Information

  • Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

Scope of Audit

  • Comments:

Opening Meeting

  • Complete attendance register

  • Objectives of the audit. - Not to reject the system - re-currency may point to system failure -can't cover all aspects. -where no non-conformance detected does not mean non exist.

  • Review of audit programme:

  • Company representative:

  • Function of company representative:

  • Time of closing meeting:

  • Confidentiality:

  • Reasons for aborting audit:

  • Scoring

  • Audit scoring legend: 0 = Not addressed at all 1 = No evidence of effective application (even if implemented) 2 = Implemented/partly implemented 3 = implemented not effectively applied 4 = fully implemented and effectively applied

  • Clarification of findings: 0 = Red (no) - system deficiency -action plan approved and monitor by SHEQ department. 1 = Red (no) - Finding - ( < 5 requires action plan) 2 = Red (no) - Finding 3 = Red (no) - observation 4 = green (yes) - conforming - no finding

  • Invite questions:

  • Comments

Overview of organization:

  • Comments:

Results of previous audits:

  • Review IA findings

  • Review EA findings

  • Review customer complaints

4. OHS Management System

  • Do the Company /site have a OSH system

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

4.2 The Occupational, Health and Safety Policy

  • Is the Policy appropriate to the nature and scale of the organisations risks?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are adequate and appropriate resources to implement the policy provided?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is OH&S recognised as an integral part of business performance?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there a commitment to continual cost improvement in the OH&S policy?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the management of OH&S a prime responsibility of line managers, from senior executive level to first line supervisors?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the policy communicated to all employees and are employees aware of their individual responsibilities?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the policy available to all interested parties

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the policy and management system reviewed periodically to ensure that it remains relevant and appropriate to the organisation?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.3 Planning (Objectives)

  • Are plans and objectives set for implementation of the OH&S Policy?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there and ongoing programme for risk assessments?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Does the OH&S Policy designate responsibility and authority for achieving objectives?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there sufficient knowledge, skills and experience to manage OH&S issues effectively?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are there operational plans for implementing risk controls?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are arrangements in place for measuring, auditing and reviewing OH&S performance to identify any shortfalls and necessary corrective actions?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are arrangements for implementing corrective actions in place and effective?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.3.1 Risk Assessment (Planning)

  • Is there a risk assessment procedure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a systematic approach followed to identify and assess risks and Impact?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Does a senior member of the organisation promote and manage the risk assessment process?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are cross section of employees and all of the key stakeholders consulted or involved in the risk/impact assessment process?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all risk assessors trained?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Does the risk assessment form conform to nationally or industry agreed format and information content?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are review systems for risk assessments in place in the company?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the risk assessments controlled according to the company's procedure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

Risk Assessment (Detail)

  • Are all work activities classified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all the significant hazards relating to work activities identified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the level of risk correctly assessed for each hazard?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a risk control action plan prepared if necessary?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are risk control action plans reviewed regularly?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.3.2 Legal and other requirements

  • Is all legal requirements identified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is System established to provide access to relevant current legislation?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the employees aware of consequences of non- compliance?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • All legal non-compliance recorded and rectified accordingly?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.3.3 OHS objectives and Targets.

  • Is corporate /site specific objectives and targets established?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is The objectives measurable, practical and consistent with the company policy?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the objectives and targets reviewed and updated at the appropriated levels?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Interested and affected parties afforded the opportunity to comment on the objectives and targets?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action required:

4.3.4 OHS plan

  • Plan established that indicates how objectives and targets are going to be achieved?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Adequate resources available to implement the plan?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Plan developed to operational level?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • System to track achievements of objectives and targets?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Employees informs of progress?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action required:

4.4 Implementation and Operation of System

4.4.1 resources, roles, responsibilities, account abilities and authority

  • Is a member of top management allocated full responsibility for OH&S?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there clear responsibility in the management structure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there clear accountability in the management structure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is there clear delegation of authority in the management structure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are resources allocated as necessary?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all staff aware of their individual responsibilities?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all staff aware of their responsibilities to others?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all staff aware of the consequences of their actions or inaction?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

4.4.2 Competence, training and awareness

  • Is a training, awareness and competence assessment programme in place?<br>Training needs analysis?<br>Training matrix?<br>SHE induction training?<br>SHE awareness training?<br>Task related SHE training?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a retraining and refresher training programme in place?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is employees trained in the safe handling of Hazardous Chemical Substances and spill Management Procedure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are specialist advice/services made available where appropriate?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are employees fully involved and consulted?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is an adequate documentation system in place?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a system in place for ensuring the competence of the trainers and training material comply with legal requirements?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.4.3 Consultation, Participation and Communication

