OHSAS 18001:2007 Occupational safety and health (OSH) management system – Requirements

AUDIT CHECKLIST

Clause Items Description Compliance Remarks

Yes Partial No N/A
4.1 General
requirements
a. Is the OHSMS established, documented, implemented,
maintained and show continuous improvement?
b. Is the scope of the OHSMS defined and documented?
4.2 OHS Policy
a. Is the policy signed by top management?
b. Is the policy within the defined scope of OHSMS?
c. Is the policy :
ii. committed to continual improvement & prevention of ill health
& injury?
ii. committed to comply with applicable legal & other
requirements which relates to HIRAC?
iii. provide framework for setting and reviewing safety and
health objectives and targets?
d. is the policy documented, implemented & maintained?
e. is the policy communicated to all persons in the organisation?
Check briefing record or interview personnel.
f. is available to interested parties?
4.3.1 Hazard
Identification, Risk
Assessment and
Control
a. Is the procedure established to identify HIRAC of the
organisation within the defined scope on
i. activities of all persons at workplace (including contractors
and visitors)
ii. Infrastructure, equipment and material at workplace
iii. Modification to OHSMS, including temporary changes,
impacts on operations, processes, and its activities
b. Is the above procedure take into account:
i. Changes or proposed changes in the organization, its
activities, or material
ii. Established for management of change?
iii. Identification, prioritization and documentation of risks, and
the application of controls?

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c. Sample an RA (as applicable) check if:

i. Available, implemented and maintained?
ii. Routine & Non-routine activities are identified
iii. Identified additional controls has responsible person for
implementing controls.
iv. Risk reduction is according to elimination, substitution,
engineering, administrative and PPE controls
iv. RA team leader is competent and trained. Check for training
certificate.
v. Did the concerned personnel receive briefing on the RA?
4.3.2 Legal and Other a. Is procedure established, implemented and maintained to
Requirements identify and have access to applicable legal & other requirements
related to OHSMS?
b. Is there a legal and other requirement register that the
organisation needs to comply with?
c. Does the register take into account regulations relevant to the
organisation Activities?
d. Are relevant persons aware on the implementation and
accessibility of the register?
e. Is the register up to date? No obsolete requirements?
4.3.3 Objectives, Targets
& Programs
a. Are objectives and targets :
i. documented?
ii. established, implemented and kept up-to-date?
iii. measurable with Performance Indicator?
iv. consistent with OHS Policy?
b. Objectives and target established take into account:
I. legal and other requirements?
ii. significant HIRA?
iii. technological options, financial, operational , business
requirements and views of interested parties?
c. Are OHS Programmes established, implemented and kept up
to date to archive objectives & targets?
d. Are concerned personnel aware on the company’s objectives,
targets and programs?

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4.4.1 Resources, Roles, a. Management shows commitment on ensuring availability of

Responsibilty, resources? Check availability of WSH organization chart.
Accountability & b. Roles, Responsibility and Authorities are defined, documented
Authority and communicated? Check briefing records and procedure.
c. Management Representative (MR) is appointed? Check
acknowledged appointment letter.
d. Is the WSH Committee established with corresponding
acknowledged appointment letters?
e. Are personnel aware on who the MR, WSH Committee, WSH
Chairman are?
4.4.2 Competence,
Training and
Awareness
a. are persons performing task for or on behalf of the
organisation that may cause significant HIRA impact competent?
b. Is the competency record retained?
c. Training needs identified?
d. Provision of training or other action to meet the needs?
Records?
e. Is procedure established, implemented and maintained to let
persons working for or on behalf of the organisation aware of :
i. conformity with OHS policy, procedures and OHSMS?
iii. roles and responsibilities?
ii. Does training procedure take into account differing levels of
responsibility, ability, language skills and literacy and risk?
4.4.3 Communication,
participation and
consultation
a. Is procedure established, implemented and maintained for
i. internal communication among the various levels and
functions of organization?
ii. Communication with external parties, contractors and other
visitors to workplace?
b. Is procedure established, implemented and maintained for :
i. participation of workers
ii. Appropriate involvement in hazard identification, risk
assessments and determination of controls
iii. Appropriate involvement in incident investigation

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iv. Involvement in the development and review of OHS policies

and objectives
v. consultation where any changes that affect their OHS
c. Are there any records of Internal Communication regarding
safety and health?
4.4.4 Documentation
a. Does the OHS documentation include:
i. OHS policy, objectives and targets?
ii. scope of OHSMS?
iii. description of OHSMS main elements, interaction and
reference to related documents?
iv. records required by OHSAS 18001:2007?
v. records related to significant HIRA ( planning, operation,
control of processes)?
4.4.5 Control of
Documents
a. Are documents and records controlled?
b. Are procedures established, implemented and maintained to
ensure documents are:
i. approved by authorized personnel?
ii. reviewed and updated and re-approved?
iii. changes and current revision status documented?
iv. current versions available?
v. legible and readily identifiable?
c. Document for external origins :
i. identified? Recorded?
ii. controlled?
d. Obsolete documents
i. promptly removed?
ii. obsolete documents which are retained properly identified?
4.4.6 Operational Control
a. Are operations, products and services associated with
significant hazards identified and planned?
b. Are Safe Work Procedures established? Is it communicated to

