OHSAS
18001 Audit checklist
OHSAS 18001 Audit checklist of general
Requirements
Clause 4.1
Clause 4.1
1.
Has a program been established?
2. Is
the scope of the program clearly defined?
3.
How long has the program been established?
4. Is
it being maintained the requirements of OHSAS 18001-1999?
OHSAS 18001 Audit checklist of OSH policies
Clause 4.2
Clause 4.2
1.
What is the organization’s policy?
2. Is
the policy defined and is it appropriate to the type, size, and OSH impacts of
the organization’s activities?
3.
Does the policy include a commitment to continual improvement in the
organization’s operations?
4.
Does the policy reflect the organizations hazard identification, risk
assessment and risk control in the organization’s activities and facilities?
5.
Does the policy include a commitment to compliance to legal requirements?
6. Is
the policy documented, implemented, maintained (periodically reviewed) and
communicated to all employees and are they aware of their responsibilities to
the OSH?
7. Is
the policy available to interested parties?
OHSAS 18001 Audit checklist of
Planning For Hazard Identification, Risk Assessment And Risk Control
Clause 4.3.1
Clause 4.3.1
1.
Are there documented and maintained procedures to establish and update hazards,
risks and implementation of controls?
2.
Does the procedure cover routine and non routine activities?
3.
Does the procedure cover all personnel and facilities?
4.
What mechanism is used to initiate hazard review/revision when operations
change?
5. Do
the criteria for the assessment of risk address both likelihood and
consequence?
6.
Are there records to provide evidence of analysis of hazards, risks and
controls?
7.
Are there any obvious hazards that should have been considered and were not? If
not, why not?
8.
Are results of assessments and effects of controls considered when setting OSH
objectives and are they documented and up to date?
9.
Does the methodology:
•
define scope, nature and timing?
• ensure proactive rather than reactive assessments?
• provide for classification of risk tolerability?
• identify those to be eliminated or controlled?
• assure consistency with operating experience? (Ref. 4.3.1C of OHSAS 18002-2000)
• assure consistency with effectiveness of risk control measures?
• ensure proactive rather than reactive assessments?
• provide for classification of risk tolerability?
• identify those to be eliminated or controlled?
• assure consistency with operating experience? (Ref. 4.3.1C of OHSAS 18002-2000)
• assure consistency with effectiveness of risk control measures?
10.
Does the methodology provide input into determination of facility requirements,
training needs and operational controls?
11.
Does the methodology provide for monitoring of required actions to ensure
timeliness and effectiveness of implementation?
OHSAS 18001 Audit checklist of
objectives
Clause 4.3
1.
Has the organization established and maintained OSH objectives?
2.
Have the documented objectives considered legal and other requirements?
3.
Are objectives reasonable and measurable?
4. Is
there a documented and maintained procedure for periodically reviewing
objectives?
5.
Are objectives communicated to the employees that are supposed to achieve them?
6.
Are organizational objectives consistent with Lab/higher level objectives?
OHSAS 18001 Audit checklist of OSH Management
Program(s)
Clause 4.3.4
Clause 4.3.4
1.
Are there programs to achieve all the identified objectives?
2. Do
the programs include schedules for completion and resources necessary to
achieve the objectives?
3. Do
the programs assign responsibilities for completion of tasks in achieving
objectives?
4.
Are all procedures that supplement the OHS management program available to the
appropriate personnel and current?
5.
Are the management programs reviewed at planned intervals and amended as
required?
OHSAS 18001 Audit checklist of Structure and
Responsibility
Clause 4.4.1
Clause 4.4.1
1.
Are roles and responsibility, and authorities defined, documented and
communicated?
2.
Has management provided the necessary resources (people, technology, money) to
implement this OSH program?
3.
Has the organization appointed an OSH management appointee from top management?
4.
Does the R2A2 of the OSH management appointee document sufficient authority to
accomplish a & b above?
5.
How does management demonstrate their commitment for continual improvement of
OSH performance?
OHSAS 18001 Audit checklist of Training,
Awareness and Competence
Clause 4.4.2
Clause 4.4.2
1.
Are procedures established and maintained to make employees aware of a – d
above?
2.
How do you ensure personnel are competent to perform tasks that impact OHS?
3.
Has the appropriate training been done and, where required, by qualified
trainers?
4. Do
the training procedures take into account the differing levels of
responsibility, ability, literacy and risk?
5.
Are there specific, documented minimum requirements for each person performing
a task that can cause significant OHS impact?
OHSAS 18001 Audit checklist of
Consultation and Communication
Clause 4.4.3
Clause 4.4.3
1.
Are there procedures that are maintained for communications to and from
interested parties regarding the organization’s pertinent OSH information?
2.
How are communications to and from interested parties documented?
3.
How are internal communications between different levels and different
functions documented? How do you have feedback to management?
4.
How are employees involved in the development of policies and procedures to
manage risks?
5.
How are employees consulted for changes that affect workplace health and
safety?
6.
How are employees represented on OHS matters?
7. Do
people know who their employee OHS representative and/or management appointees
are?
8.
How are OHS representatives involved in communication mechanisms with
management?
9.
What initiatives do you have to encourage OHS consultations and improvement
activities?
10.
What mechanisms are used to communicate OHS concerns or information to all
interested parties and employees; e.g., inspections, briefings, notice boards,
OHS newsletter, OHS poster programs?
OHSAS 18001 Audit checklist of Document and Data
Control
Clause 4.4.5
Clause 4.4.5
1.
