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This document contains an internal audit checklist for a SHE (safety, health, and environment) management system. It includes over 50 questions across various categories such as SHE policy, hazard identification, objectives and programs, roles and responsibilities, competency and training, communication, and documentation. The questions are designed to evaluate conformance with SHE requirements and identify necessary evidence such as policies, procedures, records, and implementation. The auditor would use this checklist to systematically assess different aspects of the organization's SHE management system.
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Audit checklist for safety, health and environment
This document contains an internal audit checklist for a SHE (safety, health, and environment) management system. It includes over 50 questions across various categories such as SHE policy, hazard identification, objectives and programs, roles and responsibilities, competency and training, communication, and documentation. The questions are designed to evaluate conformance with SHE requirements and identify necessary evidence such as policies, procedures, records, and implementation. The auditor would use this checklist to systematically assess different aspects of the organization's SHE management system.
This document contains an internal audit checklist for a SHE (safety, health, and environment) management system. It includes over 50 questions across various categories such as SHE policy, hazard identification, objectives and programs, roles and responsibilities, competency and training, communication, and documentation. The questions are designed to evaluate conformance with SHE requirements and identify necessary evidence such as policies, procedures, records, and implementation. The auditor would use this checklist to systematically assess different aspects of the organization's SHE management system.
Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. SHE Poli! 1. Is the policy defined and is it appropriate to the type, size, and SHE risks of the organizations activities! ". #oes the policy include a commitment to prevention of in$ury and ill health and continual improvement in %HS performance! &. #oes the policy include a commitment to prevention of pollution! '. #oes the policy include a commitment to continual improvement in SHE performance! (. #oes the policy include a commitment to compliance to legal and other re)uirements! *. Is the policy authorized+signed by the plant,s top management! -. Is the policy communicated to all relevant persons! .. Is the policy available to interested parties! H"#"rd identi$i"tion% ris& "ssessment "nd determining ontrols /. 0re there documented and maintained procedures to establish and update hazards, risks and implementation of controls! 11. #oes the procedure cover routine and non routine activities! 11. #oes the procedure cover all personnel and facilities! 1". 2hat mechanism is used to initiate hazard revie3+revision 3hen operations change! 1&. #o the criteria for the assessment of risk address both likelihood and conse)uence! 1'. 0re there records to provide evidence of analysis of hazards, risks and controls! 1(. 0re results of assessments and effects of controls considered 3hen setting ob$ectives! 1*. #oes the methodology for hazard identification and risk assessment defined 3ith respect to its scope, nature and timing to ensure proactive rather than reactive assessments! 1-. #oes the methodology for hazard identification and risk assessment provide for classification and prioritization of risk and the application of controls! Page 1 of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. 1.. #oes the methodology provide input into determination of facility re)uirements, training needs and operational controls! 1/. #oes the methodology provide for monitoring of re)uired actions to ensure timeliness and effectiveness of implementation! "1. #oes the organization keep the results of identification, assessments and determination of controls up4to4date! En'ironment"l "s(ets "1. Has the plant established, maintained and implemented a procedure to identify environmental aspects of its activities, products and services! "". Has the plant documented its significant environmental aspects! "&. Is the documentation of Environmental aspects kept up to date! "'. Have significant environmental aspects been taken into account in establishing, implementing and maintaining the plant,s SHE management system! Leg"l "nd ot)er requirements "(. Is there a documented procedure for the organization to identify and have access to all applicable legal re)uirements! "*. #oes the plant have a listing of 5%ther re)uirements5 applicable to its operations 3hich specifically includes reference to, 3here appropriate, market, sector and corporate level re)uirements! "-. Has the plant determine ho3 these re)uirements apply to its environmental aspects! ".. Has the plant determine ho3 these re)uirements apply to its health and safety hazards! "/. Is someone 6or more than one7 designated to keep current on re)uirements! &1. 