COMPANY: ___________________________

HSEQ INTEGRATED MANAGEMENT SYSTEM INTERNAL AUDIT CHECKLIST

Department: ...

Report No:

SNO
1.0 1.1 1.1.1 1.1.2 1.1.3 1.1.4 1.1.5 1.1.6 1.1.7 1.1.8 1.2 1.2.1 1.2.2 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8

AUDIT CRITERIA
MANAGEMENT RESPONSIBILITY
HSEQ POLICY STATEMENT Has the HSEQ Policy been defined and approved by the top management of the organization? Is it appropriate to the nature, scale and HSEQ impacts of the organization activities, products or service Does it include a commitment to customer satisfaction, continual improvement and prevention of pollution? Does it include a commitment to comply with relevant legislation, and with other requirements to which the organization subscribes? Does it provide the framework for setting and reviewing HSEQ objectives and targets? Is it communicated to & understood by all employees? Is it available to the public? Check on the understanding of the policy? MANAGEMENT COMMITMENT Have customer requirements been determined and defined? Is top management commitment evident? Has quality policy been communicated, understood and implemented? Have objectives been established at each relevant function and level within the organization? Are planning / legal requirements defined and identified? Are responsibilities authorities and communication processes defined? Has management representative been appointed? Are management reviews conducted at defined intervals and adequate coverage evident?

RESULT

AUDITORS COMMENT

YES / NO / NA YES / NO / NA

YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA

YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
2.0 2.1 2.1.1 2.1.2 2.1.3 2.1.4 2.1.5 2.1.6 A B C D 2.1.7 2.1.8 2.1.9 2.1.10 2.1.11 2.1.12 2.1.13 2.1.14 2.1.15 2.2 2.2.1 2.2.2 2.2.3 2.2.4

AUDIT CRITERIA
PLANNING ENVIRONMENTAL ASPECTS
Have procedures for identification of environmental aspects and their impacts, been established and are they maintained? Do they identify the environmental aspects of its activities, products or services? Are significant impacts considered in setting environmental objectives? Is this information kept up to date? Is the list of aspects reviewed? Does environmental aspects / impact cover the ff: Pollution and resources use. Controlled (direct) and influenced (indirect).

RESULT

AUDITORS COMMENT

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Past, Present and Future.

Normal; Abnormal; Incident/ Accident/ Emergency Have products and services been considered? Have activities been clearly identified? Have environmental risks been identified? Does evaluation system specify criteria? Have significant aspects been identified? Have all significant aspects been addressed e.g. through objectives and targets, operational control, emergency procedure? Have the obvious significant aspects been captured? Is there a system to keep it up-to-date? Is there a system to review significance following improvement in environmental performance?

OH&S RISKS
Have procedure(s) been established and are they maintained? Check whether all risks associated with processes/ activities/ site have been identified. Conduct site tour to check whether all risks have been identified. Confirm effectiveness of assessment process in identifying significant hazards. YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
2.2.5
A B

AUDIT CRITERIA
Does the hazard identification cover the following:
Mechanical (moving objects, sharps, slips falls) Electrical Dangerous substances Radiation Personnel behaviour Those it can control and those it can influence? Have processes been analyzed for hazards? Have working practices been analyzed for hazards? Have situations been analysed for hazards? Eg Storage of materials, loading/ off loading state of equipment? Have risks been assessed against established criteria? Have they been prioritized? Have all significant risks been addressed eg. through objectives and targets, operational control, emergency procedures? Is there a system to keep it up to date? Is there a system to review significance following improvement in OH & S performance? OBJECTIVES AND TARGETS Are HSEQ Objectives and targets established and maintained at each relevant function and level? Do objectives cover all necessary requirements? Are objectives and targets consistent with the HSEQ Policy including commitment to prevention of pollution? Check on reporting of HSEQ performance and specific performance parameters. Check whether the objectives and targets are quantified. Check that top management receives regular reports about achievement of objectives and targets. Check whether top management approve new objectives Check middle management awareness of objectives. Check whether the policy sets objectives on things such as reduced accidents and risks. Check whether any significant impacts have continual improvement opportunities. Check who has responsibility for achieving continual improvement. Check how the results or benefits of the system are measured. Check whether performance is measured on a site basis, by past performance. Check how the objectives are established and what information is used. Check how, when, who and why review HSEQ objectives.

