Safety Plan Audit

Checklist



An audited Safety Plan is required to be submitted with any application for a recreation or tourism concession e.g. commercial guiding, on
public conservation land. This audit can be carried out by either Qualmark or OutdoorsMark. No other auditors may be used.

This checklist will help you to ensure that you provide your auditor with all the necessary information in order to pass an audit of your
Safety Plan and have it approved.

This checklist is used by OutdoorsMark as the benchmark when auditing the safety management systems of any organisation that
operates in the outdoors for recreation, education, or commercial guiding.

It has been developed in accordance with outdoor industry best practice and it incorporates the requirements of New Zealand health and
safety legislation and the Australia / New Zealand safety audit standard AS / NZS Standard 4801:2001.

OutdoorsMark auditors can be found on the Outdoors NZ website: http://www.outdoorsnz.org.nz/cms_display.php?sn=47&st=1&pg=126

Qualmark assessors can be found on their website: www.Qualmark.co.nz



Version 10.0, December 2008 safety plan audit checklist Page 2 of 10


= I nclude an example of a document/ s either in the plan or as an appendix
REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
1.1 There is a general explanation of the operation


1.2 All the main activities are outlined, eg backcountry
hunting


1.3 All the subsidiary activities of the main activity are
itemised, eg camping out, hut use, and snow travel


1.0
INTRODUCTION
There is an explanation of the
business operation
1.4 All transport components are outlined, eg road, air,
and marine


2.1 There is a health and safety policy authorised by the
top management


2.2 The policy states commitment to comply with the
Health and Safety in Employment Act


2.3 Policy states overall health and safety objectives and
commitments to improving health and safety
performance standards


2.4 Policy is reviewed regularly at planned intervals


2.5 Policy is available to all interested parties, eg clients,
contractors


2.6 Policy is documented, implemented, updated and
communicated to all employees


2.7 Policy is appropriate to the nature and scale of
operation


2.0
HEALTH & SAFETY POLICY
The Health & Safety policy
reflects the commitment of
the organisation and meets
legislative requirements










2.8 There is a commitment to involve all staff in
establishing and implementing health and safety
policy and controls


Version 10.0, December 2008 safety plan audit checklist Page 3 of 10

REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
2.9 There are measurable targets to improve health and
safety performance


3.0
LEGAL OBLI GATI ONS
The other legislative
components of the operation
are identified
3.1 There is a commitment to comply with all other
relevant legislative and regulatory requirements, eg
codes of practice


4.1 The organisation has identified the relevant industry
experience / awards / skills applicable to each staff
position


4.2 If no specific industry standards exist, generic
standards such as first aid and risk management are
identified and recorded


4.0
INDUSTRY STANDARDS
The relevant industry
standards for the operation
are identified. Where no
industry standards exist, the
operator details the minimum
generic requirements
4.3 If no specific industry standards exist, the minimum
industry-accepted level of experience is identified and
recorded


5.1 There is a modern, up-to-date methodology for the
planned hazard / risk identification


5.2 All tasks / skills for each activity of the operation have
been evaluated to determine the qualification /
experience required to safely undertake that activity


5.3 There is a position with responsibility for health and
safety


5.4 The organisation monitors progress towards achieving
its health and safety targets


5.0
MANAGEMENT SYSTEM
The organisations quality
management procedures
include all the relevant health
and safety factors expected at
management level
5.5 There is a procedure for health and safety document
and data control including reviewing, revising, filing,
archiving, and discarding


Version 10.0, December 2008 safety plan audit checklist Page 4 of 10

REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
5.6 There is a procedure for establishing a contractors or
independent operators health and safety relationship
with the organisation before they are engaged


6.1 There are records of the qualifications, experience and
skills for each staff member and / or contractor


6.2 There is a staff induction programme


6.3 Each staff member has their own training and
competence evaluation programme


6.4 There are records of all staff training


6.5 Staff training programmes are evaluated for
effectiveness


6.6 Qualifications / awards have been assessed and
accredited by an independent qualified person or
organisation


6.7 Staff are either competent to do their job or are
supervised


6.8 Staff are completely aware of their health and safety
responsibilities


6.9 Health and safety responsibilities are written into staff
job descriptions


6.0
OPERATI NG SYSTEM
The organisations operating
procedures include staff
issues relating to induction,
training, and qualifications /
experience and their health
and safety responsibilities
6.10 Staff-to-client ratios are established within current
accepted industry practice


7.1 All personnel involved with the organisations activities
are involved in hazard identification and reporting

7.0
HAZARDS
The organisations hazard
control systems comply with
7.2 Regular, planned health and safety meetings are held
involving all staff


Version 10.0, December 2008 safety plan audit checklist Page 5 of 10

REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
7.3 Staff are kept up-to-date with any new health and
safety developments


