Audit Checklist for ISO 18001

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Requirements Conformity
Y N N/A

1.0 OH&S POLICY

OH&S Policy is documented and authorized by top management.
The policy is appropriate to the nature and the scale of the organization’s OH&S
risks.
The policy includes a commitment to continual improvement.
The policy includes a commitment to comply with applicable legislation and other
requirements to which the organization subscribes.
Implementation of policy.
Policy effectively communicated in the organization and employees are aware of
their OH&S obligations.
Policy made available to all interested parties.
Policy periodically reviewed for suitability.
2.0 PLANNING FOR HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL
Procedure for identification of hazards and assessment of risks is established and
the methodology is defined.
Risk assessment procedures cover routine-non routine activities; personnel having
access to the workplace (visitors, subcontractors)
The methodology provides for the classification of risks and identification of
those that are to be eliminated or controlled.
The methodology provides input into the determination of the facility
requirements, identification of training needs and development of operational
controls.
Risk assessment results demonstrate that all the activities and facilities were
covered and risks were evaluated.
Link to operational control procedures is established. (see 4.4.6.)
Results of hazard identification and risk assessments are considered while setting
OH&S objectives.
3.0 LEGAL AND OTHER REQUIREMENTS
A procedure is established for identifying and accessing legal requirements.
Requirements other than legal were identified.
The information of applicable legislation and other requirements is up-to-date.
Relevant information on legal and other requirements is communicated to
employees and other interested parties.
License/permit requirements are in place, legal requirements implemented. (also
see 4.5.1.)
4.0 OBJECTIVES
Documented OH&S objectives established for each relevant function.
Results of hazard identification and risk assessments are considered while setting
OH&S objectives. (see 4.3.1.)
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 Audit Checklist for ISO 18001
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Objectives are established consistent with the commitment to continual
improvement
5.0 OH&S MANAGEMENT PROGRAMMES
Programmes for achieving OH&S objectives are established.
Responsibilities, means and timeframe for achieving objectives are documented.
OH&S management programmes are reviewed at regular and planned intervals.
The OH&S management programmes are amended to address changing
circumstances.
5.1 STRUCTURE AND RESPONSIBILITY
Roles, responsibilities and authorities are defined and documented.
A member of top management appointed to ensure that OH&S system properly
implemented.
OH&S performance reports are presented to the top management for review and
as a basis of improvement of the OH&S management system.

All those with management responsibility demonstrate their commitment to

continual improvement of OH&S performance.
5.2 TRAINING, AWARENESS AND COMPETENCE
Competence requirements are defined.
Employees are aware of the importance of the requirements of the OH&S
management system.
Employees are aware of the OH&S consequences of their work activities, benefits
of improved personal performance, and consequences of departing from
procedures.
Employees are aware of their roles and responsibilities in achieving conformance
to the OH&S management system.
Training procedures take into account differing levels of responsibility, ability,
literacy and risk.
Training needs are identified and trainings are provided to satisfy competence
needs.
Training records are maintained.
5.3 CONSULTATION AND COMMUNICATION
Procedures to ensure that OH&S information is communicated to and from
employees and other interested parties.
Employee involvement to the development & review of policies and procedures to
manage risks is documented.
Employees are consulted for changes that affect OH&S-documented.
Employees are represented on OH&S matters, and informed as to who is their
employee OH&S representative(s) and management appointee.
5.4 DOCUMENTATION
Core elements of the OH&S management system are documented.
Provides direction to the related documentation.

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5.5 DOCUMENT AND DATA CONTROL

Procedures for document control are established.
Documents are periodically reviewed, revised as necessary and approved by
authorized personnel.
Current versions available at all relevant locations.
Obsolete docs protected against unintended use; retained ones identified.
5.6 OPERATIONAL CONTROL
Operations and activities associated with risks where control measures need to be
applied are identified. (Also see clause 4.3.1.)
Operational control requirements cover all activities and facilities. (See guidance
to operational control)
Documented procedures exist where their absence could lead to deviations from
the policy and the objectives.
Operating criteria stipulated in the procedures.
5.7 EMERGENCY PREPAREDNESS AND RESPONSE
Potential emergency situations and incidents are identified.
Response plans for emergency situations and incidents are established and
effective for the case.
Plans are reviewed after incidents and emergency situations.
Emergency procedures tested where practicable. See results of emergency tests
and whether plans are reviewed according to the output.
Emergency response teams properly trained.
6.0 PERFORMANCE MEASUREMENT AND MONITORING
Procedures to monitor and measure OH&S performance on regular basis are
established.
Monitoring of qualitative and quantitative measures as appropriate to the needs
of organization.
Monitoring of OH&S objectives.
Monitoring of compliance with operational criteria and legislation.
Monitoring of accidents, ill health and incidents including near misses.
Calibration and maintenance of monitoring equipment.
6.1 ACCIDENTS, INCIDENTS, NON CONFORMANCES AND CORRECTIVE AND
PREVENTIVE ACTIONS
Responsibility and authority for handling and investigation of accidents,
incidents, non-conformances; taking action to mitigate their consequences;
initiation of corrective and preventive actions is established.
Causes of non-conformances are investigated and results documented.
Appropriate corrective actions developed to eliminate the causes of non-
conformances.
Proposed corrective and preventive actions are reviewed through risk
assessment.

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Corrective and preventive actions are followed up for effective implementation.
6.2 RECORDS AND RECORD MANAGEMENT
OH&S records are identified.
Records show effective operation of the OH&S system and conformance to
requirements.
OH&S records are readily retrievable and retention times recorded.
6.3 AUDIT
Audit Programmes and procedures for periodic system audits are established
Internal audits determine whether or not the OH&S system conforms to planned
arrangements including the requirements of OHSAS 18001
Internal audits determine whether or not the OH&S system is properly
implemented, maintained and effective in meeting the organization policy and
objectives.
Audit programme is based on the results of risk assessment and previous audits.
Audit procedures cover the scope, frequency, methodologies, competencies and
responsibilities and requirements for conducting audits.
Competence, experience, training and independence of internal auditors.
Effectiveness of audit findings including reports and records.
Management of audit follow-up, timeliness and effectiveness of the corrective
actions.
Internal audits provide information to management.
7.0 MANAGEMENT REVIEW
Periodic review of OH&S SYSTEM BY top management to ensure its
suitability, adequacy and effectiveness supported by appropriate records
The management review addresses the need for changes in the policy, objectives
and other elements of the system in the light of internal audit results, changing
circumstances, and commitment to continual improvement.
The results of the management review are documented.
NUMBER OF NONCONFORMITIES RAISED:
MAJOR: MINOR:___________ OBS:____________
COMMENTS:

SIGNATURE: DATE:

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