Information
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Document No.
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Audit Title
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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
Scope of Audit
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Comments:
Opening Meeting
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Complete attendance register
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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.
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Review of audit programme:
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Company representative:
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Function of company representative:
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Time of closing meeting:
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Confidentiality:
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Reasons for aborting audit:
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Scoring
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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
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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
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Invite questions:
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Comments
Overview of organization:
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Comments:
Results of previous audits:
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Review IA findings
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Review EA findings
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Review customer complaints
4. OHS Management System
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Do the Company /site have a OSH system
4.2 The Occupational, Health and Safety Policy
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Is the Policy appropriate to the nature and scale of the organisations risks?
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Are adequate and appropriate resources to implement the policy provided?
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Is OH&S recognised as an integral part of business performance?
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Is there a commitment to continual cost improvement in the OH&S policy?
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Is the management of OH&S a prime responsibility of line managers, from senior executive level to first line supervisors?
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Is the policy communicated to all employees and are employees aware of their individual responsibilities?
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Is the policy available to all interested parties
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Is the policy and management system reviewed periodically to ensure that it remains relevant and appropriate to the organisation?
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Corrective Action Required:
4.3 Planning (Objectives)
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Are plans and objectives set for implementation of the OH&S Policy?
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Is there and ongoing programme for risk assessments?
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Does the OH&S Policy designate responsibility and authority for achieving objectives?
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Is there sufficient knowledge, skills and experience to manage OH&S issues effectively?
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Are there operational plans for implementing risk controls?
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Are arrangements in place for measuring, auditing and reviewing OH&S performance to identify any shortfalls and necessary corrective actions?
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Are arrangements for implementing corrective actions in place and effective?
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Corrective Action Required:
4.3.1 Risk Assessment (Planning)
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Is there a risk assessment procedure?
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Is a systematic approach followed to identify and assess risks and Impact?
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Does a senior member of the organisation promote and manage the risk assessment process?
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Are cross section of employees and all of the key stakeholders consulted or involved in the risk/impact assessment process?
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Are all risk assessors trained?
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Does the risk assessment form conform to nationally or industry agreed format and information content?
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Are review systems for risk assessments in place in the company?
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Are the risk assessments controlled according to the company's procedure?
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Corrective Action Required:
Risk Assessment (Detail)
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Are all work activities classified?
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Are all the significant hazards relating to work activities identified?
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Is the level of risk correctly assessed for each hazard?
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Is a risk control action plan prepared if necessary?
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Are risk control action plans reviewed regularly?
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Corrective Action Required:
4.3.2 Legal and other requirements
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Is all legal requirements identified?
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Is System established to provide access to relevant current legislation?
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Is the employees aware of consequences of non- compliance?
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All legal non-compliance recorded and rectified accordingly?
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Corrective Action Required:
4.3.3 OHS objectives and Targets.
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Is corporate /site specific objectives and targets established?
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Is The objectives measurable, practical and consistent with the company policy?
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Is the objectives and targets reviewed and updated at the appropriated levels?
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Interested and affected parties afforded the opportunity to comment on the objectives and targets?
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Corrective action required:
4.3.4 OHS plan
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Plan established that indicates how objectives and targets are going to be achieved?
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Adequate resources available to implement the plan?
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Plan developed to operational level?
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System to track achievements of objectives and targets?
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Employees informs of progress?
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Corrective action required:
4.4 Implementation and Operation of System
4.4.1 resources, roles, responsibilities, account abilities and authority
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Is a member of top management allocated full responsibility for OH&S?
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Is there clear responsibility in the management structure?
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Is there clear accountability in the management structure?
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Is there clear delegation of authority in the management structure?
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Are resources allocated as necessary?
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Are all staff aware of their individual responsibilities?
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Are all staff aware of their responsibilities to others?
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Are all staff aware of the consequences of their actions or inaction?
4.4.2 Competence, training and awareness
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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?
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Is a retraining and refresher training programme in place?
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Is employees trained in the safe handling of Hazardous Chemical Substances and spill Management Procedure?
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Are specialist advice/services made available where appropriate?
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Are employees fully involved and consulted?
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Is an adequate documentation system in place?
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Is a system in place for ensuring the competence of the trainers and training material comply with legal requirements?
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Corrective Action Required:
4.4.3 Consultation, Participation and Communication
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Is all legal related reports completed and submitted?