7.4 All hazards are identified, assessed for significance,
recorded and controlled by the appropriate method/s


7.5 The organisation monitors, measures and documents
staff ongoing exposure to hazards, eg load carrying
and sunlight


the requirements of the
health and safety legislation
7.6 Client safety briefings include any medical disclosures
and establishing an understanding of the activity and
environmental hazards for the activity that they are
about to undertake


8.1 There are guidelines that outline what is considered a
serious / non-serious incident or accident


8.2 There are clearly established protocols for reporting
accidents and near-hit incidents


8.3 There is an incident / accident register and reporting
form


8.4 There are clearly established procedures for
investigating, analysing, recording and resolving
incidents / accidents


8.5 There is a procedure for reporting all serious-harm
accidents to the Department of Labour within the
required timeframe


8.6 There are procedures to review organisations safety
policy and plans after a serious accident / incident


8.0
INCIDENTS / ACCIDENTS
The organisations incident
and accident procedures are
directive and clearly
understood
8.7 Incident and accident data is regularly analysed and
the findings measured against existing health and
safety targets and standards


Version 10.0, December 2008 safety plan audit checklist Page 6 of 10

REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
9.1 There are records of safety equipment and machinery
purchases


9.2 There are regular scheduled equipment inspections


9.3 All scheduled equipment inspections and the
inspection results are recorded


9.0
EQUI PMENT
INSPECTIONS
The organisations critical
safety equipment is inspected
and maintained
9.4 There is a procedure to record, isolate, and dispose of
all faulty or expired equipment


10.1 There are procedures for the purchase, storage, and
use of all emergency equipment


10.2 There are regular scheduled inspections of emergency
equipment


10.3 There is a policy for the carrying and use of
emergency equipment


10.0
EMERGENCY EQUI PMENT
The organisations emergency
equipment is available and
has systems and policies for
its storage and use
10.4 The emergency equipment taken for each activity /
trip is adequate enough to deal with the identified
manageable emergencies


11.1 There are emergency procedures to cover all potential
contingencies of the organisations operation


11.2 Emergency procedures are practised at regular
scheduled intervals


11.0
EMERGENCY
PROCEDURES
The organisations emergency
procedures exist, are
practised and updated
11.3 Emergency procedure training is recorded, analysed,
and any improvements implemented


12.1 There are annual scheduled internal reviews of the
safety plan and other health and safety procedures

12.0
SAFETY PLAN REVIEWS
The organisations safety plan
is reviewed regularly
12.2 There are procedures for reviews of the safety plan
and health and safety procedures as a result of a
serious accident / incident


Version 10.0, December 2008 safety plan audit checklist Page 7 of 10

REQUI REMENTS PERFORMANCE CRI TERI A

COMMENTS
12.3 There are scheduled three-yearly external reviews of
the safety plan


12.4 There are procedures for external reviews of the
safety plan after a serious accident / incident



Version 10.0, December 2008 safety plan audit checklist Page 8 of 10


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Your OutdoorsMark auditor will require you to send in the following documents, or examples of
these documents, unless they are built into your safety plan.

Due to the size and type of your business, eg a single-person operation,
some of the documents may not apply.

Version 10.0, December 2008 safety plan audit checklist Page 9 of 10


ELEMENT DOCUMENT REQUI RED

COMMENTS
2.1 Your health and safety policy authorised by your top
management

2.0
HEALTH & SAFETY POLICY
2.9 Your measurable H&S targets to improve your health
and safety performance


5.0
MANAGEMENT SYSTEM
5.2 A list of all the staff positions and the measurable
skills essential to safely undertake the tasks required
of that position


6.1 Your system of recording staff qualifications,
experience, and skills for each staff member


6.2 Your staff induction programme


6.0
OPERATIONAL SYSTEM
6.4 Your system for recording each staff members
training and competence evaluation programme


7.4 Your records of the hazards that you have identified,
showing whether they are significant or not and the
control system (eliminate, isolate, or minimise) you
are using

7.0
HAZARDS
7.6 A copy of your client briefing before the activity or
activities.


8.1 Your guidelines to advise your staff as to what
constitutes a serious / non-serious incident or
accident

8.2 Your protocols for reporting accidents and near-hit
incidents

8.0
I NCI DENTS AND
ACCIDENTS
8.3 A copy of your incident / accident reporting form and
your accident register

Version 10.0, December 2008 safety plan audit checklist Page 10 of 10

ELEMENT DOCUMENT REQUI RED

COMMENTS
8.4 A copy of your procedures for investigating,
analysing, recording, and resolving serious incidents /
accidents, including the Department of Labour
notification timeframe

8.7 An example of your incident / accident database


9.1 An example of your system for recording safety
equipment purchases

9.0
EQUIPMENT INSPECTIONS
9.3 An example of your equipment inspection schedule
and faulty equipment disposal system and records


10.0
EMERGENCY EQUI PMENT
10.4 A list of the emergency equipment your staff will take
during their activity or activities


11.1 A copy of the emergency procedures for all identified,
serious hazards / risks

11.0
EMERGENCY PROCEDURES
11.3 An example of the records for your emergency
procedure training and practices