NOSA CMB 253 Audit checklist

• Site conducted

  Select

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

5.1 Leadership and Commitment (Responsibility of Senior Executive(s)) (4.4.1.1)

• Appointment for Plant Management team

  Yes

  No

  N/A

• VFL done by the Management and other team members

  Yes

  No

  N/A

• Management is to actively be involved to protect and improve performance, support the HSE system, and partake in HSE activities, such as HSE meetings, safety days, investigations (where applicable), risk assessments, simulations, drills and exercises

  Yes

  No

  N/A

• Are resources needed for the HSE system implementation and Management provided

  Yes

  No

  N/A

5.2 HSE and Other Policies (4.2)

• Is there an HSE policy signed by the Top Manager or Senior Executive?

  Yes

  No

  N/A

• Is the HSE policy displayed in the work area?

  Yes

  No

  N/A

• Have employees acknowledged and are of the contents of the HSE policy? Communicated to all employees?

  Yes

  No

  N/A

Organisational, HSE Roles, Responsibilities and Authorities

• Are applicable appointments in place . Made in writing and still within the 3 year approval period?

  Yes

  No

  N/A

• Appointments considered by the NOSA Management System include, but are not necessarily limited to: o

  Yes

  No

  N/A

• HSE representatives o

  Yes

  No

  N/A

• HSE committee members o

  Yes

  No

  N/A

• Emergency coordinators o

  Yes

  No

  N/A

• Emergency team members o

  Yes

  No

  N/A

• HSE coordinators o

  Yes

  No

  N/A

• Hazardous chemical substances (HCS) co ordinator o

  Yes

  No

  N/A

• Occupational health medical practitioner o

  Yes

  No

  N/A

• Occupational health nursing practitioner o

  Yes

  No

  N/A

• First aider(s) o

  Yes

  No

  N/A

• Person responsible for plant and machinery o

  Yes

  No

  N/A

• Incident investigators o

  Yes

  No

  N/A

• Stacking supervisor o

  Yes

  No

  N/A

• Ladder inspector o

  Yes

  No

  N/A

• Scaffolding inspector o

  Yes

  No

  N/A

• Lifting equipment inspector o

  Yes

  No

  N/A

• Pressurised equipment inspectors o

  Yes

  No

  N/A

• Portable electrical equipment inspectors o

  Yes

  No

  N/A

• Classified equipment/electrical inspector

  Yes

  No

  N/A

5.3.2 HSE Representatives (4.4.1.3)

• Sufficient HSE nominated and appointed?

  Yes

  No

  N/A

• Names of elected representatives are to be circulated/displayed

  Yes

  No

  N/A

• All HSE representatives are to undergo an HSE representative inspection course

  Yes

  No

  N/A

• Do SHE reps conduct inspections? Are action being addressed?

  Yes

  No

  N/A

• Do they participate in SHE rep meetings?

  Yes

  No

  N/A

5.4 Consultation and Participation of Workers and Affected Parties (Contractors, Service Providers, etc.), Including Committees, Small Group Activities, etc. (4.4.3.4)

• Is there a SHE committee ? Or a forum to discuss HSE related issues?

  Yes

  No

  N/A

• Are members appointed?

  Yes

  No

  N/A

• Are meeting being held?

  Yes

  No

  N/A

• Do SHE reps participate in these meetings?

  Yes

  No

  N/A

HSE Risk and Impact Assessment (4.3.1)

• Is there a system to identify and assess risks and impacts ? To include Occupational, Fire, Process and Environmental Risks and Impacts?

  Yes

  No

  N/A

• Is there a system to manage risks associated with Change ?

  Yes

  No

  N/A

• Are Risk assessments kept in file? To include Take5 and GTAs?

  Yes

  No

  N/A

• Are Quarterly Risk Reviews being done?

  Yes

  No

  N/A

• Are there any studies or surveys done? Hygiene etc

  Yes

  No

  N/A

• Are there any Artifical Intelligence risks identified? How are they Managed?

