ISO 14001:2004 &

OHSAS 18001:2007

CHECKLIST SYSTEM CHECK

Conformance

OHSAS
18001

Requirement

(Y, N, NA)

Observations & Objective Evidence

4.2 OH+S POLICY

Has the organization defined and
documented its E&OHS policy?

doc:

Is the policy appropriate for the organizations

resp. sites activities and their potential
E&OHS risks?

doc:

Does the policy include commitments to

continual improvement and prevention of
pollution, injury and ill health?

doc:

Have methods been established to monitor

continual improvement and prevention of
pollution, injury and ill health?

doc:

Does the policy commit to compliance with

E&OHS legislation, regulations and any
other requirements subscribed to?

doc:

Does the policy provide a framework for

setting & reviewing E&OHS objectives and
targets?

doc:

Is the E&OHS system documented and

implemented and is there evidence of its
maintenance?

doc:

Has the E&OHS policy been communicated

and implemented to all persons working for
or on behalf of the organization?

doc:

Is the E&OHS policy available to interested

parties / to the public?

doc:

Is the E&OHS policy periodically reviewed?

doc:

imp:

imp:

imp:

imp:

imp:

imp:

imp:

imp:

imp:

imp:

The policy has been approved and

signed by the Sr. Vice President
Operations dated 06.07.2012 found
complied with requirements
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
Verified the policy dated 06.07.2012
which has been approved and signed
by the Sr. Vice President Operations
The policy has been posted at
prominent places in the factory
premises. EHS policy found available
to the public also.
Yes. The policy has been displayed
outside the gate and has a commitment
to be made available to the interested
parties / public on demand.
Yes. The same has been reviewed
during the Management review
meetings. Last review done on
18.04.2012 and policy and objectives
have been reviewed.

4.3 PLANNING
4.3.1

Does the organization have procedures to

identify and assess the appropriate E&OHS
risks of its activities, products and services to
determine the necessary controls, which it
can influence, or to be able to comply with
regulatory requirements?

doc:

Does the organization have a procedure to

evaluate the significance of the appropriate
E&OHS aspects and its activities, products
and services which it can control and
influence? Have all E&OHS aspects with
legal requirements defined as significant?

doc:

imp:

imp:

Yes. As per the OH&S procedure for

Hazard identification, Risk Assessment,
Determining Controls HRJ(KKL)/HRZ01
reviewed. And mentioned with change
management as well.
Yes. As per the OH&S procedure for
Hazard identification, Risk Assessment,
Determining Controls.07 Significant
Aspects Legal requirement has been
considered to determine the
significance.03 Significant hazards

Conformance

OHSAS
18001

Requirement
Are the E&OHS aspects periodically
reviewed resp. reviewed whenever some
new activities are taken?

(Y, N, NA)
doc:
imp:

Do procedures for hazard identification and

risk assessment take into account the
following:

Routine and non routine activities?

doc:
imp:

Activities of all persons having

access to the workplace (including
contractors and visitors)?

doc:

Human behaviour, capabilities and

other human factors?

doc:

Identified hazards originating

outside the workplace capable of
adversely affecting the health and
safety of persons under the control
of the organization?

doc:

Hazards created in the vicinity of

the workplace by work-related
activities under the control of the
organization?
Infrastructure, equipment and
materials at the workplace whether
provided by the organization or
others?
Changes or proposed changes of
the organization, its activities or
materials?
Modification of the OHS system,
including temporary changes, and
impact on operations, processes
and activities?
Any applicable legal obligation
relating to risk assessment and
implementation of necessary
controls?
The design of work areas,
processes, machinery/equipment,
installations, operating procedures,
work organization incl. their
adaptation to human capabilities?

imp:

imp:

imp:
doc:
imp:

doc:

Observations & Objective Evidence

The document was reviewed
periodically and the latest document
dated 03.05.2012 Rev. 01.1 Aspect
Register and Hazard Register are
reviewed (Rev. 02).

Yes. As per the OH&S procedure for

Hazard identification, Risk Assessment,
Determining Controls HRJ(KKL)/HRZ01
reviewed.
-do-

-do-

-do-

-do-

-do-

imp:
doc:

-do-

imp:
doc:

-do-

imp:
doc:

-do-

imp:
-dodoc:
imp:

Is the organizations methodology for risk

identification and assessment

Version 2 / 2010 / bie

defined with respect to its scope,

nature and timing to ensure it is
rather proactive than reactive?
provide for the identification,
prioritization and documentation of
risks, and the application of
controls as appropriate?

doc:
imp:
doc:

Yes. As per the procedure for hazard

identification, risk assessment,
determining controls and Hazard
register including rating verified.
-do-

imp:

2/9

Conformance

OHSAS
18001

Requirement
Has the organization identified the OHS
hazards and risks associated with changes in
the organization, the OHS management
system, or its activities prior to the induction
of such changes?

doc:

Has the organization ensured that the results

of these assessments are considered when
controls are determined?

doc:

When controls are determined or changes to

the existing controls are considered, is the
considerations regarding risk reduction
following the hierarchy
Elimination Substitution Engineering
controls Signage/warnings/administrative
controls personal protective equipment.
Are the results of the identification of
hazards, risk assessments and determined
controls documented and kept up-to-date?

4.3.2

4.3.3

(Y, N, NA)
imp:

imp:

doc:
imp:
doc:

Observations & Objective Evidence

Yes. Well identified and recorded in the
HIRA analysis report.

Yes. As per the procedure for Hazard

and Aspect identification

Yes. Well defined in the Hazard and

Aspects identification

-do-

imp:

Has the company ensured that the

determined controls are taken into account
when establishing, implementing and
maintaining the OHS management system?

doc:

Has a procedure been developed and

implemented to identify and review
applicable E&OHS regulatory, legal and
other requirements?

doc:
imp:

Yes. As per the procedure for Legal

and other requirements HRJ
(KKL)/LEG01.

Has the organization ensured that the

applicable requirements are taken into
account in establishing, implementing and
maintaining an E&OHS Management
system?

doc:

-do-

Are current copies of all applicable regulatory

and other requirements applying for E&OHS
aspects available?

doc:

Is there a mechanism for communicating

relevant information on legal and regulatory
requirements to employees, persons working
under the control of the organization and
other relevant interested parties?

doc:

Have E&OHS objectives been established at

each relevant function and level in the
organization?

doc:

Are E&OHS objectives documented?

doc:

-do-

imp:

imp:

imp:

imp:

imp:

Verified the legal register and the

certificates of all the legal entities
identified in that register
Yes. Well defined in the procedure for
communication.- HRJ (KKL)/PRL02

Yes. The objectives have been

established as per the clause 4.3.3.
Procedure for Objectives and Targets
HRJ (KKL) OBT01.

imp:

Yes. As per the procedure for

objectives and targets 8 objectives have
been identified for the improvement.

Are the objectives consistent with E&OHS

policy and the significant E&OHS aspects?

doc:

-do-

Do the E&OHS objectives include the

commitment to prevention of injury and ill
health, and compliance with legal
requirements?

doc:

Version 2 / 2010 / bie

imp:
-do-

imp:

3/9

Conformance

OHSAS
18001

Requirement

(Y, N, NA)

Observations & Objective Evidence

Do the E&OHS objectives include a

commitment to continually improve?

doc:

-do-

Are E&OHS objectives measurable where

practicable?

doc:

When setting and reviewing E&OHS

objectives, are technological options as well
as financial, operational and business
requirements taken into consideration?

doc:

Have programs for the achievement of

E&OHS objectives been established and
implemented?

doc:
imp:

6 EHSPs have been identified and

monitored.

Have responsibilities and authorities for

achieving the objectives been assigned for
E&OHS management programs at each
appropriate function and level?

doc:

Yes -

Has the organization identified the means

and time-scales for achievement of its
E&OHS objectives?

doc:

Are the E&OHS programs reviewed and updated regularly at planned intervals?

doc:

imp:
-do- All targets are measurable.

imp:
-do-

imp:

imp:

imp:

imp:

6 EHSPs have been identified and

monitored as per the time scale.
Yes. The programs are reviewed in
every MRM.

4.4 IMPLEMENTATION AND OPERATION

4.4.1

4.4.2

Does the top management take ultimate

responsibility for OHS and the OHS
management system?

doc:
imp:

Yes. Well defined in the procedure and

the General Manager communicates
MIS for the status of EOHS

Does the top management demonstrate its

commitment through ensuring the availability
of essential resources1 to establish,
implement maintain and improve the
E&OHS management system?

doc:

Yes

Have responsibilities and levels of authority

for all personnel managing, implementing or
verifying the E&OHS management system
been defined, documented and
communicated?

doc:

Has a management representative, who is a

member of the top management, been
assigned?

doc:

Has the role, responsibilities and authority of

the management representative been
defined?

doc:

Has the organization ensured that persons in

the workplace take responsibility for aspects
E&OHS over which they have control,
including adherence to the organizations
applicable E&OHS requirements?

doc:
imp:

Yes

Are any person(s) working for or on behalf of

the organization, whose tasks can cause
significant E&OHS impacts, competent on
the basis of education, training and or
experience?

doc:

Yes - As per procedure for training

and awareness and competence.

imp:

imp:

imp:

imp:

imp:

Yes. As per the procedure for

communication.

Mr. G.K. Murthy who is a Senior

manager (HR & ADMIN) has been
appointed as the MR.

Yes. Defined in IMSM (IMS manual)

page 35-53 reviewed

Essential resources include human resources, specialized skills, organizational infrastructure, technology and
financial resources
1

Version 2 / 2010 / bie

4/9

Conformance

OHSAS
18001

Requirement

(Y, N, NA)

Observations & Objective Evidence

-do- The records are available with

HR department

Are records of appropriate OHS education,

training and experience retained in
associated records?

doc:

Does the organization identify training needs

related to E&OHS risks and management
system?

doc:
imp:

Yes Training related EOHS are

identified by MR and consulted with HR
and the same is provided

Does the organization provide E&OHS

training or take other action to meet the
E&OHS needs, evaluate the effectiveness of
the training and further other actions, and
retain the associated records?

doc:
imp:

Yes. The training has been planned to

cover all the departments. However
now there are awareness trainings
conducted on IMS

imp:

Has the organization implemented

procedures to ensure that all employees are
aware of

4.4.3

4.4.3.1

4.4.3.2

the E&OHS consequences, actual

or potential, of their
o work activities
o

behaviours

personal and environmental benefits for

improved performance

doc:
imp:

their responsibilities in achieving

the conformity to the E&OHS policy
and procedures

doc:

and the potential consequences

departure of the E&OHS operating
procedure?

doc:

Through the awareness trainings.

-do-

imp:
-do-

imp:

Do training procedures take into account

different levels of responsibility, ability,
literacy and specific OHS risks?

doc:

Do the trainings include emergency

preparedness and response?

doc:

Are procedures maintained for

communication of E&OHS aspects and
issues between various levels of the
organization?

doc:
imp:

Yes as per the procedure for

communication.

Are procedures regarding E&OHS

maintained for responding to
communications with external interested
parties?

doc:

-do-

Has the organization recorded its decision on

external communications on significant
environmental aspects?

doc:

Has the company a procedure in regard to

OHS for communication with contractors and
visitors?

doc:

Has the organization procedures for

involving employees in the development and
review of OHS policies and procedures to
manage risks?

doc:
imp:

Yes. As per procedure for

communication

Has the organization procedure for the

appropriate involvement of employees in
incident investigation?

doc:

Yes

Version 2 / 2010 / bie

imp:

imp:

Yes the training procedures covers all

the departments invariably
Yes. The trainings have been
conducted for the EPRP as well.

imp:
Yes.

imp:

Yes. Procedure for communication

imp:

imp:

5/9

Conformance

OHSAS
18001

4.4.4

4.4.5

4.4.6

Requirement

(Y, N, NA)

Has the organization consulted the

employees where there are any changes that
effect OHS?

doc:

Has the organization informed employees as

to who are their OHS representative(s) and
their participation arrangements?

doc:

Has the organization a procedure that

contractors are consulted where there are
changes that affect their OHS?

doc:

Have the core elements of the E&OHS

management system, and their interaction,
been described in paper or electronic form?

doc:

Does the E&OHS management system

include

doc:

Observations & Objective Evidence

Yes

imp:
Yes

imp:
Yes

imp:

imp:

Yes. Hard copies and soft copy of

documents are maintained and
controlled

imp:

Yes. Well defined in the manual IMS

manual.
Procedure for control of documents

Does documentation of E&OHS

management system elements provide
direction to related documentation?

doc:

-do-

Are procedures maintained to ensure that all

E&OHS related documents and data can be
located?

doc:

Are procedures maintained to ensure

periodic review, appropriate revision and
approval for adequacy by authorized
personnel of all required E&OHS
documents?

doc:

Are current versions of all required E&OHS

documents available at all essential
locations?

doc:

Are obsolete E&OHS documents promptly

removed or otherwise assured against
unintended use?

doc:

Are archival E&OHS documents retained for

legal or knowledge preservation purposes or
both, suitably identified?

doc:

Are activities and operations associated with

identified E&OHS risks planned, incl.
maintenance, and carried out under specified
conditions?

doc:
imp:

Procedure for Operation control- 27

work instructions reviewed for both
EMS and OHSAS.

Have documented procedures been

established for operations where their
absence could cause deviation from the
E&OHS policy and objectives / targets?

doc:

Yes as mentioned above

Do the procedures stipulate operating

criteria?

doc:

the E&OHS policies and

objectives?

a description of the scope?

a description of the main elements

and their interactions

necessary documents and records

for effective planning, operation
and control of processes that relate
to the E&OHS risks?

Version 2 / 2010 / bie

imp:

imp:

imp:

imp:

imp:

imp:

Yes. Well defined in the second level of

documentation
Yes. The review is done during the
management review meetings
Procedure for control of documents.

Yes. All the current versions are

available with all the departments.
Yes. All the obsolete documents have
been removed and stored separately as
per the procedure

Procedure for Control of documents

reviewed.

imp:
Yes.

imp:

6/9

Conformance

OHSAS
18001

4.4.7

Requirement

(Y, N, NA)

Have procedures been established relating

to the identified E&OHS risks of materials,
equipment and services purchased and used
by the organization?

doc:

Are procedures in place to communicate

relevant procedures and/or requirements,
regarding E&OHS hazards associated with
purchased products, equipment or services
to suppliers and contractors?

doc:

Have procedures been implemented

doc:

to identify the potential for

Observations & Objective Evidence

Yes. Well defined in the procedure

imp:

imp:

imp:

and responses to incidents,

accidents and emergencies
with a potential impact to E&OHS?

Yes. Provision has been provided in the

procedure.

Work Instruction for emergency

preparedness and on-site
emergency plan. Potential
Scenarios reviewed.

Are procedures in place to prevent or

mitigate the impacts of incidents, accidents
and emergencies with a potential impact to
E&OHS?

doc:

Has the organization In planning the

potential emergency taken into account the
needs of relevant interested parties, e.g.
emergency services and neighbours?

doc:
imp:

Yes. The organization has identified

potential emergency situations including
Natural calamities.

Are emergency preparedness and response

plans and procedures reviewed and revised
as appropriate?

doc:

-do-

Are emergency procedures tested where

practicable?

doc:

imp:

Yes. As per the procedure for

emergency preparedness.

imp:

imp:

Yes, Mock drills are planned and

conducted once in three months and
during audit a emergency drill
conducted and verified performance

4.5 CHECKING + CORRECTIVE ACTION

4.5.1

Are there procedures for monitoring and

measuring key characteristics of operations
on a regular basis that can have significant
E&OHS impact?

doc:
imp:

Monitoring and measurement of

Procedure for non conformity, corrective
action & preventive action is available.

Do the procedures appropriately provide for

qualitative and quantitative measures?

doc:

Yes. Well defined in the procedure.

Are records available to track performance

and conformance with the E&OHS
objectives?

doc:

Provide these procedures for proactive

measures of performance that monitor
compliance with the OHS management
program, operational criteria and applicable
legislation and regulatory requirements?

doc:

Provide these procedures for reactive

measures of performance to monitor
accidents, ill health, incidents (including
near-misses) and other historical evidence of
deficient OHS performance?

doc:

Provide these procedures for recording of

data and results of monitoring and
measurement sufficient data to facilitate
subsequent corrective and preventive action
analysis?

doc:

Version 2 / 2010 / bie

imp:
Yes. As per the procedure

imp:
-do-

imp:

-do-

imp:

imp:

This is done through corrective action &

preventive action report

7/9

Conformance

OHSAS
18001

4.5.2

4.5.3

4.5.4

4.5.5

Requirement

(Y, N, NA)

Observations & Objective Evidence

Is all monitoring equipment to measure the

E&OHS related performance appropriately
maintained and calibrated or verified?

doc:

Are the records of the equipment calibrations

and maintenance activities retained?

doc:

Has the organization fully evaluated its

compliance with legal and regulatory
requirements in regard to E&OHS?

doc:
imp:

Yes Procedure for Evaluation of

compliance reviewed. Compliance is
evaluated as per Doc.

Are the records of these compliance

evaluations kept?

doc:

Yes. The records are well maintained

Have procedures been established for

defining responsibility and authority for the
handling, investigating, controlling, and
mitigating any consequences arising from
incidents, accidents and other nonconformities?

doc:

Are incident investigations performed in a

timely manner?

doc:

Are the results of incident investigations

documented and maintained?

doc:

Have procedures been established for

defining responsibility and authority for the
initiation and completion of corrective &
preventive actions, as well as for
confirmation of the effectiveness of such
actions taken?

doc:

Are proposed corrective and preventive

actions reviewed through the risk
assessment process prior to their being
implemented?

doc:
imp:

This is done through corrective action &

preventive action report

Are corrective and preventive actions

reviewed for appropriateness and
effectiveness?

doc:

-do-

Are procedures and necessary changes

arising from corrective and preventive action
reflected in the E&OHS management system
documentation?

doc:

Have procedures been implemented to

identify, maintain and dispose of E&OHS
records as well as the results of audits and
reviews to demonstrate conformity?

doc:

Are E&OHS records legible, identifiable and

traceable to the activities, readily retrievable,
protected against damage and have
retention times been specified?

doc:

Are there sufficient E&OHS records to

demonstrate conformance to the
requirements of this standard?

doc:

Have E&OHS audit procedures at planned

intervals been developed and implemented?

doc:

Version 2 / 2010 / bie

This is done as per the procedure.

imp:

imp:

No. Calibration reports are not available

for some of the measuring devices.

imp:
imp:

Yes. Procedure for incident

investigation reviewed. The Top
management responsibility is
defined. Defined in implementation
and operation doc of EHS manual
Yes. As per the procedure

imp:
-do-

imp:
imp:

Yes. Defined in implementation and

operation doc of EHS manual

imp:
Yes

imp:

imp:

imp:

imp:

imp:

Yes. As per the procedure for the

control of documents.

Yes. All records are legible and easily

identifiable.

Yes. Records are available as per the

procedure for control of documents.
Refer procedure for internal audit QMS,
EMS&OH&S management system

8/9

Conformance

OHSAS
18001

Requirement

(Y, N, NA)

Observations & Objective Evidence

Are audit frequencies and topics based on

the results of risk assessments of the
organizations activity and the results of prior
audits?

doc:
imp:

Yes. Audit macro plan available. Internal

audit conducted during August.

Do audit procedures identify how results are

reported and how these are provided to
management?

doc:

Yes. Well defined in the procedure.

Do audit procedures adequately define

scope, frequency, methods and
responsibilities?

doc:

Do the audits confirm that the E&OHS

management system is effective in meeting
the organizations policy and objectives?

doc:

Are the audits carried out by personnel

independent of the area/function being
audited?

doc:

imp:
Yes.

imp:

imp:

imp:

Yes. Verified the reports of the last

internal audit.
Done by internal auditors qualified
through certificate. Micro plan indicates
they have not audited own area. The
scope and clauses covered can be
included.

4.6 MANAGEMENT REVIEW

4.6

Do periodic top management reviews take

place to ensure the continuing suitability and
effectiveness of the E&OHS management
system?

doc:

Do management reviews include the specific

topics required by the standard?

doc:
imp:

Yes. Defined in the procedure for

management review

Does the output of the management review

include decisions regarding E&OHS
performance, policies and objectives,
resources and any other element of the
E&OHS management system?

doc:

Yes. As per the procedure.

Are the review meetings attended by the

organizations top management?

doc:
imp:

Yes. Verified the meetings minutes of

the last MRM conducted.

Is relevant output regarding OHS made

available for communication and
consultation?

doc:

Yes. As per the procedure.

Are management reviews documented?

doc:

imp:

Yes. As per the procedure for

Management review meeting.

imp:

imp:
Yes. Minutes of Meeting.

imp:

Version 2 / 2010 / bie

9/9