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all relevant staff?

c. Is the maintenance and equipment inspection established,
recorded and maintained?
d. Are the personnel trained and aware on the safety hazards of
using equipment?
e. Is there a defined frequency of safety and health inspection
being conducted? Are records of inspection maintained?
f. Is the Contractor Selection and evaluation extablished?
4.4.7 Emergency
Preparedness and
Response
a. Any Emergency Preparedness and Response Procedures
established, implemented and kept up to date?
b. Periodically test the practicability of procedures? Any Drill
record?
c. Is the Emergency Response Team established? First Aiders
with valid training certificate?
d. Are the ERT trained or received any form of briefing on how to
conduct emergency response?
e. Are the emergency contact list posted in conspicuous
locations?
f. Are there sufficient and adequate First Aid boxes?
g. Is there any record of inspection for the First Aid boxes? Is
there a First Aid logsheet to record any first aid given?
h. Are there available fire extinguishers? Valid and not expired?
Record of maintenance / service is available?
4.5.1 Performance
Measurement &
Monitoring
a. Is procedures established, implemented and maintained to
monitor and measure key characteristic in regular basic?
b. Do the procedures provide for:
i. both qualitative and quantitative measures, appropriate to
needs of organization?
ii. monitoring of the extent to which the organization's OHS
objectives are met?
iii. monitoring controls effectiveness (for health and safety)?
iv. Proactive measures of performance that monitor
conformance to OHS programme, controls & operational criteria
v. Reactive measures of performance that monitor ill health,

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incidents (including accidents, near-misses, etc) and others

evidence of deficient OHS performance.
vi. Recording of data and results of monitoring and
measurement sufficient to facilitate subsequent corrective action
and preventive action analysis.
c. Do the monitoring and measurement equipment calibrated or
verified? Record retained?
4.5.2 Evaluation of
Compliance
a.Is procedure established, implemented and maintained for
periodically evaluating:
i. applicable legal requirements
ii. other requirements to which the organisation subscribes
b. Are the records of the results of periodic evaluation available?
4.5.3 Incident
investigation,
nonconformity,
corrective action &
preventive action
a. Is procedure established, implemented and maintained to
record, investigate and analyze incidents and provide for?
i. determine underlying OHS deficiencies and other factors that
might cause or contribute to occurrence of incidents
ii. Identify the need for corrective action
iii. Identify opportunities for preventive actions
iv. Identify opportunities for continual improvement
v. communicate the results of such investigations
a. Is procedure established, implemented and maintained to deal
with actual and potential non-conformity?
b. Is procedure established, implemented and maintained for
taking corrective action and preventive action?
c. Does the procedure include:
i. nonconformity identification and mitigation?
ii. investigation of nonconformity and action to avoid
recurrence?
iii. evaluating the needs to prevent nonconformity and
preventive actions?
iv. recording the results of corrective & preventive action

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taken?
v. reviewing the effectiveness of corrective and preventive
action taken?
d. Is the action taken appropriate to the magnitude of problems
and HIRA?
e. Are changes made documented?
4.5.4 Control of Records
a. Are records required by OHSMS 18001:2007 established and
maintained?
b. Is procedures established, implemented and maintained for
records:
i. identification?
ii. storage?
iii. protection?
iv. retrieval?
v. retention?
vi. disposal?
c. Are the records:
i. legible?
ii. identificable?
iii. traceable?
4.5.5 Internal Audit
a. Internal audit conducted at planned interval?
b. Conduct the internal audit to assess whether:
ii. OHSMS Properly implemented and maintained?
c. Are audit results presented to management?
d. Audit programmes planned, established and maintained?
e. Audit programmes take into account previous audit results and
important operations?
f. Is audit procedure established, implemented & maintained to
address:
i. responsibilities and requirement for planning and conducting
audit, reporting result and retaining records?
ii. audit criteria

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iii. scope of audit

iv. frequency
v. method
g, Are auditors selected based on objectivity and impartiality of
audit process?
4.6 Management Review
a. Is the OHSMS reviewed by top management at planned
interval?
b. Does the review include assessing opportunities for
improvement and needs of OHSMS changes?
c. Is the record of management review retained?
d. Does the input of management review includes:
i. results of internal audits?
ii. results of evaluation of compliance?
iii. communication from external parties?
v. objective and target progress status?
vi. CAR and PAR status?
vii. previous management review follow up actions?
viii. changes, include update of legal and other requirements?
ix. recommendation of improvement?
e. Is the output of management review includes:
i. decision and actions to changes of OHSMS ?
ii. commitment to continual improvement?

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