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• Conducted on

  Date

• Auditor

• Lead Auditee

• Location
  Address

Leadership

• 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?

  Select Management are rarely involved in HSE matters Management discuss HSE issues but are rarely involved in proactive changes Management are re-actively involved in safety, there is minimal focus proactive monitoring Management are involved both proactively and re-actively to HSE Management are involved in all HSE matters.

  • Management are rarely involved in HSE matters
  • Management discuss HSE issues but are rarely involved in proactive changes
  • Management are re-actively involved in safety, there is minimal focus proactive monitoring
  • Management are involved both proactively and re-actively to HSE
  • Management are involved in all HSE matters.

Policy

• Documentation - Policy

• Interview - Director, senior managers, middle managers

• Observation - Policy Communication

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

  Select No policy exists A policy exists but does not reflect the business needs A bespoke policy exists but isn't well communicated A bespoke policy exists and is well communicated A comprehensive policy exists which is well communicated and fully reflects the organisations vision

  • No policy exists
  • A policy exists but does not reflect the business needs
  • A bespoke policy exists but isn't well communicated
  • A bespoke policy exists and is well communicated
  • A comprehensive policy exists which is well communicated and fully reflects the organisations vision

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?

  Select No formal processes have been established Most HSE related matters materialise without worker input Effective processes exist for HSE consultation Workers are involved in most HSE related decisions All HSE changes are decided only after full worker involvement

  • No formal processes have been established
  • Most HSE related matters materialise without worker input
  • Effective processes exist for HSE consultation
  • Workers are involved in most HSE related decisions
  • All HSE changes are decided only after full worker involvement

Objectives

• 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?

  Select No objectives have been set Minimal objectives have been with no real purpose Objectives reflect business needs and are measurable Objectives are set, measurable and monitored Objectives are fully comprehensive and drive positive change

  • No objectives have been set
  • Minimal objectives have been with no real purpose
  • Objectives reflect business needs and are measurable
  • Objectives are set, measurable and monitored
  • Objectives are fully comprehensive and drive positive change

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?

  Select No hazard identification system exist Only external monitoring systems exist Internal and external proactive systems exist but issues aren't actioned effectively Both systems exist and actions are usually followed through A monitoring system schedule exists and comprehensively identifies new and existing hazards

  • No hazard identification system exist
  • Only external monitoring systems exist
  • Internal and external proactive systems exist but issues aren't actioned effectively
  • Both systems exist and actions are usually followed through
  • A monitoring system schedule exists and comprehensively identifies 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?

  Select There is no HSE internal audit system A system exists but is not effective or up to date Audits are scheduled and conducted with actions identified Audits reflect the needs of the management system with actions identified and closed Audits are cross functional, holistic in their approach and drive continual improvement

  • There is no HSE internal audit system
  • A system exists but is not effective or up to date
  • Audits are scheduled and conducted with actions identified
  • Audits reflect the needs of the management system with actions identified and closed
  • Audits are cross functional, holistic in their approach and drive continual improvement

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?

  Select There is no formal process for identifying new/existing hazards on site A hazard identification process exists but isn't effectively used Effective hazard identification processes are an integral part of the management system All high risk hazards are proactively and re-actively identified All hazards are identified and effectively controlled to as low as reasonable practicable, assessments are recorded, reviewed and communicated

  • There is no formal process for identifying new/existing hazards on site
  • A hazard identification process exists but isn't effectively used
  • Effective hazard identification processes are an integral part of the management system
  • All high risk hazards are proactively and re-actively identified
  • All hazards are identified and effectively controlled to as low as reasonable practicable, assessments are recorded, reviewed and communicated

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?

  Select Controls are not suitable or sufficient Controls are listed but do not reflect the activity and are not explicitly followed Controls are suitable but are not well communicated or always followed Controls reflect the level of risk and are adhered to most of the time Controls are suitable and sufficient, they are adhered implicitly and all employees are fully aware of the requirements

  • Controls are not suitable or sufficient
  • Controls are listed but do not reflect the activity and are not explicitly followed
  • Controls are suitable but are not well communicated or always followed
  • Controls reflect the level of risk and are adhered to most of the time
  • Controls are suitable and sufficient, they are adhered implicitly and all employees are fully aware of the requirements

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?

