Consultant

Please provide a copy of your company’s health and safety policy and procedures or evidence of relevant external certification.

To show that you have a policy and procedures in place to manage the health and safety of your workplace or have relevant external certification of your health and safety management system (manual).

Please provide evidence for one of the following options: 

Option 1 – Health and safety policy statement and procedures that align to The Health and Safety at Work Act 2015.

Your health and safety policy statement, that has been signed by an officer of your company within the last 24 months, AND the following procedures from your company’s health and safety management system (manual).

• Worker engagement (not applicable for sole operators).
• Hazard and risk management (this must include how risk is assessed).
• Training and competency.
• Emergency management.
• Incident reporting and investigation (this must include a process for notifiable events).
• Subconsultant management (if applicable). 

NB – An actual or time/date stamped electronic signature is required on the policy statement. If signed in another language, the written English name must also be provided.
NB – Your procedures must show that they have been reviewed within the last 24 months. These procedures should clearly show how each element is carried out by your company.

Option 2 – Relevant current external certification. Those accepted are listed below.

ISO 45001:2018 – current certificate required with the associated audit report.
Q-Safe – current certificate required with the associated audit report. 

NB – If the required audit is not provided, or does not include reference to subconsultants, please submit evidence in question 5 or select the N/A option if this is not applicable to your business. Evidence for question 10 will also need to be provided.
NB – If you have one of the above accepted external certifications, you still have the option to submit evidence in each question for assessment. This will be assessed as normal. Please let us know within the assessment if this is required.
NB – If ISO 45001:2018 certification is issued to an Australian-based company, any associated New Zealand business must be included in the scope of the certification and accompanied by the New Zealand operations audit.

 How are workers involved in workplace health and safety?

To show how you as the PCBU involve workers in health and safety.

Worker involvement is not just about attending meetings. Involvement should show a two-way flow of information and communication.

Please provide the following evidence:

• Two examples from within the last 12 months that show how workers have been involved in workplace health and safety. Both examples must clearly show who they were. 

Examples could include but are not limited:

Specific issues raised by workers in meetings. A record of attendance does not show involvement.
Involvement in health and safety representative processes.
Involvement in the assessment of risk.
Involvement in completing investigations.
Involvement in completing workplace/equipment inspections. If submitted here, different examples should be submitted in question 8.
Involvement in the review of hazard control.
Involvement in the review of emergency drills.
Involvement in the review of health and safety processes.

NB – the following are not accepted examples

• Inductions.
• Evidence of one-way communication such as one way email, posters, noticeboards, other one-way information.

NB – Sole operators are not required to submit evidence for this question and can select the not applicable option.

How do you record and investigate incidents and near misses?

To show you have a process to record and investigate incidents and near misses and have discussion with workers about these events. 

Please provide evidence for one of the following options. 

 Option 1 – your company has had incidents and/or near misses within the last 12 months. 

• A copy of your incident register with regular entries to show the history of reporting incidents and near misses for the last 12 months. This should include evidence of review during this timeframe.
• One example of a completed investigation that shows an attempt has been made to determine what the root cause or root causes were that caused the event to happen, and the preventative actions identified to minimise the likelihood of the same event occurring again.
• Evidence that incidents, near misses, and the outcomes of any investigations have been communicated to workers at meetings. This can include evidence that a safety alert (or similar) has been communicated to workers. This should include a record of who it was sent to or discussed with. This does not include just noting that no incidents or near misses have occurred. Please note that this element is not applicable to sole operators. 

NB – evidence of review can include regular entries in the register for periods when no events occurred, or other documented evidence of review within the last 12 months. 

Option 2 – your company has not had any incidents or near misses within the last 12 months. 

• A copy of your incident register with regular entries of no reporting for the last 12 months, or evidence of review within this timeframe
• One completed investigation within the last 24 months, OR two examples of meeting records that show discussion with workers regarding reporting requirements and/or the importance of reporting. This does not include just noting that no incidents or near misses have occurred. 

Sole operators only – A reviewed incident register for the last 12 months.

NB – The investigation example should show that an attempt has been made to determine what the root cause or root causes were that caused the event to happen, and what preventative actions were carried out to minimise the likelihood of the same event occurring again.
NB – Evidence of review can include other documented evidence from the last 12 months.

How do you manage subconsultants that you engage or manage?

To show that subconsultants engaged or managed by your company are being prequalified and monitored. 

Please provide evidence for one of the options below: 

Option 1 – Subconsultants engaged or managed within the last 12 months that operate under their own health and safety systems. 

• One example of a completed prequalification from the last 12 months.
• One example of a completed review of the subconsultants work from the last 12. 

NB – If the prequalification example is an internal document, it must show review and sign off by a representative of your company.
NB – Independent prequalification can be provided (SiteWise, Totika, Impact, ISO 45001, other for example). A current certificate or report is required.
NB – The review example must have been completed by your company as the main contracting PCBU. This could include post contract evaluations, or review of the completed work from a safety in design perspective (as applicable). 

Option 2 – Labour only (sole operator) subconsultants engaged or managed in the last 12 months. 

• Evidence of competency or years of experience (this can include evidence of any current CPD requirements).
• One example of current training (certificate, training card, for example).
• A completed induction signed by both parties, OR evidence that they have signed to show that they will be working under your health and safety systems. 

NB – The evidence provided should all be for the same person.
NB – If you record your labour only subconsultants in your own training register, please ensure they are identified as such.
NB – If you do not engage or manage subconsultants or have not engaged or managed subconsultants in the last 12 months, please select not applicable and provide a brief explanation.

Are you and your workers trained and competent to carry out your work?

To show that all workers are trained and assessed as competent (by you as the PCBU) to perform the work being undertaken? 

Please provide the following evidence: 

• A copy of your training and competency register that shows evidence of refresher training and a measure of competency or years of experience for all workers.
• 2-3 examples of current training (certificates, training ID cards, for example). This must include at least one example of current higher-level learning.

NB – Higher level learning can include first aid (unit standard 6400), tertiary qualifications, or recent CPD (as applicable).
NB – If first aid revalidation certificates are being provided, please also submit the original training certificates that include the unit standards.

How do you record hazards and risk in the workplace?

To show that workplace hazards are being recorded, risk assessed and controlled. 

Please provide a copy of your master risk register that includes the following elements: 

• The hazards that have been identified in your workplace (this includes all areas where work is undertaken).
• Initial risk assessment (before controls have been implemented) for each hazard.
• Residual risk assessment (after controls have been implemented) for each hazard.
• Mitigation controls for each hazard.
• Evidence that the register has been reviewed within the last 24 months. 

NB – As the requirement for this question is a master risk register, it should include hazards from all areas of the workplace. Workplaces can include offices, company vehicles, sites where inspections are undertaken or any other area where work is carried out. Consider also, the different hazard types, such as physical, ergonomic, chemical, biological, and psychosocial.
NB – Site or location specific registers will no longer be awarded full marks.

What workplace and equipment inspections do you carry out?

To show that you, as the PCBU are checking conditions at the workplace and the condition of equipment, for the purpose of preventing injury or illness, and that the results of this monitoring is communicated back to workers. 

Please provide the following evidence:                                                    

• One example of a completed workplace inspection from within the last 12 months.
• One example of a completed vehicle inspection from within the last 12 months.
• One example of evidence that inspection results are being communicated back to workers as part of a meeting or as allocation of corrective actions. Please note that this element is not applicable to sole operators. 

NB – If inspection examples were submitted in Q3, please submit different examples here.
NB – Examples can be those completed internally or by external agencies. They must show details of what was inspected.
NB – If corrective actions have been identified, evidence that these have been completed is also required.

How do you plan for and manage high-risk or notifiable work?

To show that the hazards and risk associated with high-risk or notifiable work carried out by your workers in the last 12 months is controlled, and that workers accept the controls and have the relevant training.

In many situations this will not be applicable to consultancy companies. However, consider scenarios where your workers may have to carry out inspections from an elevated work platform such as a scissor lift or cherry picker. If this type of work or other high-risk work is being undertaken, please provide the following information: 

• One example that shows how the hazards and risk associated with the high-risk work process are controlled.
• Evidence of how the high-risk work process was communicated to and accepted by workers carrying out the work. This can include sign-off of the high-risk work example by workers or evidence that the high-risk work example was discussed at a meeting. Both will require actual or time/date-stamped signatures.
• Evidence that those carrying out the high-risk work have the relevant training. 

NB – The training evidence should show current relevant higher-level training (as applicable).
NB – If high-risk work is not undertaken by your own workers (employees), or has not been undertaken in the last 12 months, please select the not applicable option. If this option is selected and there is contradictory evidence elsewhere in the assessment evidence, this will not be marked as such, and the assessor will provide explanatory comments.

Does you company consider psychosocial risk to maintain a mentally healthy workplace?

To show that psychosocial risk has been recognised by your company as a source of potential harm. 

Please provide the following: 

• A policy statement or statement of intent regarding ensuring a mentally healthy workplace. This must have been signed by an Officer of the company within the last 24 months. 

NB – The statement of intent can be included in your company health and safety policy.
NB – If you are a sole operator, please select not applicable. 

Has you company been prosecuted or investigated by WorkSafe NZ, Maritime NZ, or Civil Aviation in the last 5 years?

If yes, please provide evidence of the investigation. (This requirement is optional)
NB – Improvement notices are not investigations.