RESULT
YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

AUDITORS COMMENT

C D E F 2.2.6 2.2.7 2.2.8 2.2.9 2.2.10 2.2.11 2.2.12 2.2.13 2.3 2.3.1 2.3.2 2.3.3 2.3.4 2.3.5 2.3.6 2.3.7 2.3.8 2.3.9 2.3.10 2.3.11 2.3.12 2.3.13 2.3.14 2.3.15 Rev.01

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

F-445 01-07-2003

COMPANY: ___________________________

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
2.4 2.4.1 2.4.2 2.4.3 2.4.4

AUDIT CRITERIA
MANAGEMENT PROGRAMME(S) Have programmes been established for achieving objectives and targets?
Check that the means and timeframes for achieving objectives and target has been determined, and is adhered to, Check that responsibility has been assigned for achieving the set objectives. Check that a documented system is used to maintain and review progress for all objectives and targets. Check that the management program is set up to assess the risks/ aspects of all new developments, new or modified activities and new products and services. Check that people responsible for a selection of the programs fully understand and are in control of their program.

RESULT

AUDITORS COMMENT

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

2.4.5

YES / NO / NA

2.4.6 2.5 2.5.1 2.5.2 2.5.3 3.0 3.1 3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 3.1.7 3.1.8 3.1.9

YES / NO / NA

MANAGEMENT REVIEW
Are management reviews conducted at determined intervals and documented? Are all required agenda items discussed including continual improvement? YES / NO / NA YES / NO / NA YES / NO / NA

Are top management involved?

3.1.10

3.1.11

3.1.12 3.1.13 3.1.14 Rev.01

CHECKING AND CORRECTIVE ACTION MEASUREMENT, ANALYSIS AND IMPROVEMENT Are suitable methods evident for monitoring YES / NO / NA and measurement of processes? Is monitoring and measurement of product YES / NO / NA undertaken? Is non-conforming product identified and YES / NO / NA controlled? Are customer complaints recorded and YES / NO / NA sufficiently minor in nature? Have processes been established for the continual improvement of the quality system? Is analysis of data evident? YES / NO / NA Are corrective actions appropriate? Are preventive actions appropriate? Are records of corrective and preventive action taken, recorded and submitted for management review? Has process been established for obtaining YES / NO / NA and monitoring information and data on customer satisfaction? Are procedures established and maintained YES / NO / NA to monitor and measure key HSEQ characteristics? Is information recorded to track performance YES / NO / NA relevant operational controls and conformance with objectives and targets? Is monitoring equipment calibrated and YES / NO / NA maintained and recorded retained? Are procedures established and maintained YES / NO / NA for periodically evaluating compliance with relevant legislation and regulations? 5

F-445 01-07-2003

COMPANY: ___________________________

SNO
3.1.15 3.1.16 3.1.17 3.1.18 3.1.19 3.1.20 3.1.21 3.2 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.2.7 3.2.8 3.2.9 3.2.10 3.2.11 3.3 3.3.1 3.3.2 3.3.3 3.3.4 3.3.5 3.3.6

AUDIT CRITERIA
Heck whether characteristics related to insuring legislative compliance are monitored and measured. Check whether all involved understand consequences of non-conformance. Check whether acceptable limits are clearly indicated and understood. Check on actions in event of breach of requirements. Check on actions to verify results.
Check functioning of procedure for notifying authorities of any breaches. Check that near misses & incidents are monitored, reported and acted upon.

