Managing Non-Compliance

Managing Non Compliance

Each company should have a non compliance policy and procedures system, Below is an example that covers the duties of line management and staff as well as contractors. 

Employees who fail to comply with the health and safety requirements of the company, or those who demonstrate consistently poor safety performance, shall be subject to disciplinary measures.

Sufficient training, explanation and assistance shall be given to all employees to ensure they fully comprehend what is required of them. However, neither management nor the employees will tolerate unsafe behaviour and non-compliance with the safety policies and procedures of the company.

The disciplinary procedure for health and safety issues shall follow the same format as the warning system used  for any disciplinary matter [refer to the reference number and name of the disciplinary policy and procedure name for the company].

Contractors shall be subjected to the same disciplinary and warning system as its employees. Copies of such actions shall be forwarded to the contractor’s management for their records. Under certain circumstances, a contractor may be refused the right of entry to the premises due to non-compliance with its health and safety policies and procedures.

This data is part of our Health and Safety Manual available HERE

Sample Line managers’ key duties checklist  
Systems of work set up?  
Do line managers conduct regular and planned OHS inspections of their work area?
Do line managers use detailed checklists to verify compliance to OHS systems and procedures?
Do line managers conduct periodic reviews to ensure that systems and procedures are adequate?
Do line managers conduct weekly checks to ensure compliance to systems and procedures?


Do line managers participate in accident and incident investigations relating to their area of supervision?
Do line managers present the findings of investigation results to their employees?
Does each line manager have documentary evidence regarding the skill level of each employee?
Does the documentary evidence include records of employee attendance at induction training, operational skills training and personal safety requirements training?
Do line managers ensure that employees are trained and educated to avoid accidents due to :
tampering with safety devices?
improper manual handling of goods?
failure or improper use of PPE?
failure to isolate machinery/equipment?
intoxicated employees?
failure to follow procedures?
inadequate machinery guarding?
defective tools/equipment?
poor housekeeping?
inadequate lighting?
failure to capture dust/fumes?
Dealing with contractors
Do line managers ensure that contractors report to them prior to starting a job?
Do line managers ensure contractors comply with organisational procedures?
Do line managers ensure contractors report to line managers at the end of a job?


Sample Employees’ key duties checklist  
Complying with training  
Do new employees participate in induction training?
Do employees participate in training where special permits are required, eg crane operation, first aid, and forklift driving?
Do employees participate in ongoing training to keep up with new systems and procedures, eg changes to regulations, changes to codes of practice and changes to standards of operations?
Complying with procedures  
Are employees consulted in the process of developing organisational systems and procedures?
Does the organisation have a procedure that entitles employees to refuse to perform any work which is perceived to be unsafe or not to conform with any statutory authority’s regulations?
Do employees use relevant PPE such as eye, hearing, foot, hand or other PPE, and do they comply with its requirements?
Are employees aware of their duty to comply with special permit conditions, eg crane operation, forklift driving and first aid, and other special permits as required by legislation?
Are employees performing only those tasks for which they were trained and qualified?
Do employees seek medical assistance for every injury at work, no matter how minor?
Are there any cases of employees affecting the health and safety of others, at work by:
smoking in a confined area shared by non-smoking workmates
becoming intoxicated
tampering with any safety devices, eg making machine guarding inoperative
creating hazards at work, eg creating trip and fall hazards by not properly maintaining housekeeping?
Do employees comply with all work systems and procedures?
Are accidents occurring as a result of not following instructions?
Are employees reporting all accidents/incidents regardless of the cause and severity of injury?


Sample checklist of duties in relation to contractors
Do the contractual arrangements between the parties clearly assign responsibility for all aspects of occupational health and safety in a manner that is consistent with the applicable laws?
Is the use by the contractor of sub-contractors addressed?
Has the contracting organisation (‘employer’) conducted a compulsory safety orientation program to ensure that the safety aspects of the work are understood?
Does the contract enable the contracting organisation to conduct safety inspections and audits of the contractor’s work and clearly provide for the measures that may be taken in the event that performance by the contractor is unsatisfactory?
Has the contracting organisation adequately trained any of its employees who will be involved in the supervision of contractors?
Does the contracting organisation have adequate record keeping systems to ensure that important documents relating to the work of contractors (such as permits to work, training records and contracts) are retained?