S.

No
1

Clause No

Likely Questions an auditor can ask

4.2
Policy

Is there a policy?
Is it communicated to all employees and those
who are working on be half of the organization?
Do you make it available to interested parties on
demand? How?
How part can be asked to security, reception etc.
A few workmen and contractors persons can be
asked

4.3.1
Hazard identification

4.3.2
Legal and other
requirements

4.3.3

4.3.3

Do you have a procedure of identification of

hazards?
How do you evaluate the risk?
Have you identified hazards of non routine
activities? Some cases can be seen
Do you revise the HIRA sheets? When?
What are the new projects? Have the hazards of
these been identified and risk evaluated ?
Examples.
Look for any HIRA which are missing.
Examples. Number revisions in HIRA sheets can
be seen as an evidence of system being
dynamic.
Design : Have you done HIRA analysis of all
materials
How do you keep track of changing legal
requirements?
Are the employees aware about the legal
requirements? Ask a few questions on legal
requirements even to workmen.
What are the other requirements which our
company has addressed? How they affect us.?
What objectives are considered based on legal
requirements?
Evaluation of tracking of SMPs?
Are the responsibilities addressed at relevant
functions and levels within the organization?
Are the Objectives, targets and SMPs reviewed

S.
No

Clause No
Objective, targets,
and EMPs

Likely Questions an auditor can ask

regularly? If so are the actions taken for course

correction in case required?
Are the means clearly defined.?
Are the people involved in achieving planned
results of SMPs
4.4.1
What are the special skills required? Do you
Resources roles and have special SOPs where special skills are
responsibilities
required.? The roles responsibilities are they
clear to the employees? What are your
responsibilities as regards to OHSMS.? Where
are they documented.?
4.4.2
Training needs identified for the self and people
Competence,
working under the auditee? Are the people
Training and
working in key areas competent enough? For
awareness
personnel department : Is there a competence
mapping done for the employees?
Training records can be seen as an evidence.
How do you evaluate the effectiveness of the
training imparted?
4.4.3
How do you communicate about OHSAS? What
Communication
are the Objectives, Targets and SMPs in your
department.? What legal requirements are
applicable to your department? Do you have
access to the legal register.? Can you open it on
computer.? What are the important points
discussed in MRM about safety performance of
your department.?
4.4.4
Some departmental interrelation question may
Documentation
be asked.
Departmental Inter relation as established may
be verified.
4.4.5
Is the policy of a correct revision.? Which are the
Control of documents documents which are required to be controlled in
your department?
What do you do in case these are revised?
How do you give numbers to the formats or other
documents?

S.
No
10

Clause No

Likely Questions an auditor can ask

4.4.6
Operation Control

11

4.4.7
Emergency
preparedness and
control

12

4.5.1
Monitoring and
Measurement
4.5.2.1 & 4.5.2.2
Evaluation of
compliance

What are the limits established by you for

various parameters. What are the operational
controls. What are SOPs
Have you given ref of SOP in HIRA sheets under
operational control column.
How many hazards have been identified in
Emergency category ?
A local emergency plan can be audited.
(This should be departmental activity so that
others are not affected.)
What is the frequency of monitoring and
measurement? Is it defined in the law? What
actions do you take if it is exceeding your limit?
What are the key characteristics of safety
performance in your department? How do you
monitor those? What actions you take if you do
not meet the same. The reports may be verified.
Do you have any other requirements?
What are the non conformities happened?. What
are the corrective actions taken.?
How do you evaluate the effectiveness of a
corrective actions.? Have you taken any
preventive actions.? Are the HIRA sheets
reviewed after CA & PA
Retrievable can be seen

13

14

4.5.3
Non conformity
corrective action and
preventive action

15

4.5.4
Control of Records
Internal Audit

16

17

Is there an annual plan. What is the frequency of

Internal Audits. Are the auditors qualified? Is the
objectivity maintained.? Which are the weak
areas.
Are all NCs vacated.
4.6
When was the last MRM conducted? What are
Management Review the improvement actions? Is there any issue as
regards to interested parties?
Have you discussed the results of the internal
audits and evaluation of compliance? Did you
review objectives and targets?