  Yes

  No

  N/A

6.1.2 Legal and Other Requirements (4.3.2)

• A system is to be in place to identify HSE legal and other requirements, linked to identified HSE hazards/risks, aspect/impacts, and communication thereof

  Yes

  No

  N/A

• The organisation must be able to demonstrate how identified requirements are applied, implemented and complied with

  Yes

  No

  N/A

• Applicable HSE permits, certificates, authorisations are to be available, valid and complied with

  Yes

  No

  N/A

6.2 HSE Objectives: Setting and Achievement (4.3.3)

• Have Objectives and Targets been set?

  Yes

  No

  N/A

• Objectives are to be set at appropriate levels within the organisation

  Yes

  No

  N/A

• Objectives and targets are to be specific and measurable, where applicable

  Yes

  No

  N/A

• A documented programme/plan is to be established that indicates how objectives are to be achieved (what, who, when and how to be evaluated)

  Yes

  No

  N/A

• A system is to be established to track the achievement of objectives against set indicators

  Yes

  No

  N/A

Training and Competency (4.4.2.1)

• The organisation is to establish, implement and maintain a training system

  Yes

  No

  N/A

• Is there a training matrix for the department? Are trainings being done accordingly? Is the training matrix signed by HOD?

  Yes

  No

  N/A

• How are training needs identified?

  Yes

  No

  N/A

• Is there a trining schedule for the identified trainings?

  Yes

  No

  N/A

• Are employees trained to perfomr their tasks safely?

  Yes

  No

  N/A

7.2 Awareness, Induction and Promotion (4.4.2.2)

• HSE awareness needs are to be identified

  Yes

  No

  N/A

• Workers are to be made aware of HSE policy and the risks/environmental impacts that are relevant to their work area and activities, HSE and other policies, HSE objectives, and relevant HSE performance indicators and actions

  Yes

  No

  N/A

• Are there any General Inductions and Plant Specific Inductions done?

  Yes

  No

  N/A

7.3 Communication: Internal and external

• Is there a system for Internal and External Communications?

  Yes

  No

  N/A

• Does the system identify : The type of communication (posting, letter, e mail, verbal, etc) What (content) and when to communicate (frequency, etc) To which recipients – within the organisation, to contractors and visitors, as well as identified interested parties

  Yes

  No

  N/A

• Inhouse HSE communication methods are to be established and made available, such as a company bulletin that contains HSE articles, mail groups and annual reports

  Yes

  No

  N/A

• Are HSE communications being done eg. Small groups or toolbox talks ?

  Yes

  No

  N/A

7.3.2 Reference Resources (4.4.3.2)

• Magazines, articles, or related information on HSE, is to be communicated/circulated before being placed in the library or stored electronically

  Yes

  No

  N/A

7.3.3 Incident Recall (4.4.3.6)

• Employees are to be made aware of incidents and investigation results (causes and preventive action), applicable to their tasks/areas

  Yes

  No

  N/A

• All previous HSE incidents are to be reviewed (including trends on nearmiss incidents)

  Yes

  No

  N/A

7.4 System Documentation

• Identification and description (indicating document title, date of creation, author, owner or reference number(s)) of the documentation. •

  Yes

  No

  N/A

• Format (for example, software type, version thereof, graphics) and printed or electronic media (that is, paper or electronic) of the documentation. •

  Yes

  No

  N/A

• Review requirements (general and review after change/incidents/approval for suitability and adequacy) of the documentation

  Yes

  No

  N/A

• The organisation is to establish, implement and maintain a system the for control of documents

  Yes

  No

  N/A

• The organisation is to establish and maintain a system for protection and retention of all documents, data or information

  Yes

  No

  N/A

Operational Planning and Control

• A preventative maintence plan or system in place for Structures, Buildings and other facilities

  Yes

  No

  N/A

• Are inspections done as per schedule e.g Monthly EHS inspection?

