You are on page 1of 47

PROFAB

HSE DEPARTMENT
18001:2007 Checklist

Location:

Date of Audit:

Auditors:

(1) _______________ (Team Leader)

(2) _______________________

(3)

(4)
PROFAB
HSE DEPARTMENT

CONTENTS OF OHS MANAGEMENT SYSTEM AUDIT CHECKLIST

OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM

Section 4.1: General Requirements


Section 4.2: OHS Policy
Section 4.3: Planning
4.3.1 Hazard Identification, Risk Assessment and Determining Control
4.3.2 Legal and Other Requirements
4.3.3 Objectives and Programmes
Section 4.4: Implementation & Operation
4.4.1 Resources, Roles, Responsibility, Accountability and Authority
4.4.2 Competency, Training and Awareness
4.4.3 Participation, Consultation and Communication
4.4.4 Documentation
4.4.5 Control of Documents
4.4.6 Operational Controls
4.4.7 Emergency Preparedness and Response
Section 4.5: Checking
4.5.1 Performance Monitoring & Measurements
4.5.2 Evaluation of Compliance
4.5.3 Incident Investigation, Non-conformity, Corrective and Preventive Action
4.5.4 Record
4.5.5 OHS Audits
Section 4.6: Management Review
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remarks Remedial


SAFETY ELEMENTS Actions Ref.
Number
4.1 General Requirements
a) Has the organization
established, documented,
implemented, maintained and
continually improved an OHS
management system in
accordance with the
requirements of this
International Standard
b) Has the organization
determined how it will fulfil
the requirements of the
standards
c) Has the organization
defined and documented
the scope of its OHS
management system
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remarks Remedial


SAFETY ELEMENTS Actions Ref.
Number
4.2 Policy
a) Has the organisation a
documented OHS Policy
Statement?
b) Has the organizations top
management authorized the
policy?
c) Is the policy appropriate to
the nature, scale and OHS
risk of the organizations?
d) Does the policy include a
commitment for continual
improvement?
e) Does the policy include a
commitment for prevention of
injury and ill health?
Prevention of pollution
f) Does the policy provide clear
framework (overall
objectives) for setting and
reviewing OHS objectives?
g) Does the policy include a
commitment to comply with
applicable OHS legal and
other requirements?
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remarks Remedial
SAFETY ELEMENTS Actions Ref.
Number
4.2 Policy
h) Is the policy documented,
periodically reviewed and
revised if required?
i) Is the policy communicated
to employees, contractors,
and other interested parties?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
a) Has the organization
established, implemented
and maintained a
procedure(s) for the ongoing
hazard identification, risk
assessment, and
determination of necessary
controls
b) Has the procedure(s) for
hazard identification and
risk assessment take into
account routine and non-
routine activities
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
c) Has the procedure(s) for
hazard identification and
risk assessment take into
account activities of all
persons having access to
the workplace (including
contractors and visitors)

d) Has the procedure(s) for


hazard identification and
risk assessment take into
account human behaviour,
capabilities and other
human factors

e) Has the procedure(s) for


hazard identification and
risk assessment take into
account identified hazards
originating outside the
workplace capable of
adversely affecting the
health and safety of
persons under the control
of the organization within
the workplace
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
f) Has the procedure(s) for
hazard identification and
risk assessment take into
account hazards created in
the vicinity of the
workplace by work-related
activities under the control
of the organization
(NOTE 1 It may be more
appropriate for such
hazards to be assessed as
an environmental aspect)

g) Has the procedure(s) for


hazard identification and
risk assessment take into
account infrastructure,
equipment and materials at
the workplace, whether
provided by the
organization or others

h) Has the procedure(s) for


hazard identification and
risk assessment take into
account changes or
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
proposed changes in the
organization, its activities,
or materials

i) Has the procedure(s) for


hazard identification and
risk assessment take into
account modifications to
the OH&S management
system, including
temporary changes, and
their impacts on
operations, processes, and
activities

j) Has the procedure(s) for


hazard identification and
risk assessment take into
account any applicable
legal obligations relating to
risk assessment and
implementation of
necessary controls

