ohs as 18001 2007 audit checklist

OHSAS18001:2007 Management System Audit Checklist

Audit Number: ………………………. Date and Time of Audit: From …………………………….. To …………………………………..

Name of the organisation audited: ……………………………………………………………………………………………………………………

Locations covered in this audit : ………………………………………………………………………………………………………………..

Name (s) of Auditor (s) : ………………………………………………………………………………………………………………..

Name (s) of Auditee (s) : ………………………………………………………………………………………………………………..

Note: This checklist can accommodate upto four departments / workplaces only. Please use extra copies of this checklist to record audit observations of more departments / workplaces.Abbreviations: TMA = Top Management Appointee (or Management Representative)

4.1 GENERAL REQUIREMENTS – Scope of system / certification

Sl. No. Question To Be Asked Generally

Asked To

Compliance Status In various Departments / Workplaces (Enter NA if not applicable)Auditors’ RemarksDept. / Workplace - 01 Dept. / Workplace - 02 Dept. / Workplace - 03 Dept. / Workplace - 04

1 Have you defined the scope of your Occupational Health and Safety Management System (OHS-MS) ? If so, where is it stated in your manuals ?

TMA (OHS-MS)

2 Does the scope include those hazards and risks which you can control or influence ?

TMA (OHS-MS)

3 Have you excluded any activity from the scope of the OHS-MS ? If so, whether the reasons for exclusion justifiable ?

TMA (OHS-MS)

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4.2 OCCUPATIONAL HEALTH AND SAFETY POLICY


Asked To


1 Has the top management defined the OH&S policy of your organisation ?

Top Management

2 Is the policy consistent with the scope of the OHS-MS ?

Top Management

3 Is the policy appropriate to the nature, scale and OH&S risks in your activities, products, and services ?

Top Management

4 Does the policy make any commitment to continual improvement ?

Top Management

5 Does the policy make any commitment to prevention of ill health and injury at workplace ?

Top Management

6 Does the policy includes a commitment to at least comply with applicable legal requirements and with other requirements to which the organisation subscribes that relate to its OH&S hazards ?

Top Management

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7 Does the policy provides the framework for setting and reviewing OH&S objectives ?

Top Management

8 Is the OH&S policy documented, implemented and maintained ?

Top Management

9 Have you communicated the OH&S policy to all persons working under the control of the organization with the intent that they are made aware of their individual OH&S obligations ?

Top Management

10 Is your OH&S policy made available to interested parties, such as the sub-contractors, suppliers, and the public ?

Top Management

11 Do you review the OH&S policy periodically to ensure that it remains relevant and appropriate to the organisation ?

Top Management

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4.3 PLANNING

4.3.1 Hazard identification, risk assessment and determining controls

Sl. No. Question to be asked Generally

Asked To


1 Has the organisation established, implemented and maintained any procedure(s) for the ongoing hazard identification, risk assessment, and determination of necessary controls ?

TMA (OHS-MS)

2 Do the hazard identification and risk assessment procedure (s) take routine and non-routine activities into account ?

TMA (OHS-MS)

3 Do the hazard identification and risk assessment procedure (s) take activities of all persons having access to the workplace (including contractors and visitors into account ?

TMA (OHS-MS)

4 Do the hazard identification and risk assessment procedure (s) take human behaviour, capabilities and other human factors into account ?

TMA (OHS-MS)

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5 Do the hazard identification and risk assessment procedure (s) take identified hazards originating outside the workplace capable of adversely affecting the health and safety of persons under the control of the organisation within the workplace into account ?

TMA (OHS-MS)

6 Do the hazard identification and risk assessment procedure (s) take hazards created in the vicinity of the workplace by work-related activities under the control of the organisation into account ?

TMA (OHS-MS)

7 Do the hazard identification and risk assessment procedure (s) take infrastructure, equipment and materials at the workplace, whether provided by the organisation or others into account ?

TMA (OHS-MS)

8 Do the hazard identification and risk assessment procedure (s) take changes or proposed changes in the organisation, its activities, or materials into account ?

TMA (OHS-MS)

9 Do the hazard identification and risk TMA

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assessment procedure (s) take modifications to the OH&S management system, including temporary changes, and their impacts on operations, processes, and activities into account ?

(OHS-MS)

10 Do the hazard identification and risk assessment procedure (s) take any applicable legal obligations relating to risk assessment and implementation of necessary controls into account ?

TMA (OHS-MS)

11 Do the hazard identification and risk assessment procedure (s) take the design of work areas, processes, installations, machinery/equipment, operating procedures and work organisation, including their adaptation to human capabilities into account ?

