HSEQ INTEGRATED MANAGEMENT SYSTEM INTERNAL AUDIT CHECKLIST

Company:

Date of Audit:
Auditor Name

Designation

Company Representatives

Desig

TOTAL SCORE :
S. NO.

NCR
RANK

RESULT

AUDIT CRITERIA

| YES | NO | N/A |

AUDITORS COMMENT

MANAGEMENT RESPONSIBILITY
1

HSEQ POLICY STATEMENT

1.1

Has the HSEQ Policy been defined and approved by

the top management of the organization?

1.2

Is it appropriate to the nature, scale and HSEQ

impacts of the organization activities, products or
service

1.3

Does it include a commitment to customer

satisfaction, continual improvement and prevention
of pollution?

1.4

Does it include a commitment to comply with

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

1.5

Does it provide the framework for setting and

reviewing HSEQ objectives and targets?

1.6

Is it communicated
employees?

1.7

Is it available and deployed in the working area?

1.8

is reviewed periodically to ensure t hat it remains

relevant and appropriate to the organization

to

&

understood

by

all

HEALTH MANAGEMANT PROGRAM

2.1

Is health management procedure in place

2.2

Is there a program to monitor health of the

employees that are exposed to health hazards.

HAZARD IDENTIFICATION

3.1

Is Hazard
available?

and

Risk

management

procedure

3.2

Does all hazard associated with the activities

identified?

3.4

Does the proposed control measures adequate to

reduce the risk rate?

3.5

Does the control measures prioritized

order (ERIC PD)

3.6

Is there a system to review and re evaluate the

hazards?

in a proper

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NCR
RANK

RESULT

AUDIT CRITERIA

| YES | NO | N/A |

3.7

Ensure worker involvement in hazard identification

3.8

Check the close-out of PDF Reports

AUDITORS COMMENT

ENVIRONMENTAL ASPECTS

4.1

IS Environmental Impact
activities Identified?

and

aspects

of

the

4.2

Does the proposed mitigation measures adequate to

reduce the risk rate?

4.3

Does the mitigation measures prioritized

proper order (ERIC PD)

4.4

Is there a system to review and re evaluate the

impact?

4.5

Is there a program to measure and monitor

emissions and discharges to the environment?

in a

WASTE MANAGEMENT SYSTEM

5.1

Are wastes
categorized
as recyclable (nonhazardous),
non-recyclable
(non-hazardous),
hazardous & bio-medical wastes

5.2

Is waste generated recorded and maintained

5.3

Does waste disposed through out approved and

authorized specialized contractor

5.3

Are Waste segregation bins available and deployed.

LEGAL AND OTHER REQUIREMENT

6.1

Does all applicable legal and other requirement

identified?

6.2

Does the organization evaluating compliance with

legal requirement?

6.3

Are there records of the evaluation?

OBJECTIVES AND TARGETS

7.1

Are HSEQ Objectives and targets established and

maintained at each relevant function and level?

7.2

Are objectives achievable and measurable?

7.3

Have programs been established for achieving

objectives and targets?

7.4

Check that the means and timeframes for achieving

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

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NCR
RANK

RESULT

AUDIT CRITERIA

management

| YES | NO | N/A |

7.5

Check
middle
objectives.

awareness

7.6

Check that responsibility has been assigned for

achieving the set objectives.

7.7

Check that a documented system is used to

maintain and review progress for all objectives and
targets.

AUDITORS COMMENT

of

EMERGENCY PREPAREDNESS AND RESPONSE

8.1

Are all emergency situations Identified?

8.2

Ensure emergency procedures of deferent situation

are in place?

8.3

Ensure emergency drills are being carried out

periodically

PURCHASING

9.1

Ensure approved vender list in place

9.2

Ensure that suppliers and contractors are being

evaluated for approval

9.3

Ensure verification of purchased product

9.4

Ensure purchased product that does not meet

specification is reported on NCR.

9.5

Ensure that last update of purchase procedure at

the point of implementation.

10

IMPLEMENTATION AND OPERATION

10.1

Check the organization chart

10.2

Ensure that
assigned.

all

roles

and

responsibilities

11

are

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

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NCR
RANK

RESULT

AUDIT CRITERIA

| YES | NO | N/A |

12

AUDITORS COMMENT

COMMUNICATIONS

12.1

Check the means of Communication (external and

internal)

12.2

Ensure appropriate involvement

incident investigation

12.3

Ensure meeting, Toolbox talks are being carried out.

12.4

Ensure safety signs, posters and safety flashes are

deployed

of

workers

in

13

CONTROL OF DOCUMMENT

13.1

Ensure document including records

standard are controlled and approved

13.2

Ensure that HSEQ manuals and SOPs are controlled

and approved

13.3

Ensure changes and current revisions status of

documents are identified

13.4

Ensure that relevant version

documents are at the point of use.

of

of

HSEQ

applicable

14

CONTROL OF RECORDS

14.1

Is there a documented procedure for control of

records?

14.2

Are records suitably maintained, identified, stored

and disposed?

14.3

Are retentions periods know and adhered to?

14.4

Are records easily retrieved?

14.5

Are computer records backed up and suitably

stored?

15

ACCIDENTS AND INCIDENTS

15.1

Are procedures in place to ensure that Accidents,

Incidents are identified, reported and recorded?

15.2

Ensure accident investigations are being carried out

15.3

Ensure root causes are being identified

15.4

Ensure corrective and preventive actions are

appropriate and being carried out to prevent
recurrence?

15.5

Check the follow-up process, which ensures action is

taken within the specified time?

15.6

Is the effectiveness of action reviewed?

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15.7

NCR
RANK

RESULT

AUDIT CRITERIA

| YES | NO | N/A |

AUDITORS COMMENT

Does accident communicated to the employees?

16

CONTROL OF MONITORING AND MEASURING DEVICES

16.1

Is equipment used identified?

16.2

Is calibration, undertaken
appropriate frequencies?

16.3

Is the calibration status of equipment evident?

within

defined

17

PREVENTIVE MAINTENANCE

17.1

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

sonic and hydraulic test) undertaken

17.2

Is there a tracking system in place to identify un

valid Certificate.

17.3

Is there a preventive maintenance program for the

equipment?

17.4

Are storage conditions adequate?

18

NON CONFORMANCE AND CORRECTIVE AND PREVENTIVE ACTION

18.1

Does non conformances identified, corrected and

action taken?

18.2

Check whether the investigating nonconformity,

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.

19.2

Is customer feed back analyzed and area for

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

19.6

Is IVMS report generated and reviewed and action

taken against the violations

19.7

Does all drivers holding ADSD Card.

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19.8

NCR
RANK

AUDIT CRITERIA

AUDITORS COMMENT

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?

20.3

Is there an action plan to follow up audit findings

and close it?

20.4

Are audit findings being close with in the assigned

time frame?

21

MANAGEMENT REVIEW

21.1

Are management reviews conducted at determined

intervals and documented?

21.2

Are all required agenda items discussed including

continual improvement?

21.3

Is top management involved?

22

RESULT
| YES | NO | N/A |

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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Designation

RE :

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s and weaknesses.

SCORE

SCORE
0

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COMPANY
Auditor Name

Designation

Company Representatives

Designation

Date of Audit