k) Has the procedure(s) for


hazard identification and risk
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
assessment take into account
the design of work areas,
processes, installations,
machinery/equipment,
operating procedures and
work organization, including
their adaptation to human
capabilities
l) Does the organizations
methodology for hazard
identification and risk
assessment defined with
respect to its scope, nature
and timing to ensure it is
proactive rather than
reactive
m) Does the organizations
methodology for hazard
identification and risk
assessment provide for the
identification, prioritization
and documentation of risks,
and the application of
controls, as appropriate
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
n) For the management of
change, does the
organization identified the
OH&S hazards and OH&S
risks associated with changes
in the organization, the OH&S
management system, or its
activities, prior to the
introduction of such changes.

o) Does the organization ensure


that the results of these
assessments are considered
when determining controls

p) When determining controls,


or considering changes to
existing controls, does the
organization consider to
reduce the risks according to
the following hierarchy:
a) Elimination;
b) Substitution;
c) Engineering controls;
d) Signage/warnings and/or
administrative controls;
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.1 Hazard Identification, Risk
Assessment and
Determining Control
e) Personal protective
equipment.

q) Does the organization


documented and keep the
results of identification of
hazards, risk assessments
and determined controls up-
to-date.

r) Does the organization


ensured that the OH&S risks
and determined controls are
taken into account when
establishing, implementing
and maintaining its OH&S
management system
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.2 Legal and Other
Requirements
a) Has the organization
established, implemented
and maintained a procedure
for identifying and accessing
legal and other OHS
requirements that are
applicable to it?
b) Does the organization ensure
that these applicable legal
requirements and other
requirements to which the
organization subscribes are
taken into account in
establishing, implementing
and maintaining its OH&S
management system?
c) Is the information kept up-
to-date?
d) Does the organization has
communicated relevant
information on legal and
other requirements to
persons working under the
control of the organization,
and other relevant interested
parties
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.3.3 Objectives and
Programme(s)
a) Does the organization has
established, implemented
and maintained documented
OH&S objectives, at relevant
functions and levels within
the organization
b) Are the objectives
measurable, where
practicable, and consistent
with the OH&S policy,
including the commitments to
the prevention of injury and
ill health, to compliance with
applicable legal and other
requirements to which the
organization subscribes, and
to continual improvement
c) When establishing and
reviewing its objectives, does
the organization has taken
into account the legal and
other requirements to which
the organization subscribes,
and its OH&S risks. Does it
consider its technological
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.3 Objectives and
Programme(s)
options, its financial,
operational and business
requirements, and the views
of relevant interested parties
d) The organization shall
establish, implement and
maintain a programme(s) for
achieving its objectives
e) Does the programme(s)
include as a minimum
designation of responsibility
and authority for achieving
objectives at relevant
functions and levels of the
organization?

f) Does the programme(s)


include as a minimum the
means and time-frame by
which the objectives are to
be achieved?

g) Does the programme(s)


reviewed at regular and
planned intervals, and
adjusted as necessary, to
ensure that the objectives
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.3.3 Objectives and
Programme(s)
are achieved?

SECTION 4.4 IMPLEMENTATION AND OPERATION

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.1 Resources, Roles,
Responsibilities,
Accountability and
Authority
a) Is there clear evidences that
the Top management is
taking ultimate responsibility
for OH&S and the OHS
management system
b) Does the top management
demonstrate its commitment
by ensuring the availability of
resources essential to
establish, implement,
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.1 Resources, Roles,
Responsibilities,
Accountability and
Authority
maintain and improve the
OHS management system?
NOTE 1 Resources include
human resources and
specialized skills,
organizational infrastructure,
technology and financial
resources.