RESULT
YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

AUDITORS COMMENT

NON CONFORMANCE AND CORRECTIVE AND PREVENTIVE ACTION Does all staff understand the consequences of non YES / NO / NA conformance Are acceptable limits clearly indicated and YES / NO / NA understood? Check on actions in event of breach of limits. YES / NO / NA Is relevant monitoring and control equipment YES / NO / NA calibrated? Check on actions to verify results. YES / NO / NA Check that the non-conformance and corrective and preventive action procedure is being applied in a YES / NO / NA manner that could lead to continual improvements in all areas. Check on the follow-up to any improvement YES / NO / NA opportunities eg. electricity used. Check whether there are having been any breaches YES / NO / NA of legislation. Check functioning of procedures for notifying YES / NO / NA authorities of any breaches. Check monitoring records in any key areas. YES / NO / NA Check whether there have been any complaints and YES / NO / NA how they have been dealth with. RECORDS Is there a documented procedure for control of records? Are records suitably maintained, identified, stored and disposed? Are retentions periods know and adhered to? Are records easily retrieved? Are archive conditions reasonable? Are computer records backed up and suitably stored?

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
3.4 3.4.1 3.4.2 3.4.3 3.4.4 3.4.5 3.4.6 3.4.7 3.4.8 3.4.9 3.4.10 3.4.11 3.4.12 3.4.13 3.4.14 3.4.15 3.4.16 3.4.17 3.4.18 3.5 3.5.1 3.5.2 3.5.3 3.5.4 3.5.5 3.5.6 3.5.7 3.5.8 3.5.9

AUDIT CRITERIA
INTERNAL AUDTITING
Is there an audit programme, which provides for periodic audits to be carried out? Will the programme determine whether or not the HSEQ management system conforms to the requirements of the Standards? Will the programme determine whether or not the system properly implemented and maintained? Does the programme provide information on its results to management? Are there sufficient auditors and are they adequately trained? Are they independent of the area audited? Does the audit seek opportunities for improvement? Does the audit assess the effectiveness of the HSEQ IMS? Are the audits findings reported, action and followed up? Is the audit methodology defined and documented? Does the audit schedule reflect the HSEQ importance of the area being audited and the results of previous audits? Check that audits have covered all sections, all procedures, all clauses of the specification. Check the inspection audits are conducted. Check that legislative compliance audits are conducted. Check the audits identify opportunities for improvements. Check on the written evidence obtained during audits. Assess the quality of audit reports. Check on timely follow-up of audit recommendations and what actions taken. ACCIDENTS AND INCIDENTS Are procedures in place to ensure that Accidents, Incidents and non conformance are identified and both corrective and preventive actions are carried out? Is there a follow-up process, which ensures action is taken within the specified time? Are non-conformances raised if action is not taken? Is the effectiveness of action reviewed? Is the procedure used in a wide range of circumstances? Is this procedure used for identifying opportunities for improvement? Is the handling and investigation of accidents and incidents satisfactory? Are accidents and incidents reported and recorded? Are necessary actions taken to prevent recurrence?

RESULT
YES / NO / NA YES / NO / NA YES / NO / NA

AUDITORS COMMENT

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
3.6 3.6.1 3.6.2 3.7 3.7.1 3.7.2 A B C 4.0 4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.2 4.2.1 4.2.2 4.2.3 4.2.4 4.2.5 4.2.6

AUDIT CRITERIA
CONTINUAL IMPROVEMENT
Check evidence of continual improvement of QMS Check use of Audit results, analysis of data, corrective & preventive action & Management Reviews

RESULT
YES / NO / NA YES / NO / NA

AUDITORS COMMENT

ANALYSIS OF DATA
Check data collected & analyzed to show effectiveness of QMS of continual improvement. Check analysis provides data on: YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Customer satisfaction.
Conformance of product. Trends indicating need for preventive action suppliers.

IMPLEMENTATION AND OPERATION DOCUMENT CONTROL

Are documents in use current/ approved/ periodically reviewed? (Forms, Statutory Regulations, Standards, Manuals, Procedures, etc.) Is the issue and recall of documents controlled? Are obsolete documents retained for legal purposes? Are electronic data controls evident?

