PNH 2011 Internal Audit

Filename: OHSAS-InternalAudit-2011.doc

GOODMAN ENVIRONMENTAL PTE LTD

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

INTERNAL AUDIT CONDUCTED ON THE FOLLOWING

ADDRESS & PERSONNEL:

GOODMAN ENVIRONMENTAL PTE

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

Auditee

Paul Lim, Meng Hwee and Lee

Internal Audit Checklist/ Report

Element 4.1: General Requirements (4: OHS Management System requirements)

To (Auditee): ___________________ From (Auditor): _______________ cc to: ______________

* Corrective action to be made by __________ days and Re-audit on ______________

S/No.

Checklist Findings/ Corrective Actions

1

Does the organization establish, implement, maintain and continually improve an OHS Management System in accordance with the requirements of

OHSAS 18001:2007?

Yes through an ongoing program of daily training via tool box talks and site visits and daily inspections. We attempt to reinforce basic principles through repletion of company policy

Re-audit

2

Is the scope of the OHS Management

System clear defined the document and scope?

and protocols.

Yes in addition, each jobsite maintains a site safety manual and safety board which is explained to workers emphasizing the specific intracacies of each project.

2+ years

3

How long has the program been established?

(Auditor) Sign Date: ______________________ (Auditee) Sign Date: _________________________________

* I have understood all discrepancies, and all corrective actions shall be implemented as per agreed dates.

Note: For the ‘Re-audit’ column, after the corrective action has been satisfactorily carried out, put a date and sign. To input comments if necessary.


Element 4.2: OHS Policy (4: OHS Management System requirements)

To (Auditee): ___________________ cc to: ______________ From (Auditor):_________________

* Corrective action to be made by ______________ days and Re-audit on ______________

S/No.

Checklist Re-audit

1

2

3

What is the organization’s policy? Is it established?

Is the policy appropriate to the nature and scale of the organization’s risks?

Does the policy include a commitment to prevention of injury and ill health and continual improvement in OHS management and performance?

Findings/ Corrective Actions

Create a safe and healthful work environment for all employees and maintain compliance with the

Factories Act and it’s subsidiary legislation. Yes there is a written policy established.

Yes it is also reinforced with the development of

Activity Hazard (Risk) Assessments (AHA) for each project.

Absolutely, to date we have over 850 days without a loss time accident, injury or occupational illness.

4

Does the policy include a commitment to at least comply with legal requirements and with other requirements to which the organization subscribes that relate to its

OHS hazards?

Yes as delineated above the policy is in keeping with the requirements of the Factories Act.

5

6

Does the policy provides the framework for setting and reviewing OHS objectives

Is the policy documented, implemented, maintained (periodically reviewed) and communicated to all persons under the control of the organization with the intent they are made aware of their responsibilities to the OHS?

Yes each AHA is reviewed every six months as long as it is still relevant to the work being performed. AHAs used by this company are either for projects or processes. The processes are specifically reviewed for their applicability.

Yes the policy and the company’s Safety

Management System is reviewed annually by the government of Singapore. Training is provided to all employees regarding this policy on an ongoing basis.

7

8

Is the policy reviewed periodically?

Is the policy available to interested parties?

Yes every six months.

Yes

(Auditor) Sign Date:_______________________________ (Auditee) Sign Date:

_______________________________________




Element 4.3.1: Hazard Identification, Risk Assessment and Determine Control (4.3: Planning)

To (Auditee): __________________________ From (Auditor): __________________ cc to:

______________


S/No.

Checklist Findings/ Corrective Actions Re-audit

1

Are there documented and maintained procedures to establish and update hazards, risks and implementation of controls?

Yes, an annual safety audit is completed each year and a Hazard Abatement Plan is in place to address and prioritize hazard findings.

2

3

Does the procedure cover routine and non routine activities?

Yes this is addressed through AHA’s.

Yes Does the procedure cover all personnel and facilities?

4

5

Does the procedure take into account infrastructure, equipment and material at the workplace, changes in the organization?

Yes, i.e. when we started the roof washing project, we procured vicron webbed shoes to ensure that workers have maximum traction when working on wet roofs.

