Title Page
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Site Conducted
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Conducted on
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Prepared by
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Location
Clause 4 Context of the Organisation
Clause 4 Context of the Organisation.
4.1 Understanding the organisation
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Have external and internal issues have been identified that are relevant to the business?
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Were these issues and any recent changes been discussed at a senior level?
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Add evidence of the discussion of issues at a senior level.
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What level of non-conformance is determined? (Raise an action to rectify)
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What level of non-conformance is determined? (Raise an action to rectify)
4.2 Understanding the needs of interested parties.
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Has senior management identified interested parties and their requirements?
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Add evidence of the discussion of issues at a senior level.
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What level of non-conformance is determined? (Raise an action to rectify)
4.3 Determining Scope.
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Has the business scope been reviewed within the last 12 months?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the discussion of issues at a senior level.
4.4 QSHE Management System
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Does the a top level business overview determine the business process and including inputs, processes and outputs?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the discussion of issues at a senior level.
Clause 5 Leadership
Clause 5 Leadership
5.1 Leadership and Commitment
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Provide examples of how the management has demonstrated involvement with the management system.
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide examples of how the management demonstrates a commitment to promoting continual improvement and protect employee H&S
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What level of non-conformance is determined? (Raise an action to rectify)
5.2 Communicating the Policy
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Is the H&S Policy approved by senior management?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the discussion of issues at a senior level.
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Does the policy cover all aspects of Clause 5.2?
- Commitment to providing safe working conditions to prevent injury and ill health
- Frame work for setting H&S objectives
- Commitment to filfil legal and other requirements
- Commitment to eliminate hazards and reduce risk
- commitment to continually improve the H&S MS
- Commitment to include workers through consultation and participation
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What level of non-conformance is determined? (Raise an action to rectify)
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Is the current policy available to stakeholders?
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What level of non-conformance is determined? (Raise an action to rectify)
5.3 Organisational Roles
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Is there a company organisational chart available?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the organisational chart.
5.4 Consultation and Participation of Workers
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Is there an established group of workers who regularly discuss H&S?
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What level of non-conformance is determined? (Raise an action to rectify)
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Have the H&S representatives been provided training and resources to carry out their role?
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What level of non-conformance is determined? (Raise an action to rectify)
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Have the H&S representatives (non-managerial) been involved with consultation on all aspects of clauses 4.4 d) and e)
- needs of interested partiesCommitment to providing safe working conditions to prevent injury and ill health
- establishing the H&S policy
- setting H&S objectives and planning to achieve them
- how to fulfil legal and other requirements
- controls for outsourcing/ contracts/ procurement
- ensuring continual improvement of the H&S MS
- interaction with the audit program
- determining what needs to be monitored and measured
- evaluating training
- investigating incidents
- determining the communication process
- Identifying hazards and assessing risk
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What level of non-conformance is determined? (Raise an action to rectify)
Clause 6 Planning
Clause 6 Planning
6.1.1 Actions to address risk and opportunities
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Have the risks to the business been identified in the business continuity plan for the facility?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the business continuity plan.
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Has the plan been tested within the last two years?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence of the business continuity plan test
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Have branch opportunities been identified via the business KPI's or via a SWOT analysis?
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Add evidence of the business KPI's and/ or SWOT analysis
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What level of non-conformance is determined? (Raise an action to rectify)
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👷🏽 Compliance obligations - Has the health and safety legal register been reviewed to ensure compliance and has identified any actions?<br>
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply
6.1.2 `Hazard Identification and assessment of risk opportunities
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Is there an established hazard identification process?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and subsequent examples of the process being followed.
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Is there an established risk assessment process?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and subsequent examples of the process being followed.
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Is there evidence of assessing H&S opportunities within the business?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and subsequent examples of the process being followed.
6.1.3 Determination of Legal and other Requirements
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Does the business have up-to-date, applicable legal requirements determined?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and subsequent examples of the process being followed.
6.1.4 Planning Action
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Does the business have action plans to address the requirements in clause 6.1.4?
- address risks and oppoerunties
- address legal requirements
- prepare and respond to emergencies
- integrate the action into the H&S MS processes
- evaluate the effectiveness of the actions
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and subsequent examples of the process being followed.
Clause 6.2 Objectives and planning
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Has the business completed the requirements for reporting business objectives?
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What level of non-conformance is determined? (Raise an action to rectify)
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How are the objectives reviewed and communicated?
- Regular staff meetings
- Annual report
- Website/ Internal intranet
- Newsletters
- Social media
- Other
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Please specify how the objectives are reviewed and communicated
Clause 7 Support
Clause 7 Support
7.1 Resources
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People - Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the business?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence a sample of relevant training records
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Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence and images to demonstrate the suitable infrastructure
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Environment for the operation - Is the environment and work culture suitable for productive working.
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence and images to demonstrate the suitable infrastructure
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Organisational Knowledge - Have the operators' job descriptions taken into consideration the requirements of the role?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of job descriptions and knowledge requirements to carry out the role.
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How does the business obtain information regarding the customer's future requirements?
- No monitoring of Customer satisfaction
- Customer meetings
- Customer surveys
- Customer feedback
- Other
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of how the customer's future requirements are considered
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Please specify how the business obtains information regarding customers future requirements (include evidence)
7.2 Competence
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Do the staff members have the education, training or experience deemed necessary to fulfil their job role.
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Is there a program to enhance the staff members competence level?
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Provide evidence of training records and knowledge in order to carry out the role.
7.3 Awareness
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Are staff members aware of the H&S policy? Are they aware of current branch KPI's and their contribution towards it? Are they aware of the latest outcomes to an incident investigation?