c) Does the top management


demonstrated its
commitment by defining
roles, allocating
responsibilities and
accountabilities, and
delegating authorities, to
facilitate effective OHS
management?
d) Are the OHS roles,
responsibilities,
accountabilities, and
authorities documented and
communicated?
e) Has the organization
appointed a member(s) of
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.1 Resources, Roles,
Responsibilities,
Accountability and
Authority
top management with
specific responsibility for
OH&S, irrespective of other
responsibilities, and with
defined roles and authority
for:
a) ensuring that the OHS
management system is
established, implemented
and maintained in
accordance with this
HSEAS Standard;
b) ensuring that reports on
the performance of the OHS
management system are
presented to top
management for review
and used as a basis for
improvement of the HSE
management system
NOTE 2 The top management
appointee (e.g. in a large
organization, a Board or
executive committee
member) may delegate some
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.1 Resources, Roles,
Responsibilities,
Accountability and
Authority
of their duties to a
subordinate management
representative(s)while still
retaining accountability)
f) Is the identity of the top
management appointee has
been made available
to all persons working under
the control of the
organization?
g) Are those with management
responsibility has
demonstrated their
commitment to the continual
improvement of OHS
performance?
h) Does the organization ensure
that persons in the workplace
take responsibility for aspects
of OHS over which they have
control, including adherence
to the organizations
applicable OHS
requirements?
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.2 Competence, Training and
Awareness
a) Has the organization ensured
that any person(s) under its
control performing tasks that
can impact on OHS is (are)
competent on the basis of
appropriate education,
training or experience?
b) Are the competency records
retained?
c) Has the organization
identified training needs
associated with its OHS risks
and its OHS management
system?
d) Has the organization
provided training or has
taken other actions to meet
these needs?
e) Has the organization
evaluated the effectiveness of
the training or action taken?
f) Are those evaluation records
retained?
g) Has the organization
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.2 Competence, Training and
Awareness
established, implemented
and maintained a
procedure (s) to make
persons working under its
control aware of the OHS
consequences, actual or
potential, of their work
activities, their behaviour,
and the OHS benefits of
improved personal
performance?
h) Has the organization
established, implemented
and maintained a
procedure(s) to make
persons working under its
control aware of their roles
and responsibilities and
importance in achieving
conformity to the OHS policy
and procedures and to the
requirements of the OHS
management system,
including emergency
preparedness and response
requirements ?
i) Has the organization
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.2 Competence, Training and
Awareness
established, implemented
and maintained a
procedure(s) to make
persons working under its
control aware of the potential
consequences of departure
from specified procedures?
j) Are the training procedures
have taken into account
differing levels of
responsibility, ability,
language skills and literacy?
k) Are the training procedures
have taken into account
differing levels of risk?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.3 Communication,
Participation and
Consultation
a) With regard to its OHS
hazards and OHS
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.3 Communication,
Participation and
Consultation
management system, does
the organization has
established, implemented
and maintained a
procedure(s) for internal
communication among the
various levels and functions
of the organization?
b) With regard to its OHS
hazards and OHS
management system, has the
organization established,
implemented and maintained
a procedure(s) for
communication with
contractors and other visitors
to the workplace?
c) With regard to its OHS
hazards and OHS
management system, does
the organization has
established, implemented
and maintained a
procedure(s) for receiving,
documenting and responding
to relevant communications
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.3 Communication,
Participation and
Consultation
from external interested
parties?
d) Has the organization
established, implemented
and maintained a
procedure(s) for the
participation of workers by
their appropriate involvement
in hazard identification, risk
assessments and
determination of controls?
e) Has the organization
established, implemented
and maintained a
procedure(s) for the
participation of workers by
their appropriate involvement
in incident investigation?
f) Has the organization
established, implemented
and maintained a
procedure(s) for the
participation of workers by
their appropriate involvement
in the development and
review of OHS policies and
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.3 Communication,
Participation and
Consultation
objectives?

