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Date of audit:
Signature of Auditor: Conformance
OHSAS 18001:2007 Requirement
Y 4.1 General Has the scope of the OHS management system been defined & documented? 4.2 Policy Has the OHS policy been defined and documented? Is the policy appropriate for the site, all of the activities performed and their potential OHS risks? Does the policy : N N/A
Observations & Objective Evidence
Include commitments to prevention of injury and ill health and continual improvement in OH&S management and OH&S performance? Include commitments to at least comply with applicable legal requirements and with other requirements to which the organization subscribes that relate to its OH&S hazards? provide the framework for setting and reviewing OH&S objectives?
Is the policy is documented, implemented and maintained? Has the policy has been communicated to all persons working under the control of the organization with the intent that they are made aware of their individual OH&S obligations? Is policy available to interested parties? Is the policy reviewed periodically to ensure that it remains relevant and appropriate to the organization?
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and their impacts on operations. prioritization and documentation of risks. or materials ? modifications to the OH&S management system. as appropriate? Does the organization identify the OH&S hazards and assess OH&S risks associated with changes in the management system. or its activities. risk assessment.1 Hazard ID. prior to their introduction of such changes? Page 2 of 12 Issue 1 . and determination of necessary controls? Does the procedure(s) take into account: routine and non-routine activities? activities of all persons having access to the workplace (including contractors and visitors)? human behaviour. processes. capabilities and other human factors? identified hazards originating outside the workplace capable of adversely affecting the health and safety of persons under the control of the organization within the workplace? hazards created in the vicinity of the workplace by work-related activities under the control of the organization? infrastructure. its activities. whether provided by the organization or others? changes or proposed changes in the organization.3. equipment and materials at the workplace.Job No: Date of audit: Signature of Auditor: Conformance OHSAS 18001:2007 Requirement Y 4. machinery/equipment. including temporary changes. the application of controls. implemented and maintained for the ongoing hazard identification. Risk Assessment & Control Has a procedure been established. nature and timing to ensure it is proactive? Does the methodology for hazard identification and risk assessment provide for the identification. including their adaptation to human capabilities? N N/A Observations & Objective Evidence Is methodology for hazard identification and risk assessment defined with respect to its scope. installations. operating procedures and work organization. and activities? any applicable legal obligations relating to risk assessment and implementation of necessary controls? the design of work areas. processes.
consistent with commitments to the prevention of injury and ill health. implementing and maintaining the OH&S management system? 4. consistent with commitment to compliance with applicable legal requirements and with other requirements to which the organization subscribes. implemented and maintained for identifying and accessing the legal and other applicable OH&S requirements? Are these applicable legal requirements and other requirements taken into account in establishing.3.2 Legal and Other Requirements Has a procedure(s) been established. implementing and maintaining the OH&S management system? Is this information kept up-to-date? Is there a mechanism for communicating relevant information on legal and other requirements to persons working under the control of the organization and other relevant interested parties? 4. and risk assessment and controls kept up to date? Are OH&S risks and determined controls taken into account when establishing.Job No: Date of audit: Signature of Auditor: Conformance OHSAS 18001:2007 Requirement Y Are the results of these assessments considered when determining controls? Is the following hierarchy employed when determining controls. consistent with the commitments to continual improvement? N N/A Observations & Objective Evidence Page 3 of 12 Issue 1 . implemented and maintained at each relevant function and level? Are objectives: measurable.3 Objectives and Programme(s) Are OHS objectives established. or considering changes to existing controls. consistent with the OH&S policy. where practicable.3. Are the results of hazards identification. consideration? a) elimination b) substitution c) engineering controls d) signage/warnings and/or administrative controls e) personal protective equipment.
Job No: Date of audit: Signature of Auditor: Conformance OHSAS 18001:2007 Requirement Y Are the following taken into account when objectives are established and reviewed: N N/A Observations & Objective Evidence legal & other requirements. to ensure that the objectives are achieved? Page 4 of 12 Issue 1 . operational issues business requirements. views of relevant interested Has program(s) for the achievement of OHS objectives been established. technological options. implemented and maintained? Have responsibilities and authorities been assigned for OHS management program(s) at each appropriate function and level? Has the organization identified the means and timeframe for achievement of its OHS objectives? Is program(s) reviewed at regular planned intervals and adjusted as necessary. OH&S risks. financial options.
