Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Documentation Requirements - General
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Has the organisation documented its H&S and Environmental management system?<br>
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Does the documentation include the scope of the management systems?<br>
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documented procedures and records required by 18001 and 14001?
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Does the organisation have an environmental policy that satisfies 14001 requirements?
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Does the organisation have a Health and Safety policy that satisfies 18001 requirements?
Control of Documents
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Are all documents required by the management system controlled?<br>
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to ensure that changes and the current revision status of documents are identified?<br>
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to ensure that relevant versions of applicable documents are available at points of use?<br>L
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to ensure that documents of external origin are identified and their distribution controlled?<br>
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to prevent the unintended use of obsolete documents?<br>
Legal and other requirements
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Has the organisation identified applicable HS and Environmental legislation?<br>
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Does the organisation have a system for identifying new and changes to legislation?<br>
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Are relevant versions of applicable regulations available at points of use?<br>
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Does the audit programme include legal compliance?<br>
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Is action taken where legal and other requirements are found not to be complied with?
Control of Records
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Have records been established to provide evidence of conformity and effective operation of the management system?<br>
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Has a documented procedure been established to define the following controls?
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Storage of records?<br>
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Protection of records?<br>
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Retrieval of records?<br>
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retention time of records?<br>
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Are records readily identifiable?<br>
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Are records readily retrievable?<br>
H&S Risk Assessments
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Are OHSAS Risks Assessments up to date and cover all applicable activities and chemicals?
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Are Risks reviewed and considered in order to establish Safe Systems of Work?
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Are Risk Assessments reviewed and update as a result of accidents, near misses and changes?
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Are Hazards and risks communicated to relevant employees?
Environmental Aspects and Impacts
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Has the organisation concluded an Aspects and Impacts Assessment?
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Has actions resulting from the Aspects and Impacts Assessment been determined?
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Are Objectives and Targets aligned to significant impacts?
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Are Aspects and Impact reviewed for suitability at regular intervals?
Roles, Responsibilities and Authorities
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Has roles, responsibilities and authorities been determined and documented?
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Do roles, responsibilities and authorities cover quality, environmental and OH&S?
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Have top management nominated a representative for OH&S and EMS?
Competence, Awareness & Training
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Has the organisation determined the necessary competence for personnel?<br>
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where applicable, provided training or taken other actions to achieve the necessary competence?<br>
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evaluated the effectiveness of the actions taken?<br>
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maintained appropriate records of education, training, skills and experience?<br>
Objectives and programmes
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Has the organization determined, provided and maintained the infrastructure needed to achieve conformity to product requirements?<br>
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Does this infrastructure include, as applicable buildings, workspace and associated utilities?<br>
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process equipment (both hardware and software)?<br>
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supporting services (such as transport, communication or information systems)?<br>
Operational Controls?
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Has the organization determined and documented its environmental controls?<br>
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Are statutory and regulatory requirements understood and appropriately controlled?<br>
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Are Risk Assessments and method statements available for site work?<br>
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Are supplier contracts and applicable PI and PL insurances checked periodically?<br>
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Are visitor and subcontractor controls operated to ensure H&S and Environmental policy and procedures are complied with?<br>
Communication, participation and consultation
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Are appropriate system in place to communicate H&S and Environmental policies and procedures?
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Does these systems include communication with suppliers and contractors?
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Are appropriate systems in place for employee consultation? <br><br><br><br>
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Are records of communication and consultation maintained?
Emergency preparedness and response
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Has the organisation established, implemented and maintains procedures for identifying and responding to emergency situations?<br>
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Are these procedures periodically reviewed for effectiveness?<br>
Internal Auditing
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Does the organization conduct internal audits at planned intervals<br>
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Has an audit programme been planned, taking into consideration the status and importance of the processes and areas to be audited,<br>
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Have the audit criteria, scope, frequency and methods been be defined?<br>
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Does the audit programme ensure that auditors shall not audit their own work?<br>
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Are records of the audits and their results maintained (see 4.2.4)?<br>
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Does the management responsible for the area being audited ensure that any necessary corrections and corrective actions are taken without undue delay to eliminate detected nonconformities and their causes?
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Do follow-up activities include the verification of the actions taken and the reporting of verification results (see 8.5.2)?<br>
Management Review
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Does the input to management review include information on results of audits?<br>
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follow-up actions from previous management reviews?<br>
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policy, objectives and the extent these are being met?<br>
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communication and participation?<br>
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status of preventive and corrective actions?<br>
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Review of current and future legislation and legal compliance?
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changes that could affect the management systems?<br>
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resources?
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recommendations for improvement?<br><br><br><br><br><br><br>
Performance measurement and monitoring
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Does the organization apply suitable methods for monitoring and, where applicable, measurement of the management system processes?<br>
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Do these methods demonstrate the ability of the processes to achieve planned results?<br>
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When planned results are not achieved, is correction and corrective action taken, as appropriate?<br>
Incident investigation
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Does the organisation have procedures that demonstrate that H&S and Environmental incidents are investigated, analysed and recorded?<br>
Nonconformity, corrective and preventive action
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Has a documented procedure been established to define requirements for reviewing nonconformities (including customer complaints)?<br>
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Does the organization take action to eliminate the causes of nonconformities in order to prevent recurrence?<br>
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Are corrective actions appropriate to the effects of the nonconformities encountered?<br>
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Are preventive actions appropriate to the effects of the potential problems?<br>
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Has a documented procedure been established to define requirements for reviewing nonconformities (including customer complaints)?<br>
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determining the causes of nonconformities?<br>
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evaluating the need for action to ensure that nonconformities do not recur?<br>
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evaluating the need for action to prevent occurrence of nonconformities?<br>
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determining and implementing action needed?<br>
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records of the results of action taken (see 4.2.4)?<br>
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reviewing the effectiveness of the corrective action taken?<br><br><br><br><br><br>
