SHE INTERNAL AUDIT CHECKLIST

SHE Requirements / Questions

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