Training and Awareness Does the organization ensure that any person(s) under its control performing tasks that may impact on OH&S is (are) competent on the basis of appropriate education. accountability and authority Have Top management provided resources? Has Top management defined roles.4. and delegated authorities to facilitate effective OH&S management? Have roles. allocated responsibilities and accountabilities. including adherence to the organization’s applicable OH&S requirements? 4.Job No: Date of audit: Signature of Auditor: 4. training or experience. their behaviour. and retain associated records? Does the organization identify training needs associated with its OH&S risks and its OH&S management system? Does the organization provide training or take other action to meet these needs? Does the organization evaluate the effectiveness of the training or action taken.1 Resources. including emergency preparedness and response requirements? the potential consequences of departure from specified procedures? Page 5 of 12 Issue 1 . responsibility. and retain associated records? Has the organization established. roles.2 Competence. actual or potential.4. and the OH&S benefits of improved personal performance? 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. and authorities been documented and communicated? Has a Top Management Appointee been assigned? Does the Appointee have defined roles and authority towards OHS system and performance reports? Has the identity of the top management appointee been made available to all persons working under the control of the organization? Have all those with management responsibility demonstrated their commitment to the continual improvement of OHS performances? Does the organization ensure that persons in the workplace take responsibility for aspects of OH&S over which they have control. implemented and maintained a procedure(s) to ensure persons working under its controll are aware of : OH&S consequences. of their work activities. responsibilities. accountabilities.
4. risk assessments and determination of controls. d) e) Page 6 of 12 Issue 1 . literacy and risk? 4. language skills. documenting and responding to relevant communications from external interested parties? consultation with contractors where there are changes that affect their OH&S? the participation of workers by their involvement in o o o o o hazard identification. description of the main elements of the OH&S management system and their interaction. and reference to related documents. required by this OHSAS standard. o Are workers informed about their participation arrangements. documents. operation and control of processes that relate to the management of its OH&S risks.Job No: Date of audit: Signature of Auditor: Do training procedures take into account differing levels of responsibility.4. participation and consultation Has the organization established. implemented and maintained a procedure(s) for : internal communication among various levels and functions? communication with contractors and other visitors to the workplace? receiving. b) c) description of the scope of the OH&S management system. including records.3 Communication. including records. determined by the organization to be necessary to ensure the effective planning. including who is their representative(s) on OH&S matters? Are relevant external interested parties are consulted about pertinent OH&S issues? 4. representation on OH&S matters. consultation where there are any changes that affect their OH&S. incident investigation. documents. ability. development and review of OH&S policies and objectives.4 Documentation Does the OHS Management systems contain : a) OH&S policy and objectives.
6 Operational Controls Has the organization determined operations and activities that are associated with the identified hazard(s) where the implementation of controls is necessary to manage the OH&S risk(s)? Doest this include the management of change? Does the organization implement and maintain operational controls.4. equipment and services? Does the organization implement and maintain controls related to contractors and other visitors to the workplace? Are documented procedures implemented and maintained to cover situations where their absence could lead to deviations from the OH&S policy and the objectives? Has the organisation implemented and maintained stipulated operating criteria where their absence could lead to deviations from the OH&S policy and objectives? Page 7 of 12 Issue 1 . as applicable to the organization and its activities? Does the organization integrate those operational controls into its overall OH&S management system? Does the organization implement and maintain controls related to purchased goods.4.5 Control of Documents & Data Has a procedure(s) been established. implemented and maintained to approve documents for adequacy prior to issue? review and update as necessary and reapprove documents? ensure that changes and the current revision status of documents are identified? ensure that relevant versions of applicable documents are available at points of use? ensure that documents remain legible and readily identifiable? ensure that documents of external origin are identified and their distribution controlled? prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose? Are documents required by the management system OHSAS 18001 controlled? 4.Job No: Date of audit: Signature of Auditor: 4.
). after periodical testing and after the occurrence of emergency situations? 4. and other historical evidence of deficient OH&S performance? recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective action and preventive action analysis? calibration and maintenance of the equipment is required to monitor or measure performance? Retention of calibration and maintenance records? 4. where practicable.5. emergency services and neighbours in planning its emergency response? Does the organization periodically test its procedure(s) to respond to emergency situations.2. implemented and maintained to monitor and measure OH&S performance on a regular basis? Does this procedure(s) provide for both qualitative and quantitative measures.4.1 Evaluation of Legal Compliance Has a procedure(s) been established.7 Emergency Preparedness & Response Has a procedure(s) been established. appropriate to the needs of the organization? monitoring of the extent to which the organization’s OH&S objectives are met? monitoring the effectiveness of controls (for health as well as for safety)? proactive measures of performance that monitor conformance with the OH&S programme(s). incidents (including accidents. e. implemented and maintained to identify the potential and to respond to emergency situations? Does the organization respond to actual emergency situations and prevent or mitigate associated adverse OH&S consequences? Does the organization take account of the needs of relevant interested parties. controls and operational criteria? reactive measures of performance that monitor ill health.5.g. etc. where necessary. in particular. implemented and maintained for periodically evaluating compliance with applicable legal requirements? Page 8 of 12 Issue 1 . near-misses. revise its emergency preparedness and response procedure(s).1 Performance Monitoring Have procedures been established.Job No: Date of audit: Signature of Auditor: 4. involving relevant interested parties as appropriate? Does the organization periodically review and.