Are there procedures for controlling and maintaining all documents (e.g.,
procedures and instructions) and/or data (e.g., engineering drawings and MSDS)
required by this standard? Are the documents/data accessible (e.g., can the
employee access the documents/data they need), including during an emergency?
2.
Are the documents/data periodically reviewed, revised and approved for adequacy
by authorized personnel?
3.
Are latest versions of documents/data available in all areas and by all
personnel that perform tasks essential to the effective functioning of the OSH?
4.
Are obsolete documents/data removed from use and assured from unintended use?
Are historical copies maintained & labeled?
5.
Are those obsolete documents/data that are retained for legal or knowledge
reasons clearly identified?
6.
Are documents/data dated with the latest revision, orderly, legible and
retained for a specified period?
OHSAS 18001 Audit checklist of Operational
Control
Clause 4.4.6
Clause 4.4.6
1.
Have the operations and activities, including maintenance, been identified that
are associated with the identified OSH risks where control measures need to be
applied?
2.
Have procedures been established and maintained for the above operations that,
if they are not followed for these situations, could lead to deviations from
the OSH policy and the objectives?
3.
Are operating criteria clearly established and document/data in the procedures
for the operations and activities identified above?
4.
Have the identified OSH risks of goods, materials, equipment and services used
in the above operations and activities been identified?
5.
Are there procedures for handling goods, materials, equipment and services used
in the activities associated with identified risks where controls need to be
applied?
6.
Are relevant procedures and requirements communicated to the appropriate
suppliers and contractors (are operational controls in place and working as
expected)?
7.
Are records of operational controls and performance indicators managed and
retained per plans?
8.
Are there procedures to reduce OS&H risks in design and workplace processes
(Ref. d above)?
OHSAS 18001 Audit checklist of Emergency
Preparedness and Response
Clause 4.4.7
Clause 4.4.7
1.
Are there maintained procedures to identify potential for accidents and
emergency situations?
2.
Are there maintained procedures to respond to accidents and emergency
situations?
3.
Are there maintained procedures to prevent and minimize the OSH risks that may
be associated with the identified accidents and emergency situations?
4.
Are there reviews and revisions of the emergency preparedness and response
procedures, particularly after an incident?
5.
Are there periodical tests of the above procedures?
OHSAS 18001 Audit checklist of Performance
Measurement and Monitoring
Clause
4.5.1
1. Do
the procedures address qualitative and quantitative measures?
2.
Are procedures document/data and maintained to monitor and measure OSH
performance on a regular basis?
3. Are monitoring of OSH objectives performed?
3. Are monitoring of OSH objectives performed?
4.
Does the OSH management program include proactive measures to address
operational criteria, legal requirements and regulatory standards?
5.
Are there reactive measures of performance to monitor accidents, ill health,
incidents (including near-misses) and other historical evidence of deficient
OSH performance?
6.
Are OSH performance indicators evaluated for corrective and preventative
action?
7.
Are the indicators of OSH performance communicated to management?
8. Is
OSH monitoring equipment required for performance measurement and monitoring
calibrated? If so, is there a documented calibration and maintenance
procedure(s)?
9.
Are the records for the calibrations and maintenance results retained?
OHSAS 18001 Audit checklist of Accidents,
Incidents, Nonconformances And Corrective And Preventive Action
Clause 4.5.2
Clause 4.5.2
1.
Are procedures documented and maintained for defining responsibility and
authority for handling and investigating of accidents, incidents and
nonconformances?
2.
Are procedures documented and maintained for initiating and completing corrective
and preventive action? Is a risk assessment conducted for these actions?
3.
Are appropriate corrective and preventive actions taken?
4.
Are the results of the corrective and preventive actions implemented and
recorded?
5.
How does the organization implement and record any changes in their documented
procedures resulting from corrective and preventative actions?
OHSAS 18001 Audit checklist of Records and
Records Management
Clause 4.5.3
Clause 4.5.3
1.
Are procedures documented and maintained for the identification, maintenance
and disposition of OSH records?
2.
Are the records legible, identifiable and traceable to the activities involved?
3.
Are the records stored and maintained such that they are readily retrievable
and protected against damage, deterioration or loss?
4.
Are there specified retention times for all of the records identified?
5.
Are the records maintained in a manner to demonstrate conformance with the
standard and appropriate to the system and the organization?
6. Is
consideration given to confidentially?
OHSAS 18001 Audit checklist of audit requirements
Clause 4.5.4
Clause 4.5.4
1.
Are procedures documented and maintained for periodic OSH audits?
2.
Does the procedure for OSH audits include the scope of the audit, frequency,
methodologies used, responsibilities, requirements, and method of reporting
results?
3.
Does the OSH audit determine whether their OSH has been implemented and
maintained and conforms to this standard and organization’s OSH policy and
objectives?
4.
Does the OSH audit provide results of the audits to management?
5. Is
the audit program and schedule based on risk assessments and the results of
previous audits?
6.
Does the procedure address the independence of auditors?
OHSAS 18001 Audit checklist of Management Review
Clause 4.5.5
Clause 4.5.5
1.
Has top management performed a review of the OSH management system on a
periodic basis? Is it documented?
2.
Does the review address the system’s:
a)
continued suitability
b) adequacy
c) effectiveness
b) adequacy
c) effectiveness
3.
Does the review address possible need to change its policy, objectives and
other elements of the OSH management system? Has this been conducted in light
of OSH management system audit results, continual improvement and changing
circumstances?
4.
Does the record of the review include a list of information used for the
management evaluation?
ARS offers a number of safety standard programs, like the AS 4801 Occupational Health and Safety Management System (OHSMS) and a program developed by WorkSafe Australia. AS 4801 Safety Audit
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