A review by senior management via the

Project Delivery Team (PDT).

6

7

What mechanism is used to initiate hazard review/revision when operations change?

Do the criteria for the assessment of risk address both likelihood and consequence?

Are there records to provide evidence of analysis of hazards, risks and controls?

Yes each AHA addresses three aspects of risk,

Severity, Likelihood of occurrence and Risk

Level.

Yes

Are there any obvious hazards that should have been considered and were not? If not, why not?

No. The risks on the construction project we perform are generally pretty straight forward. In

8

9

Are results of assessments and effects of controls considered when setting OHS objectives and are they documented and up to date?

Does the methodology: a) define scope, nature and timing?

b) ensure proactive rather than reactive assessments?

c) provide for classification of risk tolerability?

d) identify those to be eliminated or controlled?

e) assure consistency with operating experience?

f) assure consistency with effectiveness of risk control measures?

addition, we have worked hard to reduce the toxicity of the materials we employ reduce the amounts of materials we have on hand.

Yes the ongoing inspection process affords the opportunity to constantly look at how work is performed and to identify any problems. These issues are then communicated to the workers via morning tool box talks or training conducted at the job site if the issue is project specific.

10

11

Does the methodology provide input into determination of facility requirements, training needs and operational controls?

Does the methodology provide for monitoring of required actions to ensure timeliness and effectiveness of implementation?

Yes

Yes

(Auditor) Sign Date: _______________________________ (Auditee) Sign Date:

___________________________________________




Element 4.3.2: Legal and Other Requirements (4.3: Planning)

To (Auditee): ____________________________ From (Auditor): ________________________

______________


S/No.


Ministry of Manpower web site

1

Is there a documented procedure for the organization to identify and have access to all applicable legal requirements?

2

3

4

Is someone (or more than one) designated to keep current on requirements?

What are the resources, references and methods to keep current?

How is applicability of new requirements determined?

The Senior Safety Manager and Sembawang site manager.

As needs arise we refer to two sources of information Factories Act of 2006 and the US

Army Corps of Engineers EM-385-1-1 Safety and

Health Requirements Manual

It is tied in with doing a detailed assessment of a project which is tied in with conducting the risk assessment. In some cases after a detailed assessment has been completed it becomes evident that a certain project is not right for our company.

In several ways. Requirements can be expressed through verbal communication or

cc to:

Re-audit

5

How are requirements communicated to all interested party?

training. We have also employed flyers for certain projects particularly when work is done in housing areas where residents are present.

(Auditor) Sign Date: __________________________________

__________________________________

(Auditee) Sign Date:




Element 4.3.3: Objectives and Programmes (4.3: Planning)

To (Auditee): ___________________

* Corrective action to be made by __________

From (Auditor): __________________ cc to: ______________ days and Re-audit on ______________

S/No.

Findings/ Corrective Actions Re-audit

Yes

1 level?

Checklist

Has the organization established, implement and maintained documented

OHS objectives at relevant functions and

Are objectives reasonable, measurable and consistent with the OHS policy?

Yes

2

4

5

Have the documented objectives considered legal and other requirements?

Is there a designation of responsibility and authority for achieving objectives at relevant functions and levels?

Does the program address the means and time frame by which the objectives are to be achieved?

Yes – There are written company policies for

Respiratory Protection, Heat Stress, Hearing

Conservation, Blood Borne Pathogens, and

Pesticides.

Yes all issues regarding Safety and Health go through the Senior Safety Manager or his designated representatives.

Yes

(Auditor) Sign Date: _________________________________

____________________________________





Element 4.4.1: Resources, Roles, Responsibility, Accountability and Authority (4.4:

Implementation And Operation)

To (Auditee): __________________________ cc to: ______________


From (Auditor): ___________________________________ days and Re-audit on ______________

S/No.


Yes

1

Are roles and responsibility, and authorities defined, documented and communicated?

2

3

Has management provided the necessary resources (people, technology, money) to implement this OHS Management

System?

Has the organization appointed an OHS management representative from top management in ensuring that the OHS management system is in accordance to

OHSAS 18001:2007?

Yes – All construction workers are provided with safety shoes, hard hats, eye protection and hearing protection upon hire. These items are replaced as needed if deterioration is due to normal wear and tear. Lost items or equipment damaged through neglect are replaced at worker expense.

Yes, Mr. Lee Wilson, Senior Safety Manager for

PNH Resources PTE LTD

4

5

Is the report on the performance of the

OHS management presented to top management for review and used as a basis for improvement?

Is the identity of Management

Representative made available to all persons working under the control of the organization?

Yes we are small enough and homogenous enough that issues can be addressed and corrective actions initiated quickly.

Yes, the MR interacts with all workers on a daily basis.

(Auditor) Sign Date: ______________________________ (Auditee) Sign Date:

________________________________________



Operation)


Element 4.4.2: Competency, Training and Awareness (4.4: Implementation And

To (Auditee): __________________________

______________


From (Auditor): __________________________ days and Re-audit on ______________

cc to:

S/No.


1

2

Are procedures established and maintained to make employees aware of the importance of conformance to the

OHS policy and procedures, requirements of the OHS management system, OHS consequences, actual or potential, of their work activities and the OHS benefits of improved personal performance;

How do you ensure personnel are competent to perform tasks that impact

OHS?

Yes

For certain career paths workers have to complete professional competencies which include testing outside of the company to ensure their professional development.

3

Do the training procedures take into account the differing levels of responsibility, ability, literacy and risk?

Yes we conduct training in four languages;

Tamil, Myanmar Chinese and Bangladesh.

4

Are there specific, documented minimum requirements for each person performing a task that can cause significant OHS impact?

Yes based on the risk assessment done on the pertinent AHA.

(Auditor) Sign Date: ____________________________________ (Auditee) Sign Date:

__________________________________



and Operation)


Element 4.4.3: Communication, Participation and Consultation (4.4: Implementation

To (Auditee): ______________________________________ From (Auditor):

_________________________________ cc to: ______________


S/No.


1

How are internal communications between different levels and different functions documented? How do you have feedback to management?

All meetings/training evolutions are documented through signed rosters which are maintained in the Safety Office.

2

3

How are communications to and from interested parties (contractor/ visitors) and the organization’s pertinent OHS information communicated?

Is there a procedure establish, implement and maintain pertaining to receiving, documenting and responding to relevant communications from external interested parties?

In the same manner as the internal communications. Recently there was a situation where we had a sub-contractor come in and do a large project replacing main switch boards. The

Senior Safety Manager provided a safety brief for this group regarding specific operational requirements on our compound.

Yes, because this is a controlled compound it is easy to interact with and control external parties.

4

5

How are workers involved in the development of hazard identification, risk assessment and determination of control?

How are workers involved in the incident investigation?

Workers are encouraged to maintain vigilance on the job site and watch for potential problems, maintain good housekeeping, control hazardous materials and report all injuries no matter how small to their supervisor or the Safety Office.

Through interviews – If an incident does occur workers feedback is crucial to identifying problems in the steps leading up to the incident.

6

7

8

9

10

How are workers involved in the development of policies and Objectives?

How are workers consulted for changes that affect workplace health and safety?

How workers are represented on OHS matters?

Do workers know who their OHS representative and/or management appointees are?

How are relevant external interested parties consulted about pertinent OHS matters?

Questions and answer sessions at the morning meetings.

In the training/morning meeting format

All workers have direct access to the MR and also may use their supervisors as their advocates.

Yes

Safety briefs as needed. Sembawang has an extensive Heat Stress Program which involves monitoring heat stress and posting heat conditions at several areas around the

compound.

(Auditor) Sign Date: ____________________________ (Auditee) Sign Date: _________________________




Element 4.4.4: Documentation (4.4: Implementation And Operation)

To (Auditee): __________________________ From (Auditor): _________________________________ cc to: ______________


S/No.


Yes

1

Does the OHS Management System documentation include OHS Policy and

Objectives?

Yes

2

Does the OHS Management System documentation provide a description of the scope of the OHS Management System documentation?

3

4

Does the OHS Management System documentation provide a description of the main elements of the OHS Management

System and their interaction, and reference to related documents?

Does the OHS Management System documentation include records required by

OHSAS 18001: 2007 standards and those determined by the organization to be necessary to ensure effective planning, operation and control of process?

Yes

This is a work in progress due to the merging with Goodman and Highman.

(Auditor) Sign Date: _____________________________ (Auditee) Sign Date:

__________________________________




Element 4.4.5: Control of documents (4.4: Implementation And Operation)

To (Auditee): ___________________________________ From (Auditor):

cc to: ______________ _______________________________


S/No.

Checklist

1

2

Is there procedure for approving documents for adequacy prior to use?

T

Findings/ Corrective Actions his process requires improvement however most documents pertaining to the company are reviewed by the cognizant person (i.e. the business manager or safety manager)

Yes

Re-audit

3

4

5

6

Is there procedure to review and update as necessary and re-approve document?

Is there procedure to ensure that changes and the current revision status of documents are identified?

Is there procedure to ensure that relevant versions of applicable documents are available at points of use?

Is there procedure to ensure that documents remain legible and readily identified?

Is there a procedure to ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the OHS

Management System are identified and their distribution?

Yes – However, with the recent merging with

Goodman and Highman, this process will require some refinement.

Yes

Yes

Yes – needs improvement

7

Is there a procedure to prevent unintended use of obsolete documents and apply suitable identification to them if they are retained for any purposes.

Yes, obsolete documents are shredded.

(Auditor) Sign Date: __________________________________

___________________________________________





Element 4.4.6: Operational Control (4.4: Implementation and Operation)

To (Auditee): _________________________________________ From (Auditor):

cc to: ______________ _______________________________________


S/No.


Yes via the AHAs

1

2

Have the operations and activities, including maintenance, been identified that are associated with the identified

OHS risks where control measures need to be applied

Are operating criteria clearly established and document/data in the procedures for the operations and activities identified above?

Have the identified OHS risks of goods, materials, equipment and services used in the above operations and activities been identified?

Yes as evidenced by our use of water based paints for all indoor applications. MSDSs are reviewed by the company and also must be routed through the compound’s (Navy Regional

Center Singapore) Environmental Engineer.

3

Are there control procedures related to purchase goods, materials, equipment and services?

Yes – Tha Zin Nwe (Jennifer) maintains these controls.

Re-audit

4

Are there control procedures related to contractors and other visitors to the workplace?

Yes – Each jobsite has a safety binder which includes a sign-in sheet for visitors, AHAs for the project, emergency numbers and points of contact, and records of site safety inspections.

This has not been an issue to date.

5

Are there documented procedures, to cover situation where their absence could lead to deviation from the OHS policy and the objectives?

6

Are there stipulated criteria where their absence could lead to deviation from the

OHS policy and objectives?

No

(Auditor) Sign Date: ____________________________

____________________________________




Operation)


Element 4.4.7: Emergency Preparedness and Response (4.4: Implementation And

To (Auditee): ______________________________ From (Auditor): _________________________________ cc to: ______________


S/No.


1

2

3

Is there procedure to identify potential for emergency situations?

Is there procedure to respond to emergency situations?

Is there procedure to prevent or mitigate the OHS consequences that may be associated with the identified emergency situations?


Yes - we have a muster point for emergencies

and each job site binder contains emergency numbers and points of contact.

Yes – There are 4 qualified first aiders in the company. Two Mr. Han Lim and Mr. Lee

Wilson are listed at each job site with their respective phone numbers.

Yes – Every emergent situation is evaluated for OHS implications and these situations are addressed during regularly scheduled company training.

4

Are interest parties been taken into account when establishing the procedure?

Yes – On our compound we must take into account the interests of a variety of countries including New Zealand, Australia, Great

Britain and Singapore.

5

Are there periodically test on the above procedures?

Yes – Evacuation/muster drills are coordinated by the NRCS Public Safety Department.

6

Are there reviews and revisions of the emergency preparedness and response procedures?

Yes – Generally these are spearheads by the

NRCS Public Safety Department.

(Auditor) Sign Date: _______________________________________ (Auditee) Sign Date:

_______________________________________



Corrective Action)


Element 4.5.1: Performance Measurement and Monitoring (4.5: Checking And

To (Auditee): _______________________________ From (Auditor): _________________________________ cc to: ______________


S/No.


1

Did you establish procedures to monitor and measure your organization’s OHS performance?


This is done in several ways. Daily inspections of all job sites, formal annual

OHS inspections, and ongoing training to address issues as they arise.

2

Did you establish monitoring and measurement methods that meet your organization’s needs?

Yes

3

Did you establish quantitative methods to monitor and measure OHS performance?

Yes – but we are continually looking for opportunities to improve this process.

4

5

6

Did you establish qualitative methods to monitor and measure OHS performance?

Does the information on the results of audits provide to management?

Does the procedure address the responsibilities, competencies and requirements for planning and conducting audits, reporting results and retaining

Yes

Yes all audit results are shared with senior management and the General Manager.

Yes associated records


___________________________________





Element 4.5.2: Evaluation of Compliance (4.5: Checking And Corrective Action)

To (Auditee): _____________________________ From (Auditor): ________________________

______________


S/No.


Absolutely – please review the Baseline

Safety Survey conducted in December of

2011. This survey is the key to the

1

Is there procedure for periodically evaluating compliance with applicable legal requirements? development of the Hazard Abatement Plan and continual improvement within the company.

cc to:

Re-audit

2

Does the periodic evaluation record properly kept? Yes

(Auditor) Sign Date: ____________________________________ (Auditee) Sign

Date:___________________________________




Element 4.5.3.1: Incident Investigation (4.5: Checking And Corrective Action)

To (Auditee): ______________________________________ From (Auditor):

cc to: ______________ _____________________________________


S/No.

Checklist

1

Is there a procedure to record, investigate and analyze incidents?


There is a procedure but for the most part very few incidents have warranted investigation. These investigations are spearheaded by the Senior Safety Manager.

Absolutely

2

3

4

5

Does the procedure determine underlying

OHS deficiencies and other factors that might be causing or contribution to the occurrence of incident?

Does the procedure identify the need for corrective action?

Does the procedure identify opportunities for preventive action?

Does the procedure identify opportunities for continual improvement?

Yes

Yes

Yes

Re-audit

6

7

Is the result of investigation communicated?

Is the investigation performed in a timely manner?

Yes – Generally via company training

Yes

8

Is the proper documentation on the results of incident investigation?

Yes

(Auditor) Sign Date: ____________________________

__________________________________





Element 4.5.3.2: Non conformances And Corrective Action And Preventive Action (4.5: Checking And Corrective

Action)

To (Auditee): __________________________

______________


From (Auditor): __________________________ cc to: days and Re-audit on ______________

S/No.


1

Is there procedure for dealing with actual and potential nonconformity and for taking corrective action and preventive action?


Yes – There is a program to issue Safety

Citation violations to employees for blatant disregard of safety practices. The first citation serves as a warning. Repeated behavior can result in dismissal of an employee.

2

3

4

5

Does the procedure define the requirements for identifying and correcting nonconformity and taking action to mitigate their OHS consequences?

Does the procedure define the requirements for investigating nonconformity, determining their causes and taking action in order to avoid their reoccurrence?

Does the procedure define the requirements for recording and communicating the results of corrective/ preventive action?

Does the procedure define the requirements for reviewing the effectiveness of corrective action and preventive action taken?

Yes

Yes – Primarily the responsibility of the

Senior Safety Manager and the site supervisor.

Yes – most issues of this sort are discussed via employee meetings and training.

Yes as discussed in section 1 above.

(Auditor) Sign Date: _________________________

Date:__________________________________

(Auditee) Sign



Action)


Element 4.5.4: Records and Records Management (4.5: Checking And Corrective

To (Auditee): ________________________________

cc to: ______________


From (Auditor): _____________________________ days and Re-audit on ______________

S/No.


Yes

1

2

Is procedures documented and maintained for the identification, maintenance and disposition of OHS records?

Are the records legible, identifiable and traceable to the activities involved?

Are the records stored and maintained

Yes – Virtually all of these records are maintained by the Safety Office.

3 such that they are readily retrievable and protected against damage, deterioration or loss?

Are there specified retention times for all of the records identified?

Yes – Records will be maintained a minimum of 3 years, longer for special programs. This is the responsibility of the Senior Safety

Manager.

Yes

4

5

Are the records maintained in a manner to demonstrate conformance with the standard and appropriate to the system and the organization?

Is consideration given to confidentially?

Yes – Personal information is shielded from

Public purview.

(Auditor) Sign Date: ___________________________________ (Auditee) Sign Date:

________________________________________




Element 4.5.5: Internal Audit (4.5: Checking And Corrective Action)

To (Auditee): __________________________ From (Auditor):

cc to: ______________ ______________________________________


S/No.

Checklist

1

Are procedures documented and maintained for periodic OHS audits?


Yes – This aspect of the project is constantly undergoing scrutiny for improvement opportunities.

2

3

Does the procedure for OHS audits include the scope of the audit, frequency, methodologies used, responsibilities, requirements, and method of reporting results?

Does the OHS audit determine whether their OHS has been implemented and maintained and conforms to this standard and organization’s OHS policy and objectives?

Yes – A formal internal audit is conducted each year as well as a formal safety survey.

The results of the safety survey are used to develop the Hazard Abatement Plan.

Yes – Each year deficiencies identified should be addressed/corrected.

Yes

4

5

Does the OHS audit provide results of the audits to management?

Is the audit program and schedule based on risk assessments and the results of previous audits?

Yes

Yes

6

Does the procedure address the independence of auditors?

Re-audit


________________________________________





Element 4.6: Management Review (4.6: Checking And Corrective Action)

To (Auditee): __________________________________ From (Auditor):

cc to: ______________ ______________________________________


S/No.

Checklist

1

Has top management performed a review of the OHS management system on a periodic basis? Is it documented?


Yes but documentation is lacking.

Re-audit

2

3

Does the review address the system's: a) continued suitability b) adequacy c) effectiveness

Does the review address possible need to change its policy, objectives and other elements of the OHS management system? Has this been conducted in light of OHS management system audit results, continual improvement and changing circumstances?

Does the record of the review include a list of information used for the management

Yes

Yes – Procurement of vicron shoes for the roof washing project for example.

No

4 evaluation?


__________________________________________




AUDIT SUMMARY

a. Scope : To report the Internal Audit findings carried out on Mr. Lee

Wilson_______________ b. Objective : To ensure that the OHS Management System established by us conforms to the OHSAS 18001:2007 requirements and has been effectively implemented and maintained and to prepare for the external audit on _22 December 2011 and 09 January 2012 c. Members of the internal audit team : Please refer to the Audit Schedule d. Names & Departments of Auditees : Please refer to the Audit Schedule e. Audit Schedule : Please refer to the Audit Schedule attached f. Every elements required by the OHSAS 18001 were being audited with reference to the OHS Manual & Procedures. The procedures were being audited randomly and the findings are as highlighted in the checklist & findings. g. There is no non-conformity or observation found. h. Conclusion: Company is ready for surveillance audit by certification bodies.

Disclaimer: Si nce the audit was carried out randomly, some non-conformity may not be discovered during this audit. The auditees should be reminded to carry out self-check and bring up any non conformities found and take corrective actions accordingly before the next audit which will be held in April 2012

Reported by : by:

Joseph Tong (Consultant)

(Management Representative)

Acknowledge

Paul Lim

PNH 2011 Internal Audit

GOODMAN ENVIRONMENTAL PTE LTD

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

INTERNAL AUDIT CONDUCTED ON THE FOLLOWING

ADDRESS & PERSONNEL:

GOODMAN ENVIRONMENTAL PTE

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

Paul Lim, Meng Hwee and Lee

AUDIT SUMMARY

Related documents

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Support

PNH 2011 Internal Audit

GOODMAN ENVIRONMENTAL PTE LTD

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

INTERNAL AUDIT CONDUCTED ON THE FOLLOWING

ADDRESS & PERSONNEL:

GOODMAN ENVIRONMENTAL PTE

HIGHMAN EXTERNAL SPECIALIST PTE LTD

PNH RESOURCES PTE LTD

Paul Lim, Meng Hwee and Lee

AUDIT SUMMARY

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