g) Has the organization


established, implemented and
maintained a procedure(s) for
the participation of workers by
their appropriate consultation
where there are any changes
that affect their OHS?
g) Has the organization
established, implemented and
maintained a procedure(s) for
the participation of workers by
their appropriate
representation on OHS
matters?
h) Has the workers informed
about their participation
arrangements, including who
is their representative(s) on
OHS matters?
i) Has the organization
established, implemented and
maintained a procedure(s) for
consultation with contractors
where there are changes that
affect their OHS?
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.3 Communication,
Participation and
Consultation
j) Has the organization ensured
that, when appropriate,
relevant external interested
parties are consulted about
pertinent OHS matters?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.4 Documentation
a) Is the OHS management
system documentation
includes the OHS policy and
objectives?
b) Is the OHS management
system documentation
includes description of the
scope of the OHS
management system?
c) Is the OHS management
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.4 Documentation
system documentation
includes description of the
main elements of the OHS
management system and
their interaction, and
reference to related
documents?
d) Is the OHS management
system documentation
includes documents,
including records, required by
these OHS Standards?
e) Is the OHS management
system documentation
includes documents,
including records, determined
by the organization to be
necessary to ensure the
effective planning, operation
and control of processes that
relate to the management of
its OHS risks?
NOTE: It is important that
documentation is
proportional to the level
of complexity, hazards
and risks concerned and is
kept to the minimum
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.4 Documentation
required for effectiveness
and efficiency

