Title Page
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Conducted on
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Subcontractor/supplier
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Auditees name
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Position
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Observers
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Auditors name
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Location
1 Health and Safety Management
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1.1 Does the Company have an OHS Plan, manual or suitable system?
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1.2 Is the Safety system in accordance with AS/NZS 4801 / OHSAS18001?
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1.3 Is the OHS plan/system current and signed by Management?
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1.4 Are site supervisors aware of the plan/system requirements?
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1.5 Are staff and employees responsibilities defined and understood?
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1.6 Is there access to Codes of Practice and legislation?
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1.7 Are all personnel inducted?
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1.8 Are safety issues communicated to all personnel? (e.g. safety alerts, new hazards)
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1.9 Are methods in place for consultation?
2 Risk Management
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2.1 Have the site activities been identified & risk assessed?
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2.2 Have specific JAs been developed for moderate to high risk activities?
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2.3 Have JAs been developed utilising current Codes and Legislation?
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2.4 Are employee representatives involved in developing JAs?
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2.5 Are the JAs being applied as documented?
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2.6 Are the JAs reviewed regularly?
3 OH&S Control
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3.1 Is there a hazard reporting system in place?
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3.2 Are hazard reports being investigated and corrected?
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3.3 Is there a company disciplinary procedure and is it being followed?
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3.5 Is there a formal accident/incident investigation procedure and is it being followed?
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3.6 Is there evidence of corrective action as a result of investigations?
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3.7 Are there systems for recording and disclosing hazards, incidents and events to Broadspectrum?
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3.8 Are accident statistics and records collated reported to company staff & management, and Broadspectrum?
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3.9 Is there a register of hazardous substances? Are MSDSs available and distributed to employees?
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3.10 Is appropriate PPE issued and recorded?
4 Plant Management
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4.1 Is there a register of all plant?
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4.2 Are inspections performed on plant & equipment?
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4.3 Is there a daily pre-start inspection performed by the operator?
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4.4 Is there a formal maintenance program?
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4.5 Are the qualifications of maintenance personnel available?
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4.6 Is there a register of skills and competence, including copies of competencies and assessments?
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4.7 Is there a register of lifting gear available cross referenced to test certificates?
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4.8 Is there a register of mobile electrical equipment and are testing requirements being met?
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4.9 Is there a register of static plant and other non-electrical equipment and is the equipment regularly inspected?
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4.10 Is there a register of fire extinguishers and adequately supplied to all locations?
5 Subcontractor Management
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5.1 Are there procedures for evaluating the performance of sub-contractors prior to use?
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5.2 Is there a review of subcontractors’ OHS work plans prior to engagement?
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5.3 Is a system in place for ensuring all employees undergo TSL and client induction?
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5.4 Is there evidence for inspection and monitoring of any subcontractors engaged?
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5.5 Is there a system in place to ensure that subcontractors engaged have current and appropriate insurances?
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5.6 Are there records of acceptable subcontractors?
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5.8 Is there a process for ensuring that products / services supplied by subcontractors are of an appropriate quality?
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5.9 Is there a process for dealing with non-conforming products/services supplied by subcontractors?
6 HSE Training
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6.1 Does the Company have an HSE training program / strategy?
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6.2 Are the training records of employees available?
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6.3 Have supervisory staff received formal safety training?
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6.4 Have employees been inducted into the company requirements?
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6.5 Have safety reps received formal training?
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6.6 Are employees attending toolbox talks at the required frequency?
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6.7 Have personnel been trained in the appropriate JAs?
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6.8 Has manual handling training been undertaken?
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6.9 Have personnel using hazardous substances been trained?
7 Environmental Management
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7.1 Does the Company have an Environmental Plan or suitable system? Has it been signed off by the top management?
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7.2 Is the Environmental system in accordance with ISO 14001?
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7.3 Are environmental issues taken into consideration in JAs?
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7.4 Are environmental issues regularly discussed/ communicated in meetings?
8 Quality Management
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8.1 Does the company have a defined and documented Quality Policy?
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Has it been signed off by the top management?
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8.2 Is the quality system in accordance with ISO 9001?
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8.3 Is there a Quality Manager/Representative with the defined authority for;<br>a) Ensuring that a quality system is established, implemented and maintained<br>b) Reporting to management on the adequacy of the quality system.
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8.4 Does the supplier’s management review the quality system at defined intervals?
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8.5 Is there a quality manual that includes or references the quality system procedures and outlines the documentation used in the system?
9 Document Control, Records & Filing
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9.1 Are there documented procedures to control all documents and data required by the quality standard?
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9.2 Are there current issues of instructions available at all locations for the effective functioning of the quality system?
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9.3 Are obsolete documents effectively removed from all points of issue or use?
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9.4 Are quality records maintained in accordance with documented procedures?
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9.5 Are Confidential business & personal information appropriately stored?
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9.6 Is there a system in place to back-up company data on the share drives and staff computers?
10 Inspection/Audits
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10.1 Is there a process to indicate the performance, frequency and recoding of HSE inspections and audits of work activities?
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10.2 Are there requirements detailing monitoring programs for agents such as noise, dust, vibration and other atmospheric contaminants?
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10.3 Are quality audits carried-out in accordance with documented procedures?
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10.4 Are there documented procedures in place for corrective and preventive actions?
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10.5 Is there evidence of prompt completion of quality based corrective and preventive actions after investigations?
11 Measuring Devices
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11.1 Is there a process for identifying & controlling measuring devices requiring calibration?
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11.2 Are calibration records established / maintained for each item?
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11.3 Is a calibration schedule available detailing the calibration date?
12 Identification & Traceability
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12.1 Are products identified by the supplier from receipt and during all stages of production, delivery and installation?
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12.2 Are there Inspection and Test procedures to verify that the specified requirements for the product are met?
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12.3 Are incoming products verified as conforming to specified requirements?
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12.4 Is final inspection carried-out in accordance with a quality plan or documented procedures?
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12.5 Are Inspection and Test Plan records maintained which provide evidence that inspection and test activities have been carried out and the product is acceptable?
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12.6 Are there documented procedures in place for handling, storage, packaging, preservation and delivery?
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12.7 Are product and/or services identified with its inspection and test status?
13 Community Management
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13.1 Has the sub-contractor been inducted in Broadspectrum community management protocols?
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13.2 What does the subcontractor do if approached by a member of the community while working on site?
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13.3 What does the subcontractor do if approached by the media while working on site?
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13.4 Compliance of sub-contractor requirements against site community liaison plan (if relevant)
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13.5 Are customer complaints dealt effectively and promptly?
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13.6 Is there a company continuous improvement program in place?
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13.6a Does the company consult staff for this process?