  Yes

  No

  N/A

• Are deviations reported and corrected?

  Yes

  No

  N/A

8.1.2 Illumination: Natural and Artificial (4.4.6.2)

• Lighting, including emergency lighting, as required by risk and legal requirements, is provided?

  Yes

  No

  N/A

• All bulbs/tubes/LEDs are to be in good working order

  Yes

  No

  N/A

• Emergency routes and exit signs are to be illuminated

  Yes

  No

  N/A

• Appropriate lighting and mirrors are to be provided to ensure workers can see and equipment can be seen

  Yes

  No

  N/A

• Vehicle illumination/visibility requirements are to be identified and complied with

  Yes

  No

  N/A

8.1.3 Ventilation: Natural and Artificial (4.4.6.3)

• Ventilation systems provided? Where possible use natural ventilation

  Yes

  No

  N/A

• Ventilation systems are to be included in the plant maintenance programme. Inspectiosn being done?

  Yes

  No

  N/A

• Air quality is to be monitored to prevent exposure to bacteria or other pathogenic organisms. E.g Ventilation surveys

  Yes

  No

  N/A

8.1.4 Sanitation, Plant Hygiene, Amenities for Personal Hygiene (4.4.6.4)

• Are toilets provided in the workplace, for both male and female?

  Yes

  No

  N/A

• Are they in good and hygienic conditions?

  Yes

  No

  N/A

• Kitchen and canteens are to be clean and vermin free

  Yes

  No

  N/A

8.1.5 Pollution, Degradation and Rehabilitation (4.4.6.5)

• Monitoring programmes are to be established to track compliance on pollution prevention and related controls

  Yes

  No

  N/A

• Appropriate spillcontainment equipment is to be provided and maintained at all times and with ready, effective access thereto

  Yes

  No

  N/A

• Due consideration is to be given to the potential degradation of the environment, including those relating to loss or adverse alteration of habitat; loss of species; loss or adverse alteration of biodiversity; loss of amenity to a community; contribution to global warming and climate change; depletion of nonrenewable resources, etc

  Yes

  No

  N/A

• Greenhouse gas emission are to be monitored, recorded and reported as required, and action is to be taken to reduce where feasible

  Yes

  No

  N/A

• All areas requiring rehabilitation are to be identified

  Yes

  No

  N/A

• Rehabilitation programmes are to be authorised by management and authorities (if required)

  Yes

  No

  N/A

8.1.6 Thoroughfare and Access (4.4.6.6)

• Demarcation requirements are to be adhered to

  Yes

  No

  N/A

• Barricading is provided to restrict access to hazardous areas (excavations, restricted, close clearance, confined spaces, where working at height or highrisk tasks warrant it)

  Yes

  No

  N/A

8.1.7 Stacking and Storage (4.4.6.7)

• Stacks are to be correctly erected, as per standards

  Yes

  No

  N/A

• Stacks are to be erected and broken down under supervision and according to standards

  Yes

  No

  N/A

• Maximum load capacity (safe working load (SWL)/working load limit (WLL)) is to be displayed for racking systems

  Yes

  No

  N/A

• Periodic inspections of racking are to be undertaken by competent person(s) and be recorded

  Yes

  No

  N/A

8.1.8 Housekeeping (4.4.6.8)

• The yard and factory are to be included in periodic inspections and corrective action taken if required

  Yes

  No

  N/A

• All work stations are to be kept tidy

  Yes

  No

  N/A

8.1.9 Waste Management (4.4.6.9)

• Waste seperated? Waste bins provided as per waste type?

  Yes

  No

  N/A

• Approved recycling companies are to be used and wastedisposal records obtained

  Yes

  No

  N/A

• Waste receptacles are to be in sound condition and corrosion free

  Yes

  No

  N/A

8.1.10 Colour Coding: Plant, Equipment and Pipelines (4.4.6.10)

• Color coding board provided for the area?

  Yes

  No

  N/A

• Color coding adhered to?