TMA (OHS-MS)

12 How is the organisation’s methodology for hazard identification and risk assessment:

a) defined with respect to its scope, nature and timing to ensure it is proactive rather than reactive ?

b) providing for the identification, prioritisation and documentation of risks, and the application of

TMA (OHS-MS)

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controls, as appropriate ?

13 Does the organisation identify the OH&S hazards and OH&S risksassociated with changes in the organisation, the OH&S management system, or its activities, prior tothe introduction of such changes ?

TMA (OHS-MS)

14 Does the organisation ensure that the results of risk assessments are considered when determining controls ?

TMA (OHS-MS)

15 When determining controls, or considering changes to existing controls, do you seek to reduce the risks according to the following hierarchy ?

a) elimination

b) substitution

c) engineering controls

d) signage/warnings and/or

administrative controls

e) personal protective equipment

TMA (OHS-MS)

16 Do you document and keep the results of identification of hazards, risk

TMA (OHS-MS)

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assessments and determined controls up-to-date ?

17 Do you ensure that the OH&S risks and determined controls are taken into account when establishing, implementing and maintaining your OH&S management system ?

TMA (OHS-MS)

4.3.2 Legal and other requirements


Asked To


1 Have you established, implemented and maintaining procedure (s) for identifying and accessing the legal and other OH&S requirements that are applicable to the organisation ?

TMA (OHS-MS)

2 Do you ensure that the applicable legal requirements and other requirements towhich your organisation subscribes are taken into account in establishing, implementing and maintaining its OH&S management system ?

TMA (OHS-MS)

3 Does your organisation keep itself up-to-date about the legal and other requirements ?

TMA (OHS-MS)

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4 Does the organisation communicate relevant information on legal and other requirements to persons working under the control of the organisation, and other relevant interested parties (such as contractors, visitors, and any other interested person) ?

TMA (OHS-MS)

4.3.3 Objectives and programme(s)


Asked To


1 Have you established, implemented and maintaining documented OH&S objectives at relevant functions and levels within the organisation ?

TMA (OHS-MS)

2 Are the OH&S objectives measurable (where practicable) ?

TMA (OHS-MS)

3 Are the OH&S objectives consistent with the OH&S policy, including the commitments to the prevention of injury and ill health, to

TMA (OHS-MS)

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compliance with applicable legal requirements and with other requirements to which the organisation subscribes, and to continual improvement ?

4 When establishing and reviewing its OH&S objectives, does the organisation take into account, its OH&S risks, the legal requirements and other requirements to which the organisation subscribes ?

TMA (OHS-MS)

5 Does the organisation consider its technological options, its financial, operational and business requirements, and the views of relevant interested parties ?

TMA (OHS-MS)

6 Have you established, implemented and maintaining any programme(s) for achieving the OH&S objectives ?

TMA (OHS-MS)

7 Does the organisation’s minimum programme for OH&S cover the following ?

a) designation of responsibility and

TMA (OHS-MS)

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authority for achieving objectives at relevant functions and levels of the organisation, and

b) the means and time-frame by which the objectives are to be achieved.

8 Do you review the OH&S programme(s) at regular and planned intervals to ensure that the objectives are achieved ?

Top Management

4.4 IMPLEMENTATION AND OPERATION

4.4.1 Resources, roles, responsibility, accountability and authority


Asked To


1 Is the organisation’s Top management taking the ultimate responsibility for OH&S and the OH&S management system ?

Top Management

2 Is the organisation’s Top management able to demonstrate its commitment by ensuring the availability of resources (such as human resources and specialised skills, organisational infrastructure, technology and

Top Management

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financial resources) essential to establish, implement, maintain and improve theOH&S management system ?

3 Is the organisation’s Top management able to demonstrate its commitment by defining roles, allocating responsibilities and accountabilities, and delegating authorities, to facilitate effective OH&S management ?

Top Management

4 Are the OH&S roles, responsibilities, accountabilities, and authoritiesdocumented and communicated ?

Top Management

5 Has the organisation appointed a member(s) of top management with specific responsibility for OH&S,irrespective of other responsibilities, and with defined roles and authority for:a) ensuring that the OH&S

management system is established, implemented and maintained in accordance with OHSAS 18001 standard, and

b) ensuring that reports on the performance of the OH&S management system are presented to top management for review and used as a basis for improvement of

Top Management

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the OH&S management system.

