Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
4.2 POLICY
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Is there an occupational health, safety and environmental policy authorized by the organizations top management, clearly stating the overall HSE objectives and demonstrates a commitment to improving HSE performance?
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Is this policy:
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a) appropriate to the nature and scale of the organizations's HSE risks?
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b) including the commitment to establish measurable objectives and targets to ensure continued improvement aimed at elimination of work-related injury and illness?
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c) including a commitment to comply with relevant HSE legislation and with other requirement placed upon the organization or to which the organization subscribes to?
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d) documented, implemented, maintained and communicated to all employees?
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e) available to interested parties?
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f) reviewed periodically to ensure it remains relevant and appropriate to the organization?
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What form is the evidence collected? (D= Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.3 PLANNING
4.3.1a Environmental Aspects
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Has the organization established, implemented and maintained documented procedures to identify the Environmental Aspects? Does the organization evaluate the impacts of its activities to the the environment including work carried out by contractors or suppliers?
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Is this Register of the Environmental Aspects kept up-to-date?
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Has the organization developed its methodology to identify the environmental aspects of its activities, products and services? Are all the environmental aspects that may pose significant impacts to the environment being managed and prioritized for improvements?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.3.1b Hazard Identification, Risk Assessment and Determination of Controls
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Has the organization established, implemented and maintained documented procedures to identify the OHS hazards and assessed and controlled the associated hazards/risks/aspect of activities, products and services over which the organization has control or influence, including activities, products or services of contractors or suppliers?
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Is this methodology kept up-to-date?
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Has the organization developed its methodology for hazard identification, hazard/risk assessment and hazard/risk control, based on its operational experience and its commitment to eliminate workplace illness and injury.
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.3.2 Legal and other requirements
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Has the organization established, implemented and maintained procedures to identify and have access to all legal and other requirements that are directly applicable to the HSE issues related to its activities, products or services, including relevant relationships with contractors and suppliers?
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Has the organization kept this information up-to-date as well as communicated relevant information on legal and other requirements to its employees?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.3.3 Objectives and Targets
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Has the organization established, implemented and maintained documented HSE obectives and targets at each relevant function and level within the organization?
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When establishing and reviewing its objectives, does the organization consider its legal and other requirements, its OHS hazards and risks, its technological options, its operational and business requirements and the views of interested parties?
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Are the objectives and targets consistent with the HSE policy, including the commitment to measuring and improving HSE performance?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
HSE Objectives and Targets
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Has the organization established and maintained management plans for achieving its objectives and targets?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
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Do they include:
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a) designation of responsibility for achievement of objectives and targets at relevant functions and levels of the organization?
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b) outlining the means and timeframe by which objectives and targets are to be achieved?
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Has the organization established procedures to ensure that current plans are reviewed, and if necessary amended these procedures to address such changes at regular and planned intervals, and whenever there are changes to the activities, products or services of the organization or significant changes in operating conditions?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.4 IMPLEMENTATION
4.4.1 Resources, Roles, Responsibility, Accountability and Authority
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Has the organization's management identified and provided the resources required to implement, maintain, and improve their HSE-MS? (Resources such as human resources, and specialized skills, technology and financial resources?)
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Has the organization defined, documented and communicated the areas of accountability and responsibility (including those imposed by OHS legislation) of all personnel involved in the OHSMS's operation?
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Where contractors are involved, are these areas of accountability and responsibility clarified with respect to those contractors?
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Has the organization's top management appointed a specific management representative/s who, irrespective of other responsibilities, has defined roles, responsibilities and authority for ensuring that HSE requirements are established, implemented and maintained in accordance with this Standard, and reporting on the performance of the HSE to top management for review and as a basis for improvement of the HSE?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.4.2 Training and Competency
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Are procedures in place to ensure that HSE competencies are developed and maintained?
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Are personnel assessed as competent on the basis of skills achieved through education, training or experience, to perform assigned tasks taking into account the HSE obligations, hazards and risks associated with the work activities?
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Are procedures developed for providing HSE training? Do these procedures take into account:
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a) the characteristics and composition of the workforce which impact on occupational health and safety management, and
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b) responsibilities, hazards and risks?
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Has the organization ensured that all personnel (including contractors and visitors) have undertaken training appropriate to the needs identified?
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Is this training carried out by persons with appropriate knowledge, skills and experience in HSE and training?
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Are there any structured emergency preparedness and response in place?
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Has the organization, in consultation with employees, identified training needs in relation to performing work activities competently, including HSE training?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.4.3 Communication, Participation and Consultation
4.4.3.1 Communication
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Does the organisation have procedures for ensuring that pertinent HSE information is communicated to and from employees and other interested parties such as Policy, Performance and Complaints?
4.4.3.2 Participation and Consultation
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Have the employees:
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a) been involved in the development, implementation and review of policies and procedures to identify hazards and assess and control hazards/risks?
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b) been consulted where there are any changes that affect workplace HSE.
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c) selected those who will represent them on HSE matters, and
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d) been informed as to who is/are their employee HSE representative(s) and specified management representatives?
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Are there documented procedures, agreed to by employees, for employee involvement and consultation in OHS issues? Is information regarding the arrangements made available to interested parties?
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Are those representing the employees and employer receiving appropriate training to undertake effectively, their involvement in the development, implementation and review of HSE arrangements?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.4.4 Documentation
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Has the organisation established, implemented and maintained information, in a suitable medium such as print or electronic form to:
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a) describe the core elements of the management system and their interaction; and
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b) provide direction to related documentation?
4.4.5 Control of Documents
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Has the organisation established, implemented and maintained procedures for controlling all relevant documents and data required by this Standard to ensure that:
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a) they can be readily located;
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b) they are periodically reviewed, revised as necessary and approved for adequacy by competent and responsible personnel;
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c) current versions of relevant documents and data are available at all locations where operations essential to the effective functioning of the OHSMS are performed;
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d) obsolete documents and data are promptly removed from all points of issue and points of use or otherwise assured against unintended use; and
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e) archival documents and data retained for legal or knowledge preservation purposes or both, are suitably identified.
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Is this documentation and data legible, dated (with dates of revision) and readily identifiable and maintained in an orderly manner for a specified period? Are procedures and responsibilities established and maintained concerning the creation and modification of the various types of documents and data?
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Has the organisation precluded the use of obsolete documents?
4.4.6 Operational Control
General
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Has the organisation established, implemented and maintained documented procedures to ensure that:
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a) hazards and significant aspects are identified;
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b) hazards/risks and significant aspects are assessed;
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c) hazards/risks and significance aspects are controlled; and then
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d) steps (a) to (c) are evaluated.
Establishing and Implementing Operational Controls
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Does the identification of hazards in the workplace take into account:
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a) the situation or events or combination of circumstances that has the potential to give rise to injury or illness;
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b) the nature of potential injury or illness relevant to the activity, product or service; and
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c) past injuries, incidents and illnesses?
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Does the identification process also include consideration of:
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a) the way work is organised, managed, carried out and any changes that occur in this;
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b) the design of workplaces, work processes, materials, plant and equipment;
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c) the fabrication, installation and commissioning and handling and disposal (of materials, workplaces and plant and equipment);
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d) the purchasing of goods and services;
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e) the contracting and subcontracting of plant, equipment, services and labour, including contract specification and responsibilities to and by contractors; and
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f) the inspection, maintenance, testing, repair and replacement (of plant and equipment).
Hazard/Risk Assessment
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Are all hazards/risks associated with each identified hazard assessed and have hazard/risk control priorities been assigned, based on the established level of hazard/risk?
Hazard/Risk Control
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Are all hazards/risk, identified through the assessment process as requiring control, controlled through a preferred order of control methods (hierarchy of controls), based on reasonable practicality? Is ELIMINATION the first method of control considered?
Evaluation
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Are hazard identification, hazard/risk assessment and control processes subject to a documented evaluation of effectiveness and modified as necessary?
4.4.7 Emergency Preparedness and Response
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Are all potential emergency situations identified and emergency procedures documented for preventing and mitigating the associated illness, injury and environmental impacts?