Job No: Date of audit: Signature of Auditor: Are records of the results of these periodic evaluations retained? 4.2? Are the results of incident investigations documented and maintained? 4.2 Non-conformance.188.8.131.52. identify opportunities for preventive action and identify opportunities for continual improvement? to record. determining their cause(s) and taking actions in order to avoid their recurrence? for evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence? for recording and communicating the results of corrective action(s) and preventive action(s) taken? for reviewing the effectiveness of corrective action(s) and preventive action(s) taken? Page 9 of 12 Issue 1 . implement and maintain a procedure(s) for dealing with actual and potential nonconformity(ies) and for taking corrective action and preventive action? for identifying and correcting nonconformity(ies) and taking action(s) to mitigate their OH&S consequences? for investigating nonconformity(ies). implemented and maintained to record.1 Incident Investigation Have procedures been established. investigate and analyze incidents in order to communicate the results of such investigations? Are the investigations performed in a timely manner? Is any identified need for corrective action or opportunities for preventive action dealt with in accordance with the relevant parts of 4. investigate and analyze incidents in order to identify the need for corrective action.5.2.5. Corrective and Preventive Action Does the organization establish.2 Evaluation of Compliance with Other Requirements Does the organization evaluate compliance with other requirements to which it subscribes? Are records of the results of these periodic evaluations retained? 4.5. investigate and analyze incidents in order to determine underlying OH&S deficiencies and other factors that may be causing or contributing to the occurrence of incidents? record.
OHSAS 18001and the results achieved? Does the organization establish. implemented and maintained by the organization.5. reporting results and retaining associated records. protection. frequency and methods? Are audit programme(s) planned. retrieval.4 Records Doe the organization establish and maintain records as necessary to demonstrate conformity to the requirements of its OH&S management system. storage. implemented and maintained that address the responsibilities. and requirements for planning and conducting audits.5 Internal audit Are audit procedure(s) established. implement and maintain a procedure(s) for identification.Job No: Date of audit: Signature of Auditor: Does the procedure(s) require that the proposed actions shall be taken through a risk assessment prior to implementation where the corrective action and preventive action identifies new or changed hazards or the need for new or changed controls? Is any corrective action or preventive action taken to eliminate the causes of actual and potential nonconformity (ies) appropriate to the magnitude of problems and commensurate with the OH&S risk(s) encountered? Are any necessary changes arising from corrective action and preventive action are made to the OH&S management system documentation? 4.5. identifiable and traceable? 4. retention and disposal of records? Are records legible. scope. established. and the determination of audit criteria. based on the results of risk assessments of the organization’s activities. competencies. and the results of previous audits? Are internal audits conducted at planned intervals to determine whether : the OH&S management system conforms to planned arrangements ? the OH&S management system conforms to OHSAS 18001? the OH&S management system has been properly implemented and is maintained? the OH&S management system is effective in meeting the organization’s policy and objectives? Page 10 of 12 Issue 1 .
Job No: Date of audit: Signature of Auditor: Are internal audits conducted at planned intervals to provide information on the results of audits to management? Does selection of auditors and conduct of audits ensure objectivity and the impartiality of the audit process? 4. actions and changes in relation to: a) b) c) d) OH&S performance OH&S policy and objectives resources. Page 11 of 12 Issue 1 . at planned intervals. adequacy and effectiveness? Are records of the management reviews retained? Does input to management review include: review of OHS policy & OHS Objectives results of internal audits evaluations of compliance with applicable legal and other requirements? the results of participation and consultation ? relevant communication(s) from external interested parties. including developments in legal and other requirements related to OH&S? recommendations for improvement Are the outputs from management reviews consistent with the organization's commitment to continual improvement? Do the outputs from management reviews include any decisions. to ensure its continuing suitability. and other elements of the OH&S management system. corrective actions and preventive actions? follow-up actions from previous management reviews? changing circumstances. including complaints? OH&S performance the extent to which objectives have been met? status of incident investigations.6 Management Review Does top management review the OH&S management system.
Job No: Date of audit: Signature of Auditor: Are relevant outputs from management review made available for communication and consultation? Page 12 of 12 Issue 1 .
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