Beruflich Dokumente
Kultur Dokumente
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)
Auditors Remarks
Have you defined the scope of your Occupational Health and Safety Management System (OHS-MS) ? If
TMA (OHS-MS)
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Auditors Remarks
Has the top management defined the OH&S policy of your organisation ? Is the policy consistent with the scope of the OHS-MS ?
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Is the policy appropriate to the nature, scale and OH&S risks in your activities, products, and services ? Does the policy make any commitment to continual improvement ? Does the policy make any commitment to prevention of ill health and injury at workplace ? 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 ? Does the policy provides the framework for setting and reviewing OH&S objectives ? Is the OH&S policy documented, implemented and maintained ? Have you communicated the OH&S policy to all persons working under the
Top Management
Top Management
Top Management
8 9
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11
Top Management
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Auditors Remarks
Has the organisation established, implemented and maintained any procedure(s) for the ongoing hazard identification, risk assessment, and determination of necessary controls ? Do the hazard identification and risk assessment procedure (s) take routine and non-routine activities into account ? Do the hazard identification and risk
TMA (OHS-MS)
TMA (OHS-MS)
TMA
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TMA (OHS-MS)
TMA (OHS-MS)
TMA (OHS-MS)
TMA (OHS-MS)
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into account ?
Do the hazard identification and risk assessment procedure (s) take modifications to the OH&S management system, including temporary changes, and their impacts on operations, processes, and activities
TMA (OHS-MS)
into account ?
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 ? 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)
11
TMA (OHS-MS)
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12
How is the organisations 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 controls, as appropriate ?
TMA (OHS-MS)
13
Does the organisation identify the OH&S hazards and OH&S risks associated with changes in the organisation, the OH&S management system, or its activities, prior to the introduction of such changes ? Does the organisation ensure that the results of risk assessments are considered when determining controls ? When determining controls, or considering changes to existing controls, do you seek to reduce the risks according to the following hierarchy ?
TMA (OHS-MS)
14
TMA (OHS-MS)
15
TMA (OHS-MS)
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16
Do you document and keep the results of identification of hazards, risk assessments and determined controls up-to-date ? 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)
17
TMA (OHS-MS)
Auditors Remarks
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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 ? Do you ensure that the applicable legal requirements and other requirements to which your organisation subscribes are taken into account in establishing, implementing and maintaining its OH&S management system ? Does your organisation keep itself upto-date about the legal and other requirements ? 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)
TMA (OHS-MS)
TMA (OHS-MS)
TMA (OHS-MS)
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Auditors Remarks
Have you established, implemented and maintaining documented OH&S objectives at relevant functions and levels within the organisation ?
TMA (OHS-MS)
TMA (OHS-MS)
TMA (OHS-MS)
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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)
Does the organisation consider its technological options, its financial, operational and business requirements, and the views of relevant interested parties ? Have you established, implemented and maintaining any programme(s) for achieving the OH&S objectives ?
TMA (OHS-MS)
TMA (OHS-MS)
TMA (OHS-MS)
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4.4 IMPLEMENTATION AND OPERATION 4.4.1 Resources, roles, responsibility, accountability and authority
Sl. No. Question to be asked Generally Asked To Compliance Status In various Departments / Workplaces (Enter NA if not applicable)
Dept. / Dept. / W Workplace - 02 o r k p l a c e 0 Dept. / Workplace - 03 Dept. / Workplace - 04
Auditors Remarks
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Is the organisations Top management taking the ultimate responsibility for OH&S and the OH&S management system ? Is the organisations Top management able to demonstrate its commitment by ensuring the availability of resources (such as human resources and specialised skills, organisational infrastructure, technology and financial resources) essential to establish, implement, maintain and improve the OH&S management system ? Is the organisations Top management able to demonstrate its commitment by defining roles, allocating responsibilities and accountabilities, and delegating authorities, to facilitate effective OH&S management ? Are the OH&S roles, responsibilities, accountabilities, and authorities documented and communicated ? Has the organisation appointed a
Top Management
Top Management
Top Management
Top Management
Top
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Top Management
Top Management
Top Management
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Auditors Remarks
Does the organisation ensure that the 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) ?
