WGC Internal Audit: Safety Office/Department Audit

• Conducted on

  Date

• Audit No.

• Audit Title

• Auditor

• Auditee

Standard, Purpose and Scope

• Standard: NAM CARs 135, 145, Operator SMS Manual

• Purpose: To ensure operator have implemented a functioning SMS.

• Scope: Safety Office

1 Manuals and documentation

• 1.1 Does the organization have a SMS manual?

  Yes

  No

  N/A

• 1.1.1 Is the SMS manual approved/accepted by the DCA?

  Yes

  No

  N/A

• 1.1.2 Does the SMS manual cover the 4 basic components of an SMS: Safety Policy, Risk Management, Safety Assurance and Safety Promotion?

  Yes

  No

  N/A

• 1.1.3 Does the SMS manual have organigram detailing the reporting lines of the safety officer directly to the accountable manager.

  Yes

  No

  N/A

• 1.1.4 Is the SMS manual a controlled document and is it up to date?

  Yes

  No

  N/A

• 1.1.5 Is there a distribution list for the SMS manual?

  Yes

  No

  N/A

• 1.1.6 Does the organization have a safety policy signed by the accountable manager and is it published?

  Yes

  No

  N/A

• 1.1.6.1 Does the safety policy promote a positive safety culture?

  Yes

  No

  N/A

• 1.2 Does the organization have a Emergency Response Plan (ERP)?

  Yes

  No

  N/A

• 1.2.1 Is the ERP a controlled document?

  Yes

  No

  N/A

• 1.2.2 Is the ERP regularly updated?

  Yes

  No

  N/A

• 1.2.3 Is there a distribution list for the ERP?

  Yes

  No

  N/A

• 1.2.4 Is the ERP readily available to the principle staff members?

  Yes

  No

  N/A

• 1.2.5 Are regular ERP exercises held?

  Yes

  No

  N/A

Risk Management

• 2.1 Does the staff members report hazards,incidents and/or accidents?

  Yes

  No

  N/A

• 2.1.1 Is there a published list of reportable incidents?

  Yes

  No

  N/A

• 2.1.2 Are reports collected, the data captured and the risks assessments done?

  Yes

  No

  N/A

• 2.1.2.1 Are safety recommendations resulting from hazard and incident reports published and made available to the accountable manager?

  Yes

  No

  N/A

• 2.1.2.2 Are the risk assessments used reduce hazards, incidents and avoid accidents in future?

  Yes

  No

  N/A

• 2.1.2.3 Are open safety recommendations resulting from reports acted upon and closed at a target date?

  Yes

  No

  N/A

Safety Assurance

• 3.1 Does the Safety office conduct regular safety audits?

  Yes

  No

  N/A

• 3.1.1 Did audits produce any findings?

  Yes

  No

  N/A

• 3.1.1.1 Were corrective actions requests issued and returned with feedback?

  Yes

  No

  N/A

• 3.1.1.2 Are the corrective action requests tracked and closed on time?

  Yes

  No

  N/A

• 3.1.1.3 Are records kept of all adit reports, findings and corrective actions?

  Yes

  No

  N/A

• 3.1.2 Are the results of the audits published and discussed with the accountable manager?

  Yes

  No

  N/A

• 3.1.3 Does the organization have a safety board?

  Yes

  No

  N/A

• 3.1.3.1 Does the safety board meet regularly and are minutes kept of the meetings?

  Yes

  No

  N/A

Safety Promotion

• 4.1 Is safety promoted in the organization?

  Yes

  No

  N/A

• 4.1.1 Is there a positive safety culture in the organization?

  Yes

  No

  N/A

• 4.1.2 Is safety reports, statistics, findings and risk mitigation published?

  Yes

  No

  N/A

• 4.1.3 Are employees given safety training?

  Yes

  No

  N/A

• 4.1.4 Are safety actively promoted by management?

  Yes

  No

  N/A

• 4.1.5. Are safety meetings regularly held and are minutes kept of the meetings?

  Yes

  No

  N/A

Implementation

• 5.1 Are occurrence report forms readily available?

  Yes

  No

  N/A

• 5.2 Are fire extinguishers and first aid kits available and maintained in workshops and offices?

  Yes

  No

  N/A

• 5.3 Where applicable is the required PPE available and the use PPE enforced?

  Yes

  No

  N/A

General Observations and Recommendations

• Observations

• Recommendations

Acceptance

• Auditor Signature

  Sign

• Auditee Signature

  Sign