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.5 Control of Documents
a) Are the documents required
by the OHS management
system and by this HSEAS
Standard controlled?
b) Has the organization
established, implemented
and maintained a
procedure(s) to approve
documents for adequacy prior
to issue?
c) Has the organization
established, implemented
and maintained a
procedure(s) to review and
update as necessary and re-
approve documents?
d) Has the organization
established, implemented
and maintained a
procedure(s) to ensure that
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.5 Control of Documents
changes and the current
revision status of documents
are identified?
e) Has the organization
established, implemented
and maintained a
procedure(s) to ensure that
relevant versions of
applicable documents are
available at points of use?
f) Has the organization
established, implemented
and maintained a
procedure(s) to ensure that
documents remain legible
and readily identifiable?
g) Has the organization
established, implemented
and maintained a
procedure(s) to ensure that
documents of external origin
determined by the
organization to be necessary
for the planning and
operation of the OHS
management system are
identified and their
distribution controlled?
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.5 Control of Documents
h) Has the organization
established, implemented
and maintained a
procedure(s) to prevent the
unintended use of obsolete
documents and apply suitable
identification to them if they
are retained for any purpose?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.6 Operational Control
a) Has the organization
determined those operations
and activities that are
associated with the identified
hazard(s) where the
implementation of controls is
necessary to manage the
OHS risk(s)?
b) Has the organization has
considered management of
change in determining those
operations?
c) For those operations and
activities, has the
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.6 Operational Control
organization implemented
and maintained operational
controls, as applicable to the
organization and its
activities?
d) Has the organization
integrated those operational
controls into its overall OHS
management system?
e) For those operations and
activities, has the
organization implemented
and maintained controls
related to purchased goods,
equipment and services?
f) For those operations and
activities, has the
organization implemented
and maintained controls
related to contractors and
other visitors to the
workplace?
g) For those operations and
activities, has the
organization implemented
and maintained documented
procedures, to cover
situations where their
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.6 Operational Control
absence could lead to
deviations from the OHS
policy and the objectives?
h) For those operations and
activities, has the
organization implemented
and maintained stipulated
operating criteria where their
absence could lead to
deviations from the OHS
policy and objectives?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.4.7 Emergency Preparedness
and Response
a) Has the organization
established, implemented
and maintained a
procedure(s) to identify the
potential for emergency
situations?
b) Has the organization
established, implemented
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.7 Emergency Preparedness
and Response
and maintained a
procedure(s) to respond to
such emergency situations?
c) Has the organization
established a respond
mechanism to actual
emergency situations and to
prevent or mitigate
associated adverse OHS
consequences?
d) In planning its emergency
response, has the
organization taken into
account the needs of relevant
interested parties, e.g.
emergency services and
neighbours?
e) Has the organization has
periodically tested its
procedure(s) to respond
to emergency situations,
where practicable, involving
relevant interested parties as
appropriate?
f) Has the organization
periodically reviewed and,
where necessary, revised
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.4.7 Emergency Preparedness
and Response
its emergency preparedness
and response procedure(s),
in particular, after periodical
testing and after the
occurrence of emergency
situations?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.5.1 Performance
Measurement and
Monitoring
a) Has the organization
established, implemented
and maintained a
procedure(s) to monitor and
measure OHS performance
on a regular basis?
b) Is this procedure(s) providing
for both qualitative and
quantitative measures,
appropriate to the needs of
the organization?
c) Is this procedure(s) providing
for monitoring of the extent
to which the organizations
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.1 Performance
Measurement and
Monitoring
OHS objectives are met?
d) Is this procedure(s) providing
for monitoring the
effectiveness of controls (for
health as well as for safety)?
e) Is this procedure(s) providing
for proactive measures of
performance that monitor
conformance with the OHS
programme(s), controls and
operational criteria?
f) Is this procedure(s) providing
for reactive measures of
performance that monitor ill
health, incidents (including
accidents, near-misses, etc.),
and other historical evidence
of deficient OHS
performance?
g) Is this procedure(s) providing
for recording of data and
results of monitoring and
measurement sufficient to
facilitate subsequent
corrective action and
preventive action analysis?
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.1 Performance
Measurement and
Monitoring
h) If equipment is required to
monitor or measure
performance, has the
organization established and
maintained procedures for
the calibration and
maintenance of such
equipment, as appropriate?
i) Are the records of calibration
and maintenance activities
and results retained?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.5.2 Evaluation of Compliance
a) Consistent with its
commitment to compliance,
has the organization
established, implemented
and maintained a
procedure(s) for periodically
evaluating compliance with
applicable legal
requirements?
b) Consistent with its
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.2 Evaluation of Compliance
commitment to compliance,
has the organization
established, implemented
and maintained a
procedure(s) for periodically
evaluating compliance with
applicable other
requirements?
c) Is the organization keeping
records of the results of the
periodic evaluations?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
PROFAB
HSE DEPARTMENT
4.5.3 Incident Investigation,
Non-conformity,
Corrective Action and
Preventive Action
a) Has the organization
established, implemented
and maintained a
procedure(s) to record,
investigate and analyse
incidents in order to
determine underlying OHS
deficiencies and other factors
that might be causing or
contributing to the
occurrence of incidents?
b) Has the procedure identify
the need for corrective action
c) Has the procedure identify
opportunities for preventive
action
d) Has the procedure identify
opportunities for continual
improvement
e) Has the procedure
communicate the results of
such investigations.
f) Are the investigations
performed in a timely
manner?
g) Are the identified need for
corrective action or
opportunities for preventive
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.3 Incident Investigation,
Non-conformity,
Corrective Action and
Preventive Action
actions dealt with in
accordance with Non-
conformity, corrective and
preventive action procedure?
h) Are the results of incident
investigations documented
and maintained?
i) Has the organization
established, implemented
and maintained a
procedure(s) for dealing with
actual and potential
nonconformity(ies) and for
taking corrective action and
preventive actions?
j) Is the procedure(s) contains
requirements for identifying
and correcting
nonconformity(ies) and
taking action(s) to mitigate
their OHS consequences?
k) Is the procedure(s) contains
requirements for
investigating
nonconformity(ies),
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.3 Incident Investigation,
Non-conformity,
Corrective Action and
Preventive Action
determining their cause(s)
and taking actions in order to
avoid their recurrence?
l) Is the procedure(s) contains
requirements for evaluating
the need for action(s) to
prevent nonconformity(ies)
and implementing
appropriate actions designed
to avoid their occurrence?
m) Is the procedure(s) contains
requirements for recording
and communicating the
results of corrective action(s)
and preventive action(s)
taken?
n) Is the procedure(s) contains
requirements for reviewing
the effectiveness of
corrective action(s) and
preventive action(s) taken?
o) Where the corrective action
and preventive action
identifies new or changed
hazards or the need for new
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.3 Incident Investigation,
Non-conformity,
Corrective Action and
Preventive Action
or changed controls, does the
procedure require that the
proposed actions shall be
taken through a risk
assessment prior to
implementation?
p) Is the corrective actions or
preventive actions taken to
eliminate the causes of actual
and potential
nonconformity(ies)
appropriate to the magnitude
of problems and
commensurate with the OHS
risk(s) encountered?
q) Does the organization
ensured that any necessary
changes arising from
corrective action and
preventive action are made
to the OHS management
system documentation?
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.5.4 Control of Records
a) Has the organization
established and maintained
records as necessary to
demonstrate conformity to
the requirements of its OHS
management system and of
this HSEAS Standard, and
the results achieved?
b) Has the organization
established, implemented
and maintained a
procedure(s) for the
identification, storage,
protection, retrieval,
retention and disposal of
records?
c) Are the OHS records legible,
identifiable and traceable?
PROFAB
HSE DEPARTMENT