6 Is the Top Management Appointee (TMA) aware of his specific OH&S responsibilities and authority ?

Top Management

7 Is the identity of the top management appointee already made available to all persons working under the control of the organisation ?

Top Management

8 Are all those with management responsibility are able to demonstrate their commitment to the continual improvement of OH&S performance ?

Top Management

9 Does the organisation ensure that persons in the workplace take responsibility for aspects of OH&S over which they have control, including adherence to organisation’s applicable OH&S requirements ?

Top Management

4.4.2 Competence, Training and awareness


Asked To


1 Does the organisation ensure that the HR Manager

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persons (such as staff, contractors, shift workers, casual staff, etc.) under its control performing tasks that can impact on OH&S are competent (on the basis of appropriate education, training or experience) ?

2 Do you retain any record of personnel that provide sufficient proof of their competence ?

HR Manager

3 Does the organisation have a system to identify training needs associated with its OH&S risks and its OH&S management system on a regular basis ?

HR Manager

4 Does the organisation provide training or take other action to meet the identified training needs ?

HR Manager

5 Do you evaluate the effectiveness of the training or action taken, and retain associated records ?

HR Manager

6 Have you established, implemented and maintaining procedure(s) to make persons working under the control of the organisation aware of the following:

HR Manager, TMA (OHS-MS)

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a) the OH&S consequences, actual or potential, of their work activities, their behaviour, and the OH&S benefits of improved personal performance

b) their roles and responsibilities and importance in achieving conformity to the OH&S policy and procedures and to the requirements of the OH&S management system, including emergency preparedness and response requirements

c) the potential consequences of departure from specified procedures.

7 Are your training procedures taking into account differing levels of:

a) responsibility, ability, language skills and literacy, and

b) risk.

HR Manager, TMA (OHS-MS)

4.4.3 Communication, participation and consultation

4.4.3.1 Communication

Sl. Compliance Status In various Departments / Workplaces (Enter NA if not applicable)Dept. / Workplace - 01 Dept. / Workplace - 02 Dept. / Workplace - 03 Dept. / Workplace - 04

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No. Question to be asked Generally Asked To

Auditors’ Remarks

1 Have you established, implemented and maintaining an OH&S system procedure for internal communication among the various levels and functions of the organisation ?

TMA (OHS-MS)

2 Have you established, implemented and maintaining an OH&S system procedure for communication with contractors and other visitors to the workplace ?

TMA (OHS-MS)

3 Have you established, implemented and maintaining an OH&S system procedure for receiving, documenting and responding to relevant communications from external interested parties ?

TMA (OHS-MS)

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4.4.3.2 Participation and consultation


Asked To


1 Have you established, implemented and maintaining a procedure for the participation of workers in the following manners / areas ?

a) appropriate involvement in hazard identification, risk assessments and determination of controls

b) appropriate involvement in incident investigation

c) involvement in the development and review of OH&S policies and objectives

d) consultation where there are any changes that affect their OH&S, and

e) representation on OH&S matters.

TMA (OHS-MS)

2 Have you informed the workers about their participation arrangements, including who is their representative(s) on OH&S matters ?

TMA (OHS-MS)

3 Have you established, implemented and maintaining a procedure for consultation with contractors where there are changes that affect their OH&S ?

TMA (OHS-MS), Purchase Manager

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4 Does the organization ensure that, when appropriate, relevant external interested parties are consulted aboutpertinent OH&S matters ?

TMA (OHS-MS), Purchase Manager

4.4.4 Documentation


Asked To


1 Does the OH&S management system documentation of the organisation include the following ?

a) the OH&S policy and objectivesb) description of the scope of the

OH&S management systemc) description of the main elements of

the OH&S management system and their interaction, and reference to related documents

d) documents, including records, required by the OHSAS18001:2007 standard, and

e) documents, including records, determined by the organisation to be necessary to ensure the effective planning, operation and control of processes that relate to the management of its OH&S risks.

TMA (OHS-MS)

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2 It is important that documentation is proportional to the level of complexity, hazards and risks concerned and is kept to the minimum required for effectiveness and efficiency. Is the OH&S system documentation best-fit for the organisation ?

TMA (OHS-MS)

4.4.5 Control of documents


Asked To


1 Are the documents required by the OH&S management system and by the OHSAS 18001 standard controlled ?

TMA (OHS-MS)

2 Have you established, implemented and maintaining a document control procedure addressing the following ?

a) approval of documents for adequacy prior to issue

b) review and update as necessary and re-approve documents

c) ensuring that changes and the current revision status of documents are identified

d) ensuring that relevant versions of applicable documents are available at points of use

e) ensuring that documents remain legible and readily identifiable

TMA (OHS-MS)

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f) ensuring that documents of external origin determined by the organisation to be necessary for the planning and operation of the OH&S management system are identified and their distribution controlled, and

g) preventing the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose.