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Has the organisation reviewed then revised, where necessary, its emergency preparedness and response procedures, in particular, after the occurrence of incidents or emergency situations?
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Has the organisation periodically tested such procedures? (NOTE: it may not be practicable to test some procedures, in which case training and efficacy should be tested by other means)
4.5 Checking
4.5.1 Performance Measurement and Monitoring
General
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Has the organisation established, implemented and maintained documented procedures to monitor and measure on a regular basis, the key characteristics of its operations and activities that can cause illness or injury. Is the effectiveness of these measures evaluated?
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Has appropriate equipment for monitoring and measurement related to health and safety risks been identified, calibrated, maintained and stored as necessary? Are records of this process retained according to the organisation's procedures?
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With regard to the HSE-MS, has the organisation established, implemented and maintained procedures to monitor:
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a) performance, effectiveness of relevant operational controls and conformance with the organisation's objectives and targets; and
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b) compliance with relevant HSE legislation?
Incident Investigation, Corrective and Preventative Action
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Has the organisation established, implemented and maintained procedures for:
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a) investigating, responding to , and taking action to minimise any harm caused from incidents;
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b) investigating and responding to system failures; and
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c) initiating and completing appropriate corrective and preventative action.
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Has the organisation implemented and recorded any changes in the HSE procedures resulting from incident investigations and corrective and preventive action?
4.5.2 Evaluation of Compliance
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Has the organization regularly monitor and evaluate the compliance status of the applicable environmental legal requirements?
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Are the records of the results of the periodic evaluations retained?
4.5.3 Incident Investigation, Nonconfirmity, Corrective Action and Preventive Action
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Has the organization regularly monitor and evaluate the compliance status of the applicable environmental legal requirements?
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Are the records of the results of the periodic evaluations retained?
4.5.3.1 Incident Investigation
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Has the organisation established, implemented and maintained procedure to record, investigate and analyze incidents?
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Are the results of the investigation used for future corrective, preventive actions and continual improvement?
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Are the investigations performed in a timely manner?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.5.3.2 Non conformity, Corrective Action and Preventive Action
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Has the organisation established, implemented and maintained procedure to record, investigate and analyze nonconformity?
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Did the organization review the effectiveness of corrective action and preventive actions taken?
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What form is the evidence collected? (D = Document/s; I = Interview/s; O = Observation/s)
- N/A
- D
- I
- O
- D & I
- D & O
- I & O
- All
4.5.4 Controls of Records
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Has the organisation established, implemented and maintained procedures for the identification, maintenance and disposition of HSE records, as well as the results of audits and reviews?
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Are HSE records legible, identifiable and traceable to the activity, product or service involved? Are HSE records stored and maintained in such a way that they are readily retrievable and protected against damage, deterioration and loss? Are their retention times established and recorded?
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Are records maintained, as appropriate to the system and to the organisation, to demonstrate conformance to the requirements of this Standard?
4.5.5 Internal Audit
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Has the organisation established, implemented and maintained an audit program and procedures for periodic HSE audits to be carried out by a competent persons, in order to:
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a) determine whether the HSE:
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i) conforms to planned arrangements for HSEmanagement including the requirements of this Standard;
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ii) has been properly implemented and maintained; and
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iii) is effective in meeting the organisation's policy as well as objectives and targets for continual HSE improvement; and
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b) provide information on the results of audits to management and employees.
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Is the audit program, including any schedule, based on the HSE importance of the activity concerned, and the results of previous audits? Does the audit procedure cover the scope, frequency, methodologies and competencies, as well as the responsibilities and requirements for conducting audits and reporting results?
4.6 MANAGEMENT REVIEW
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Has the organisation's top management, at intervals that it determines, reviewed the HSE-MS to ensure its continuing suitability, adequacy and effectiveness?
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Has the management reviewed processes to ensure that the necessary information is collected to allow management to carry out this evaluation? Is this review documented?
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Does management review the continued relevance of, and change where appropriate, policy, objectives, responsibilities and other elements of the HSE, in the light of HSE audit results, changing circumstances and the commitment to continual improvement?
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Signature