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.5.5 Internal Audit
a) Has the organization ensured
that internal audits of the
OHS management system
are conducted at planned
intervals?
b) Has the audits conducted has
determined whether the OHS
management system
conforms to planned
arrangements for OHS
management, including the
requirements of this HSEAS
Standard?
c) Has the audits conducted
determined whether the
OHS-MS has been properly
implemented and is
maintained; and is effective
in meeting the organizations
policy and objectives?
d) Has the audits conducted
provide information on the
results of audits to
management?
e) Has the audit programme(s)
planned, established,
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.5 Internal Audit
implemented and
maintained by the
organization, based on the
results of risk assessments
of the organizations
activities, and the results of
previous audits?
f) Is an audit procedure(s)
established, implemented
and maintained
that address the
responsibilities,
competencies, and
requirements for planning
and conducting audits,
reporting results and
retaining associated records

g) Is an audit procedure(s)
established, implemented
and maintained
that address the
determination of audit
criteria, scope, frequency and
methods?
h) Has the selection of auditors
and conduct of audits ensure
objectivity and the
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.5.5 Internal Audit
impartiality of the audit
process?

OCCUPATIONAL HEALTH & 1 0 Remedial


SAFETY ELEMENTS Action Ref.
Number
4.6 Management Review
a) Has the top management
reviewed the organizations
OHS management
system, at planned intervals,
to ensure its continuing
suitability, adequacy and
effectiveness?
b) Has the reviews include
assessing
opportunities for
improvement and the need
for changes to the OHS
management system,
including the OHS policy and
OHS objectives?
c) Are the records of the
management reviews shall be
retained?
d) Are the input to management
reviews include results of
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.6 Management Review
internal audits and
evaluations of compliance
with
applicable legal requirements
and with other requirements
to which the organization
subscribes?
e) Are the input to management
reviews include the results of
participation and
consultation?
f) Are the input to management
reviews include relevant
communication(s) from
external interested parties,
including complaints?
g) Are the input to management
reviews include the OHS
performance of the
organization?
h) Are the input to management
reviews include the extent to
which objectives have been
met?
i) Are the input to management
reviews include status of
incident investigations,
corrective actions and
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.6 Management Review
preventive actions?
j) Are the input to management
reviews include follow-up
actions from previous
management reviews?
k) Are the input to management
reviews include changing
circumstances, including
developments in legal and
other requirements related to
OHS?
Are the input to management
reviews include
recommendations for
improvement?
l) Are the input to management
reviews include the outputs
from management reviews
shall be consistent with the
organizations commitment to
continual improvement?
m) Are the management reviews
include
any decisions and actions
related to possible changes to
OHS performance?
n) Are the management reviews
include any decisions and
PROFAB
HSE DEPARTMENT
OCCUPATIONAL HEALTH & 1 0 Remedial
SAFETY ELEMENTS Action Ref.
Number
4.6 Management Review
actions related to possible
changes to OHS policy and
objectives?
o) Are the management reviews
include any decisions and
actions related to possible
changes to resources?
p) Are the management reviews
include any decisions and
actions related to possible
changes to other elements of
the OHS management
system?
q) Are the relevant outputs from
management review be made
available for communication
and consultation with
interested parties?