YES / NO / NA YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

OPERATION CONTROL
Is technology used the best available? Identify criteria against which this judgment is made. Do operational practices and procedures comply with best practice? Are operational procedure or practices sufficient to address the identified environmental aspects & H & S Risks Are maintenance activities managed and planned so as to minimize the risk of breakdowns, which could give rise to pollution/ accidents? Are all activities effectively monitored and controlled so as to minimize the risk of pollution/ accidents? Is emission monitoring adequate for pollution prevention commitment? Check on state of maintenance of equipment. Where preventive maintenance programmes are in operation, check that they are up to date. Check procedure for allocating priorities to maintenance tasks. Where in priority does work which impacts on pollution potential lie? Check response to results outside limits. How are tests reported? In the event of results going outside limits during periods when senior managers are not available, who is responsible for actions? What restrictions are there on the actions which can be taken? Check general housekeeping, in particular:

YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA

4.2.7

YES / NO / NA

4.2.8

4.2.9

YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
A

AUDIT CRITERIA
Check waste management practices. Is there a well-defined chain of responsibility for supervising the handling of wastes from generation to disposal Check storage and bunds. Are they adequately designed and constructed? Are they properly maintained? Who is responsible for their maintenance? Check drains and site outlets? Check all monitoring equipment. Is it in working order? Check process control instrumentation which could influence environmental performance (EG temperature controls) Are personnel aware of the likely deviations from normal operation and the actions they should take should such deviations occur? Check that operational control or practices exist to adequately prevent accidents. Check that moving equipment is adequately guarded and equipment stops when the guard is removed. Check the condition of equipment for sharp edges, electrical risks etc. Check the danger of objects falling on people. Check the control of working under dangerous situations or with hazardous substances. Check the control of contractors. Check the use of personal protective equipment. Check general housekeeping, loose cables and other tripping hazards. Check the practice of operators e.g. lifting or climbing. Check the knowledge of the operators. Check the control of noise and vibration. Check the working environment for dust, odors, etc.

RESULT
YES / NO / NA

AUDITORS COMMENT

YES / NO / NA

B C 4.2.10 4.2.11 4.2.12 4.2.13 4.2.14 4.2.15 4.2.16 4.2.17 4.2.18 4.2.19 4.2.20 4.2.21 4.2.22 4.2.23 4.2.24 4.3 4.3.1 4.3.2 4.3.3 4.3.4 4.3.5 4.3.6 4.3.7

YES / NO / NA YES / NO / NA YES / NO / NA

YES / NO / NA

YES / NO / NA YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

EMERGENCY PREPAREDNESS AND RESPONSE

Are procedures established to identify potential for and respond to accidents and emergency situations? Are all risk situations covered by emergency procedure? Does the organization review and revise its emergency preparedness and response after the occurrence of accidents or emergency situations? Check effectiveness of procedure in protecting people. Check some equipment. Check preparedness of personnel. Check the emergency exits properly signed, not blocked, adequate location, etc.

YES / NO / NA YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

Rev.01

F-445 01-07-2003

COMPANY: ___________________________
SNO
4.4 4.4.1 4.4.2 4.4.3 4.4.4 4.4.5

AUDIT CRITERIA
LEGAL AND OTHER REQUIREMENTS
Are procedures established and maintained to identify and have access to legal and other requirements to which the organization subscribes? And keep it up to date? Has all the obvious legislation been identified? Are operational characteristics and performance related to insuring legislative compliance adequately monitored and measured? Do the results or monitoring, testing and recording of activities demonstrate compliance with the requirements of the above legislation? Review correspondence with regulators. Does this confirm that the organization is complying with legislation?