3 Do you maintain a master list of controlled OH&S documents ? If so, is the list up-to-date ?

TMA (OHS-MS)

4 Do you keep records of document change request, approval, issue, withdrawal etc. ?

TMA (OHS-MS)

4.4.6 Operational control


Asked To


1 Has the organisation determined the operations and activities that are associated with identified hazard(s) where implementation of controls is necessary to manage the OH&S risks ?

TMA (OHS-MS)

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2 Has the organisation determined which of the changing operations and activities have associated [new] hazards requiring implementation of controls to manage the OH&S risks ?

TMA (OHS-MS)

3 For those operations and activities identified in (1) and (2) above, has the organization implemented and maintaining the following ?

a) operational controls, as applicable to the organization and its activities; integration of these operational controls into its overall OH&S management system

b) controls related to purchased goods, equipment and services

c) controls related to contractors and other visitors to the workplace, and

d) documented procedures, to cover situations where their absence could lead to deviations from the OH&S policy and the objectives, and stipulated operating criteria where their absence could lead to deviations from the OH&S policy and objectives.

TMA (OHS-MS)

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4.4.7 Emergency preparedness and response


Asked To


1 Has the organisation established, implemented and maintaining any procedure for the following ?

a) to identify the potential for

emergency situations, and

b) to respond to such emergency

situations.

TMA (OHS-MS)

2 Does the organisation respond to actual emergency situations and prevent or mitigate associated adverse OH&S consequences ?

Safety Manager

3 In planning its emergency response, does the organisation take account of the needs of relevant interested parties, such as emergency services and neighbours ?

Safety Manager

4 Do you periodically test the emergency response procedure(s) to respond to emergency situations involving the relevant interested parties ?

Safety Manager

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5 Does the organisation periodically review and, where necessary, revise its emergency preparedness and response procedure(s), in particular, after periodical testing and after the occurrence of emergency situations ?

TMA (OHS-MS)

4.5 CHECKING

4.5.1 Performance measurement and monitoring


Asked To


1 Have you established, implemented and maintaining procedures to monitor and measure OH&S performance on a regular basis ?

TMA (OHS-MS)

2 Do the monitoring and measurement procedures provide for the following ?

a) both qualitative and quantitative measures, appropriate to the needs of the organisation

b) monitoring of the extent to which the organisation’s OH&S objectives are met

c) monitoring the effectiveness of

TMA (OHS-MS)

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controls (for health as well as for safety)

d) proactive measures of performance that monitor conformance with the OH&S programme(s), controls and operational criteria

e) reactive measures of performance that monitor ill health, incidents (including accidents, near-misses, etc.), and other historical evidence of deficient OH&S performance, and

f) recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective action and preventive action analysis.

3 If equipment is required to monitor or measure performance, have you established and maintaining any procedure for the calibration and maintenance of such equipment ? If so, do you keep the records of calibration and maintenance activities and results ?

TMA (OHS-MS)

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4.5.2 Evaluation of compliance


Asked To


1 Consistent with its commitment to compliance, has the organisation established, implemented and maintaining a procedure for periodically evaluating compliance with applicable legal requirements ?

TMA (OHS-MS)

2 What is the frequency of compliance evaluation of legal requirements ?

TMA (OHS-MS)

3 Do you keep records of the results of the periodic evaluations of legal requirements ?

TMA (OHS-MS)

4 Does the organisation evaluate compliance with other requirements (other than legal) to which it subscribes ?

TMA (OHS-MS)

5 Do you evaluate legal and other requirements together or separately ?

TMA (OHS-MS)

6 Do you keep records of the results of the periodic evaluations of non-legal requirements ?

TMA (OHS-MS)

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4.5.3 Incident investigation, nonconformity, corrective action and preventive action

4.5.3.1 Incident investigation


Asked To


1 Have you established, implemented and maintaining procedure(s) to record, investigate and analyse incidents in order to achieve the following ?

a) determine underlying OH&S deficiencies and other factors that might be causing or contributing to the occurrence of incidents

b) identify the need for corrective action

c) identify opportunities for preventive action

d) identify opportunities for continual improvement, and

e) communicate the results of such investigations.

TMA (OHS-MS)

2 Are the investigations performed in a timely manner ?

TMA (OHS-MS)

3 Are incident investigation results documented and maintained ?

TMA (OHS-MS)

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4.5.3.2 Nonconformity, corrective action and preventive action


Asked To


1 Have you established, implemented and maintaining any procedure for dealing with actual and potential non-conformities and for taking corrective action and preventive action ?

TMA (OHS-MS)

2 Does your procedures for corrective and preventive actions define the requirements for the following ?

a) identifying and correcting nonconformity(ies) and taking action(s) to mitigate their OH&S consequences

b) investigating nonconformity(ies), determining their cause(s) and taking actions in order to avoid their recurrence

c) evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence

d) recording and communicating the results of corrective action(s) and preventive action(s) taken, and

TMA (OHS-MS)

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e) reviewing the effectiveness of corrective action(s) and preventive action(s) taken.

3 Where the corrective action and preventive action identifies new or changed hazards or the need for new orchanged controls, does your procedure for corrective and preventive actions require that the proposed actions be taken through a risk assessment prior to implementation ?

TMA (OHS-MS)

4 Do you take care that any corrective action or preventive action taken to eliminate the causes of actual and potential non-conformities is appropriate to the magnitude of problems and commensurate with the OH&S risks encountered ?

TMA (OHS-MS)

5 Does the organisation ensure that any necessary changes arising from corrective action and preventive action are made to the OH&S management system documentation ?

TMA (OHS-MS)

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4.5.4 Control of records


Asked To


1 Have you established and maintaining records as necessary to demonstrate conformity to the requirements of the OH&S management system and of the OHSAS 18001 standard, and the results achieved ?

TMA (OHS-MS)

2 Have you established, implemented and maintaining any procedure for the identification, storage, protection, retrieval, retention and disposal of records ?

TMA (OHS-MS)

3 Records shall be and remain legible, identifiable and traceable. Are they ?

TMA (OHS-MS)

4.5.5 Internal audit


Asked To


1 Do you ensure that internal audits of the OH&S management system are conducted at planned intervals ? If so, is the interval defined ?

TMA (OHS-MS)

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2 Does your internal audit program of the OH&S management system cover the following ?

a) determine whether the OH&S management system:

- conforms to planned arrangements for OH&S management including the requirements of this OHSAS Standard

- has been properly implemented and is maintained, and

- is effective in meeting the organisation’s policy and objectives

b) provide information on the results of audits to the management

TMA (OHS-MS)

3 Are the OH&S internal audits based on the results of risk assessments of the organisation’s activities, and the results of previous audits ?

TMA (OHS-MS)

4 Have you established, implemented and maintaining any audit procedure that addresses the following ?

a) the responsibilities, competencies, and requirements for planning and conducting audits, reporting results and retaining associated records, and

TMA (OHS-MS)

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b) the determination of audit criteria, scope, frequency and methods.

5 Is the process of selection of auditors and conduct of audits done in such a manner that ensures objectivity and the impartiality of the audit process ?

TMA (OHS-MS)

4.6 MANAGEMENT REVIEW


Asked To


1 Does the top management review the organisation's OH&S management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness ?

If so, what is the defined interval between two consecutive management reviews ?

Top Management

2 Do the management reviews include assessing opportunities for improvement and the need for changes to the OH&S management system, including the OH&S policy and OH&S objectives ?

Top Management

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3 Do the input to management reviews include the following ?

a) results of internal audits and evaluations of compliance with applicable legal requirements and with other requirements to which the organisation subscribes

b) the results of participation and consultation

c) relevant communication(s) from

external interested parties, including complaints

d) the OH&S performance of the organisation

e) the extent to which objectives have been met

f) status of incident investigations, corrective actions and preventive actions

g) follow-up actions from previous management reviews

h) changing circumstances, including developments in legal and other requirements related to OH&S, and

i) recommendations for

Top Management

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improvement.

4 Are the outputs from management reviews consistent with the organisation's commitment to continual improvement ?

Top Management

5 Do the outputs from management reviews include any decisions and actions related to possible changes to the following ?

a) OH&S performanceb) OH&S policy and objectivesc) Resources, andd) Other elements of the OH&S

management system.

Top Management

6 Are the relevant outputs from management review made available for communication and consultation ?

Top Management

7 Are the records of management reviews retained ?

Top Management

Signature of Auditors : (1) ……………………………… (2) …………………………… (3) ………………………………. (4) ………………………………….

Signature of Auditees: (1) ……………………………… (2) …………………………… (3) ………………………………. (4) ………………………………….

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ohs as 18001 2007 audit checklist

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