  Select No environmental control process exists A process exists but as a document only A process identifies aspects and impacts as well as real time controls Controls identified suitably minimise environmental impact The process is suitable, sufficient and reviewed at least annually with full employee input

  • No environmental control process exists
  • A process exists but as a document only
  • A process identifies aspects and impacts as well as real time controls
  • Controls identified suitably minimise environmental impact
  • The process is suitable, sufficient and reviewed at least annually with full employee input

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?

  Select No fire safety processes exist A fire risk assessment highlights all required controls and actions Only reactive controls exist i.e. evacuation procedure Proactive and reactive arrangements suitably control fire risk on site Fire arrangements include all required proactive and reactive controls with all actions closed and annually reviewed

  • No fire safety processes exist
  • A fire risk assessment highlights all required controls and actions
  • Only reactive controls exist i.e. evacuation procedure
  • Proactive and reactive arrangements suitably control fire risk on site
  • Fire arrangements include all required proactive and reactive controls with all actions closed and annually reviewed

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?

  Select Only fire preparedness exists Fire and environmental spillage are identified and controlled Fire, environmental and major incident procedures have been identified and correctly controlled A comprehensive emergency response plan exists Both an emergency response plan and business continuity plan compliment and control all eventualities

  • Only fire preparedness exists
  • Fire and environmental spillage are identified and controlled
  • Fire, environmental and major incident procedures have been identified and correctly controlled
  • A comprehensive emergency response plan exists
  • Both an emergency response plan and business continuity plan compliment and control all eventualities

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?

  Select No waste management procedures exist Minimal amount of waste is controlled with little employee input Waste is managed internally but not effectively controlled or monitored when removed from site Waste is effectively managed internally with external supplier data recorded All waste is managed, employees are an integral part of the process and external supplier data is recorded and evaluated regularly

  • No waste management procedures exist
  • Minimal amount of waste is controlled with little employee input
  • Waste is managed internally but not effectively controlled or monitored when removed from site
  • Waste is effectively managed internally with external supplier data recorded
  • All waste is managed, employees are an integral part of the process and external supplier data is recorded and evaluated regularly

• 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?

  Select No PPM schedule exists Only external services are included in the PPM schedule Most external maintenance/service requirements are covered and managed with records held Both internal and external PPM requirements are managed with records held A comprehensive PPM schedule meets both legal requirements and business needs for all equipment, as well as soft and hard facilities

  • No PPM schedule exists
  • Only external services are included in the PPM schedule
  • Most external maintenance/service requirements are covered and managed with records held
  • Both internal and external PPM requirements are managed with records held
  • A comprehensive PPM schedule meets both legal requirements and business needs for all equipment, as well as soft and hard facilities

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?

  Select No health, safety or environmental communication takes place Very little HSE information is communicated to the workforce. Worker awareness is minimal Some HSE information is communicated effectively with some two way communication platforms Most HSE information is effectively communicated with workers aware of information related to their roles All HSE related information is communicated across all departments using a variety of platforms. Workers are fully aware of HSE matters and the significance relating to their roles

  • No health, safety or environmental communication takes place
  • Very little HSE information is communicated to the workforce. Worker awareness is minimal
  • Some HSE information is communicated effectively with some two way communication platforms
  • Most HSE information is effectively communicated with workers aware of information related to their roles
  • All HSE related information is communicated across all departments using a variety of platforms. Workers are fully aware of HSE matters and the significance relating to their roles

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?

  Select No training processes have been established Minimal HSE training has been delivered internally or externally Some HSE training has been delivered with records held HSE training has been delivered internally and externally correlating to legal and business requirements A full training program and skills matrix dictates who, what and when HSE training will be delivered with records held in line with required competencies

  • No training processes have been established
  • Minimal HSE training has been delivered internally or externally
  • Some HSE training has been delivered with records held
  • HSE training has been delivered internally and externally correlating to legal and business requirements
  • A full training program and skills matrix dictates who, what and when HSE training will be delivered with records held in line with 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?

  Select Contractors are not formally controlled A contractor policy exists but is rarely adhered to A contractor policy details pre and post task requirements with records held as evidence A comprehensive policy is adhered to implicitly with detailed records held Contractors are stringently controlled, a list details those approved, documentation is comprehensive and stored efficiently with all risks reduced to as low as reasonably practicable

  • Contractors are not formally controlled
  • A contractor policy exists but is rarely adhered to
  • A contractor policy details pre and post task requirements with records held as evidence
  • A comprehensive policy is adhered to implicitly with detailed records held
  • Contractors are stringently controlled, a list details those approved, documentation is comprehensive and stored efficiently with all risks 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?

  Select Monitoring systems exist but data is not gathered or evaluated Monitoring system data is collated but isn't evaluated for compliance or utilised for improvement actions Specific data is clearly identified for measurement, the data is used to drive improvements Monitoring system data is formally documented, measured at regular intervals and evaluated for compliance. Evaluated data and associated actions have proved continual improvement of the management system

  • Monitoring systems exist but data is not gathered or evaluated
  • Monitoring system data is collated but isn't evaluated for compliance or utilised for improvement actions
  • Specific data is clearly identified for measurement, the data is used to drive improvements
  • Monitoring system data is formally documented, measured at regular intervals and evaluated for compliance.
  • Evaluated data and associated actions have proved continual improvement of the management system

Risk Assessment Control Review

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

  Select All controls are adhered to correctly Some controls aren't implicitly followed No controls specified within the assessments are practiced in real time

  • All controls are adhered to correctly
  • Some controls aren't implicitly followed
  • No controls specified within the assessments are practiced in real time

Aspects and Impacts

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

  Select All controls are adhered to correctly Some controls aren't implicitly followed No controls specified within the assessments are practiced in real time

  • All controls are adhered to correctly
  • Some controls aren't implicitly followed
  • No controls specified within the assessments are practiced in real time

Fire Safety

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

  Select Arrangements are implicitly followed Most arrangements are in practiced in real time No documented arrangements are formally implemented in real time

  • Arrangements are implicitly followed
  • Most arrangements are in practiced in real time
  • No documented arrangements are formally implemented in real time

Service and Maintenance

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

  Select All required equipment on site is included within the PPM schedule Some items are missing within the PPM schedule Multiple pieces of equipment with legal requirements are missing from the PPM schedule

  • All required equipment on site is included within the PPM schedule
  • Some items are missing within the PPM schedule
  • Multiple pieces of equipment with legal requirements are missing from the PPM schedule

General HSE Requirements

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

  Good

  Fair

  Poor

  N/A

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

  Good

  Fair

  Poor

  N/A

• Are staff and vehicles adequately segregated?

  Good

  Fair

  Poor

  N/A

• Are materials safely stored?

  Good

  Fair

  Poor

  N/A

• Is PPE serviceable, worn correctly and records held?

  Good

  Fair

  Poor

  N/A

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

  Good

  Fair

  Poor

  N/A

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

  Good

  Fair

  Poor

  N/A

• Any other items identified?

  Good

  Fair

  Poor

  N/A

• 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?

  Select No accident/incident procedure exists Incidents are recorded but no further action is taken Incidents are investigated with actions established and recorded but controls are ineffective Root cause is established with mitigating controls/actions identified and implemented often effectively A comprehensive process exists, root cause is established with effective controls implemented, communicated and adhered to with full employee input

  • No accident/incident procedure exists
  • Incidents are recorded but no further action is taken
  • Incidents are investigated with actions established and recorded but controls are ineffective
  • Root cause is established with mitigating controls/actions identified and implemented often effectively
  • A comprehensive process exists, root cause is established with effective controls implemented, communicated and adhered to with full employee input

• 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?

  Select No continual improvement processes exist Continual improvement processes exist and enable the business to improve but projects are often incomplete Some continual improvement projects are identified based on employee input, they are completed and recorded Multiple continuous improvement processes enable positive changes to the management system A variety of employee driven continual improvement processes enable enhancement of the management system, data is evaluated, proven and recorded

  • No continual improvement processes exist
  • Continual improvement processes exist and enable the business to improve but projects are often incomplete
  • Some continual improvement projects are identified based on employee input, they are completed and recorded
  • Multiple continuous improvement processes enable positive changes to the management system
  • A variety of employee driven continual improvement processes enable enhancement of the management system, data is evaluated, proven and recorded

• 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?

  Select Status of previous actions Legal requirements, interested parties, risks and opportunities HSE policy and objectives HSE performance to include: incidents, monitoring, evaluation, audit results, consultation/participation Resources Communication Continual improvement

  • Status of previous actions
  • Legal requirements, interested parties, risks and opportunities
  • HSE policy and objectives
  • HSE performance to include: incidents, monitoring, evaluation, audit results, consultation/participation
  • Resources
  • Communication
  • Continual improvement

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