Assessment Help: NZ

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).
• Hazardous substance management (if applicable).
• Contractor 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 most recent certification audit. 
NZS 7901 – current certificate required with most recent certification audit.
Q-Safe – current certificate required with most recent certification audit.
Maritime Operator Safety System (MOSS) – current MTOC plan required with most recent MOSS Audit.
Operators of Aircraft – current aviation specific certification required. (CAA rule or rules) 

NB – If the required audit is not provided, or does not include reference to subcontractors, health monitoring or hazardous substances, please submit evidence in questions 5, 10, and 11, or select the N/A option if they are not applicable to your business.
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.
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: 

Involvement in health and safety representative processes
Involvement in the assessment of risk
Involvement in completing investigations
Involvement in completing workplace/equipment inspections
Involvement in the review of hazard control
Involvement in the review of emergency drills
Involvement in the review of health and safety processes
Specific issues raised by workers in meetings 

NB – the following are not accepted examples

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

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 subcontractors/contractors that you engage or manage?

To show that subcontractors/contractors you engaged or managed by your company are being prequalified and monitored. 

Please provide evidence for one of the options below: 

Option 1 – subcontractors/contractors 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 check/inspection of a subcontractor’s physical 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 check/inspection example must have been completed by your company as the main contracting PCBU.
NB – If the work undertaken is not of a physical nature (consultancy, office-based work), a post contract review can be used as the check/inspection example. 

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

• A copy of their training register that includes a measure of competence or years of experience.
• One example of current training (certificate, training card, certifying license 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 subcontractors in your own training register, please ensure they are identified as such.
NB – If you do not engage or manage subcontractors/contractors or have not engaged or managed. subcontractors/contractor in the last 12 months, please select not applicable and provide a brief explanation.

How are workers trained and assessed as competent (by you as the PCBU) to perform the work being undertaken 

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.
• A couple of examples of current training (certificates, training ID cards, certifying licenses for example). This must include at least one example of current higher-level learning.

NB – Higher level learning can include training recommended by codes of practice, such as MEWP, harness systems, confined space, driver license endorsements, first aid (unit standard 6400), NZQA level 3 or above, trade qualifications and/or other qualifications.
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, 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, workshops, warehouses, vehicles, mobile plant, 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 result 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 equipment 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 – Workplaces can include offices, vehicles, workshops, warehouses, mobile plant, or any other area that work is carried out.
NB – If you are office based only, please provide two completed workplace inspection examples.
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. 

Please provide evidence for one of the following options only: 

Option 1 – High-risk work that is NOT NOTIFIABLE to WorkSafe. 

• One example that shows how the hazards and risk associated with the high-risk work is controlled.
• Evidence of how the high-risk work controls were 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. 

Option 2 – High-risk work that is NOTIFIABLE to WorkSafe.

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

NB – The training evidence should show current relevant higher-level training (as applicable).
NB – If high-risk or notifiable work is not undertaken by your own workers, 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.

How do you monitor the health of workers who are, or may have been exposed to workplace health hazards?

To determine if workers are experiencing health effects from potential workplace exposures. Health monitoring can also confirm that control measures are adequate to protect workers from harm. You will need to know if the health hazards exceed the Workplace Exposure Standards (WES) and Biological Exposure Indices (BEI):    

If you are not certain if this is applicable to your business, we recommend that you contact an occupational hygienist for expert advice. 

Evidence of regular monitoring is required. The evidence provided must show that your company as the PCBU has conducted monitoring. To show this please provide any of the following evidence: 

Please provide any of the following evidence:

• A report, letter or document from a health monitoring provider that shows pre-employment (baseline) and/or regular testing has been carried out. If the evidence states that the testing is baseline only, it will be marked as such.
• Reports, letters or documents from two occurrences of testing (this will be dependent on your monitoring frequency) from a health monitoring provider. 

NB – If you believe that the standards are not exceeded, please provide an in-depth risk assessment that has been completed by a suitably qualified professional, such as an occupational hygienist.
NB – Names of personnel can be redacted for privacy reasons.
NB – If invoices are being submitted, they must clearly show what health monitoring was completed (hearing, lung function for example).
NB – If you are submitting a booking confirmation, please select the ‘other’ option. Bookings only will be accepted once. Subsequent years evidence should be able to show that baseline monitoring as a minimum has been completed.
NB – Sole operators can select the not applicable option for this question.
NB – As a PCBU, if you require your workers to use respiratory protective equipment (RPE), you must ensure that the RPE is fitted correctly for each worker by conducting fit testing. This ensures that workers are wearing proper fitting RPE. Although fit testing is required, please note that it IS NOT health monitoring, and does not need to be submitted as evidence for this question.

How do you manage the use and storage of hazardous substances in the workplace? 

To show that you effectively manage the hazardous substances that you use or store in your workplace. 

Please provide the following evidence: 

• A copy of your hazardous substances inventory that shows review within the last 12.
• Two examples of current safety data sheets (no older than 5 years).
• Evidence that you have operational procedures in place for hazardous substances (SOP, task analysis or similar).
• Evidence that workers have relevant training for hazardous substances (could include formal or informal training). 

NB – Please note that safety data sheets should be NZ versions where possible.
NB – If you select not applicable, and there is contradictory evidence elsewhere in the assessment, this will not be marked as such.
NB – Please note that the regulations require specific information to be recorded in an inventory. Not including all the elements may result in a lowered score.

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.