Guidance note - Enforceable undertakings - Information for auditors

What is an enforceable undertaking?

An enforceable undertaking is a legally binding agreement between WorkSafe ACT and the person (defined as a body corporate or individual) who proposed the undertaking. Once accepted by WorkSafe ACT, the enforceable undertaking obliges the person to carry out the specific activities outlined in the undertaking.

The commitments are intended to improve not only health and safety at the workplace, but also deliver health and safety initiatives to the relevant industry and the broader community. The activities are substantial.

When a proposed enforceable undertaking is accepted, any legal proceedings connected to the alleged contravention are discontinued. Where legal proceedings have not been instituted, acceptance of the enforceable undertaking will mean that no proceedings will be commenced.

The terms of an enforceable undertaking will require a workplace to have an work health and safety management system (WHSMS) in place acceptable to WorkSafe ACT.

Third-party auditors selected to perform OHSMS audits must be certified by a certification body accredited by JAS-ANZ to ISO/IEC 17024: 2004 General requirements for bodies operating certification of persons. A list of auditors which would meet this standard is available on the Registrar Accreditation Board/Quality Society of Australasia OH&S Auditor Register at www.rabqsa.com.

The terms of the enforceable undertaking will determine the timing of the OHSMS audits. These timings may consider whether an WHSMS is already in place.

Auditor reports

An auditor must submit reports arising from the WHSMS audits to the person who proposed the enforceable undertaking within the agreed timeframe following completion of the site visit.

Audit reports must be detailed and include:

  • an assessment of compliance with each of the criteria specified by Access Canberra. These criteria must meet the principles contained in AS/NZS 4801: 2001 Occupational health and safety management system – specification with guidance for use;
  • a list of all evidence sighted confirming compliance or otherwise;
  • an assessment of each clause as either:
    • fully compliant;
    • partially compliant (detailed explanation required);
    • non-compliant (detailed explanation required);
  • appropriate recommendations aimed at achieving compliance; and
  • a statement of status on the implementation of recommendations and non-compliances identified in previous WHSMS audits.

Each finalised WHSMS audit report provided to the person by the WHSMS auditor, must be forwarded by the person who proposed the enforceable undertaking to WorkSafe ACT, along with a letter certifying that the report has not been altered from the copy provided by the auditor.

The person is required to advise WorkSafe ACT of the person’s intended action(s) to address each of the report’s recommendations.

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