Legal and Other Requirements

IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.1 / General Requirements
-  OH&SMS established, documented, implemented, maintained and continually improved
-  OH&SMS scope defined and documented
4.2 / OH&S Policy
-  OH&S Policy defined, documented and endorsed by top management
-  OH&S Policy
a)  Appropriateness to nature, scale & hazards and risks of its activities & facilities
b)  Commitments to continual improvement
c)  Commitments to comply with applicable OH&S legislation and other requirements to which the organization subscribes?
d)  Implemented, maintained, communicated to all employees and understood by all
e)  provides framework for establishing, maintaining and periodically reviewing OH&S objectives & targets
f)  Reviewed periodically to ensure its relevance and appropriate
g)  Made available to the public
4.3
4.3.1 / Planning
Initial OH&S Review
-  Initial review of existing arrangements
-  Current position of OH&S established through initial review of current OH&S arrangements
a)  Identify gaps between any existing system in place and requirements of this standard
b)  Identify all associated hazards and risks
c)  Knowledge level and compliance to OH&S standards & legislation assessment
d)  Comparison of current arrangements and best practice in the sector
e)  Review past experience with incidents and results of previous assessment
f)  Assess efficacy and effectiveness of existing resources devoted to OH&S management
-  Documentation of information and planning for progressive implementation

Auditee Organization

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 1 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.3.2 / Hazard Identification, Risk Assessment and Risk Control
Procedure for identification of hazards, assessment of risk and control measures related to activities and facilities covering:
a)  Routine/non-routine activities
b)  Activities of all personnel including the sub-contractors and visitors
c)  Facilities at the workplace whether provided by the organization or others
-  Results of assessments and effects of controls considered while setting objectives
-  Information documented and updated
4.3.3 /

Legal and Other Requirements

-  Procedure established, implemented and maintained for:
a)  identification of and accessing relevant legal and other requirements
b)  applying the requirements to OH&S hazards and risks
-  Keeping track of legal and other requirements and changes thereto.
-  Communication of relevant information to employees at all times
4.3.4 / Objectives, Targets, Performance Indicators and Programmes
-  Objectives and targets established, implemented and maintained at relevant functions and levels
-  Objectives & targets are established considering all relevant aspects and are:
-  measurable, where practicable
-  consistent with OH&S policy, including the commitment to:
i) health & safety at workplace,
ii) complying with applicable legal requirements and
iii) to continual improvement
-  Regular review done at planned internals and revision made, if necessary.
-  Programmes established, implemented and maintained for achieving objectives & targets:
a)  Designation of responsibility at relevant functions and levels
b)  Means and timeframe for achieving
-  Amendment to programme(s) for new projects and new or modified activities and services
-  Measurable OH&S performance indicators
- Use of performance indicators for evaluation of the system

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 2 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.4
4.4.1 / Implementation and Operation
Resources, Roles, Responsibility & Authority
-  Roles, responsibilities, authorities of personnel defined, documented and communicated
-  OH&S responsibilities, accountabilities and authorities to act and reporting relationships for all levels of functionaries including sub-contractors and visitors
-  Ultimate responsibility for OH&S resting with top management
-  Procedure for monitoring and communicating changes in responsibilities and authorities
-  Responding in a timely and effective to changing or unusual circumstances or events
-  Appointment of Management Representative with defined roles, responsibilities and authority related to OH&S MS
-  Adequate resources essential for OH&S MS
- Human resources, including specialized skills, organizational infrastructure, technology, financial resources
4.4.2 / Competence, Training and Awareness
-  Procedure for identifying the competency standards and meeting them
-  Persons (of the organization or those working on its behalf) to be competent based on appropriate education, training or experience
-  Records associated with competence
-  Identification of training needs
-  Actions to meet training needs
-  Evaluating effectiveness of training
-  Records associated with training
-  Procedure established and maintained for the awareness of employees for:
a)  importance of conformance with policy, procedures and OH&S MS requirements
b)  significant hazards and risks, actual or potential and benefits of improved OH&S performance
c)  roles & responsibilities in achieving the policy, procedures and requirements of OH&SMS
d)  potential consequences of departure from specified operating procedures

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 3 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.4.3
4.4.3.1 / Communication and Reporting
Communication
-  Procedure for communicating pertinent OH&S information and significant risks & hazards
a)  Management system monitoring, audit and review results communicated to all
b)  Receiving, documenting & responding to external interested parties’ communication
c)  Communicating relevant information to outside people
4.4.3.2 / Reporting
-  Procedure for relevant and timely reporting of information for OH&S performance.
-  Internal reporting procedures covering:
a)  Incident occurring reporting
b)  Non-conformance reporting
c)  Health & Safety performance reporting
d)  Hazard identification reporting
-  External reporting procedures covering:
a)  Statutory reporting requirements
b)  Stakeholder reporting
4.4.4 /

Documentation

OH&S MS documentation shall include:
a)  OH&S Policy, objectives and targets
b)  Description of scope of OH&SMS
c)  Description of elements of OH&SMS and interaction & reference to documentation
d)  Documents, records required by the standard
e)  Documents, records determined by the firm for effective implementation of OH&SMS
4.4.5 / Control of Documents
-  Procedure for controlling all OH&SMS documents ensuring that:
a)  Approval for adequacy prior to issue
b)  Periodic review, revision, re-approval for adequacy by authorized personnel
c)  Identification of changes and current revision status of documents
d)  Availability of current versions of doc.
e)  Removal/unintended use of obsolete doc.
f)  Retention of obsolete documents for purpose
g)  Legibility and ready identification of doc.
h)  Identification and controlled distribution of documents of external origin

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 4 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.4.6 /

Operational Control

-  Identification of operations and activities associated with significant hazards and risks
-  Planning of activities to be carried out under specified situations:
a)  Procedure to control situations where their absence could to OH&SMS deviations
b)  Stipulating operating criteria
c)  Procedure(s) for the hazards and risks of goods & services and communicating to suppliers and sub-contractors
4.4.6.1 / Design and Engineering
- Consideration of OH&S at the initial design and planning phase to build risk controls
-  Each stage of design cycle to incorporate hazard identification, risk assessment and risk control procedures
-  Competent personnel with responsibilities
-  Engineering controls adopted for new hazards which can not be eliminated or substituted for one that presents lower risk
-  Consideration of the experience in design & engineering at the time of redesigning of product, process or workplace
4.4.6.2 / Purchasing
-  Procedure established, implemented and maintained for purchasing of goods and services including maintenance procedures under contract to others
4.4.7 / Emergency Preparedness and Response
-  Procedure for emergency preparedness and response
-  Plan for contingency in advance
-  Periodically test the contingency plans
-  Considering significant events while planning Procedures for On-site &Off-site emergency plans, periodic testing, review & revision
-  For Emergency plans of large installations, consultation with local authorities
-  Procedure(s) to mitigate effects of such incidents on those directly suffering injury.
-  Procedure(s) to include:
a)  Appropriate First-Aid facilities including arrangement for further medical assistance
b)  process to rehabilitate injured employees

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 5 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.4.8 / Critical Incident Recovery Plan
-  Procedure Critical Incident Recovery Plan
-  Only suitably qualified counsellors used to assist victims
4.5
4.5.1 / Checking
Measurement and Evaluation
-  Procedures to monitor and measure OH&S performance on regular basis, providing for:
a)  Qualitative and quantitative measures
b)  Monitoring extent of meeting objectives
c)  Proactive measure of performance that monitor compliance with OH&S MS, operational criteria and applicable legislation and statutory requirements
d)  Reactive measures of performance to monitor incidents which are evidence of deficient OH&S performance
e)  Recording of data & results of monitoring and measurement
-  Procedure for calibration and maintenance of monitoring equipment
-  Retaining records of calibration, maintenance activity and results
4.5.2
4.5.2.1
4.5.2.2 / Evaluation of Compliance
-  Procedure for periodic evaluation of compliance to legal requirements
-  Records of periodic evaluation
-  Procedure for periodic evaluation of compliance to other requirements
-  Records of periodic evaluation
4.5.3 / Accident, Incident, Non-Conformance and Corrective & Preventive Action
- Procedure for responsibility and authority for:
a)  Handling and investigation of accidents, incidents and non-conformances
b)  Taking actions to mitigate consequences
c)  Initiation and completion of CAs & PAs
d)  Confirmation of effectiveness of corrective and preventive actions
-  All proposed corrective & preventive actions to be reviewed through risk assessment process prior to implementation

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 6 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.5.3
(contd.) / -  CA&PAs be appropriate to the magnitude of problems, hazards & risks
-  Implement and record changes, if any, in documented procedures resulting from corrective & preventive actions
4.5.4 / Control of Records
Records and Information Management
-  Records maintained to demonstrate conformity of OH&SMS and results achieved
-  Procedure for identification, storage, retrieval, protection, retention and disposal of records
-  Record to be and remain legible, identifiable and traceable
4.5.5 /

Internal Audit

-  Internal Audits at planned intervals for:
a)  Determining conformity to planned arrangements, proper implementation and maintenance of OH&SMS
b)  Provide information on results of audits to management
-  Planning, establishing, implementing audit programmes taking into consideration the OH&S importance of operation(s) and results of previous audit
-  Audit procedures established, implemented and maintained addressing:
a)  responsibilities and requirements for planning and conducting audits, reporting results and retaining records
b)  audit criteria, scope, frequency and methods
-  Selection of auditors and conduct of audits shall ensure objectivity and impartiality of audit process
4.6 /

Management Review

-  Review of OH&SMS by Top Management at regular intervals to ensure its continuing suitability, adequacy and effectiveness
-  Ensuring collection of necessary information is colleted for evaluation

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page:7 of 9
IS
18001: 2007
Clause / Process/Function

A B C

Requirements

/ CHECKLIST FOR OHSMS

Findings

C – Conformity, N - Non-conformity , X - Not applicable, XX – Not assessed
A / B / C / Comments/Remarks
4.6
(contd.) /

Management Review (contd.)

-  Assessing opportunities for improvements and need for changes to OH&SMS, including policy, objectives and targets
-  Retaining records of management review
-  Management review to consider:
a)  Internal audit results and evaluation of compliance with legal & other requirements
b)  Communication from external interested parties, including complaints
c)  OH&S performance
d)  Extent to which objectives and targets are met
e)  Status of corrective and preventive actions
f)  Follow-up actions from previous management reviews
g)  Changing circumstances, developments in legal and other requirements
h)  Recommendations for improvements
- Review output to include decisions and actions for changes in OH&S policy, objectives, targets and other elements of OH&SMS consistent with the commitment to continual improvement

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 8 of 9
IS 18001:
2007

Clause (as applicable, if any)

/

Process/Function

/ OBSERVATIONS FOR OHSMS
OBSERVATIONS

Auditee (Organization)

M/s

/ Sign. of
Auditor
Doc: MSC-F6.4-22(OHSMS) Date : MAR 2008 Approved by : ADG
Issue: 02 Page: 9 of 9