2hat are the resources, references and methods to keep current! &1. Ho3 is applicability of ne3 re)uirements determined! &". Ho3 are re)uirements communicated to all interested party! *+,eti'es "nd (rogr"mmes &&. Has the organization established and maintained SHE ob$ectives! Page " of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. &'. Have the documented ob$ectives considered legal and other re)uirements! &(. 0re ob$ectives reasonable and measurable! &*. 0re ob$ectives consistent 3ith the commitment to prevention of in$ury and ill health! &-. 0re ob$ectives consistent 3ith the commitment to prevention of pollution! &.. Is there a procedure for periodically revie3ing ob$ectives! &/. 0re ob$ectives communicated to the employees that are supposed to achieve them! '1. 0re there programs to achieve all the identified ob$ectives! '1. #o the programs include schedules for completion and resources necessary to achieve the ob$ectives! '". #o the programs assign responsibilities for completion of tasks in achieving ob$ectives! '&. 0re all procedures that supplement the SHE management program available to the appropriate personnel and current! ''. 0re the management programs revie3ed at planned intervals and amended as re)uired! Resoures% roles% res(onsi+ilit!% "ount"+ilit! "nd "ut)orit! '(. 0re roles and responsibility, and authorities defined, documented and communicated! '*. #o employees kno3 their assigned responsibilities and authorities! '-. Has management provided the necessary resources 6people, technology, money7 to implement the SHE programs! '.. Has the organization appointed an SHE management appointee from top management! '/. #oes the top management appointee ensure reports on the performance of SHE management system are presented to the top management! (1. #o employees kno3 the top management appointee, SHE officers and coordinators! Page & of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. (1. Is there active participation in a SHE committee! (". Ho3 does management demonstrate their commitment for continual improvement of SHE performance! Com(etene% tr"ining "nd "-"reness (&. #o personnel kno3 the associated environmental aspects and impacts of their activities! ('. #o personnel kno3 the associated health and safety hazards of their activities! ((. #o personnel kno3 the conse)uences, actual or potential, of their 3ork activities, behavior, and benefits of improved SHE performance! (*. #o they kno3 their roles and responsibilities and the importance in achieving conformity to SHE policy and procedures! (-. #o they kno3 the emergency preparedness and response re)uirements! (.. #o they kno3 the potential conse)uences if they depart from the specified operating procedures! (/. Ho3 does the organization ensure personnel are competent to perform tasks that impact SHE! *1. 0re competency needs identified and are actions taken to meet these needs! *1. Has the appropriate training been done and, 3here re)uired, by )ualified trainers! *". Ho3 does the organization evaluate the effectiveness of the actions taken to fulfill the competency needs! *&. #o the training procedures take into account the differing levels of responsibility, ability, language skills, literacy and risk! Communi"tion *'. 0re methods in place for communicating internally the SHE programs! *(. Ho3 are internal communications bet3een different levels and different functions documented! Ho3 do you have feedback to management! **. #o procedures e8ist for communicating SHE re)uirements to contractors and visitors to the 3orkplace! *-. 0re there procedures that are maintained for communications to and from interested parties regarding the organizations pertinent SHE information! Page ' of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. *.. Ho3 are communications to and from interested parties documented! */. Ho3 are SHE representatives involved in communication mechanisms 3ith management! -1. #oes the plant have a process in place for responding to e8ternal environmental complaints! -1. 0re safety rules and approved signs relating to health hazards posted in areas 3here hazards are present! P"rtii("tion "nd onsult"tion -". Ho3 are employees involved in the development of policies and procedures to manage SHE risks! -&. #id 3orkers participate in the hazard identification and risk assessments! -'. #o they have appropriate involvement in incident investigations! -(. 2hat is their involvement in the development and realization of SHE policy, ob$ectives and programs! -*. Ho3 are employees consulted for changes that affect 3orkplace health and safety! --. Ho3 employees are represented on SHE matters! -.. #o people kno3 3ho their employee SHE representative and+or management appointees are! -/. 