Management System Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• Region

  North

  South

• Contractor/s

• Audit Scope

• Certified Systems

• Date

  Date

• Time

  Date

1. Policy and Management Systems

• Is there a signed HS Policy in place and is it regularly reviewed?

  Yes

  No

  N/A

• Is there a certified OH&S or an Environmental management system in place?

  Yes

  No

  N/A

• Is there evidence of alternative management systems, including implementation and review of systems?

  Yes

  No

  N/A

• Is there a signed Environmental & Sustainability Policy in place and is it regularly reviewed?

  Yes

  No

  N/A

• Is there evidence that management regularly monitors the system through management reviews?

  Yes

  No

  N/A

• Is there evidence of any legislative penalties?

  Yes

  No

  N/A

2. Legal Requirements

• Has the business identified and documented safety and environmental statutory requirements and applicable industry standards?

  Yes

  No

  N/A

• Does the business have a method of monitoring changes to legislation and standards?

  Yes

  No

  N/A

3. Document and Data Control

• Is there evidence of a document control system including the preparation, review, approval, issue, distribution, revision, cancellation and archiving?

  Yes

  No

  N/A

• Is there evidence of ensuring currency of documentation?

  Yes

  No

  N/A

• Is there evidence of records management in accordance with legislative requirements?

  Yes

  No

  N/A

4. Responsibilities and Consultation

• Is there evidence of documented, Quality, Health, Safety, Environmental and Sustainability responsibilities for all employees and managers?

  Yes

  No

  N/A

• Is there evidence that consultative arrangements are in place, including representation, meeting schedules and minutes?

  Yes

  No

  N/A

• Is there evidence of a clear process for communication between employees, managers, sub-contractors and where applicable members of the public?

  Yes

  No

  N/A

• Is there evidence of issue resolution procedures?

  Yes

  No

  N/A

• Is there evidence of employee involvement in the creation of the various programs/initiatives?

  Yes

  No

  N/A

5. Induction

• Is there evidence of an induction process?

  Yes

  No

  N/A

• Is there evidence of employee, contractor and subcontractor induction into the company, including company specific requirements?

  Yes

  No

  N/A

• Is there evidence that all induction topics are read and understood by employees, contractors and sub-contractors?

  Yes

  No

  N/A

• Is there evidence that the induction covers site familiarisation, safety, environment, rules, procedures and other company specific information?

  Yes

  No

  N/A

• Is there evidence that new employee qualifications and training records are provided?

  Yes

  No

  N/A

6. Training and Competency

• Is there evidence of a training and competencies system for employees, managers, contractors and sub-contractors that include HSE skills, relevant competencies and refresher training?

  Yes

  No

  N/A

• Is there evidence that the training program meets legislative, VESI, ESI, EPA, DPI and OHS requirements?

  Yes

  No

  N/A

• Is there evidence that qualifications, training, authorisations, registration and licences are current and meet task requirements?

  Yes

  No

  N/A

• Is there evidence of a training and competency register or data base that details evidence that training expiry dates are being monitored against the training program?

  Yes

  No

  N/A

• Is there evidence of training records that verify the trainning register or database?

  Yes

  No

  N/A

• Is there evidence that competency assessments are conducted by an appropriate trainer?

  Yes

  No

  N/A

• Is there evidence of re-training as a result of non-conformances?

  Yes

  No

  N/A

• Are Network Authorities identified for employees and sub-contracting employees and their records maintained?

  Yes

  No

  N/A

• Do employees have relevant high risk work licenses, permits, etc. appropriate to the tasks they are to perform?

  Yes

  No

  N/A

• Is there evidence of a training management system for apprentices and trainees that addresses mentoring, apprentice welfare and performance management?

  Yes

  No

  N/A

• Is there a process in place for issuing and monitoring of employee passports?

  Yes

  No

  N/A

7. Risk Management

• Is there evidence of licences and permits required by the business?

  Yes

  No

  N/A

• Is there evidence of a risk register and its alignment to the company risk model?

  Yes

  No

  N/A

• Is there evidence that risk assessments required by legislation are completed? (e.g. Design, Hazardous Facility, Dangerous Goods, Manual Handling, Plant, Confined Spaces, Asbestos, Prescribed Industrial Waste, Noise).

  Yes

  No

  N/A

• Is there evidence of risk assessments completed for the site? (e.g. forklifts, traffic, pedestrians, waste management )

  Yes

  No

  N/A

• Is there evidence that risk assessments are reviewed by management & re-assessed as required?

  Yes

  No

  N/A

• Is there evidence that JSAs and SWMS are used by all groups of field workers?

  Yes

  No

  N/A

• Is there evidence that JSA's are reviewed by management to assess trends as required?

  Yes

  No

  N/A

• Is there evidence that new procedures and work instructions undergo risk assessment prior to adoption?

  Yes

  No

  N/A

• Is there evidence that identified risks are mitigated?

  Yes

  No

  N/A

8. Job Planning and Supervision

• Is there evidence that there is a project handover process?

  Yes

  No

  N/A

• Is there evidence of appropriate job planning?

  Yes

  No

  N/A

• Is there evidence of audit completion to schedule?

  Yes

  No

  N/A

• Is there evidence that project data is recorded or returned on completion?

  Yes

  No

  N/A

9. Contractor Management

• Is there evidence that there are subcontractor and supplier management systems?

  Yes

  No

  N/A

• Is there evidence that subcontractors and suppliers capabilities and resources are evaluated in the tendering process?

  Yes

  No

  N/A

• Is there evidence that all subcontractors carry WorkCover, Public & Product liability insurances?

  Yes

  No

  N/A

• Is there evidence that all subcontractors have the correct qualifications and authorisations to meet task requirements?

  Yes

  No

  N/A

• Is there evidence that all subcontractors performance is monitored including Health, Safety and Environmental measures?

  Yes

  No

  N/A

• Is there evidence of an approved subcontractor and supplier list?

  Yes

  No

  N/A

10. Auditing

• Is there evidence that an audit schedule exists and progress is reviewed?

  Yes

  No

  N/A

• Is there evidence that audits and inspections are documented?

  Yes

  No

  N/A

• Is there evidence that all results and required actions are recorded and followed up?

  Yes

  No

  N/A

• Is there evidence that the management team review audit outcomes?

  Yes

  No

  N/A

• Is there evidence of the competency of auditors?

  Yes

  No

  N/A

• Is there evidence that systems have been externally audited?

  Yes

  No

  N/A

11. Incident and Emergency Management

• Is there evidence of incident and reporting systems?

  Yes

  No

  N/A

• Is there evidence of incident investigation processes?

  Yes

  No

  N/A

• Is there evidence of first aid systems e.g. trained first aiders, appropriate first aid equipment and facilities?

  Yes

  No

  N/A

• Is there evidence that where required incidents are notified to appropriate external authorities?

  Yes

  No

  N/A

• Is there evidence of emergency plans and procedures that are accessible to all personnel?

  Yes

  No

  N/A

• Is there evidence that employees are aware of their roles and responsibilities in an emergency?

  Yes

  No

  N/A

• Is there evidence of documented emergency drills and exercises?

  Yes

  No

  N/A

• Is there evidence that clear emergency responsibilities have been outlined & assigned?

  Yes

  No

  N/A

12. Reporting and Performance

• Is there evidence that business KPIs including Health, Safety and Environmental items are set and that KPIs are monitored?

  Yes

  No

  N/A

• Is there evidence of KPIs being included in management performance measures?

  Yes

  No

  N/A

• Do review statistics provided include audit results, action items, lot time injuries, environmental & vehicle incidents, mandatory training, penalties and damage to property or equipment?

  Yes

  No

  N/A

• Is there evidence that statistics are analysed, trends identified and follow up actions completed?

  Yes

  No

  N/A

• Is there evidence of a customer complaints process?

  Yes

  No

  N/A

• Is there evidence that employees are aware of the organisations business performance?

  Yes

  No

  N/A

13. Plant, Equipment, Goods and Materials

• Is there evidence that plant, equipment, goods and materials are appropriate for the task?

  Yes

  No

  N/A

• Is there evidence that plant, equipment, goods and materials are evaluated for Health, Safety and Environmental risks prior to purchase?

  Yes

  No

  N/A

• Is there evidence that plant & equipment is tested, inspected, labelled and a register kept?

  Yes

  No

  N/A

• Is there evidence that unsafe plant & equipment is identified and withdrawn from service?

  Yes

  No

  N/A

• Is there evidence that PPE is available for identified work practices, plant, equipment, goods and materials and condition audited where appropriate?

  Yes

  No

  N/A

• Is there evidence that reference manuals and guidance notes are available?

  Yes

  No

  N/A

• Is there evidence that maintenance records exist and test results are actioned as required?

  Yes

  No

  N/A

14. Dangerous Goods, Hazardous Materials and Prescribed Waste

• Is there evidence that dangerous goods and hazardous substances are assessed, identified, labelled and stored in accordance with regulations?

  Yes

  No

  N/A

• Is there evidence that MSDSs are available and accessible?

  Yes

  No

  N/A

• Is there evidence that training and information for dangerous goods, hazardous materials and prescribed waste is provided to employees and contractors?

  Yes

  No

  N/A

• Is there evidence of industry specific items being identified, assessed and communicated e.g. PCB, timber preservative, lubricants, pesticides, SF6

  Yes

  No

  N/A

15. Workers Compensation

• Is there evidence of workers compensation insurance

  Yes

  No

  N/A

• Is there evidence of an injury management system and early intervention strategies?

  Yes

  No

  N/A

• Is there evidence of a claims management system including interface with the insurer and rehabilitation?

  Yes

  No

  N/A

16. Health

• IS there evidence of identification and control of health and hygeine issues?

  Yes

  No

  N/A

• Is there evidence of health assessments and medical examinations being completed where required?

  Yes

  No

  N/A

• Is there evidence of an employee assistance program?

  Yes

  No

  N/A

17. Environment

• Is there evidence that environmental aspects & impacts have been identified and evaluated?

  Yes

  No

  N/A

• Is there evidence the company has clearly defined roles and responsibilities for environmental management, including field staff?

  Yes

  No

  N/A

• Is there evidence of current environmental permits or licences, as appropriate, to undertake contracted services e.g. waste transport permitting, EPA licensing, etc?

  Yes

  No

  N/A

• Does the business have standard operating procedures or work instructions to maintain control over environmental impacts?

  Yes

  No

  N/A

• Do the operating procedures address the highest priority environmental impacts?

  Yes

  No

  N/A

• Are the operating procedures regularly updated to incorporate changes including changes to plant and machinery, changes in process and work methods, changes in materials used and organisational changes?

  Yes

  No

  N/A

• Are the procedures accessible and used by relevant personnel?

  Yes

  No

  N/A

• Are there approvals from local councils or the DPI for native vegetation works or works impacting cultural heritage?

  Yes

  No

  N/A

• Comments

• Overall Audit Rating

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  • 1
  • 1.5
  • 2
  • 2.5
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  • 3.5
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  • 4.5
  • 5
  • 5.5
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  • 6.5
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  • 7.5
  • 8
  • 8.5
  • 9
  • 9.5
  • 10