Title Page

  • Site Conducted

  • Conducted on

  • Prepared by

  • Location
  • Assessment Particpants

  • Summary of Audit

Clause 4 Context of the Organisation

Clause 4 Context of the Organisation.

4.1 Understanding the organisation

  • Have external and internal issues have been identified that are relevant to the business?

  • Were these issues and any recent changes been discussed at a senior level?

  • Add evidence of the discussion of issues at a senior level.

  • What level of non-conformance is determined? (Raise an action to rectify)

  • What level of non-conformance is determined? (Raise an action to rectify)

4.2 Understanding the needs of interested parties.

  • Has senior management identified interested parties and their requirements?

  • Add evidence of the discussion of issues at a senior level.

  • What level of non-conformance is determined? (Raise an action to rectify)

4.3 Determining Scope.

  • Has the business scope been reviewed within the last 12 months?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the discussion of issues at a senior level.

4.4 QSHE Management System

  • Does the a top level business overview determine the business process and including inputs, processes and outputs?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the discussion of issues at a senior level.

Clause 5 Leadership

Clause 5 Leadership

5.1 Leadership and Commitment

  • Provide examples of how the management has demonstrated involvement with the management system.

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide examples of how the management demonstrates a commitment to promoting continual improvement and protect employee H&S

  • What level of non-conformance is determined? (Raise an action to rectify)

5.2 Communicating the Policy

  • Is the H&S Policy approved by senior management?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the discussion of issues at a senior level.

  • Does the policy cover all aspects of Clause 5.2?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Is the current policy available to stakeholders?

  • What level of non-conformance is determined? (Raise an action to rectify)

5.3 Organisational Roles

  • Is there a company organisational chart available?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the organisational chart.

5.4 Consultation and Participation of Workers

  • Is there an established group of workers who regularly discuss H&S?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Have the H&S representatives been provided training and resources to carry out their role?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Have the H&S representatives (non-managerial) been involved with consultation on all aspects of clauses 4.4 d) and e)

  • 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

  • Have the risks to the business been identified in the business continuity plan for the facility?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the business continuity plan.

  • Has the plan been tested within the last two years?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence of the business continuity plan test

  • Have branch opportunities been identified via the business KPI's or via a SWOT analysis?

  • Add evidence of the business KPI's and/ or SWOT analysis

  • What level of non-conformance is determined? (Raise an action to rectify)

  • 👷🏽 Compliance obligations - Has the health and safety legal register been reviewed to ensure compliance and has identified any actions?<br>

  • What level of non-conformance is determined? (Raise an action to rectify)

  • 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

  • Is there an established hazard identification process?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and subsequent examples of the process being followed.

  • Is there an established risk assessment process?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and subsequent examples of the process being followed.

  • Is there evidence of assessing H&S opportunities within the business?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and subsequent examples of the process being followed.

6.1.3 Determination of Legal and other Requirements

  • Does the business have up-to-date, applicable legal requirements determined?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and subsequent examples of the process being followed.

6.1.4 Planning Action

  • Does the business have action plans to address the requirements in clause 6.1.4?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and subsequent examples of the process being followed.

Clause 6.2 Objectives and planning

  • Has the business completed the requirements for reporting business objectives?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • How are the objectives reviewed and communicated?

  • Please specify how the objectives are reviewed and communicated

Clause 7 Support

Clause 7 Support

7.1 Resources

  • People - Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the business?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence a sample of relevant training records

  • Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence and images to demonstrate the suitable infrastructure

  • Environment for the operation - Is the environment and work culture suitable for productive working.

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence and images to demonstrate the suitable infrastructure

  • Organisational Knowledge - Have the operators' job descriptions taken into consideration the requirements of the role?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of job descriptions and knowledge requirements to carry out the role.

  • How does the business obtain information regarding the customer's future requirements?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of how the customer's future requirements are considered

  • Please specify how the business obtains information regarding customers future requirements (include evidence)

7.2 Competence

  • Do the staff members have the education, training or experience deemed necessary to fulfil their job role.

  • Is there a program to enhance the staff members competence level?

  • Provide evidence of training records and knowledge in order to carry out the role.

7.3 Awareness

  • 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?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of staff awareness of their role within the management system

7.4 Communication

  • How is the Internal workforce communicated with?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of internal communication

  • Please specify other methods internal workforce is communicated with (include evidence)

  • How are external stakeholders communicated with?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of external communication

  • Please specify other methods external stakeholders are communicated with (include evidence)

7.5 Documented Information

  • Creating and Updating - Are documents created using standardised, controlled templates?.

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of templates and their method of control

  • Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of controlled documents

  • Retention of Documents - Is document retention managed relevant to the process?

  • What level of non-conformance is determined? (Raise an action to rectify)

Clause 8 Operation

Clause 8 Operation

8.1 Operational Planning and Control

  • Are there processes available to meet the H&S requirements of the business?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the business processes

8.1.2 Eliminating hazards and reducing H&S risk

  • Is there a process available for eliminating hazards and reducing risks?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Does the process follow the hierarchy of control?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process, including the hierarchy of control

8.1.3 Management of Change

  • Is there a process available for managing change?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and examples of it being followed

8.1.4 Procurement

  • Is there a process available for managing contractors and outsourced functions?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence for the management of contractors and outsourced functions

8.2 👷🏽 Emergency Preparedness and Response.

  • Is the emergency contact list available and complete?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Is the evacuation plan available and displayed ?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Is the Fire risk assessment and First aid provisions assessment suitable and sufficient?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • When was the last emergency situation at the facility? Was this recorded?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • When was the last evacuation drill completed and recorded?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Are the first aid kits and fire protection/detection equipment adequate and regularly checked?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Are the spill kits suitable and checked?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Is there a loss of containment risk of chemicals and or hazardous materials being stored/ handled?

  • When was the last spill drill completed and recorded?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Was the last emergency drill reviewed? What were the results?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Which staff are trained as the spill team? How are emergency situations communicated to visitors?

  • 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

  • General - Can the business demonstrate recent KPI results?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence demonstrating the latest KPI results

  • Analysis and evaluation - How has the business reacted to KPI/ OKR/ objectives results?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Add evidence demonstrating how the business has reacted to

  • Please describe how the business has reacted to the KPI/ OKR/ Objective results

  • Add evidence demonstrating how environmental compliance is being monitored

  • Can the business demonstrate the evaluation of its legal and other compliance?

  • What level of non-conformance is determined? (Raise an action to rectify)

9.2 Internal Audit

  • Has the audit schedule been followed? Have the results documented, recorded and communicated to management?

  • Does an internal audit schedule exist?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Has the schedule been followed?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Have the results from the internal audits been communicated with relevant parties?

  • What level of non-conformance is determined? (Raise an action to rectify)

9.3 Management Review

  • General - Has there been a senior management meeting that discussed H&S aspects as required on the ISO standards?

  • When was the last senior management meeting attended by QSHE? Have minutes been recorded?

  • Please add evidence of the agenda

  • Are minutes of the meeting available?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Please add minutes as evidence

  • Management review outputs - What opportunities for improvement, changes to the MS or resource were identified?

Clause 10 Improvement

Clause 10 Improvement

  • Does the business have an incident management process?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Provide evidence of the process and examples of it being used

  • Non-conformity and corrective action - Is there a relevant non-conformance process available?

  • What level of non-conformance is determined? (Raise an action to rectify)

  • Demonstrate the last non-conformance and the investigation, closure and improvement processes

  • Continual Improvement - Provide evidence of an example of continual improvement within the business - process updates, customer satisfaction, environmental improvements etc.

Sign Off

  • Name and signature of Auditor

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