  Yes

  No

  N/A

8.1.11 Plant and Equipment Maintenance (4.4.6.11)

• Maintenance Plan inplace for plant and equipment ?

  Yes

  No

  N/A

8.1.12 Machine Guarding (4.4.6.12)

• Identify and minimise/manage risks associated with hazardous moving machine parts

  Yes

  No

  N/A

• Machine guard inspections are to be conducted by appropriately experienced or qualified staff

  Yes

  No

  N/A

8.1.13 LockOut System (4.4.6.13)

• Written Lock out system in place? Test the effectiveness

  Yes

  No

  N/A

• The system is to include arrangements for working under live conditions, issuing, authorisation, equipment type, worker competency, cutting and overriding of locks

  Yes

  No

  N/A

• All locks, keys and other devices are to be uniquely labelled and controlled

  Yes

  No

  N/A

• Staff is to be trained on the system

  Yes

  No

  N/A

8.1.14 Labelling and Operation: Electrical Switchgear/Critical Valves (4.4.6.14)

• Electrical installation diagrams are to be available, correct and up to date

  Yes

  No

  N/A

• Piping installation diagrams are to be available, correct and up to date

  Yes

  No

  N/A

• Operational effectiveness is to be verified as part of a planned maintenance system

  Yes

  No

  N/A

8.1.15 Ladders, Elevated Surfaces, Stairways and Scaffolding (4.4.6.15)

• Employees trained ?

  Yes

  No

  N/A

• Inspections available and deviations corrected?

  Yes

  No

  N/A

• Scaffolding is to be erected, altered and dismantled according to standards and by competent people

  Yes

  No

  N/A

8.1.16 Lifting Machines and Associated Tackle (4.4.6.16)

• All lifting machines/tackle on site are to be considered and covered in the register

  Yes

  No

  N/A

• All lifting machines/tackle are to be inspected and tested by a designated competent person in accordance with standards

  Yes

  No

  N/A

• Where designed with safety latches, these are to be in place and functional

  Yes

  No

  N/A

• All operators and assistants of lifting machines are to be specifically trained and declared competent to operate a particular type of machine (including the use of hand signals)

  Yes

  No

  N/A

• Lifting plans are to be developed and signed, as required

  Yes

  No

  N/A

8.1.17 Pressure Systems and Cylinders (4.4.6.17)

• Ensure HSE risks associated with pressurised systems, equipment, vessels and portable gas containers are identified, assessed and managed

  Yes

  No

  N/A

8.1.18 Hazardous Chemical Substances (4.4.6.18)

• Hazardous Chemical List for all chemicals used?

  Yes

  No

  N/A

• Employee training on handling chemicals?

  Yes

  No

  N/A

• MSDS provided for each chemical?

  Yes

  No

  N/A

• The compatibility of chemicals is to be assessed during normal and abnormal circumstances. Compatibility Chart to be available

  Yes

  No

  N/A

• Chemical and/or flammable material store(s) is to comply with standards

  Yes

  No

  N/A

• Register for Radiation sources? Up to date?

  Yes

  No

  N/A

8.1.19 Motorised Equipment and Occupational Driving (4.4.6.19)

• Drivers/operators are to be issued with a permit/licence for the type of vehicle they are authorised to operate, where applicable

  Yes

  No

  N/A

• Specific checklists are to be available for different types of vehicles/equipment

  Yes

  No

  N/A

8.1.20 Portable Electrical Equipment (4.4.6.20)

• All portable electric equipment/items are to be identified and recorded in a register

  Yes

  No

  N/A

• Regular inspections are to be carried out according to standards and legal requirements. Persons undertaking the inspections are to be competent

  Yes

  No

  N/A

8.1.21 Earth Leakage and Relay Protection (4.4.6.21)

• Inspection, verification and maintenance: o

  Yes

  No

  N/A

• All units are to be identified and recorded in the register. o

  Yes

  No

  N/A

• All units are to be tested at regular intervals (determined by conditions/risk), by a competent person. o

