HSMS Audit Final

• Audit Title

• Client / Site

• Conducted on

  Date
• Location
  Address

• Personnel

Element 1: Leadership & Accountability

• Is the H&S Policy made available to everyone?

  Yes

  Partial

  No

• Is the H&S Management System effectively integrated into business operations and decision processes?

  Yes

  Partial

  No

• Are systems in place to monitor the H&S performance of businesses and managers?

  Yes

  Partial

  No

• Are managers held accountable for their H&S performance?

  Yes

  Partial

  No

• Are sufficient H&S specialists available to provide advice and support to managers and employees?

  Yes

  Partial

  No

• Is there a H&S Action/Improvement Plan in place and is it tracked on a regular basis?

  Yes

  Partial

  No

• Do managers regularly demonstrate positive H&S leadership?

  Yes

  Partial

  No

• Have managers communicated their expectations in terms of H&S behaviours to employees and contractors?

  Yes

  Partial

  No

• Have managers received sufficient H&S training that is appropriate to their responsibilities?

  Yes

  Partial

  No

• Are systems in place for managers to reward positive and manage negative H&S performance?

  Yes

  Partial

  No

• Are managers involved in consultation arrangements with employees and contractors?

  Yes

  Partial

  No

Element 2: Risk Management

• Is a procedure in place for hazard identification, risk assessment and determination of control measures?

  Yes

  Partial

  No

• Are managers involved in the risk assessment process?

  Yes

  Partial

  No

• Are relevant findings of risk assessments communicated to workers?

  Yes

  Partial

  No

• Are control measures tracked/monitored to ensure they have been implemented?

  Yes

  Partial

  No

• Are risk assessments reviewed on a periodic basis?

  Yes

  Partial

  No

Element 3: Regulations & Policies

• Is a system/procedure in place to identify and evaluate applicable H&S regulations/laws?

  Yes

  Partial

  No

• Do managers keep up to date with legal requirements?

  Yes

  Partial

  No

• Is there a system in place to periodically review compliance against legal requirements and company policies?

  Yes

  Partial

  No

• Are assessments carried out of new or amended legal requirements to determine applicability to the business?

  Yes

  Partial

  No

Element 4: Driving Safety

• Are policies and procedures in place for safe driving behaviours and are they monitored for compliance?

  Yes

  Partial

  No

• Do managers demonstrate their committment to managing driving safety?

  Yes

  Partial

  No

• Is there a driver selection system in place that ensures all drivers are qualified and fit to drive?

  Yes

  Partial

  No

• Do drivers receive sufficient induction and ongoing refresher training, including defensive driving training?

  Yes

  Partial

  No

• Is there a process in place to ensure that the correct type of vehicle is selected and minimum specification requirements are met?

  Yes

  Partial

  No

• Are vehicles regularly inspected as part of a servicing & maintenance program?

  Yes

  Partial

  No

• Is a documented pre-start check system in place, which includes the means to report and rectify defects?

  Yes

  Partial

  No

• Where vehicle data recorder systems are not in place, has an assessment been carried out that considers their introduction?

  Yes

  Partial

  No

• Where vehicle data recorder systems are in place, are results monitored?

  Yes

  Partial

  No

• Are suitable site traffic management arragements in place at relevant company premises and are they adequate?

  Yes

  Partial

  No

• Where required, are Journey Hazard Management Plans/procedures in place, especially for high risk areas?

  Yes

  Partial

  No

Element 5: Contractor Safety Management

• Are systems in place to ensure that only approved contractors are engaged?

  Yes

  Partial

  No

• Are company H&S requirements clearly communicated to contractors as part of the contract arrangements?

  Yes

  Partial

  No

• Do managers ensure relevant H&S information is exchanged with the contractor before work commences?

  Yes

  Partial

  No

• Do all contractors receive an induction prior to starting work and are they documented?

  Yes

  Partial

  No

• Is a Permit-to-Work system in place to manage contractors and is it being used effectively?

  Yes

  Partial

  No

• Are contractors effectively supervised and monitored for the duration of their work?

  Yes

  Partial

  No

• Are contractors recognised for positive H&S performance and appropriately managed for negative performance?

  Yes

  Partial

  No

• Is a handover process in place for when contractors have completed their work?

  Yes

  Partial

  No

• Is the H&S performance of contractors reviewed and communicated where relevant?

  Yes

  Partial

  No

Element 6: Occupational Health

• Are potential health hazards identified and risk assessed with results communicated to relevant workers?

  Yes

  Partial

  No

• Have appropriate control measures been implemented and has control hierarchy been followed?

  Yes

  Partial

  No

• Is there a health surveillance/screening system in place and is it working effectively?

  Yes

  Partial

  No

• Are effective systems in place to record, assess and review work-related illnesses?

  Yes

  Partial

  No

• Are systems in place to capture, monitor and review relevant health statistics?