0re consultations 3ith contractors in place 3here there are changes that affect their SHE performance! .1. #oes the organization ensure, 3here appropriate, relevant e8ternal interested parties are consulted about pertinent SHE matters! .1. 2hat initiatives do you have to encourage SHE consultations and participations! Doument"tion .". Is the SHE policy, signed, dated and posted! .&. 0re the SHE ob$ectives and targets and programs 3ith reports! .'. #oes the plant,s documentation include a description of the scope of the SHE management system! Page ( of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. .(. #oes the plant,s documentation include a description of the main elements of the SHE management system and their interaction, as 3ell as reference to related documents! .*. #oes the plant,s documentation include documents, including records, re)uired by 9E:S and 9S:S! .-. #oes the plant,s documentation include documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes that relate to its SHE risks! ... #oes the plant have a documented manual that describes the local system, its components and their interactions in line 3ith the re)uirements of 9E:S and 9S:S! Control o$ douments ./. 0re there procedures for controlling and maintaining all documents re)uired by SHE management system! /1. 0re the documents+data accessible 6e.g., can the employee access the documents+data they need7, including during an emergency! /1. 0re the documents+data periodically revie3ed, revised and approved for ade)uacy by authorized personnel! /". 0re latest versions of documents+data available in all areas and by all personnel that perform tasks essential to the effective functioning of the SHE management system! /&. 0re obsolete documents+data removed from use and assured from unintended use! /'. 0re those obsolete documents+data that are retained for legal or kno3ledge reasons clearly identified! /(. 0re documents+data dated 3ith the latest revision, orderly, legible and retained for a specified period! /*. Is there a procedure to ensure that documents of e8ternal origin determined by the organization to be necessary for the planning and operation of the SHE management system are identified and their distribution controlled! *(er"tion"l ontrol /-. Have the operations and activities, including maintenance, been identified that are associated 3ith the identified SHE risks 3here control measures need to be applied! /.. #oes the organization determine controls necessary to manage risks for processes that undergo changes! //. Have procedures been established and maintained for the above operations that, if they are not follo3ed for these situations, could lead to deviations from the SHE policy and the ob$ectives! 111. Have the identified SHE risks of goods, materials, e)uipment and services used in the above operations and Page * of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. activities been identified! 111.0re there procedures for handling goods, materials, e)uipment and services used in the activities associated 3ith identified risks 3here controls need to be applied! 11".0re relevant procedures and re)uirements communicated to the appropriate suppliers and contractors or visitors 6are operational controls in place and 3orking as e8pected7! Emergen! (re("redness "nd res(onse 11&.0re there maintained procedures to identify potential for accidents and emergency situations! 11'.0re there maintained procedures to respond to accidents and emergency situations! 11(. 0re there maintained procedures to prevent and minimize the SHE risks that may be associated 3ith the identified accidents and emergency situations! 11*.0re there revie3s and revisions of the emergency preparedness and response procedures, particularly after an incident! 11-.0re there periodical tests of the above procedures! #oes your emergency plan describe the follo3ing; 11..potential emergency situations 6such as fires, e8plosions, spills or releases of hazardous materials, and natural disasters7! 11/.hazardous materials used on4site 6and their locations7! 111. key organizational responsibilities 6including emergency coordinator7! 111. arrangements 3ith local emergency support providers! 11". emergency response procedures, including emergency communication procedures! 11&. locations and types of emergency response e)uipment! 11'. maintenance of emergency response e)uipment! 11(. training + testing of personnel, including the on4site emergency response team 6if applicable7! 11*. testing of alarm + public address systems! Page - of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. 11-. evacuation routes and e8its 6map7, and assembly points! Per$orm"ne me"surement "nd monitoring 11.. 0re procedures maintained to monitor and measure SHE performance on a regular basis! 11/. #o the procedures address )ualitative and )uantitative measures! 1"1. 0re monitoring of SHE ob$ectives performed! 1"1. #oes the SHE management program include proactive measures to address operational criteria, legal re)uirements and regulatory standards! 1"". 