ohsas 18001 audit checklist
TRANSCRIPT
Environment, Health Safety Management Consultants The following checklist template is intended to be used as a guide for Internal HSMS Audit Teams conducting conformance audits against the criteria in OHSAS 18001. These questions should be supplemented by the onsite audit team to include any other Corporate or Industry specific criteria to which the organization subscribes, and customized to fit your organization’s structure and culture. The Aspect Tracking Worksheet provides a useful tool to audit how the organization is managing its Significant Environmental Aspects/Impacts. Management Horizons is committed to providing our clients exceptional services by continually improving and simplifying Health and Safety Management System tools that you can use to make your HSMS systems more sustainable, and your company more profitable. Please check in with us often, as we will be periodically providing additional tools that will assist your organization to continually improve your Management Systems. Please call if we can be of any assistance in training your Health and Safety or Compliance audit team. Management Horizons 905-853-4775 [email protected] www.mgmthorizons.com This checklist is provided on the basis that it does not provide legal, accounting, or other professional advice, but rather is intended to provide a starting template for the Lead Auditor and the client to use in developing the final audit protocol to determine conformance with OHSAS 18001 requirements.
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Page 2 of 18
4.2 Health and Safety Policy
# Question Verification Method
/ Comments
1 Has the health and safety policy been defined and approved by top management (at the site)?
DR/INT
2 Is the policy appropriate to the nature, scale and health and safety risks of its activities, products and services?
DR
3 Does the policy include a commitment to continual improvement?
DR
4 Does the policy include a commitment to comply with relevant health and safety legislation and regulations?
DR
5 Does the policy include a commitment to comply with other requirements to which the organization subscribes?
DR
6 Is the policy documented, implemented and maintained?
DR
7 Has the policy been communicated to all employees with the intent that employees are made aware of their individual Health and Safety risks?
DR/INT
8 Is the policy available to interested parties?
DR/OBS
9 Is the policy reviewed periodically to ensure that it remains relevant and appropriate to the organization?
INT/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 3 of 18
4.3 Planning
# Question Verification Method
/ Comments
4.3.1 Planning for hazard identification, risk assessment and risk control
1
Has a procedure been developed to identify the health and safety hazards of activities, products or services that the organization can control and over which it can be expected to have an influence?
DR
2 Have all the obvious activities, products and services been identified?
DR
3 Have all of the obvious health and safety hazards of the business been identified relating to: a) H&S hazards that the organizations can either control and / or influence;
DR/OBS
4 b) H&S hazards of normal, abnormal and /or emergency situations; and
DR/OBS
5 c) H&S hazards that have potential and / or adverse health and safety risks?
DR/OBS
6 d) Health and safety hazards of planned or new developments, new or modified activities, products or services.
DR/OBS
7 Have all the obvious associated health and safety risks been identified?
DR/OBS
Have all the internal and external stakeholder concerns been identified?
DR/OBS
8 Is there a procedure for keeping this information up-to-date?
DR
Procedure Specific Questions Auditor Name(s): Date:
Page 4 of 18
# Question Verification
Method / Comments
4.3.2 Legal and Other Requirements
1
Has a procedure been developed to identify and have access to the legal and other requirements to which the organization subscribes related to its health and safety hazards and risks?
DR
2 Has a linkage between the health and safety legal and other requirements and the health and safety risks been created?
DR
3 Does the procedure provide for access to the information?
DR
4 Does the procedure provide for keeping the information up-to-date?
DR
5 Are the directly applicable legal and other requirements fully (all of those obviously relevant) identified?
DR
6 Are employees and other interested parties aware of relevant legal and other requirements?
DR/INT
Procedure Specific Questions Auditor Name(s): Date:
Page 5 of 18
# Question Verification
Method / Comments
4.3.3 Objectives 1
Has the organization established and maintained documented health and safety objectives and targets, at each relevant function and level within the organization?
DR
2 Have the following areas been taken into account in the establishment of the objectives and targets: a) legal and other requirements?
DR
3 b) significant health and safety hazards? DR 4 Have the following areas been considered
in the establishment of the objectives and targets a) technological options?
DR/INT
b) financial, operational and business requirements?
DR/INT
5 c) the views of interested parties? DR/INT
Have the objectives and targets been reviewed?
DR/OBS
Did the review consider the requirements noted when establishing the objectives and targets?
DR/INT
6 Are the objectives consistent with the health and safety policy?
DR/OBS
7 Are the objectives inclusive of the commitment to accident prevention?
DR
8 Are there health and safety hazards and risks of the organization that obviously require an objective and target but where one has not been established? (e.g. legal compliance issues)
DR/INT
9 Is each O&T measurable where practicable?
DR/OBS
10
Is each O&T set with a relevant timeframe?
DR/OBS
11 Is each O&T relevant to each functional level?
DR
12 Is each O&T understood by the relevant staff at each level?
INT
Procedure Specific Questions Auditor Name(s): Date:
Page 6 of 18
# Question Verification
Method / Comments
4.3.4 Management Programmes 1
Has the organization developed health and safety programmes/action plans to achieve each of its objectives and targets?