RESULT
YES / NO / NA

AUDITORS COMMENT

YES / NO / NA YES / NO / NA

YES / NO / NA

YES / NO / NA

Rev.01

10

F-445 01-07-2003

COMPANY: ___________________________
SNO
5.0 5.1
5.1.1 5.1.2 5.1.3 5.1.4

AUDIT CRITERIA
RESOURCE MANAGEMENT STRUCTURE AND RESPONSIBILITY
Are roles, responsibility and authorities defined, documented and communicated? Does management provide essential resources? Have management appointed a specific management representative? Check the understanding, awareness and implementation of the roles and responsibilities of selected key personnel.

RESULT
YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

AUDITORS COMMENT

5.2
5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 5.2.6 5.2.7 5.2.8

COMMUNICATIONS
Check whether the company has received any external communications related to HSEQ and how these have been handled. Check on how requests for policy are treated. Check on communications with contractors. Check on whether decisions on what information can be made public are clearly understood. Check on how progress towards objectives and targets is communicated. Check on how opportunities for improvement are identified and communicated. Check on whether senior management receives comments / suggestions from workforce. Check on how workforce is consulted. YES / NO / NA

YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA YES / NO / NA

5.3 5.3.1 5.3.2 5.4 5.4.1 5.4.2 5.4.3 5.4.4 5.4.5 5.4.6 A B C D E F G H Rev.01

PROVISION OF RESOURCES
Check whether resources are used effectively. Check continued awareness or personnel of the policy, the system and their own role.

TRAINING AWARENESS AND COMPETENCE OF STAFF

Check on the training needs and programme to ensure the competence of personnel, in particular check on the effectiveness of training: Of New Staff. Of new who have changed roles. Of contractors and suppliers. Agency and any other temporary employees. Are employees aware of: Importance of conformance with policy and procedures. Significant impacts, actual or potential. Their work activities and benefits of improved personal performance. Roles and responsibilities in achieving conformance with policy and procedures. Potential consequences of departure from specific operating procedures. Check whether training is provided to key personnel to enable them to prevent accidents and improve HSEQ performance. Check that training need analysis covers all key personnel. Check the training records of selected staff, contractors, auditors and particularly the management representative.

11

F-445 01-07-2003

COMPANY: ___________________________
SNO
I J K L M N O P Q

AUDIT CRITERIA
Check effectiveness of training by interviewing personnel accordingly. Check materials used in awareness training. Check future training programme. Does a new employee receive induction training? Does this include training on HSEQ IMS? Are there training records for each employee? Are reviews of training needs evident? Is staff competent for activities being undertaken? Is the infrastructure determined and maintained to achieve conformity to product requirements. Is the work environment determined and managed to achieve conformity to product requirements? MONITORING AND MEASURING DEVICES
Is equipment used identified? Is calibration undertaken within defined / appropriate frequencies? Is there evidence of traceability to national standard? Is the calibration status of equipment evident? Is there action taken when equipment is found to be inaccurate? Are storage conditions adequate? Is the work environment suitable?

RESULT

AUDITORS COMMENT

R 5.5 5.5.1 5.5.2 5.5.3 5.5.4 5.5.5 5.5.6 5.5.7

Rev.01

12

F-445 01-07-2003

COMPANY: ___________________________
SNO
5.6 5.6.1 5.6.2 5.6.3 5.6.4 5.6.5 5.6.6 5.6.7 5.6.8 5.6.9

AUDIT CRITERIA
CUSTOMER RELATED PROCESSES Check effective arrangements for communicating with the customer regarding: Product information, inquiries, contract / order amendments, feedbacks, complaints. Check product / services clearly defined, differences resolved, companys ability to meet requirements. Check confirmation before acceptance. How amendments to contracts are done? Review of product requirements before commitment to supply (original & amendments). Check for changes, documents amended and personnel awareness. Check catalogues and advertising reviewed. Check records of review and actions.

RESULT

AUDITORS COMMENT

Auditors : : : :

Name . . . .

Designation

Auditees : : : :

Name . . . .

Designation

Date

Rev.01

13

F-445 01-07-2003