  Yes

  No

  N/A

• Actual trip readings are to be recorded. o

  Yes

  No

  N/A

• Faulty items are to be actioned and retested

  Yes

  No

  N/A

8.1.23 Hand Tools and Equipment (4.4.6.23)

• All hand tools are to be in good order. Check the inspection or register

  Yes

  No

  N/A

• Defective tools/equipment are to be identified, removed/isolated, repaired and/or destroyed

  Yes

  No

  N/A

8.1.24 Ergonomics (4.4.6.24)

• Ergonomics risks identified?

  Yes

  No

  N/A

• Employees trained on manual handling?

  Yes

  No

  N/A

• Ergonomics survey done and actions addressed?

  Yes

  No

  N/A

8.1.25 Personal Protective Equipment (4.4.6.25)

• PPE requirements are to be identified and be appropriate to the hazard and risk, as last resort

  Yes

  No

  N/A

• Records kept of all issued personal protective equipment

  Yes

  No

  N/A

• PPE is to be worn and used correctly, according to standards and specifications. Documented proof of training on maintenance, use, cleaning, storage, replacement and disposal is to be maintained

  Yes

  No

  N/A

8.1.26 Notices and Signs: Electrical, Mechanical, Protective Equipment, Traffic, Symbolic (4.4.6.26)

• Standardised signs/notices are to be posted. Must be visible

  Yes

  No

  N/A

8.1.28 Critical Control Management

• High Risk Tasks ad Controls in place?

  Yes

  No

  N/A

• Critical controls are to be identified (acts, objects and technological systems – or a combination of acts and objects)

  Yes

  No

  N/A

• Critical controls are to be implemented and monitored

  Yes

  No

  N/A

8.1.30 Permit System (4.4.6.29)

• A system (written procedure) is to be available and updated

  Yes

  No

  N/A

• The system is to include arrangements for competence and authority for issuing, acceptance, renewal and clearance of permits to work

  Yes

  No

  N/A

8.1.31 Confined, CloseClearance and Restricted Spaces (4.4.6.32)

• The organisation is to establish, implement and maintain a system for confined, enclosed, close clearance and restricted space/area entry

  Yes

  No

  N/A

8.1.32 Working at Height/Elevated Positions (4.4.6.33)

• The organisation is to establish, implement and maintain a system for working at height and elevated positions

  Yes

  No

  N/A

8.1.33 Trenching and Excavation (4.4.6.34)

• Trenching and excavation system requirements are to be identified and plan(s)/system(s) developed

  Yes

  No

  N/A

8.1.34 Management of Change and Design (4.4.6.28)

• The organisation is to develop, implement and maintain a system for the management of change

  Yes

  No

  N/A

• Identification and assessment of HSE risks and impacts associated with all new developments/projects/organisational/system changes

  Yes

  No

  N/A

8.1.35 Procurement: Contractor/Supplier/Provider Control (including Outsourcing) (4.4.6.29)

• A contractor/supplier control system is to be defined, implemented and maintained

  Yes

  No

  N/A

• Formal induction training is to be provided and includes all relevant HSE areas

  Yes

  No

  N/A

Emergency Preparedness and Response

• Development and documentation of related HSE emergency plans

  Yes

  No

  N/A

• Emergency response teams are to be established and appointed in relation to identified risk

  Yes

  No

  N/A

• Emergency drill/tests: o

  Yes

  No

  N/A

• Emergency drills/fire drills/testing are to be planned and executed o

  Yes

  No

  N/A

• Each emergency/fireteam member is to participate in regular drills/tests o

  Yes

  No

  N/A

• Effectiveness of drills/tests is to be assessed

  Yes

  No

  N/A

• Firstaid boxes/facilities and names of first aiders are to be clearly indicated by signs

  Yes

  No

  N/A

• First aiders are to be trained on specific firstaid treatment associated with plantspecific hazards