DR/INT
2 Do the action plans include: a) designation of responsibility for achieving objectives and targets at each relevant function and level of the organization?
DR/OBS
3 b) the means and timeframe by which they are to be achieved?
DR/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 7 of 18
4.4 Implementation and Operation
# Question Verification Method
/ Comments
4.4.1 Structure and Responsibility 1 Have roles, responsibilities and authorities
been defined and documented appropriately?
DR/INT
2 Does the documentation include a commitment to communicate these roles, responsibilities and authorities?
DR
3
Has top management (at the site) appointed a management representative?
DR/INT
4 Does the management representative have the following roles, responsibilities and authority, irrespective of other responsibilities: a) ensuring that HSMS requirements are established, implemented and maintained in accordance with OHSAS 18001?
INT/OBS
5 b) ensuring that reports on the performance of the HSMS are presented to top management for review and as a basis for improvement of the HSMS?
INT/OBS
6 Has the organization developed an HSMS Implementation Team and has this teams roles, responsibilities and authorities been documented?
INT/OBS
7 Has management provided resources essential to the implementation, control and improvement of the HSMS?
INT/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 8 of 18
# Question
Verification Method
/ Comments
4.4.2 Training, Awareness and Competence
1 Have the competency requirements for tasks, which may impact on the workplace health and safety, been developed (based on appropriate education, training, and/or experience)?
INT/OBS
2 Are the competency requirements subject to review and have they been kept up-to-date?
DR/OBS
3 Have procedures for health and safety training been established and maintained?
DR
4 Do procedures ensure that employees working at each relevant function and level are aware of: a) The importance of conformance to the HSMS policy, procedures and requirements of the HSMS?
DR/INT
5 b) The OH&S consequences, actual or potential of their work activities and the OH&S benefits of improved personal performance?
DR/INT
6
c) Their roles and responsibilities in achieving conformance to the HSMS policy and procedures and to the requirements of the Health and Safety management system, including emergency preparedness and response requirements?
DR/INT
7 d) The potential consequences of departure from specified operating procedures?
DR/INT
8 Do training procedures taken into account differing levels of: a) Responsibility, ability and literacy?
DR/OBS
9 b) Risk? DR/OBS 10 Have contractors been considered and/or
included in the implementation of each aspect of this clause?
DR/INT
Procedure Specific Questions Auditor Name(s): Date:
Page 9 of 18
# Question Verification
Method / Comments
4.4.3 Communication and Consultation
1 Has the organization established and maintained procedures for: a) internal communication between the various levels and functions of the organization?
DR/INT
b) receiving, documenting and responding to relevant communication from external interested parties?
DR/INT
2 Has the organization documented employee involvement and consultation arrangements and have interested parties been informed?
DR/INT
Have employees been involved in the development and review of policies and procedures to manage risks?
INT
Have employees been consulted where there are any changes affecting health and safety?
INT
3 Have employees been represented on health and safety matters?
INT/OBS
4 Have employees been informed as to who their employee Health and Safety representative & specified management appointee are?
INT
Procedure Specific Questions Auditor Name(s): Date:
Page 10 of 18
# Question Verification
Method / Comments
4.4.4 Documentation
1 Has documentation to describe the health and safety management system been established and maintained?
DR
2 Does the documentation describe the main elements of the health and safety management system and their interaction?
DR
3 Does the documentation provide direction to related documentation?
DR
Procedure Specific Questions Auditor Name(s): Date:
Page 11 of 18
# Question Verification
Method / Comments
4.4.5 Documents and Data Control
1 Has a document control procedure been
established and maintained?
DR
2 Are all of the documents required to implement this standard identified and controlled in accordance with the procedure?
DR
3 Does the procedure ensure that; a) a description of the core elements of the management system and their interaction is present?
DR
4 b) Direction is given to related documentation?
DR
5 c) Documents can be located? DR 6 d) Documents are periodically reviewed,
revised as necessary and approved for adequacy?
DR
7 e) Current versions of relevant documents and data are available at all locations?
DR
8 f) Obsolete documents and data are promptly removed from all points of issue and points of use?
DR
9 g) Archival documents and data retained for legal or knowledge preservation purposes or both are suitably identified?
DR
Procedure Specific Questions Auditor Name(s): Date:
Page 12 of 18
# Question Verification
Method / Comments
4.4.6 Operational Control
1 Have the operations and activities associated with the identified health and safety risks been identified?
DR/OBS
2 Has the organization planned these activities, including maintenance, in order to ensure that they are carried out under specified conditions by: a) establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the HSMS policy and the objectives?
DR/OBS
3 b) stipulating operating criteria in the procedures
DR/OBS
4 c) establishing and maintaining procedures related to the identified Health and Safety risks of goods, equipment and services purchased and / or used by the organization?
DR/OBS
5 d) communicating relevant procedures and requirements related to the identified Health and Safety risks of goods, equipment and services to suppliers and contractors?
