Introduction:
This guidance is designed to be
used as tool for internal HSE audit against OHSAS 18001:2007 & ISO
14001:2004 to ass the level of compliance.
The results of this assessment
will be used to show the organisation where it is relative to the two standards
mentioned above & help it understand their position & then take an
improvement &/or corrective action(s) accordingly.
This guidance is based on OHSAS 18001 & ISO 14001 only
& it does not include any other additional requirements (internal &/or
client requirements).
Scoring System:
A scoring system is developed so
as to enable the measurement of the aspect in question. The scale of the
scoring system is a 0 to 100 points scale where 100 points are allocated to
every single requirement so as to be measured. If a score of 100 is achieved,
this means that the relevant requirement is in compliance with the standards
& it is ready for external audit & certification.
The distribution of the 100
points allocated to every single requirement will be based on the criteria
indicated below:
Key
Area
|
Status
of element
|
Weight
Scale
|
Development
|
Element in question is developed/established as required
by the standards
|
0 – 30 Points
|
Documentation
|
Element in question is documented
|
0 – 30 Points
|
Implementation
|
Element in question is implemented
|
0 – 40 Points
|
Total
|
0
– 100 Points
|
For every
requirement the scoring will be:
· For
development: Score up to 20 points,
if suitable procedure is developed;
·
Fore documentation: Score up to 30
additional points, if the procedure is documented;
·
For implementation: Score up to 40
additional points, if the procedure is implemented;
Note: All numbers that to be used in this scoring
system should be whole number.
The type of the corrective action request (CAR) based on the
score that the requirement’s key area achieved will be controlled by the
criteria below:
Key
Area
|
CORRECTIVE
ACTION REQUEST TYPE
|
||
MAJOR
CAR
|
MINOR
CAR
|
IPROVEMENT CAR
|
|
Development
|
Less than 20
|
21 - 28
|
29
|
Documentation
|
Less than 20
|
21 - 28
|
29
|
Implementation
|
Less than 27
|
28 - 38
|
39
|
Date:
|
|
Auditor:
|
|
|
|
|
|
Area:
|
|
Area In-charge Person:
|
|
Clause (4.1): General Requirements
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
The boundaries & scope of operation
for which the HSE IMS is designed, are clearly identified
|
|
|
|
|||
Total:
|
|
|||||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
Clause (4.2): HSE Policy
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is HSE policy & it meets
the requirements:
Signed by top
management;
Includes the
overall HSE objectives;
Includes
commitment to continual improvement;
Includes
commitment to at least comply with HSE laws other HSE requirements applicable;
Communicated
to all employees alongside their general HSE responsibilities;
Communicated
to all concerned 3rd parties;
Review
requirements of the HSE policy is stated;
|
|
|
|
|||
Total:
|
|
|||||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
Clause (4.3): HSE Planning
|
||||||
Sub-clause (4.3.1): Hazard
identification, risk assessment & risk control
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for risk
assessment & it meets the requirements:
States a
mechanism for hazard identification;
Requires the
assessment of routine & non-routine operations/activities;
Requires the
assessment of operations/activities undertaken by 3rd parties in
company workplaces;
Requires the
assessment of all facilities in the company’s workplaces including those
facilities provided by 3rd parties;
States a
mechanism for the evaluation of risks (so it can be compared &
prioritized);
States a
mechanism for the selection of risk’s control measures;
States how the
risk assessment findings will be reflected into operation day-to-day control;
States the
review requirements for conducted risk assessments;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.3.2): HSE
Legal & Other Requirements
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for legal
requirements & it meets the requirements:
States a
mechanism for the identification of legal & other HSE requirements that
applicable into undertaking;
States how the
identified HSE LR & other HSE requirements are to be linked to company’s
operation/activities;
States how HSE
LR are to be kept up-to-date (review requirements);
States how the
identified HSE LR are to be communicated to the concerned employees & 3rd
parties;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.3.3/4): HSE Objectives /
Management Programs:
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE
Objectives & Their Management Programs & it meets the requirements:
States a
mechanism for the identification of HSE objectives at the different levels of
the company;
States that
whenever possible the identified HSE objectives are to be SMART;
States how
indentified HSE objectives are to be implemented (Management Program –
what/How/whose/when;
States a
frequency for the measurement of the implementation of the identified
objectives;
States the
review requirements for the HSE objectives;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
Clause (4.4): HSE Implementation & Operation
|
||||||
Sub-clause (4.4.1): Structure &
Responsibilities
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a
process for the identification of HSE responsibilities of all staff at all
levels & it meets the requirements (this is part of the policy):
Approved &
up-to-date organizational structure/chart is available;
Top management
HSE responsibilities are stated;
Management HSE
responsibilities are stated;
Supervisor HSE
responsibilities are stated;
Employees HSE
responsibilities are stated;
All HSE
responsibilities that stated are communicated to the concerned employees;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.4.2): Training,
awareness & competence
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE
training & awareness & it meets the requirements:
States that
every employee to be HSE inducted;
States that
the HSE induction to include HSE-IMS & HSE Policy awareness;
Sates the HSE
induction to include awareness about hazards/risks identified;
States that
HSE induction to include awareness about employees general HSE
responsibilities;
States that
HSE induction to include awareness about actions required in the event of
emergency;
States that
HSE induction to include awareness about the consequences of departure from
HSE procedures;
States that HSE
training needs analysis to be conducted;
States that
HSE training programs/courses based on the TNA to be set;
States that