  Yes

  No

  N/A

• Firstaid boxes are to be inspected periodically, and restocked when required

  Yes

  No

  N/A

• Alarms are to be audible in all areas

  Yes

  No

  N/A

• A system is to be in place to enable lone workers to raise the alarm for emergency purposes

  Yes

  No

  N/A

• Fire breaks are to be maintained

  Yes

  No

  N/A

• Emergency equipment is to be unobstructed and accessible

  Yes

  No

  N/A

• All firefighting/emergency equipment is to be recorded in a register, clearly identifying location, type and capacity

  Yes

  No

  N/A

8.2.8 Security System (4.4.7.6)

• A security checkpoint for pedestrian and vehicular access to the premises is to be in place, as applicable

  Yes

  No

  N/A

• The HSE competency of security staff is to be confirmed and training given, when necessary

  Yes

  No

  N/A

PERFORMANCE EVALUATION (C)

• The organisation is to establish, implement and maintain a system for HSE monitoring

  Yes

  No

  N/A

• A system is to be established to implement, conduct and maintain evidence of periodic evaluation of compliance with applicable legal and other requirements. •

  Yes

  No

  N/A

• A documented arrangement (schedule) is to be in place for legalcompliance audits, indicating frequency

  Yes

  No

  N/A

9.3 Resource Conservation (4.5.1.1)

• Ensure the consumption of natural resources is optimised

  Yes

  No

  N/A

9.4 Medical Services (4.5.1.5)

• Appointments and licences for Medical Practitioners &/or Nurses/Service providers

  Yes

  No

  N/A

• Annual medical Surveillence done to all employees Baseline medical examinations are to be performed as per required standards on all workers

  Yes

  No

  N/A

• Valid Clinic licence

  Yes

  No

  N/A

• Occupational health (OH) facilities and services are to be provided according to risk MAN JOB SPECS in use

  Yes

  No

  N/A

• Medical equipment is to be maintained, serviced and calibrated as part of maintenance plan

  Yes

  No

  N/A

• Pressure gauges and flow meters on medical oxygen are to be in good working order

  Yes

  No

  N/A

• Medication is to be issued, controlled and checked in accordance with legislation/standards

  Yes

  No

  N/A

• Exit medical examinations are to be undertaken for all workers

  Yes

  No

  N/A

• Certification of fitness to work is to be generated, where required

  Yes

  No

  N/A

• Medical Waste Managed accordingly

  Yes

  No

  N/A

9.6 HighRisk Task Observations (4.5.1.7)

• Planned Task observations (PTOs) are being carried out:

  Yes

  No

  N/A

• List of High risk tasks and schedule of PTOs in place

  Yes

  No

  N/A

9.7 Internal Audit (4.5.5)

• The organisation is to implement a system to conduct planned internal audits, at intervals

  Yes

  No

  N/A

• Follow up to check progress on corrective action o

  Yes

  No

  N/A

• Verify effectiveness of actions and closure

  Yes

  No

  N/A

9.8 Management System Review (4.6.1)

• Management is to review the HSE Management System to ensure its continuing suitability, adequacy and effectiveness at appropriate, pre determined intervals

  Yes

  No

  N/A

• Outputs from management are to be made available to workers and their representatives for communication and consultation

  Yes

  No

  N/A

HSE Incident, NonConformity, Preventive and Corrective Action

• Is there a system to establish, implement and maintain the investigation and analysis of incidents and their records

  Yes

  No

  N/A

• Off the job HSE incidents are to be reported and communicated to workers

  Yes

  No

  N/A

• Suggestions received are recorded and subjected to feedback and recognition

  Yes

  No

  N/A

• HSE performance experience is to be displayed as per NOSA requirements

  Yes

  No

  N/A

• Compilation and recording of statistics are to be in line with classification and identification of incidents as per AUDP11

  Yes

  No

  N/A

• Identify the cost of HSE risk liability cover, and other losses

  Yes

  No

  N/A