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HSEQ INTEGRATED MANAGEMENT SYSTEM INTERNAL AUDIT CHECKLIST

Company: Date of Audit:

Auditor Name Designation Company Representatives Desig

TOTAL SCORE :

NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

MANAGEMENT RESPONSIBILITY

1 HSEQ POLICY STATEMENT

Has the HSEQ Policy been defined and approved by


1.1
the top management of the organization?

Is it appropriate to the nature, scale and HSEQ


1.2 impacts of the organization activities, products or
service

Does it include a commitment to customer


1.3 satisfaction, continual improvement and prevention
of pollution?

Does it include a commitment to comply with


1.4 relevant legislation, and with other requirements to
which the organization subscribes?

Does it provide the framework for setting and


1.5
reviewing HSEQ objectives and targets?

Is it communicated to & understood by all


1.6
employees?

1.7 Is it available and deployed in the working area?

is reviewed periodically to ensure t hat it remains


1.8
relevant and appropriate to the organization

2 HEALTH MANAGEMANT PROGRAM

2.1 Is health management procedure in place

Is there a program to monitor health of the


2.2
employees that are exposed to health hazards.

3 HAZARD IDENTIFICATION

Is Hazard and Risk management procedure


3.1
available?

Does all hazard associated with the activities


3.2
identified?

Does the proposed control measures adequate to


3.4
reduce the risk rate?

Does the control measures prioritized in a proper


3.5
order (ERIC PD)

Is there a system to review and re evaluate the


3.6
hazards?

F. 445
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NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

3.7 Ensure worker involvement in hazard identification

3.8 Check the close-out of PDF Reports

4 ENVIRONMENTAL ASPECTS

IS Environmental Impact and aspects of the


4.1
activities Identified?

Does the proposed mitigation measures adequate to


4.2
reduce the risk rate?

Does the mitigation measures prioritized in a


4.3
proper order (ERIC PD)

Is there a system to review and re evaluate the


4.4
impact?

Is there a program to measure and monitor


4.5
emissions and discharges to the environment?

5 WASTE MANAGEMENT SYSTEM

Are wastes categorized as recyclable (non-


5.1 hazardous), non-recyclable (non-hazardous),
hazardous & bio-medical wastes

5.2 Is waste generated recorded and maintained

Does waste disposed through out approved and


5.3
authorized specialized contractor

5.3 Are Waste segregation bins available and deployed.

6 LEGAL AND OTHER REQUIREMENT

Does all applicable legal and other requirement


6.1
identified?

Does the organization evaluating compliance with


6.2
legal requirement?

6.3 Are there records of the evaluation?

7 OBJECTIVES AND TARGETS

Are HSEQ Objectives and targets established and


7.1
maintained at each relevant function and level?

7.2 Are objectives achievable and measurable?

Have programs been established for achieving


7.3
objectives and targets?

Check that the means and timeframes for achieving


7.4 objectives and target has been determined, and is
adhered to,

F. 445
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NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

Check middle management awareness of


7.5
objectives.

Check that responsibility has been assigned for


7.6
achieving the set objectives.

Check that a documented system is used to


7.7 maintain and review progress for all objectives and
targets.

8 EMERGENCY PREPAREDNESS AND RESPONSE

8.1 Are all emergency situations Identified?

Ensure emergency procedures of deferent situation


8.2
are in place?

Ensure emergency drills are being carried out


8.3
periodically

9 PURCHASING

9.1 Ensure approved vender list in place

Ensure that suppliers and contractors are being


9.2
evaluated for approval

9.3 Ensure verification of purchased product

Ensure purchased product that does not meet


9.4
specification is reported on NCR.

Ensure that last update of purchase procedure at


9.5
the point of implementation.

10 IMPLEMENTATION AND OPERATION

10.1 Check the organization chart

Ensure that all roles and responsibilities are


10.2
assigned.

11 TRAINING AWARENESS AND COMPETENCE OF STAFF

11.1 Ensure training program in place

11.2 Check the implementation of the training program

11.3 Check the records of training and HSEQ awareness

F. 445
Rev.04
08.03.2012
NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

12 COMMUNICATIONS

Check the means of Communication (external and


12.1
internal)

Ensure appropriate involvement of workers in


12.2
incident investigation

12.3 Ensure meeting, Toolbox talks are being carried out.

Ensure safety signs, posters and safety flashes are


12.4
deployed

13 CONTROL OF DOCUMMENT

Ensure document including records of HSEQ


13.1
standard are controlled and approved

Ensure that HSEQ manuals and SOPs are controlled


13.2
and approved

Ensure changes and current revisions status of


13.3
documents are identified

Ensure that relevant version of applicable


13.4
documents are at the point of use.

14 CONTROL OF RECORDS

Is there a documented procedure for control of


14.1
records?

Are records suitably maintained, identified, stored


14.2
and disposed?

14.3 Are retentions periods know and adhered to?

14.4 Are records easily retrieved?

Are computer records backed up and suitably


14.5
stored?

15 ACCIDENTS AND INCIDENTS

Are procedures in place to ensure that Accidents,


15.1
Incidents are identified, reported and recorded?

15.2 Ensure accident investigations are being carried out

15.3 Ensure root causes are being identified

Ensure corrective and preventive actions are


15.4 appropriate and being carried out to prevent
recurrence?

Check the follow-up process, which ensures action is


15.5
taken within the specified time?

15.6 Is the effectiveness of action reviewed?

F. 445
Rev.04
08.03.2012
NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

15.7 Does accident communicated to the employees?

16 CONTROL OF MONITORING AND MEASURING DEVICES

16.1 Is equipment used identified?

Is calibration, undertaken within defined /


16.2
appropriate frequencies?

16.3 Is the calibration status of equipment evident?

17 PREVENTIVE MAINTENANCE

Are inspection tests such as (load test, MPI, Ultra


17.1
sonic and hydraulic test) undertaken

Is there a tracking system in place to identify un


17.2
valid Certificate.

Is there a preventive maintenance program for the


17.3
equipment?

17.4 Are storage conditions adequate?

18 NON CONFORMANCE AND CORRECTIVE AND PREVENTIVE ACTION

Does non conformances identified, corrected and


18.1
action taken?

Check whether the investigating nonconformity,


18.2 determining its cause and taking actions in place to
avoid recurrence.

18.3 Evaluate the effectiveness of the action taken

18.4 Check the non conformance register.

19 CUSTOMER SATISFATION

19.1 Is Customer feedback recorded and maintained.

Is customer feed back analyzed and area for


19.2
improvement identified.

19.3 Are customer complaints recorded , and closed out.

19.4 TRANSPORTATION AND ROAD SAFETY

19.5 Is On line IVMS device Installed in the vehicles

Is IVMS report generated and reviewed and action


19.6
taken against the violations

19.7 Does all drivers holding ADSD Card.

F. 445
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NCR RESULT
S. NO. AUDIT CRITERIA AUDITORS COMMENT
RANK | YES | NO | N/A |

19.8 Is journey management procedure in place

20 INTERNAL AUDTITING

20.1 Is there an audit schedule in place?

20.2 Is the schedule properly implemented?

Is there an action plan to follow up audit findings


20.3
and close it?

Are audit findings being close with in the assigned


20.4
time frame?

21 MANAGEMENT REVIEW

Are management reviews conducted at determined


21.1
intervals and documented?

Are all required agenda items discussed including


21.2
continual improvement?

21.3 Is top management involved?

22 GENERAL OBSERVATIONS

22.1

22.2

22.3

22.4

DEFINITION

There is no evidence that the Expectation is recognized to be an HSEQ MS requirement.


There is no implementation action ongoing or planned.

The Expectation is recognized to be an HSEQ MS requirement but is only partially being complied with nd shows significant gaps and weaknesses.
There is no adequate plan to implement this Expectation beyond the current level of compliance.

The Expectation is already partially implemented and there is an adequate plan in place to fully implement it.
Implementation progress is less than originally planned

The Expectation is being implemented and there is an adequate plan in place to fully implement it.
Implementation progress is in accordance with or better than the plan.

The Expectation is currently fully met with negligible noncompliance.


There are adequate systems in place to ensure continuous compliance and improvement.

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KLIST

Designation

RE :

MMENT SCORE

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SCORE

and weaknesses.
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COMPANY
Auditor Name Designation

Company Representatives Designation


Date of Audit