HR Manager
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HR Manager
HR Manager
HR Manager
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Auditors Remarks
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Have you established, implemented and maintaining an OH&S system procedure for internal communication among the various levels and functions of the organisation ? Have you established, implemented and maintaining an OH&S system procedure for communication with contractors and other visitors to the workplace ? Have you established, implemented and maintaining an OH&S system procedure for receiving, documenting and responding to relevant communications from external interested parties ?
TMA (OHSMS)
TMA (OHSMS)
TMA (OHSMS)
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Auditors Remarks
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 (OHSMS)
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4.4.4 Documentation
Sl. No. Question to be asked Generally Asked To Compliance Status In various Departments / Workplaces (Enter NA if not applicable)
Dept. / Dept. / W Workplace - 02 o r k p l a c e 0 Dept. / Workplace - 03 Dept. / Workplace - 04
Auditors Remarks
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Does the OH&S management system documentation of the organisation include the following ? a) the OH&S policy and objectives b) description of the scope of the OH&S management system c) 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 (OHSMS)
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 (OHSMS)
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Auditors Remarks
Are the documents required by the OH&S management system and by the OHSAS 18001 standard controlled ? 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
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TMA (OHSMS)
Auditors Remarks
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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 ? 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 ? 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
TMA (OHSMS)
TMA (OHSMS)
TMA (OHSMS)
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Auditors Remarks
Has the organisation established, implemented and maintaining any procedure for the following ?
TMA (OHSMS)
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Safety Manager
Safety Manager
TMA (OHSMS)
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Auditors Remarks
Have you established, implemented and maintaining procedures to monitor and measure OH&S performance on a regular basis ? 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 organisations OH&S
TMA (OHSMS)
TMA (OHSMS)
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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 (OHSMS)
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Auditors Remarks
Consistent with its commitment to compliance, has the organisation established, implemented and maintaining a procedure for periodically evaluating compliance with applicable legal requirements ? What is the frequency of compliance evaluation of legal requirements ? Do you keep records of the results of the periodic evaluations of legal requirements ?
TMA (OHSMS)
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5 6
4.5.3 Incident investigation, nonconformity, corrective action and preventive action 4.5.3.1 Incident investigation
Sl. No. Question to be asked Generally Asked To Compliance Status In various Departments / Workplaces (Enter NA if not applicable)
Dept. / Dept. / W Workplace - 02 o r k p l a c e 0 1 Dept. / Workplace - 03 Dept. / Workplace - 04
Auditors Remarks
TMA (OHSMS)
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Auditors Remarks
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Have you established, implemented and maintaining any procedure for dealing with actual and potential nonconformities and for taking corrective action and preventive action ? 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 (OHSMS)
TMA (OHSMS)
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TMA (OHSMS)
TMA (OHSMS)
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Auditors Remarks
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 ? Have you established, implemented and maintaining any procedure for the identification, storage, protection, retrieval, retention and disposal of records ? Records shall be and remain legible, identifiable and traceable. Are they ?
TMA (OHSMS)
TMA (OHSMS)
TMA (OHSMS)
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Auditors Remarks
Do you ensure that internal audits of the OH&S management system are conducted at planned intervals ? If so, is the interval defined ? 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
TMA (OHSMS)
TMA (OHSMS)
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b) provide information on the results of audits to the management 3 Are the OH&S internal audits based on the results of risk assessments of the organisations activities, and the results of previous audits ? 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 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 (OHSMS) TMA (OHSMS)
TMA (OHSMS)
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Auditors Remarks
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
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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Are the outputs from management reviews consistent with the organisation's commitment to continual improvement ? Do the outputs from management reviews include any decisions and actions related to possible changes to the following ? a) b) c) d) OH&S performance OH&S policy and objectives Resources, and Other elements of the OH&S management system.
Top Management
Are the relevant outputs from management review made available for communication and consultation ? Are the records of management reviews retained ?
Signature of Auditors : (1) (2) (3) . (4) . Signature of Auditees: (1) (2) (3) . (4) .
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