the HSE training programs to state requirements for HSE training refreshment;
States that
the HSE training programs to state requirements for HSE & job specific
internal & external training;
States that
HSE training programs to state requirements for HSE training refreshment;
States the
requirements for HSE training & awareness for 3rd parties;
States the
requirements for HSE training evaluation;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.4.3): HSE
Consultation & Communication
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE consultation/HSE
Information communication & it meets the requirements :
States how
employees are to be involved in development & review of HSE policy &
procedures (committees/councils);
States how
employees are to be consulted on issues that affecting the HSE standard in
the workplace;
Sates how HSE
information will be communicated to employees (boards, training ...etc)
States how
relevant HSE information will be communicated to 3rd parties;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.4.4/5): Documentation /
Documents & Data Control
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure
for the documentation of HSE-IMS The control of it& it meets the
requirements:
Describes the
core elements of the HSE-IMS & their interaction;
Provides
direction to related documentation;
States the
system for the coding system of the HSE documents;
Requires that
document register/master list of documentation;
States a
mechanism for identification of document location;
States the
requirements of regular revision of different types of documents;
States the
requirements of the availability of the right up-to-date HSE document in the
right place;
States the
requirements of the control of obsolete HSE documents (Archive);
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.4.6): Operational
Control
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE operational
control & it meets the requirements:
Includes the
HSE requirements for the chemical Control ;
Includes the
HSE requirements for 3rd parties control;
Includes the
HSE requirements for the use of hand-held tools;
Includes the
HSE requirements for the use of machineries & equipment;
Includes the
HSE requirements for workplace
environment & welfare facilities;
Includes the
HSE requirements for HSE signage;
Includes the
HSE requirements for Safe Method
Statement & Permit to Work;
Includes the
HSE requirements for the first aid provision;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.4.7): HSE
Emergency Preparedness & Response (EPR)
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE emergency
preparedness & response & it meets the requirements :
States the
requirements of the identification & assessment of all potential
emergencies;
Identifies
persons to take charge during emergency (notification, mitigation, etc);
Details actions
to be taken by employees & 3rd parties in the event of
emergency;
Identifies
persons with special roles during emergencies (first aid, fire wardens ..
etc);
States the
requirements of evacuation;
States the
requirements of the interface with external emergency services;
States the
requirements of the protection of vital records & documents;
States the
requirements of the communication with neighbors, public & media;
States the
requirements of the equipment that may need to be sued during emergency
(lay-outs, contacts .. etc);
States the
requirements of the critical data need to be available during emergency
(lay-outs, contacts .. etc);
States the
requirements of the drills / drills evaluation of the response to all
potential emergencies that identified;
States the
requirements of the post-emergency evaluation;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
Clause (4.5): HSE Checking & Corrective Actions
|
||||||
Sub-clause (4.5.1): HSE Performance
Measurement & Monitoring
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure
for the measure & monitor HSE performance on regular basis & it meets
the requirements:
States the
requirements of qualitative & quantitative HSE performance measurement;
States the
requirements of the measurement of the HSE performance proactive &
reactive indicator;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.5.2): Accident,
incident, non-conformances &
corrective & preventive action
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a procedure for HSE accident,
near misses reporting & investigation & it meets the requirements:
States the
requirements of accident & near misses response & reporting/recording;
States the
requirements of accident & near misses investigation & corrective
actions and preventive actions;
States the
requirements of accident & near misses data analysis (linked to
performance measurement);
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.5.3): HSE
Records & Records Management
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a system for HSE records
& records management:
All procedures
include the requirements of records & records management (location, time
to be kept .. etc);
There is a
procedure for the control of HSE all documentation & documents
control as clauses 4.4.4 & 4.4.5
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
Sub-clause (4.5.4): HSE Audit
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a
procedure for the internal audit of HSE-IMS The control of it& it meets
the requirements:
States the
requirements of the audit of the implementation of the HSE management program;
States the
requirements of the review of the previous audits;
States the
frequency of the internal HSE-IMS audit;
States the
mechanism by which HSE internal audit is to be conducted (checklists,
reports, etc)
States who has
to conduct the HSE internal audit;
States the
requirements of corrective action request for non-conformances
States the
requirements of the action plan to correct the identified non-conformances;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
Clause (4.6): Management Review
|
||||||
Requirement
|
Developed
|
Documented
|
Implemented
|
|||
There is a
procedure for the regular review of the HSE-IMS by top management & it
meets the requirements:
States the
requirements of the HSE data on which the review is to be based;
States the frequency
of the regular review;
States the
requirements of the irregular review;
The procedure
& its records are up-to-date;
|
|
|
|
|||
Assessor’s comments/evidences:
|
||||||
|
|
|
|
|||
Signature of In-charge Person:
|
|
Signature of Auditor:
|
|
|||
I found your blog and it was really useful as well as informative thanks for sharing such an article with us. We also provide services related to ims internal auditor course
ReplyDelete