contain objectives or goals relating to industrial and employee relations. Communication processes and sub-contractor assessment measures should be described (for example meetings, consultative committees, bulletins). A copy of the company industrial relations policy, signed by the CEO, Directors, or Partners (as appropriate). The contact person should be able to discuss and clarify the industrial relations policy.

2.2 Identification of legal and other industrial relations and employment obligations such as:

Awards; Enterprise, workplace or other enforceable agreements; Federal or Victorian legislation;


Project agreement (where applicable).

2.3 Management plans that address:

2.3.1 Industrial issues relevant to the enterprise;

2.3.2 Actions to be taken for specific events such as:

(i) Grievance disputes;(ii) Inclement weather;(iii) Threatened or actual industrial action;(iv) Unforeseen risks.

The Industrial Relations Plan should provide information about the key industrial relations issues that affect the enterprise. (This may be part of the industrial relations policy statement). The plan should address items that are likely to emerge as part of the contractor’s work and describe what the contractor will do to address problems that may emerge. “Site issues” might include situations arising from site allowances, amenities, clothing, tools etc. The plan should include a contingency plan which outlines a process for responding to unforseen risks.

2.4 Compliance over preceding 24 months in following areas:

2.4.1 Remuneration to employees;2.4.2 Annual leave; 2.4.3 Long service leave payment scheme registration;2.4.4 Workers Compensation insurance;2.4.5 Superannuation fund membership;2.4.6 Other lawful payments.

Businesses must provide a signed statement or declaration that states compliance with each item. You may be asked for evidence of registration with the long service leave scheme (CoINVEST), superannuation scheme (eg Cbus), and other payments (eg Incolink for redundancy purposes) which are part of the award or relevant enterprise agreement.

Businesses must provide a signed statement or declaration that details the information required in each item.

Remedial measures should indicate how the business has amended, or plans to amend, its practices to address the problem that was the subject of the past or current actions listed.

2.5 Sub-contractors relationships that address:

2.5.1 Selection methods that test compliance with industrial relations laws; and employment obligations;

2.5.2 Management of sub-contractors;

2.5.3 Ongoing sub-contractor compliance.

Your approach to selection of sub-contractors who comply with industrial relations laws and obligations may be included in your industrial relations policy. For example you may require that subcontractors provide documentation similar to this pre-qualification requirement.

It would be expected that the contractor can demonstrate effective industrial relations management of sub-contractors.

Agencies should note that CCAP prepares model contract conditions for incorporation into Contract Conditions approved in accordance with Ministerial Direction No 2 Contractual Provisions for Public Construction. These contract conditions may require the preparation


of an industrial relations plan (plan) for the required construction work. The plan may require that the industrial management procedures developed for the work are implemented and maintained during the period of the contract. Agencies may be required to monitor the plan. Where the contractor has been selected from a register the agency may be required to provide information on the contractor’s industrial relations performance to the agency that maintains the relevant register.

3. Industrial relations self-assessment checklistThe self-assessment checklist below has been prepared in consultation with Industrial Relations Victoria, the Construction Contracts Advisory Panel, the Regulatory Development Unit of the Building Commission (since replaced by the Victorian Building Authority) and staff of the Construction Supplier Register, (at the time the Department of Transport but now) Department of Treasury and Finance.

To be considered for pre-qualification or acceptance, in response to a publicly advertised tender, contractors must complete and submit the Industrial Relations Management Self-assessment Checklist along with the pre-qualification application or tender submission.

The purpose of the self-assessment test is to assist Victorian Government departments and public bodies establish confidence in the industrial relations management practices of contractors who seek to undertake work for the Victorian Government.


3 Industrial relations management self-assessment

3.1 PART A: Identification and Declaration

Date of completion/update:

Completed in relation to:

Name of Company:

ABN:

Address:

Nature of business/service:

Contact Person:

Name:

Title:

Telephone:

Facsimile:

Email:

I, …………………………………………., authorised officer of …………………...……………….. (“the Supplier”) hereby certify that all information (“the information”) provided by or on behalf of the Supplier as part of a pre-qualification or public tendering process is current, accurate and provided in good faith. The Supplier acknowledges that the those employing this Checklist for pre-qualification or public tendering processes may rely on the information and hereby agrees to hold harmless and wholly indemnify officers of ……………………………... for any costs or liabilities incurred from or associated with the provision of, use of or reliance upon the information.

Signed: _______________________

Dated: ________________________

Comments:

(Include any comments here in support of your self-assessment)


3.2 PART B: Checklist

The contractor’s compliance with the Industrial Relations criteria may be subject to further assessment by the relevant department or public body. Documentary evidence to substantiate the contractor’s assessment may be required.

TO BE COMPLETED BY THE CONTRACTOR

Circle YES or NO to indicate whether you can provide, if required, evidence to demonstrate that you meet the requirements of the criterion. Where you have ticked NO you MUST provide explanatory comments.

Industrial Relations Management criteria

1. Do you have an Industrial Relations Policy Statement which:

has chief executive officer/senior management support.

YES / NO If NO provide comments: _______________________

sets enterprise goals for industrial and employee relations.


identifies responsible personnel for managing industrial and employee relations, and provides contact details.


outlines communication processes with workers, unions, other contractors, and subcontractors.


outlines measures for assessing subcontractors’ compliance with industrial relations and employment obligations.


2. Industrial Relations Obligations

Do you have a statement of your legal and other obligations relating to industrial relations and employment, including the names and details of applicable:

Awards;


Enterprise; workplace or other enforceable agreements;


Federal or Victorian legislation;


Project agreement



Please indicate if such obligations are not applicable in your case.

Note: Most projects will not have a project agreement. If you consider a project agreement may be appropriate for a project you are tendering for, please tick the relevant box, and, if necessary include a comment.

3. Industrial relations management and responses

Do you have an Industrial Relations Management plan that:

identifies the industrial relations issues that are relevant to your enterprise


details the actions that you will take in the event of incidents such as:

grievance disputes

YES / NO If NO provide comments: _________________

inclement weather, site issues threatened or actual industrial action


other unforseen risks.


4. Compliance

Provide a signed declaration or statement verifying compliance in the preceding 24 months with all employment and legal obligations including:

payment of remuneration to employees including the location of time and wage records


annual leave


Long Service Leave Payment Scheme registration


workers compensation insurance


superannuation fund membership and contributions


other lawful payments



Signing the Part A Declaration is evidence of verification of compliance with all items. If the business has not complied with any or all of the items then a signed declaration or statement must be provided detailing:

any findings against the tendering entity by a court, tribunal, commission or board of a breach of an applicable industrial instrument, including a finding of a breach in a non-confidential consent order, in the preceding 24 months and any convictions under legislation in the preceding 24 months:

any convictions in the preceding 24 months; any current prosecutions or proceedings: and remedial measures implemented to ensure future compliance

5. Subcontractors

Do you have a procedure that provides an outline of:

The measures that you will take to select subcontractors who comply with industrial relations laws and employment obligations


How your dealings with subcontractors and other contractors are to be managed


How you will monitor and assess ongoing subcontractor compliance with industrial relations requirements


Assessment Notes:

a. The [ ………agency name/scheme……... ] may further assess the contractor’s compliance with these industrial relations criteria.

b. The contractor may be required to provide copies of industrial relations documents and supporting evidence to assist such further assessment.

c. The [ ………agency name/scheme…….. ] may also consult Industrial Relations Victoria in determining the contractor’s compliance.
