Title Page

  • Conducted on

  • Auditor

  • Lead Auditee

  • Location



  • Documentation - Management Review, internal audits, accident & incident reporting, training

  • Interview - Director, senior managers, middle managers

  • Observation - Management and above following HSE processes or raising HSE issues. Staff confirmation of management involvement

  • Are management involved in HSE matters relevant to their department, roles and responsibilities?


  • Documentation - Policy

  • Interview - Director, senior managers, middle managers

  • Observation - Policy Communication

  • Does a Health, Safety and Environmental Policy exist and is it communicated effectively?

Consultation and Participation

  • Documentation - HSE Representative minutes, two way communication, first aid meetings, fire warden meetings, email chains, employee suggestions, incident investigation outcomes/changes, training feedback

  • Interview - workers, worker representatives

  • Observation - control changes, improvements

  • Is there a formal process for consultation and participation with the workforce on all levels and functions, for the development, planning, implementation and improvement of the HSE Management System?


  • Documentation - Management Review, documented objectives

  • Interview - Management, workers

  • Observation - N/A

  • Has the site set comprehensive HSE objectives based on previous data which lends itself to continual improvement? Are they consistent with the HSE policy, monitored and communicated?

Monitoring Systems

Hazard Identification Monitoring Systems

  • Documentation - internal safety inspections, fire safety inspections, waste management inspections, forklift pre use checks, equipment checks, statutory inspections, tooling calibration, PAT

  • Interview - equipment leaders, inspectors, inspectees, management, supervisors

  • Observation - safe systems of work

  • Do proactive internal and external monitoring systems exist in order to effectively identify new and existing hazards?

Internal Audit

  • Documentation - Internal Audit Reports, action plan, email chains

  • Interview - Auditors, Auditee's

  • Observation - Closed actions is real time

  • Does a HSE internal audit schedule exist stating who, what and when audits are to be conducted with actions identified and closed out effectively?

Planning and Operation

Risk Assessment Process

  • Documentation - Risk Assessments, task Analysis, Worker Sign Off/Input

  • Interview - Assessors, relevant workers, worker feedback

  • Observation - risk assessment activities and controls

  • Does a suitable and sufficient health and safety risk assessment process exist?

Risk Controls

  • Documentation - Risk Assessments, task Analysis, Worker Sign Off/Input

  • Interview - Assessors, relevant workers, worker feedback

  • Observation - risk assessment activities and controls

  • Do controls identified within the risk assessment process reflect level of risk, effectively control the process and are followed implicitly?

Aspects and Impacts

  • Documentation - Aspect/Impact Register, COSHH Assessments

  • Interview - Management, Workers

  • Observation - Activities and relevant controls

  • Does an environmental process exist to identify and sufficiently control all aspects and impacts within the business?

Fire Safety

  • Documentation - comprehensive fire risk assessment, annual evacuations, fire alarm testing, fire extinguisher testing, emergency lighting testing, fire wardens and evacuation policy

  • Interview - Management workers, fire wardens

  • Observation - maintenance records, equipment, evacuation, testing

  • Do fully encompassing reactive and proactive fire safety processes exists which reflect the level of risk on site?

Emergency Preparedness

  • Documentation - fire evacuation procedure, observation, emergency response plan, spill plan and testing, first aid, business continuity plan

  • Interview - Management, workers, first aiders, fire wardens

  • Observation - fire evacuation, spillage response, spill kits, bunded pallets, fire alarm system

  • Do HSE emergency preparedness procedures exists?

Waste Management

  • Documentation - Waste management procedure, waste transfer notes, recycling data, contractor control

  • Interview - management, HSE lead, workers

  • Observation - waste containers, waste storage, 3rd party suppliers

  • Does a waste management process control all incoming and outgoing waste in order to effectively reduce environmental impact?

Planned Preventative Maintenance

  • Documentation - External service records: compressor, electrical systems, crimping equipment, vehicles, forklift trucks, gas supplies, air conditioning, fire alarm system, compactor - Internal service records: pre use checks, equipment servicing and maintenance

  • Interview - Maintenance staff, QHSE lead, management, workers

  • Observation - Equipment standards, hard and soft facilities, internal equipment records

  • Does a planned preventative maintenance process exist and does this include both internal and external servicing and maintenance?


Communication and Awareness

  • Documentation - Meeting minutes, employee feedback, notice boards, email chains, posters, engagement programs, training

  • Interview - Management, workers

  • Observation - Formal communication, informal communication

  • Do internal and external processes allow for the communication of HSE related matters to all relevant staff?

Training and Competance

  • Documentation - Training records

  • Interview - Management, HR, trainees, trainers

  • Observation - Workers following taught methods/SOP's/WI

  • Has a training procedure been established based upon business needs and required competencies?

Contractor Control

  • Documentation - contractor control procedure, contractor records, insurance documents, RAMS, induction sign off, approved contractor list

  • Interview - Management, HSE lead, maintenance staff

  • Observation - contractors working real time, finished contractor works

  • Does a contractor policy exist which effectively ensures that all risks are controlled and reduced to as low as reasonably practicable?


Monitoring, Measurement, Analysis and Evaluation

  • Documentation - inspections, external inspections, internal audits, monthly reports, accident data, meeting minutes, legal service records, action plans, dashboards, assessment reviews, maintenance records, pre use checks

  • Interview - Management, HSE lead

  • Observation - meetings, external services, equipment maintenance

  • Has the site identified what is to be monitored, measured and evaluated for compliance?

HSE Inspection

Risk Assessment Control Review

  • Are the risk assessments analysed during the documentation audit practiced in real time?

Aspects and Impacts

  • Are the aspects and impacts analysed during the documentation audit practiced in real time?

Fire Safety

  • Are fire safety arrangements stipulated within the risk assessment implemented in real time?

Service and Maintenance

  • Has any equipment been identified in real time that isn't within the PPM schedule?

General HSE Requirements

  • Is equipment clean, serviceable, maintained and used correctly?

  • Are welfare facilities suitable and sufficient for the number of staff on site?

  • Are staff and vehicles adequately segregated?

  • Are materials safely stored?

  • Is PPE serviceable, worn correctly and records held?

  • Is waste correctly managed as per the waste management plan?

  • Are correct working practices adhered to i.e. forklift safety, manual handling, walkways, use of ladders, housekeeping etc?

  • Any other items identified?

Accident, Incident and Non-conformance

  • Documentation - accident/incident records, policy, data, actions plans open and closed, improvement projects, assessment review, communication

  • Interview - Injured persons, investigators, management, workers

  • Observation - closed action controls, assessment reviews, management system changes

  • Does a comprehensive accident/incident process exist which reacts effectively in a timely manner, identifies root cause and mitigates any further re-occurrence with all aspects of the event communicated to the workforce?

Continuous Improvement

  • Documentation - continuous improvement projects, closed actions, action plans, meeting minutes, communication, email chains, data evaluation

  • Interview - continuous improvement team, QHSE lead, management, workers

  • Observation - real time practices, completed projects, formal communication

  • Are processes in place which enable continual improvement of the management system, promote employee engagement and enhance performance?

Management Review

  • Documentation - Management review minutes, management review presentation

  • Interview - Management team, HSE lead

  • Observation - Completed actions and changes

  • Does a comprehensive review of the management system take place at least annually and cover all of the salient points?

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