- Yes
- No
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of staff awareness of their role within the management system
7.4 Communication
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How is the Internal workforce communicated with?
- There is no communication internally
- Employee representataive meetings
- Social Media
- Newsletters
- Internal Intranet
- Notice boards
- Other
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of internal communication
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Please specify other methods internal workforce is communicated with (include evidence)
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How are external stakeholders communicated with?
- There is no external communication
- Website
- Social Media
- Marketing newsletter/ e-mails
- Other
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of external communication
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Please specify other methods external stakeholders are communicated with (include evidence)
7.5 Documented Information
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Creating and Updating - Are documents created using standardised, controlled templates?.
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of templates and their method of control
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Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of controlled documents
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Retention of Documents - Is document retention managed relevant to the process?
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What level of non-conformance is determined? (Raise an action to rectify)
Clause 8 Operation
Clause 8 Operation
8.1 Operational Planning and Control
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Are there processes available to meet the H&S requirements of the business?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the business processes
8.1.2 Eliminating hazards and reducing H&S risk
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Is there a process available for eliminating hazards and reducing risks?
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What level of non-conformance is determined? (Raise an action to rectify)
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Does the process follow the hierarchy of control?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process, including the hierarchy of control
8.1.3 Management of Change
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Is there a process available for managing change?
- New products, services or processes (inc work equipment, conditions, workforce etc)
- changes to legal requirements
- changes to information about H&S
- developments in knowledge and technology
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and examples of it being followed
8.1.4 Procurement
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Is there a process available for managing contractors and outsourced functions?
- Yes
- No
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence for the management of contractors and outsourced functions
8.2 👷🏽 Emergency Preparedness and Response.
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Is the emergency contact list available and complete?
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What level of non-conformance is determined? (Raise an action to rectify)
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Is the evacuation plan available and displayed ?
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What level of non-conformance is determined? (Raise an action to rectify)
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Is the Fire risk assessment and First aid provisions assessment suitable and sufficient?
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What level of non-conformance is determined? (Raise an action to rectify)
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When was the last emergency situation at the facility? Was this recorded?
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What level of non-conformance is determined? (Raise an action to rectify)
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When was the last evacuation drill completed and recorded?
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What level of non-conformance is determined? (Raise an action to rectify)
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Are the first aid kits and fire protection/detection equipment adequate and regularly checked?
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What level of non-conformance is determined? (Raise an action to rectify)
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Are the spill kits suitable and checked?
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What level of non-conformance is determined? (Raise an action to rectify)
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Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training?
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What level of non-conformance is determined? (Raise an action to rectify)
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Is there a loss of containment risk of chemicals and or hazardous materials being stored/ handled?
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When was the last spill drill completed and recorded?
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What level of non-conformance is determined? (Raise an action to rectify)
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Was the last emergency drill reviewed? What were the results?
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What level of non-conformance is determined? (Raise an action to rectify)
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Which staff are trained as the spill team? How are emergency situations communicated to visitors?
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What level of non-conformance is determined? (Raise an action to rectify)
Clause 9 Performance Evaluation
Clause 9 Performance Evaluation
9.1 Monitoring, measurements, analysis and evaluation
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General - Can the business demonstrate recent KPI results?
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence demonstrating the latest KPI results
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Analysis and evaluation - How has the business reacted to KPI/ OKR/ objectives results?
- No reaction
- Celebrated success
- Reviewed targets
- Identified cause of inadequate performance
- Identified and acted upon inadequate performance
- Other
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What level of non-conformance is determined? (Raise an action to rectify)
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Add evidence demonstrating how the business has reacted to
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Please describe how the business has reacted to the KPI/ OKR/ Objective results
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Add evidence demonstrating how environmental compliance is being monitored
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Can the business demonstrate the evaluation of its legal and other compliance?
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What level of non-conformance is determined? (Raise an action to rectify)
9.2 Internal Audit
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Has the audit schedule been followed? Have the results documented, recorded and communicated to management?
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Does an internal audit schedule exist?
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What level of non-conformance is determined? (Raise an action to rectify)
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Has the schedule been followed?
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What level of non-conformance is determined? (Raise an action to rectify)
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Have the results from the internal audits been communicated with relevant parties?
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What level of non-conformance is determined? (Raise an action to rectify)
9.3 Management Review
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General - Has there been a senior management meeting that discussed H&S aspects as required on the ISO standards?
- status from the previous meeting
- changes in internal and external issues
- extent to which the policy objectives have been met
- incident performance
- monitoring and measuring results
- legal compliance evaluation
- audit results
- consultation of workers
- risks and opportunities
- resource planning for an effective H&S MS
- communication with relevant parties
- opportunities for continual improvement
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When was the last senior management meeting attended by QSHE? Have minutes been recorded?
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Please add evidence of the agenda
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Are minutes of the meeting available?
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What level of non-conformance is determined? (Raise an action to rectify)
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Please add minutes as evidence
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Management review outputs - What opportunities for improvement, changes to the MS or resource were identified?
Clause 10 Improvement
Clause 10 Improvement
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Does the business have an incident management process?
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What level of non-conformance is determined? (Raise an action to rectify)
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Provide evidence of the process and examples of it being used
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Non-conformity and corrective action - Is there a relevant non-conformance process available?
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What level of non-conformance is determined? (Raise an action to rectify)
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Demonstrate the last non-conformance and the investigation, closure and improvement processes
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Continual Improvement - Provide evidence of an example of continual improvement within the business - process updates, customer satisfaction, environmental improvements etc.
Sign Off
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Name and signature of Auditor