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Is Hazards and risks communicated before high risks tasks are performed?
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Is SHE performance information available to all interested and affective parties?
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Corrective action required:
4.4.4. Document control and record keeping
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Up to date copies of corporate standards and procedures available?
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Site specific standards and procedures take cognizance of corporate standards/procedures?
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Corrective action required:
4.4.5 Control of Documents
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Is a procedure in place for controlling all documents and data required by the SHE management system?
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Is System periodically reviewed?
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Are current versions of relevant documents and data available?
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Are obsolete documents and data promptly removed from all points of issue?
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Archived documents and data retained for legal or knowledge preservation purpose or both are suitable?
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Did the organization ensure that the documents from external origin is determined and identified?
4.4.6 Operational controls
Preventative Maintenance
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Adequate maintenance systems to ensure to ensure effective operation of plant and equipment?<br><br><br>
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Frequency of maintenance established(Maintenance schedule)
Premises and workplace
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All redundant equipment stored /removed?
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All shelves, cupboards and containers tidy?
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Walkways unobstructed. No material protrudes beyond demarcation?
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System in place for safe stacking and storage practices?
Waste management
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Suitable containers provided for the various classes of waste generated.
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4.4.7 Emergency Preparedness and response
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Do emergency plans evacuate staff, visitors and alert neighbours?
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Are the emergency services alerted?
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Is a senior manager appointed to co-ordinate and liaise with the emergency services?
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Are procedures and equipment for dealing with emergencies adequate?
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Are the emergency services notified of any special hazards or risks?
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Are key staff trained for emergency procedures?
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Is emergency equipment easily accessible positioned?
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Corrective Action Required:
4.5 Checking and corrective action
4.5.1 Performance measurement and monitoring
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Progressive statistical data- Injury/occupational illness/diseases statistics for current and previous 12 months?<br><br><br>
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Damage statistics for current and previous 12 months?
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Environmental statistics for current and previous 12 months?
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Non-conformance statistics of progressive year's statistics for comparative purpose<br>
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Statistics consolidated and available in graphic format?
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Analysis of statistics
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Statistics categorized and analyzed to identify trends?
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At least a annual report to top management on the incidents statistical analysis(covering identified risks, increase/decrease)
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Corrective action required:
4.5.3. Nonconformity, Corrective Action and preventative action
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Did the organization establish, implement and maintain a corrective and preventative procedure?
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Did the organization identify and corrected non-conformities effectivly and address recommendations?
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Is reactive performance measuring used?
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Is OH&S performance linked to targets and objectives being met?
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Where OH&S performance is not meeting criteria, are the root causes identified and appropriate corrective action taken?
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Are accidents and incidents investigated and any corrective or preventative action taken?
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Are OH&S compliance, review and audit records kept?
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Corrective Action Required:
4.5.5 Internal Auditing
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Is a documented procedure available to conduct internal audits?
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Are regular period audits of the OH&S management system undertaken?
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Are staff undertaking audits trained and competent to perform task?
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Are auditors independent from the activity being audited?
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Do audits verify that the organisation is meeting its OH&S obligations?
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Do audits identify strengths and weaknesses in the OH&S system?
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Do audits verify that the organisation is meeting its OH&S performance targets?
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Are the audit results communicated to all relevant personnel?
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Are audit results used as the basis for corrective action?
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Are audit results monitored to ensure OH&S improvement (i.e. there are no repetitions or failures revealed by pervious reports)?
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Is a action plan and follow up audit recorded.
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Corrective Action Required:
Management Review
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Does top management periodically review the OH&S management system?
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The review considers the adequacy, effectiveness and suitability of the OH&S system?
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The review considers the adequacy of the OH&S policy and objectives?
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The review considers the overall performance of the OH&S management system?
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The review is documented?
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The review considers the findings of audits?
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The review considers internal factors affecting OH&S management?
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The review considers external factors affecting OH&S management?
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Is a procedure in place for the review of the SHE management system?
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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?
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Corrective Action Required:
Summary of audit report
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Summary of audit score:
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List of non-conformities:
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List area for improvements
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List observations:
Corrective actions
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Proposed corrective action date
Closing Meeting
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Comments:
Sign off
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Lead Auditor signature
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Auditor signature
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Management representative signature
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Auditee signature
Recommendations
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Recommendations:
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Select date
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Auditor Signature:
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Auditor Name:
