HEALTH, SAFETY AND ENVIRONMENT QUESTIONAIRES

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Items
HEALTH, SAFETY AND ENVIRONMENT POLICY
Do you have Health, Safety and Environment

Policy Statement which been signed by your

Yes

No

Remark/ Explanation

company senior management? (Please attach a

1.

copy)
Do you communicate the Policy with your staff?

2
1.

Do you have Health, Safety and Environment

Manual which was signed by your company

2
2.

senior management?
LEGAL AND OTHER REQUIREMENT
Do you have listed of legal and

requirement register related to your operations?

2.

(Please attach a copy)

If YES, how frequent do you check the legal and

2
3
3.

other requirement register?

COMPETENT HEALTH, SAFETY AND ENVIRONMENT PERSONNEL
Have you appointed related person-in-charge for

coordinating health, safety and environment

3.

matters?
Health, Safety and Environment Organisation

2
3.

Does your company have Health, Safety and

other

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Environment Committee? (Please attached the

3.

organisation chart)
If YES, how frequent it been conducted?

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4.

SAFETY PRACTICES AND PROCEDURES

Do you have written work practice, safety

1
4.

instructions and procedures?

Do you use any Permit-To-Work system?

2
4.

Have you identified all the hazard/risk identified

3
5
5.

in your work operations?

SAFETY PERFORMANCE
Does
your
company

performance? (eg: Fatality, Loss Time Injury,

6
6.

manhours, etc) (Please attach a copy)

TRAININGS
Do you have plan for your staff to attend safety

1
6.

training?
Are you aware of the basic training needs

2
6.

required for your work operations?

What other safety training will be given to new of

transferred employees?
a) Hazard and Risk
b) First Aid/ Fire Fighting
c) Specific Work procedure
INSPECTION AND SAFETY AUDIT
Do you have a plan on inspection and safety

7
7.

measure

Yes

No

Remark/ Explanation

safety

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Items

No

Remark/ Explanation

audit?
How frequent do you conduct an:
Inspection?

Weekly/Monthly/Quarterly/Yearly (delete as

Audit?

applicable)
Weekly/Monthly/Quarterly/Yearly (delete as
applicable)

8
8.

ACCIDENT INVESTIGATION AND REPORTING

Do you have a written procedure for accident

1
9
9.

investigation and reporting?

AWARENESS
Do you have a plan to increase awareness in

1
9.

health, safety and environment?

What plan do you have to motivate your

employees to participate in safety awareness

programme?
a) Good safety performance will be duly
recognized and awarded
b) Safety reviews/appraisals

to

take

into

accounts staffs contribution to safety

c) All appropriate communication technique
such as the following shall be used: Video,
Notice board, Bulletins

ENTERPRISE RISK MANAGEMENT QUESTIONNAIRES

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INTERNAL ENVIRONMENT
What is the overall risk appetite of the organization?

1
1.
2
1.

Remarks/ Explanation

How committed is the Senior Management

establishing a risk management philosophy?
Are

there

integrity

and

ethical

values

and

to
a

3
1.

commitment to competence in the organization?

Is the assignment of authority and responsibility over

4
1.

risks well managed? Who manages this process?

What is the organizational structure of the company

5
1.

and departments?
What HR standards related to risk management are
currently in place?

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2.
1
2.
2
2.
3
2.
4
2.
5

OBJECTIVE SETTING
How well are strategic and related objectives defined?
How is the achievement of these objectives monitored?
What activities are on your risk management goal sheet
for this year?
What does the company need to do well over the next
year in order to succeed and reach its goals? What
factors do you consider to be critical to your companys
success in the next year?
What areas would you like to see moved to the next
level of performance?

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Items

Remarks/ Explanation

What could prevent you from achieving your goals (e.g.

people, processes, funding, etc.)?
EVENT IDENTIFICATION
How do internal and external forces impact the risk
profile?
What other event identification techniques are in place
(e.g. self-assessments, trend reporting, fraud hotline,
etc.)?
How are deficiencies captured and reported?
How does the organization distinguish between risks
and opportunities?
RISK ASSESSMENT
What does management perceive to be the largest risks
to the company, in terms of significance and likelihood?
What does management perceive to be the biggest
risks within their area of control? Please provide
examples.
Thinking of other areas within the company, how well
does management receive information from shared
services groups (e.g. IT, Finance, HR)?
What additional information would management like to
have accessible in order to better perform its
responsibilities?
In managements opinion, what areas or processes are
most susceptible to fraud?
Is management aware of any instances of fraud within
the company? What/how/who?
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Remarks/ Explanation

RISK RESPONSE
How are risks monitored and reported within the
organization?
How effectively are identified risks managed?
What is management doing specifically to manage
identified risks (e.g. financial statement variance
reporting, trend reporting, credit reporting, insurance
policies, legal, BOD involvement and reporting)?
CONTROL ACTIVITIES
What is managements assessment of the effectiveness
of overall controls in preventing risks and carrying out
risk activities within your organization?
How are control activities tested?
What type of review process takes place for policies and
procedures?
What type of review process takes place for IT
application controls and the IT general control
environment?
What does the company do to address entity-specific
controls?
INFORMATION AND COMMUNICATION
How does the organization/department
information and communicate related risk?

capture

What communications barriers are present within the

organization?
What ongoing monitoring activities are in place (e.g.
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o
3

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Remarks/ Explanation

compliance monitoring, IA, risk management group,

BOD monitoring, etc.)?

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