DR/INT
6 e) establishing and maintaining procedures for the design of workplace, process, installations, machinery, operating procedures and work organizations, including their adaptation to human capabilities?
DR/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 13 of 18
# Question Verification
Method / Comments
4.4.7 Emergency Preparedness and Response
1 Has the organization established and maintained procedures to identify potential for and respond to incidents and emergency situations?
DR
2 Does the procedure provide for the prevention and mitigation of the illness and injury that may be associated with them?
DR
3 Have the emergency preparedness and response plans been reviewed?
DR/INT
4 Have any identified revisions been implemented?
INT/OBS
5 Were the procedures reviewed after the occurrence of any accidents or emergency situations?
INT/OBS
6 Have the procedure been tested? DR/INT Procedure Specific Questions Auditor Name(s): Date:
Page 14 of 18
4.5 Checking and Corrective Action
# Question Verification Method
/ Comments
4.5.1 Performance Measurement and Monitoring
1 Has the organization established and maintained documented procedures to monitor and measure OH&S performance on a regular basis?
DR
2 Do these procedures provide for: a) both qualitative and quantitative measures, appropriate to the needs of the organization?
DR
3 b) monitoring of the extent to which the organization’s OH&S objectives are met?
DR
4 c) proactive measures of performance that monitor compliance with the OH&S management program, operational criteria and applicable legislation and regulatory requirements?
DR
5 d) reactive measures of performance to monitor accidents, ill health, incidents (including near-misses) and other historical evidence of deficient OH&S performance?
DR/OBS
6 e) recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective and preventive action analysis?
DR
7 Are procedures established and maintained for equipment calibration and maintenance?
DR/OBS
8 Have records of calibration and maintenance activities and results retained?
INT/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 15 of 18
# Question Verification Method
/ Comments
4.5.2 Accidents, Incidents, Nonconformances, Corrective Action and Preventive Action
1 Has the organization established and maintained procedures for defining responsibility and authority for: a) handling and investigation of accidents, incidents and nonconformances?
DR/INT
2 b) taking action to mitigate any consequences arising from accidents, incidents or nonconformances?
DR/INT
3 c) initiation and completion of corrective and preventive actions?
DR/INT
4 d) confirmation of the effectiveness of corrective and preventive actions taken?
DR/INT
5 Do procedures require that all proposed corrective and preventive actions are reviewed through the risk assessment process prior to implementation?
DR/INT
6 Are corrective and preventive actions appropriate to the magnitude of the problems and commensurate with the OH&S risk encountered?
INT/OBS
7 Has the organization implemented and recorded any changes in the documented procedures resulting from corrective and preventive action?
INT/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 16 of 18
# Question Verification
Method / Comments
4.5.3 Records and Records Management
1 Has a procedure been established, implemented and maintained for the identification, storage, protection, retrieval, retention and disposal of records?
DR
2 Are the HSMS records for each activity, product or service involved: a) legible?
DR/OBS
3 b) identifiable? DR/OBS 4 c) traceable? DR/OBS 5 Are their retention times established and
recorded? DR/OBS
6 Are the records appropriate to the system and organization?
OBS
7 Are the records sufficient to demonstrate conformance to the OHSAS 18001 Standard?
OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 17 of 18
# Question Verification
Method / Comments
4.5.4 Audit
1 Has the organization established and maintained program(s) and procedures for periodic health and safety management system audits?
DR
2 Do the audits determine whether or not the health and safety management system: a) conforms to planned arrangements for health and safety management including the requirements of the OHSAS 18001 Standard?
DR/OBS
3 b) has been properly implemented and maintained?
DR/OBS
4 c) is effective in meeting the organization’s policy and objectives?
DR/OBS
5 Are results of previous audits reviewed?
DR/INT
6 Is information on the results of audits provided to management?
DR/INT
7 Is the audit program based on the risk assessment of the organizations activities and the results of previous audits?
DR
8 Do the audit procedures cover the: a) the determination of scope and frequency of the audits?
DR
9 b) the methodologies and competencies? DR 10 c) the responsibilities and requirements
for conducting audits and reporting results?
DR
11 Are audits conducted by personnel independent of those having direct responsibility for activities being examined?
DR/OBS
Procedure Specific Questions Auditor Name(s): Date:
Page 18 of 18
4.6 Management Review
# Question Verification Method
/ Comments
1 Has top management determined an interval for review of the health and safety management system?
INT
2 Has management review of the health and safety management system been completed in accordance with the organization’s procedures?
INT
3 Did the review determine its continuing: a) suitability?
INT
4 b) adequacy? INT 5 c) effectiveness? INT 6 Does the management review process
ensure that the necessary information is collected to allow management to carry out this evaluation?
DR
7 Are the reviews documented? DR 8 In light of the system audit results,
changing circumstances and continual improvement, do the reviews address the possible need for changes to: a) policy
DR/INT
9 b) objectives? DR/INT 10 c) other elements of the health and safety
management system? DR/INT
Procedure Specific Questions Auditor Name(s): Date: