Combined EHS Management System Audit Checklist

Clause
Topic
EH&S System Planning and Compliance Reviews
Auditor(s)
Page
4.2
4.3.1
EH&S Policy(ies)
Hazard Identification and Risk Assessment
3
4
4.3.1
Environmental Aspects Identification and Significance Review
4.3.1, 4.5.1
Legal and Other Requirements, EH&S Compliance Reviews
4.4.7
Emergency Preparedness and Response

Operational Control
4.4.6, others
Operational Control (for chosen process 1)
10
4.4.6, others
11
4.4.6, others
12
4.4.6, others
13
Improvement
4.3.3, 4.3.4
EH&S Objectives and Management Programs
4.6
Management Review
Monitoring and Corrective Action
14
16
4.5.4
4.5.2
Internal Audit Program

Accidents, Incidents, Nonconformances, Corrective/Preventive
Action
Document and Record Control, Purchasing, Calibration and Training
17
18
4.4.4, 4.4.5
Document Control
4.5.3
Record Control
4.4.2
Training, Awareness and Competence
4.4.1
Roles and Responsibilities
4.4.6
Purchasing
4.4.6
Calibration
4.4.3
Consultation and Communication
Audit Summary
19
20
21
22
23
242
25
26
Audit Date: ______________
Audit No: ____________
Audit Conclusions:
_____________________________ _________
Lead Auditor
2005 Joe Kausek & Associates
Date
_____________________________ __________
Management Appointee/Rep
Date
EH&S Management System Audit Checklist

These checklists are provided for general guidance in verifying compliance to the OHSAS 18001 and ISO
14001 standards and internal procedures. Internal management system requirements must be added to this
checklist for complete coverage.
Compliance Category: General Requirements
Standard Requirements
Reviewer Checks
Planning the Audit

Rough Process Flowchart
Determine the processes/activities to be included in the

scope of the audit. The scope may be provided as part of
an audit schedule or plan, or it may need to be developed
by the Management Rep. List the process(es) below:
Processes/Procedures
Document No.
Gather information relating to the processes to be

examined. The following sources of information should
be considered.
Previous audit results
Current process EH&S metrics
Any open or recent corrective actions, violations
Job Hazard List
List of Significant Aspects
Process flowchart(s)/layouts
Instructions and system procedures (listed
above)
Regulatory requirements
EH&S objectives and targets
VPP or other Voluntary Program Audit Results
Objectives and/or targets to review:
1.
2.
3.
4.
Based on your review of the information collected above,

and the activities to be reviewed, develop your audit
strategy by reviewing the questions below.
EH&S System Planning and Compliance Reviews

EH&S Policy
Review the EH&S Policy Statement.
If there are separate policy
statements, review both.
Is it appropriate to the nature and
risks of the organization?
Does it include commitments to

continual improvement and
compliance to regulatory and other
requirements?
Requirements and Scope:

Overall evaluation:
Did not check.
Did not apply.
Conforms. No deficiencies identified.
Opportunity for improvement. Detail below.
Best Practice. Detail below. Be specific.
Nonconformity. Provide details below. Reference the specific
requirement violated.
List the commitments made in the policy below:
1.
2.
Is it documented? Is there a formal

process to communicate the policy to
the workforce?
3.
4.
5.
Is there a policy and method to make

the policy available to the general
public/interested parties?
6.
Issue Date: _____________
Last Revised: ______________
Comments and Findings:

Is there evidence that the policy is
periodically reviewed and revised to
keep it relevant to the organization?
Was top management involved in the

policy development?
Reference 18001/14001 4.2
Hazard Identification and Risk

Assessment
Review the methods and results of the
hazard identification and risk
assessment.
Does the organization have a
procedure for the ongoing
identification and assessment of
risks? Is it properly controlled?
Does the procedure address:
Routine and non-routine

activities?
Requirements and Scope: This section evaluates the organizations process

for identifying occupational health and safety hazards, assessing their risks,
and identifying appropriate controls to eliminate or minimize these risks.
The implementation and monitoring of effectiveness of associated controls
will be reviewed during the Implementation and Operation audit; the use of
these risks to set objectives will be evaluated during the audit of objectives
and improvement.
Overall evaluation:
Did not check.
Did not apply.
Procedure No. ______________
Visitors and activities

performed by subcontractors?
Major Areas or Functions
Revision date: ____________
All facilities, areas of

functions? (list in area to right)
Note: for ongoing review list
modifications or new
processes/jobs
Is there evidence that the above were

evaluated? Are the results
documented?
Is there a process to keep this

information up-to-date? Is there
evidence that it is being kept up-todate?
Does the procedure address the scope,

nature and timing of Hazard ID and
Risk Assessment?
Evaluated?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
6.
Yes
No.
7.
Yes
No.
8.
Yes
No.
9.
Yes
No
10.
Yes
No
11.
Yes
No
12.
Yes
No
Does the procedure provide for the

classification and elimination or
control of risks?
Are controls, facility requirements

and/or training needs identified to
minimize or eliminate risks?
Is there evidence that the process is

proactive, vs. reactive?
Is performance in completing JHAs

satisfactory?
List Trends/performance in completing JHAs

Area
2 periods ago 1 period ago
This period
1. ________________________
_________
_________
_________
2. ________________________
_________
_________
_________
3. ________________________
_________
_________
_________
4. ________________________
_________
_________
_________
5. ________________________
_________
_________
_________
6. ________________________
_________
_________
_________
7. ________________________
_________
_________
_________
List indicators of effectiveness of the overall JHA/risk reduction

Metric
Value
Trend
Is there evidence that the overall
process of identification and control
of risks is effective?
Is there evidence that personnel

involved in JHA were trained in how
to perform it?
1. _____________________________
____________
Pos.
Neg.
2. _____________________________
____________
Pos.
Neg.
3. _____________________________
____________
Pos.
Neg.
4. _____________________________
____________
Pos.
Neg.
Is there evidence of employee

involvement in the development of
JHA, assessment of risk or
identification of necessary controls?
Were tools (e.g. checklists) developed

to assist in the JHAs and were they
used?
Reference 18001 4.3.1
Aspects Identification and

Determination of Significance
Review the methods and results of the
aspects review and significance
determination.
procedure for the ongoing
identification and assessment of
significant aspects it can control or
influence? Is it properly controlled?
Routine and non-routine

activities?
Requirements and Scope: This section evaluates the organizations process for
identifying potential environmental aspects and determining those that are
significant. The implementation and monitoring of effectiveness of
associated controls will be reviewed during the Implementation and
Operation audit; the use of these risks to set objectives will be evaluated
during the audit of objectives and improvement.
Overall evaluation:
Did not check.
Did not apply.
Procedure No. ______________
Revision date: ____________
Major Areas or Activities
All facilities, areas or

operations? (list in area to right)
Note: for ongoing review list
modifications or new
processes/jobs
Is there evidence that the above were

evaluated? Are the results
documented?
Is there a process to keep this

information up-to-date? Is there
evidence that it is being kept up-todate?
Is the process for determining

significance defined? Is it systematic?
Was it applied correctly?
Evaluated?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
6.
Yes
No.
List recent modifications, new processes, and/or new product introductions.

Verify that the activities were evaluated for significant aspects as part of the
process/product/change review process.
Modification/New Process
Evidence Significant? Controls
Of Eval?
Estab?
1. _________________________
Yes No
Yes No
Yes No
2. _________________________
Yes
No
Yes
No
Yes
No
3. _________________________
Yes
No
Yes
No
Yes
No
4. _________________________
Yes
No
Yes
No
Yes
No
5. _________________________
Yes
No
Yes
No
Yes
No
Are controls, facility requirements

and/or training needs identified to
minimize or control significant
aspects?
Is there evidence that the process is

proactive, vs. reactive?
List indicators of effectiveness for the control/minimization of significant

environmental aspects.
Metric
Value
Trend
1. _____________________________
____________
Pos.
Neg.
2. _____________________________
____________
Pos.
Neg.
3. _____________________________
____________
Pos.
Neg.
4. _____________________________
____________
Pos.
Neg.
Is there evidence that the overall

process of identification and control
of significant aspects is effective?
*
Is there evidence that personnel

involved in aspects identification
were trained in how to perform it?
Are their roles and responsibilities
defined? Are they aware of them?
Were tools (e.g. checklists) developed

to assist in the identification of
significant aspects and were they
used?
Legal and Other Requirements

Review the organizations process for
identifying, maintaining and
evaluating compliance to its legal and
other requirements.
Does the organization have a process
for identifying its legal requirements?
Is it properly controlled?
Requirements and Scope: This section evaluates whether the organization

has identified and has access to its environmental, health and safety
legal/regulatory requirements, and evaluates its compliance to them. It also
evaluates whether the organization has recognized and incorporated any
voluntary requirements (e.g. VPP) into its management system structure.
Actual compliance will be examined during Implementation and Operation
audits.
Does the organization have access to

the requirements that apply to it?
Procedure no. __________________ Revision Date: _____________

Overall evaluation:
Did not check.
Did not apply.

for keeping these requirements up-todate?
Requirement
Has the organization identified and

incorporated its other requirements
(e.g. VPP) into the system?

to communicate the above
requirements to appropriate personnel
in the workplace?
Access?
Evaluated?
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
4.
Yes
No
Yes
No
5.
Yes
No
Yes
No
6.
Yes
No
Yes
No
Pick several of the legal requirements

that have been identified by the
organization. Can the organization
provide evidence that compliance
reviews were conducted for these
requirements?
Reference 18001 4.3.1, 4.5.1

Reference ISO 14001 4.5.2
Emergency Preparedness and

Response
Review the organizations emergency
procedures.
Are the procedures up-to-date?
Is there evidence that the procedures

have been tested?
Requirements and Scope: This section reviews the organizations

emergency procedures.
Overall evaluation:
Did not check.
Did not apply.
Emergency Procedure
Complete?
1.
Have the procedures been reviewed

after the occurrence of accidents and
incidents?
Yes
No
Up-to-date?
Yes
No
2.
Last Tested: _____________

Yes
No
Yes
No
3.
Last Tested: _____________

Yes
No
Yes
No
4.
Last Tested: _____________

Yes
No
Yes
No
5.
Last Tested: _____________

Yes
No
Yes
No
Last Tested: _____________
Incident
Date
Procedures Reviewed?
1.
Yes
No
2.
Yes
No
Comments and Findings
Reference 18001/14001 4.4.7
Implementation and Operation

Process: _____________________
For the process being evaluated:
Have the safeguards and
environmental controls identified for
this process been implemented? Are
they being maintained?
Have any EHS criteria been
established for the operation of this
process? If so, is it monitored?

has implemented the controls needed to control or minimize the risks and
environmental aspects identified during its EHS planning, and whether these
controls are effective. It will also evaluate whether other system elements
(e.g. documents, records, training) have been adequately implemented. The
auditor should identify these controls prior to the audit by reviewing the JHA
and/or List of Significant Aspects for the process being evaluated.
Procedure No: ____________________ Rev. _____________
Risks/Significant Aspects
Controls
1.
2.
Are operators aware of the risks,

aspects and controls? Are they
properly using and/or monitoring
them? Are they aware of the
consequences of not adhering to the
controls?
Are operators aware of the EHS
policy?
Are the operators aware of their roles
and responsibilities?
Are the operators competent in the
operation and/or maintenance of the
processes they operate, from an EHS
perspective? Note operator names to
check training records later.
3.
4.
5.
6.
Overall evaluation:
Did not check.
Did not apply.
Operators
Awareness
Training Record
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
Equipment
Are the operators aware of who the
management appointee is? Of their
EHS representative(s)?
If there is any EHS monitoring
equipment in use, is it calibrated?
Yes
No
Yes
No
Compliant?
Yes
No
Yes
No
Are EHS related documents and

records properly controlled?
Yes
No
Yes
No
Are regulatory requirements

associated with this process being
met? List in the right column.
Yes
No
Yes
No
Reference 1800/140011 4.2, 4.3.1,

4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3
Legal Requirement
Calibrated/Controlled
EHS Statistics for Process/Area

1. _____________________________
____________
Pos.
Neg.
1. _____________________________
____________
Pos.
Neg.
10
Process: _____________________

Procedure No: ____________________ Rev. _____________
Controls
1.
2.

controls?
policy?
3.
4.
5.
6.
Overall evaluation:
Did not check.
Did not apply.
Operators
Awareness
Training Record
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
Equipment
Yes
No
Yes
No
Compliant?
Yes
No
Yes
No

Yes
No
Yes
No

Yes
No
Yes
No
Reference 1800/140011 4.2, 4.3.1,

4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3
Legal Requirement

1. _____________________________
____________
Pos.
Neg.
1. _____________________________
____________
Pos.
Neg.
11
Process: _____________________

Procedure No: ____________________ Rev. _____________
Controls
1.
2.

controls?
policy?
3.
4.
5.
6.
Overall evaluation:
Did not check.
Did not apply.
Operators
Awareness
Training Record
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
Equipment
Yes
No
Yes
No
Compliant?
Yes
No
Yes
No

Yes
No
Yes
No

Yes
No
Yes
No
Reference 1800/140011 4.2, 4.3.1,

4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3
Legal Requirement

1. _____________________________
____________
Pos.
Neg.
1. _____________________________
____________
Pos.
Neg.
12
Process: _____________________

Procedure No: ____________________ Rev. _____________
Controls
1.
2.

controls?
policy?
3.
4.
5.
6.
Overall evaluation:
Did not check.
Did not apply.
Operators
Awareness
Training Record
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
Equipment
Yes
No
Yes
No
Compliant?
Yes
No
Yes
No

Yes
No
Yes
No

Yes
No
Yes
No
Reference 1800/140011 4.2, 4.3.1,

4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3
Legal Requirement

1. _____________________________
____________
Pos.
Neg.
1. _____________________________
____________
Pos.
Neg.
13
Objectives and Improvement

EHS Objectives and Management
Programs
Has the organization established
documented EHS Objectives?
Have objectives been deployed at

relevant levels and functions of the
organization?
Is there evidence that the organization

considered its legal and other
requirements, its technological
options, its financial, business and
operational requirements when it set
its objectives?

has identified EHS objectives and its performance in achieving them.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Objective
Mgmt Program?
Performance Summary
1.
Yes
No
_____________________
2.
Yes
No
_____________________
3.
Yes
No
_____________________
4.
Yes
No
_____________________
5.
Yes
No
_____________________
6.
Yes
No
_____________________
7.
Yes
No
_____________________
Review the Communication Log. Pick several concerns, comments, and/or

issues and evaluate the extent to which they were considered during the
setting of objective and targets.
Date
Nature
Considered?
Is there a process to include the views

of employees and other interested
parties in the setting of objectives? Is
there evidence that they were
considered?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
14
Have documented management

programs been established for the
EHS objectives?
EHS Objectives and Management Programs (continued)
Do these programs include

timeframes, responsibilities and
resources needed?
Is there evidence that the organization

is making progress in achieving its
objectives? If not, is there evidence
that action is being taken to correct
this?

Are the objectives and management
programs reviewed at regular and
planned intervals? Are they being
amended to address changes?
Reference 18001 4.3.3, 4.3.4

15
Management Review
Does the organization conduct
planned, periodic management
reviews?
Is the periodicity appropriate?
Are these reviews documented?
Review several records of
management review. Are these
reviews attended by top
management?
Do these reviews evaluate EHS
system suitability (design)?
system adequacy (resources)?
system effectiveness (results)?
regulatory compliance reviews?
Requirements and Scope: This section evaluates the effectiveness of the

organizations management review process.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Review Date
Attendance?
Comprehensive? Actions?
1.
Yes
No
Reviewed Corrective/Preventive Action?
Reviewed Internal Audits?
Reviewed Compliance Reviews?
Reviewed External Communications?
Action 1: ____________________________
Action 2: ____________________________
Action 3: ____________________________
Action 4: ____________________________
2.
system audit results?
Do these reviews evaluate the status
of corrective/preventive action?
Do these reviews evaluate external
EHS communication?
Do these reviews include evaluation
of performance in meeting EHS
objectives?
Is there evidence that changes to
policy, objectives and other elements
are considered?
Is there evidence that the
management review leads to action?
Are actions followed up and
completed? List in right column.
Yes
No
Action 1: ____________________________
Action 2: ____________________________
Action 3: ____________________________
Action 4: ____________________________
3.
Yes
No
Action 1: ____________________________
Action 2: ____________________________
Action 3: ____________________________
Action 4: ____________________________
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Completed?
Completed?
Completed?
Completed?
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Completed?
Completed?
Completed?
Completed?
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Completed?
Completed?
Completed?
Completed?
Yes
No
Yes
Yes
Yes
Yes
No
No
No
No
Yes
No
Yes
Yes
Yes
Yes
No
No
No
No
Yes
No
Yes
Yes
Yes
Yes
No
No
No
No
Reference 18001/14001 4.6

16
Internal Audits, Accidents, Corrective and Preventive Action

Internal Audit Program
Review the audit procedure and
several internal audits.
Is there a documented audit
procedure? Is it properly controlled?
Does the procedure describe audit
scope, responsibilities, frequency,
methods and competencies of
auditors?
Does the audit program include all

elements of the EHS system?
Requirements and Scope: This section evaluates the organizations internal

audit process.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Audit No.
Complete/Documented?
Are previous audits reviewed as part

of audit planning?
Are audit results provided to

management?
Does the audit program and
corresponding schedule reflect the
organizations risks and results of
previous audits?
Are auditors independent of those

having responsibility for the
area/activity being audited? Have
they been trained?
Are audit findings documented,

reported and addressed in a timely
manner?
Audit Finding/CAR
Independent?
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Date
Addressed?
________________________
______________
Yes
No
________________________
______________
Yes
No
________________________
______________
Yes
No
________________________
______________
Yes
No
________________________
______________
Yes
No
________________________
______________
Yes
No
Auditor Name
Evidence of Training?
____________________________________
Yes
No
____________________________________
Yes
No
____________________________________
Yes
No
____________________________________
Yes
No
____________________________________
Yes
No
____________________________________
Yes
No

Is the audit program effective?

17
Accidents, Incidents,
Nonconformances and Corrective
and Preventive Action
procedure for accidents, incidents,
nonconformances and corrective and
preventive action? Is it controlled?
Does the procedure(s) address:
Handling and investigation

of accidents, incidents and
nonconformances?
Requirements for taking

actions to mitigate consequences,
including corrective action?
Preventive action?
Requirements to confirm the
effectiveness of actions taken?
Requirements to assess the
risk of actions prior to
implementation?
Review several CAR/PARs. Do they:

Identify the cause?
Identify actions to eliminate the
cause?
Record the results of the
action?
Provide evidence of a review of
the effectiveness of action?
Is the action taken appropriate to the
magnitude of the problem?
Are changes to documented
procedures resulting from the action
documented and recorded?
Are corrective actions closed out in a
timely manner? Review several.
Choose different ones than those
evaluated as part of the audit program
review?
Requirements and Scope: This section evaluates the organizations

processes for effecting corrective action, preventive action and for
investigating accidents and incidents.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Incident/Accident
Investigated?
Action Taken
1. _______________________
Yes
No _____________________
2. _______________________
Yes
No _____________________
3. _______________________
Yes
No _____________________
4. _______________________
Yes
No _____________________
CAR/PAR
Date
Root Cause
Identified?
Action
Effective?
1. ________________
_____________
Yes
No
Yes
No
2. ________________
_____________
Yes
No
Yes
No
3. ________________
_____________
Yes
No
Yes
No
4. ________________
_____________
Yes
No
Yes
No
5. ________________
_____________
Yes
No
Yes
No
6. ________________
_____________
Yes
No
Yes
No
7. ________________
_____________
Yes
No
Yes
No
8. ________________
_____________
Yes
No
Yes
No
CAR/PAR
Date
Closed?
Verified?
1. ________________
_____________
Yes
No
Yes
No
2. ________________
_____________
Yes
No
Yes
No
3. ________________
_____________
Yes
No
Yes
No
4. ________________
_____________
Yes
No
Yes
No
5. ________________
_____________
Yes
No
Yes
No
6. ________________
_____________
Yes
No
Yes
No
7. ________________
_____________
Yes
No
Yes
No
8. ________________
_____________
Yes
No
Yes
No
Is there evidence that the corrective

action program is effective?
18
Common Elements - Document and Record Control, Purchasing, Calibration and Training
Document Control
Is there a procedure for document
control? Is it controlled?

The location/distribution of
documents (e.g. master list or
equivalent)?
The periodic review and revision

of documents?
Who is authorized to review and

approve types of documents?
Requirements and Scope: This section evaluates the centralized elements of

document control. The control of individual documents will be evaluated
during other audits.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Pick several documents from the Master List. List them below. For each,
evaluate whether the documents are properly controlled by looking for
evidence of:
Indication of review and/or approval authority
Locations/Distribution
Proper security, if electronic (e.g. password protection)
Controls needed to ensure that

only current documents are used?
Ready availability, if electronic (logical file path, easy to locate)

Consistency with local formatting requirements
Document or No.
Properly Controlled
The control of obsolete documents,

including identification?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
The control of external documents

(e.g. regulations, standards, etc.?
Are electronic documents adequately

controlled (i.e. can they be located,
are they password protected, is
control maintained when printed)?
Is there a policy manual(s) or other

combined information that describes
the core elements of the EHS system?
Does it/do they provide reference to
related information?
Reference 18001/14001 4.4.4, 4.5.5
19
Record Control
Is there a procedure for record
control? Is it controlled?

Identification of records
(number, name, etc)?
Maintenance of records (e.g.

storage, protection, backup)?
Disposition of records (retention

and disposal)? Are retention
times for specific types of
records documented?
Is there evidence that retention times

meet legal requirements? List some
EHS records in the right column, their
stated retention times, and then verify
legal requirements after the interview.
Ask the auditee to produce some of
these records that are not recent, but
which must be retained.

record control. The control of individual records will be evaluated during
other audits.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Record
Documented
Retention Time
Legal
Retention Time
1. _____________________________ ____________
____________
2. _____________________________ ____________
____________
3. _____________________________ ____________
____________
4. _____________________________ ____________
____________
5. _____________________________ ____________
____________
6. _____________________________ ____________
____________
7. _____________________________ ____________
____________
8. _____________________________ ____________
____________
9. _____________________________ ____________
____________

20
Training, Awareness and

Competence
Is there a procedure for training? Is it
controlled?
How differing levels of
responsibility, literacy, ability
and risk are or should be taken
into account in training
procedures/documents?
How training needs are

identified?
The need for and methods of

providing awareness training?
Subcontractors, temporaries and

visitors?
Is there a skills matrix or other means

for identifying required
competencies? Does it appear
complete?
Is there a system for retention of
training records?
Review the methods used to provide
awareness training (e.g. orientation
training). Do they address:
The importance of conformance,
and the consequences of not
complying?
Individuals roles and

responsibilities relative to the
EHS System, including for
emergency response?
The job hazards/environmental

aspects peculiar to their specific
job, and the consequences of not
following/using the controls put
in place?

the training program. Training for individual tasks will be evaluated during
other audits.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Review the lists of Job Hazards and Significant Aspects. Pick several
functions (e.g. warehousemen, production operator). Review the competency
matrix, skills matrix or training plans for these functions. Do they reflect
relevant environmental, health and safety training needs? Is there a
systematic process for providing awareness training to visitors and
contractors?
Function
EHS Training Needs IDed?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
Visitors
Yes
No
Contractors
Yes
No
Reference 18001/14001 4.4.2
21
Roles and Responsibilities

Has a member of the top management
team been appointed to be responsible
for the EHS System?
Is this individuals role defined?
Was this individual involved in the

design and implementation of the
EHS system?
Is this individual involved in the

maintenance and improvement of the
EHS system?
Does this individual make periodic
reports on the performance of the
EHS system to other top
management?

has identified and communicated central EHS system-related roles and
responsibilities throughout the organization. Awareness of individual roles
and responsibilities will also be reviewed during process-based audits.
Overall evaluation:
Did not check.
Did not apply.
Role Defined?
EMS Management Rep
_______________________
Yes
No
OH&S Management Rep _______________________
Yes
No
Management Appointee
Yes
No
_______________________
Methods used to demonstrate commitment

1.
Is the role of safety representatives

(e.g. Safety Committee members)
defined?
2.
3.
Is the role of EHS internal auditors

defined?
Are the roles of other safety
professionals defined?
Is there evidence that members of the
management team are committed to
the EHS system? List some of the
methods used to demonstrate that
commitment.
Is there a formal process to identify
resources needed for the effective
operation of the EHS system?
4.
5.
Methods used to identify resource needs
1.
2.
3.
4.
Reference 18001/14001 4.4.1
22
Control of Vendors/Purchasing
Is there a process to ensure that the
risks associated with purchased
products are recognized?
Is there evidence this process is being

used?
Is there a process to ensure that the

risks associated with subcontractor
activities are recognized? Verify
MSDS sheets are received and
reviewed for new products/materials
and appropriate safeguards
considered.
Is there evidence this process is being

used?

has communicated basic EHS requirements/procedures to subcontractors and
suppliers. It will also evaluate how the organization determines the risk of
purchased products and services.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
List some suppliers or contractors used by the organization. Examples
include contractors, HVAC maintenance and contracted technicians. Review
evidence they were briefed and/or trained on organization EHS requirements.
Contractor/supplier
1.
Yes
No
2.
Yes
No
3.
Yes
No
Pick several products/materials that are purchased by the facility. Verify that
a MSDS sheet is available for the product/material.
Product/Material
Is there a process to communicate

EHS requirements and/or procedures
to potential or new subcontractors and
vendors?
Is there evidence that subcontractors

are provided relevant training to
protect them and employees?
Evidence of briefing/training?
MSDS Available?
Reviewed?
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
4.
Yes
No
Yes
No
Reference 18001/14001 4.4.6
23
Calibration
Does the organization have any EHS
monitoring equipment (e.g. explosive
meters, noise meters)?
If so, are they part of the

organizations calibration control
system? List equipment used and then
verify it is in the calibration program.
Also verify calibration if kept in
calibration lab.
Is the equipment properly stored

and/or handled when not in use?

calibrates and controls any monitoring and measurement equipment that
support the EHS system.
Procedure No: ____________________ Rev. _____________
Overall evaluation:
Did not check.
Did not apply.
Equipment
In Calibration Program? Records?
1.
Yes
No
Yes
No
2.
Yes
No
Yes
No
3.
Yes
No
Yes
No
4.
Yes
No
Yes
No
5.
Yes
No
Yes
No

Are personnel using the equipment
properly trained in its use?
Are calibration records for any such

equipment maintained?
Review the calibration records. If any

equipment is found to be out-ofcalibration when received for
calibration, is re-monitoring
performed?
Reference 18001/14001 4.5.1
24
Consultation and Communication

Is there a process in place to involve
employees:

has established processes to involve and communicate with its employees
and interested parties.
In the development and review

of policies and procedures to
manage risks?
In any changes that affect

workplace health and safety?
Procedure No: ____________________ Rev. _____________

Overall evaluation:
Did not check.
Did not apply.
List the methods used to involve/communicate with employees in the EHS
system.
On health and safety matters?
1.
2.
Is there a process in place to
communicate EHS information to and
from employees?
3.
4.
Is the process effective?
Is there a process in place to

communicate EHS information to or
from other interested parties?
Is the process documented? Is it

controlled?
Review the Communication Log. Pick several external inquiries, comments,

and issues and verify they were properly handled and responded to.
Date
Nature
Responded To?
1.
Yes
No
2.
Yes
No
3.
Yes
No
4.
Yes
No
5.
Yes
No
Reference 18001/14001 4.4.3

25
Audit Summary
No.
Type
(NC/OFI/BP)
Clause
Status (open/closed
and CAR No.)
Description
26

Combined EHS Management System Audit Checklist

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Clause

Environmental Aspects Identification and Significance Review

Legal and Other Requirements, EH&S Compliance Reviews

Emergency Preparedness and Response

Operational Control (for chosen process 1)

Operational Control (for chosen process 1)

Operational Control (for chosen process 1)

Operational Control (for chosen process 1)

Internal Audit Program

Audit Date: ______________

Audit No: ____________

EH&S Management System Audit Checklist

Planning the Audit

Determine the processes/activities to be included in the

Gather information relating to the processes to be

Based on your review of the information collected above,

2005 Joe Kausek & Associates

EH&S System Planning and Compliance Reviews

Does it include commitments to

Requirements and Scope:

Is it documented? Is there a formal

Is there a policy and method to make

Last Revised: ______________

Comments and Findings:

Was top management involved in the

Reference 18001/14001 4.2

2005 Joe Kausek & Associates

Hazard Identification and Risk

Does the procedure address:

Routine and non-routine

Requirements and Scope: This section evaluates the organizations process

Visitors and activities

Revision date: ____________

All facilities, areas of

Is there evidence that the above were

Is there a process to keep this

Does the procedure address the scope,

Does the procedure provide for the

2005 Joe Kausek & Associates

Are controls, facility requirements

Is there evidence that the process is

Is performance in completing JHAs

List Trends/performance in completing JHAs

List indicators of effectiveness of the overall JHA/risk reduction

Is there evidence that personnel

Comments and Findings:

Is there evidence of employee

Were tools (e.g. checklists) developed

Reference 18001 4.3.1

2005 Joe Kausek & Associates

Aspects Identification and

Does the procedure address:

Routine and non-routine

Revision date: ____________

Major Areas or Activities

All facilities, areas or

Is there evidence that the above were

Is there a process to keep this

Is the process for determining

2005 Joe Kausek & Associates

List recent modifications, new processes, and/or new product introductions.

Are controls, facility requirements

Is there evidence that the process is

List indicators of effectiveness for the control/minimization of significant

Procedure no. ______ Revision Date: _