  Yes

  Partial

  No

• Do relevant people have access to sufficient first aid and other appropriate medical support?

  Yes

  Partial

  No

• Is a proactive health program in place?

  Yes

  Partial

  No

• Are effective return to work arrangements in place?

  Yes

  No

  N/A

Element 7: People, Training & Behaviours

• Do managers, employees & contractors demonstrate, encourage and reinforce safe and healthy behaviours?

  Yes

  Partial

  No

• Are personal performance targets in place for managers that reflect their role & responsibilities & are they reviewed?

  Yes

  Partial

  No

• Does the recruitment & selection process ensure that persons are qualified, competent and physically & mentally fit to undertake the duties?

  Yes

  Partial

  No

• Do employees receive relevant H&S training (as per training needs) and is understanding verified where needed?

  Yes

  Partial

  No

• Is there a system in place to allow workers to report hazards and near misses to management?

  Yes

  Partial

  No

• Is there Drugs & Alcohol Policy in place, which is monitored and enforced?

  Yes

  Partial

  No

• Is an effective H&S induction process in place for new/temporary/visiting personnel?

  Yes

  Partial

  No

Element 8: Communication & Consultation

• Are communication systems in place that encourages information exchange between managers and employees?

  Yes

  Partial

  No

• Are contractors and visitors informed of site H&S risks associated with their activities?

  Yes

  Partial

  No

• Are procedures in place to communicate relevant H&S matters to interested parties?

  Yes

  Partial

  No

• Are employees involved in the development of H&S practices and review of H&S performance?

  Yes

  Partial

  No

• Are management of change procedures in place that consider contractors and other external parties?

  Yes

  Partial

  No

Element 9: Document Control

• Is a system in place to manage relevant H&S documentation?

  Yes

  Partial

  No

• Are procedures in place to identify any external document requirements needed to support the HSMS?

  Yes

  Partial

  No

• Are pertinent records maintaned, available, retained, archived and/or removed as necessary?

  Yes

  Partial

  No

• Are site technical and legal documents kept secure and available?

  Yes

  Partial

  No

• Are systems in place to manage personnel records that contain H&S information?

  Yes

  Partial

  No

Element 10: Standard Operating Procedures

• Have risk assessments determined the need for SOP's?

  Yes

  Partial

  No

• Are SOP's communicated and understood by relevant people?

  Yes

  Partial

  No

• Have SOP's been developed by competent people with involvement from the workforce?

  Yes

  Partial

  No

• Is a list of SOP's available and maintained and do they cover relevant activities?

  Yes

  Partial

  No

• Are SOP's reviewed on a periodic basis?

  Yes

  Partial

  No

Element 11: Operational Control

• Are controls in place for all applicable activities?

  Yes

  Partial

  No

• Are controls determined using a hierarchy and are they applied to high risk activities?

  Yes

  Partial

  No

• Are control methods specific to the business?

  Yes

  Partial

  No

• Are proposed changes to equipment, facilities, organisation etc evaluated to determine safe implementation?

  Yes

  Partial

  No

• Are controls measures periodically reviewed?

  Yes

  Partial

  No

Element 12: Emergency Management

• Have emergency management plans/procedures been put in place following a risk assessment process?

  Yes

  Partial

  No

• Have emergency management plans been documented, made available and communicated to relevant people?

  Yes

  Partial

  No

• Have personnel, equipment & facilities for emergency response been identified, tested and made available?

  Yes

  Partial

  No

• Have relevant people been trained in the emergency management/response plans and procesures?

  Yes

  Partial

  No

• Are emergency plans and procedures periodically tested?

  Yes

  Partial

  No

• Are emergency plans and procedures periodically reviewed?

  Yes

  Partial

  No

Element 13: Incident Reporting, Investigation & Prevention

• Is a documented incident reporting system in place and is it working effectively?

  Yes

  Partial

  No

• Do managers lead effective incident investigations (RCA), and involve all necessary personnel?

  Yes

  Partial

  No

• Are incident investigations documented and preventative actions tracked to ensure close-out?

  Yes

  Partial

  No

• Are incidents analysed to identify trends and improvement opportunities?

  Yes

  Partial

  No

• Are lessons learnt from incidents shared internally and acted upon where necessary?

  Yes

  Partial

  No

• Are lessons learnt from incidents shared externally where appropriate?

  Yes

  Partial

  No

Element 14: Audits, Inspections & Continuous Improvement

• Do managers carry out regular documented inspections of their sites?

  Yes

  Partial

  No

• Are sites subject to inspections by people independent of the line management structure and are reports made?

  Yes

  Partial

  No

• Is an internal HSMS Audit carried out by people independent of the business and are reports made?

  Yes

  Partial

  No

• Is a system in place for managers to track progress of the close-out of actions following inspections/audits?

  Yes

  Partial

  No

• Are systems related to the HSMS reviewed periodically, together with inspections/audits to ensure desired H&S performance?

  Yes

  Partial

  No