  • Is all legal related reports completed and submitted?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is Hazards and risks communicated before high risks tasks are performed?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is SHE performance information available to all interested and affective parties?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action required:

4.4.4. Document control and record keeping

  • Up to date copies of corporate standards and procedures available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Site specific standards and procedures take cognizance of corporate standards/procedures?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action required:

4.4.5 Control of Documents

  • Is a procedure in place for controlling all documents and data required by the SHE management system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is System periodically reviewed?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are current versions of relevant documents and data available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are obsolete documents and data promptly removed from all points of issue?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Archived documents and data retained for legal or knowledge preservation purpose or both are suitable?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Did the organization ensure that the documents from external origin is determined and identified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

4.4.6 Operational controls

Preventative Maintenance

  • Adequate maintenance systems to ensure to ensure effective operation of plant and equipment?<br><br><br>

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Frequency of maintenance established(Maintenance schedule)

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

Premises and workplace

  • All redundant equipment stored /removed?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • All shelves, cupboards and containers tidy?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Walkways unobstructed. No material protrudes beyond demarcation?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • System in place for safe stacking and storage practices?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

Waste management

  • Suitable containers provided for the various classes of waste generated.

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

4.4.7 Emergency Preparedness and response

  • Do emergency plans evacuate staff, visitors and alert neighbours?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the emergency services alerted?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a senior manager appointed to co-ordinate and liaise with the emergency services?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are procedures and equipment for dealing with emergencies adequate?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the emergency services notified of any special hazards or risks?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are key staff trained for emergency procedures?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is emergency equipment easily accessible positioned?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.5 Checking and corrective action

4.5.1 Performance measurement and monitoring

  • Progressive statistical data- Injury/occupational illness/diseases statistics for current and previous 12 months?<br><br><br>

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Damage statistics for current and previous 12 months?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Environmental statistics for current and previous 12 months?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Non-conformance statistics of progressive year's statistics for comparative purpose<br>

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Statistics consolidated and available in graphic format?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Analysis of statistics

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Statistics categorized and analyzed to identify trends?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • At least a annual report to top management on the incidents statistical analysis(covering identified risks, increase/decrease)

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action required:

4.5.3. Nonconformity, Corrective Action and preventative action

  • Did the organization establish, implement and maintain a corrective and preventative procedure?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Did the organization identify and corrected non-conformities effectivly and address recommendations?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is reactive performance measuring used?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is OH&S performance linked to targets and objectives being met?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Where OH&S performance is not meeting criteria, are the root causes identified and appropriate corrective action taken?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are accidents and incidents investigated and any corrective or preventative action taken?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are OH&S compliance, review and audit records kept?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

4.5.5 Internal Auditing

  • Is a documented procedure available to conduct internal audits?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are regular period audits of the OH&S management system undertaken?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are staff undertaking audits trained and competent to perform task?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are auditors independent from the activity being audited?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Do audits verify that the organisation is meeting its OH&S obligations?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Do audits identify strengths and weaknesses in the OH&S system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Do audits verify that the organisation is meeting its OH&S performance targets?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the audit results communicated to all relevant personnel?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are audit results used as the basis for corrective action?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are audit results monitored to ensure OH&S improvement (i.e. there are no repetitions or failures revealed by pervious reports)?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a action plan and follow up audit recorded.

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

Management Review

  • Does top management periodically review the OH&S management system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers the adequacy, effectiveness and suitability of the OH&S system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers the adequacy of the OH&S policy and objectives?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers the overall performance of the OH&S management system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review is documented?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers the findings of audits?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers internal factors affecting OH&S management?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • The review considers external factors affecting OH&S management?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a procedure in place for the review of the SHE management system?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • New or revised OH&S objectives are assigned to either collectively or individual functions of the organisation to ensure a proactive approach to OH&S management?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action Required:

Summary of audit report

  • Summary of audit score:

  • List of non-conformities:

  • List area for improvements

  • List observations:

Corrective actions

  • Proposed corrective action date

Closing Meeting

  • Comments:

Sign off

  • Lead Auditor signature

  • Auditor signature

  • Management representative signature

  • Auditee signature

Recommendations

  • Recommendations:

  • Select date

  • Auditor Signature:

  • Auditor Name:

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.