0re there reactive measures of performance to monitor accidents, ill health, incidents 6including near4misses7 and other historical evidence of deficient SHE performance! 1"&. 0re SHE performance indicators evaluated for corrective and preventative action! 1"'. 0re the indicators of SHE performance communicated to management! 1"(. Is SHE monitoring e)uipment re)uired for performance measurement and monitoring calibrated! 1"*.0re the records for the calibrations and maintenance results retained! 1"-. #oes the plant monitor the corporate <ey Performance Indicators for environment through the 9estl= Environment and Safety Performance >racking tool 69ES>7! 1".. Is the plant P?% responsible for entering re)uired plant environmental data into 9ES> according to schedule, and also for reporting upon and monitoring this performance data 3ithin their plant! E'"lu"tion o$ om(li"ne 1"/. #o procedures e8ist for periodically evaluating compliance 3ith legal and other re)uirements! 1&1.#id the organization appoint somebody to monitor and evaluate compliance to legal and other re)uirements! 1&1.#oes the organization has an inventory of relevant legal and other re)uirements and kept updated! 1&".0re records sufficient to provide evidence of compliance to legal and other re)uirements! Page . of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. 1&&.#o permits and other certificates 3ith e8piration or rene3al dates timely secured! 1&'. 2here a significant legal non4compliance is identified at plant level 63hether arising from an environmental incident or not7, is this reported using the E8ceptional Issues process described in @I41'.11&! Inident in'estig"tion 1&(. 0re procedures documented and maintained for defining responsibility and authority for handling and investigating of accidents and or incidents! 1&*.#o incident investigations determine immediate and underlying factors that contribute to the occurrence of incidents! 1&-.#o investigations provide for determining the need for corrective and preventive actions, including opportunities for improvement! 1&..0re investigations and necessary actions performed in a timely manner! 1&/.#o results from the investigation communicated to relevant personnel! 1'1.#oes the organization communicate the result of incident investigations to relevant government agencies! Nonon$ormit!% orreti'e "tion "nd (re'enti'e "tion 1'1.#o procedures e8ist for dealing 3ith actual and potential nonconformities! 1'".0re procedures established for initiating and completing corrective and preventive action! 1'&.Is a risk assessment conducted for such actions that 3ill re)uire changes in operation or e)uipment! 1''.0re appropriate corrective and preventive actions taken! 1'(.0re the results of the corrective and preventive actions implemented, communicated and recorded! 1'*.Ho3 does the organization implement and record any changes in their documented procedures resulting from corrective and preventative actions! 1'-. 0re environmental incidents at plants being reported through 9ES> as re)uired by @I41'.11& #efinitions of Environmental <ey Performance Indicators! 1'..0re 9otification of Serious Incidents be made immediately 63ithin "' hours7 to ?%4SHAE and appropriate Senior :anagement using the prescribed process and incident reporting forms also contained 3ithin @I41'.11&! Control o$ reords Page / of 11 SHE INTERNAL AUDIT CHECKLIST SHE Requirements / Questions Findings Provide evidences of conformance such as reference documentation, records, observable implementation, etc. 0re procedures documented and maintained for the identification, maintenance and disposition of SHE records! 1'/.0re the records legible, identifiable and traceable to the activities involved! 1(1.0re the records stored and maintained such that they are readily retrievable and protected against damage, deterioration or loss! 1(1.0re there specified retention times for all of the records identified! 1(".Is consideration given to confidentially! Intern"l "udit 1(&. 0re procedures documented and maintained for periodic SHE audits! 1('.#oes the procedure for %SH audits include the scope of the audit, fre)uency, methodologies used, responsibilities, re)uirements, and method of reporting results! 1((. #oes the SHE audit provide results of the audits to management! 1(*.Is the audit program and schedule based on risk assessments and the results of previous audits! 1(-.#oes the procedure address the ob$ectivity and impartiality of auditors! ."n"gement re'ie- 1(.. Has top management performed a revie3 of the SHE management system on a periodic basis! 1(/. #oes the revie3 address possible need to change its policy, ob$ectives and other elements of the SHE management system! 1*1. #oes the revie3 include all the inputs re)uired by 9E:S and 9S:S! 1*1. #oes the revie3 result to any decisions and actions related to SHE performance, %HS policy, ob$ectives, resources and others! 1*". #o relevant outputs made available for communication and consultation! Page 11 of 11