Catholic Safety, Health & Welfare South Australia

                                                 OHS&W INTERNAL AUDIT RECORD / WORKSHEET (sample)

AUDIT SCOPE: (sample)

To ascertain compliance of (worksite eg CCI Office) against the South Australian OHS&W Regulations 1995 1.3.2 (Hazard identification
and risk assessment) and 1.3.3 (Control of risk) and Catholic Safety, Health and Welfare Manual Document No.14 (Workplace Inspection
and Hazard Control)
Hazards to consider:
Psychological Injury                             Ergonomics                                     Working alone            Plant & Equipment
Bullying/Harassment                              Manual Handling                                Working at heights       Lighting
Workload                                         Fire                                           Workplace Substances     Heat
Abuse/Aggression                                 Slips/Trips/Falls                              Fatigue                  Noise

This Checklist is an example and guide only – Audit Checklists DO NOT have to be followed.
The Internal Auditor will develop questions appropriate to gain information, will review documents, will observe practice and behaviour and
step through processes to demonstrate compliance with the scope of the audit.

Performance Indicator                                     Reference           Possible evidence                Details   Comments
1. Hazard identification processes are in                 1.3.2 (1)           Hazard report forms.                       •   Note timeframes from reporting to
place                                                                                                                        investigation
                                                                              Incident report forms.
How do you report a hazard?                                                                                              •   Are investigations conducted in
                                                                              Workplace Safety Inspections                   consultation
How are management informed of hazards?
                                                                              Purchase orders                            •   Are they timely
                                                          Doc 14 (5.2)
Can you show me some hazard reports?
                                                                              Minutes of OH&W meetings                   •   Are corrective actions added to
Do you use other means of identifying                                                                                        the site Action Plan
                                                                              Maintenance request forms                  •   Are incident/injury/near misses
hazards eg incident/injury/near miss reports?
                                                                              Minutes of meetings                            being logged to the CCI website
What is the process of consultation re
hazards in this worksite?

Are hazards/incidents discussed at an
S:\Infotech\WEB Changes\Internal Audit Record-Worksheet - Hazard Management.doc
OHSW Forum?
Could you show me the OHS&W minutes?                                                                      •   Follow through a Hazard Report –
                                                                                                              note on Action Plan & minutes
Do you have a maintenance request system
…how would a hazard be identified from
2. Employees are trained in the process of                                    Training records            •   Note if staff are trained
risk identification and controls                          Doc 14 (5.4)                                    •   Note if included in Induction
Ask an employee how they would report a                                                                   •   Note if all staff have been
hazard?                                                                                                       inducted (look at last 2 years)
How did they know to report in this way?                  Doc. No. 13                                     •   Are staff informed of where to get
Could you show me your training records?
                                                          Doc. No 14
How does a new staff member know about
hazard reporting & the OSHW Policy?
3. An investigation of identified hazards is              1.3.2 (3)           Hazard forms                •   Is equipment identified
conducted.                                                                    OHSW Minutes                •   Are people involved identified
                                                                              Management minutes
How do you assess an identified hazard?
What steps are taken to manage hazards?
Are staff reporting hazard provided with                                                                  •   Check Hazard Report form
feed back?                                                                                                •   Speak with staff
4. Risk assessments are conducted on all                  1.3.2 (2)           Risk assessments            •   What was the hazard?
identified hazards, change of work practice                                   Purchasing Policy           •   Is there an identified risk?
and existing and new plant & equipment.                                       Recent Purchase documents   •   Is the risk rated?
                                                          Doc 14 (5.3)
Do you (worksite) conduct risk                                                                            •   Note when risk assessments are
assessments?                                                                                                  conducted – linked to purchase
Who conducts risk assessments here?                                                                       •
Can you show me some risk assessments?
Have you personally conducted or been
involved in a risk assessment? Can you step
me through how you went about it?
Can you show me the documentation for the
recent purchase of XXXXXX?

S:\Infotech\WEB Changes\Internal Audit Record-Worksheet - Hazard Management.doc
5. Workplace Inspections are conducted in                 1.3.2 (3)(a)        Completed Workplace Safety       Any hazards identified at
accordance with the procedure                                                 Inspection checklists            Inspection?
                                                                                                               Was the Hazard Management
Do you conduct Workplace Inspections?                     Doc 14 (5.6)        Cross reference:
                                                                                                               process followed?
Can you show me your last Inspections?                                            Action Plans                 Step through identification,
Could you show me your OHS Action Plan?                                          Monthly Reports to            assessment, control, review.
                                                                                 Licence                       Consultation involed?
6. Corrective Actions are added to the                    1.3.3 (1)           Cross reference:             •   Are corrective actions added to
OHSW Action Plan and prioritised                                                                               the Action Plan?
Where do you document corrective actions?                                                                  •   Are actions completed & signed
                                                                                      Action Plan              off?
                                                                                                           •   Is there consultation re actions?

7. Control measures implemented are                       1.3.3 (1)           Minutes of meetings          •   Talk with staff
reviewed                                                  Doc 14 (5.4)                                         - are they consulted to review
How do you know that a corrective action is                                                                    controls
working?                                                                                                       - are controls checked for
8. Is the hazard management system                                            Hazard reports               •   Hazard Reports are completed
reviewed for its effectiveness                                                Workplace inspections        •   Hazards are identified in a variety
How do you know the hazard management                                         Maintenance reports              of ways
system is working?                                                                                         •   Hazards are investigated
                                                                              Injury reports
What process do you use to review actions?
                                                                              Purchase orders              •   Consultation is evident
                                                                              Risk assessments
                                                                                                           •   Is the system working
                                                                                                                – can you see a system
                                                                              Minutes of meetings              - is SEE it, ASSESS it FIX it

Step through a hazard (eg substance, manual
handling, electrical) … is there a system in
place to manage this

S:\Infotech\WEB Changes\Internal Audit Record-Worksheet - Hazard Management.doc
Additional Questions

S:\Infotech\WEB Changes\Internal Audit Record-Worksheet - Hazard Management.doc
                                        SUGGESTED HAZARDS TO FOLLOW THROUGH AT INTERNAL AUDIT

               Hazardous Substances                                         Manual Handling                                   Slips, Trips & Falls
                                                   Suggested questions to step through the Hazard Management system
     -    how do you know a substance is                               -    What Manual Handling hazards have been   -   Have any hazards been identified?
          hazardous?                                                        identified                               -   Walk around & observe
     -    once identified what do you do about it?                     -    Where is the risk assessment?            -   Note uneven surfaces
                                                                       -    Which staff were involved in the risk    -   Note edges marked
     -    Let’s look at XXXXX
                                                                            assessment?                              -   Review hazard & incident reports
     -    Do you have an MSDS?                                         -    Has anything changed as a result?        -   Review staff meeting minutes
     -    Where is it located?                                         -    What controls are in place?              -   Talk with staff
     -    Can I see where you store XXXXX?                             -    Who uses the equipment?                  -   Have they identified hazards?
     -    Who labelled the container?                                  -    Who carries out the work?                -   Have they reported hazards?
                                                                       -    Are staff involved trained?              -   Have they received feed back from
     -    Where is the PPE required?                                   -    Where are the training records?              reports?
     -    Who maintains it?                                                                                          -   Has action been taken?
     -    Who uses this substance?
     -    Are they trained to handle XXXXX?

S:\Infotech\WEB Changes\Internal Audit Record-Worksheet - Hazard Management.doc

To top