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?
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Is the policy appropriate for the organizations resp. site’s activities and their potential E&OHS risks?
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Does the policy include commitments to continual improvement and prevention of pollution, injury and ill health?
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Have methods been established to monitor continual improvement and prevention of pollution, injury and ill health?
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Does the policy commit to compliance with E&OHS legislation, regulations and any other requirements subscribed to?
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Does the policy provide a framework for setting & reviewing E&OHS objectives and targets?
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Is the E&OHS system documented and implemented and is there evidence of its maintenance?
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Has the E&OHS policy been communicated and implemented to all persons working for or on behalf of the organization?
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Is the E&OHS policy available to interested parties / to the public?
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Is the E&OHS policy periodically reviewed?
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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?
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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?
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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?
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Activities of all persons having access to the workplace (including contractors and visitors)?
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Human behaviour, capabilities and other human factors?
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Identified hazards originating outside the workplace capable of adversely affecting the health and safety of persons under the control of the organization?
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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?
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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-
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Is the organization’s methodology for risk identification and assessment
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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?
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Yes. As per the procedure for hazard identification, risk assessment, determining controls and Hazard register including rating verified. -do-
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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?
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Has the organization ensured that the results of these assessments are considered when controls are determined?
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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: ×
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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
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Has the company ensured that the determined controls are taken into account when establishing, implementing and maintaining the OHS management system?
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Has a procedure been developed and implemented to identify and review applicable E&OHS regulatory, legal and other requirements?
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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?
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Are current copies of all applicable regulatory and other requirements applying for E&OHS aspects available?
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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?
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Have E&OHS objectives been established at each relevant function and level in the organization?
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Are E&OHS objectives documented?
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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.
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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?
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Do the E&OHS objectives include the commitment to prevention of injury and ill health, and compliance with legal requirements?
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Conformance
OHSAS 18001
Requirement
(Y, N, NA)
Observations & Objective Evidence
Do the E&OHS objectives include a commitment to continually improve?
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Are E&OHS objectives measurable where practicable?
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When setting and reviewing E&OHS objectives, are technological options as well as financial, operational and business requirements taken into consideration?
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Have programs for the achievement of E&OHS objectives been established and implemented?
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6 EHSP’s 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?
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Yes -
Has the organization identified the means and time-scales for achievement of its E&OHS objectives?
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Are the E&OHS programs reviewed and updated regularly at planned intervals?
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imp: × -do- All targets are measurable.
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6 EHSP’s 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?
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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?
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Yes
Have responsibilities and levels of authority for all personnel managing, implementing or verifying the E&OHS management system been defined, documented and communicated?
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Has a management representative, who is a member of the top management, been assigned?
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Has the role, responsibilities and authority of the management representative been defined?
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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?
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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?
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Yes - As per procedure for training and awareness and competence.
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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
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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?
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Does the organization identify training needs related to E&OHS risks and management system?
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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?
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Yes. The training has been planned to cover all the departments. However now there are awareness trainings conducted on IMS
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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
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personal and environmental benefits for improved performance
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their responsibilities in achieving the conformity to the E&OHS policy and procedures
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and the potential consequences departure of the E&OHS operating procedure?
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Through the awareness trainings.
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Do training procedures take into account different levels of responsibility, ability, literacy and specific OHS risks?
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Do the trainings include emergency preparedness and response?
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Are procedures maintained for communication of E&OHS aspects and issues between various levels of the organization?
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Yes as per the procedure for communication.
Are procedures regarding E&OHS maintained for responding to communications with external interested parties?
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Has the organization recorded its decision on external communications on significant environmental aspects?
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Has the company a procedure in regard to OHS for communication with contractors and visitors?
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Has the organization procedures for involving employees in the development and review of OHS policies and procedures to manage risks?
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Yes. As per procedure for communication
Has the organization procedure for the appropriate involvement of employees in incident investigation?
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Yes
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Yes the training procedures covers all the departments invariably Yes. The trainings have been conducted for the EPRP as well.
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Yes. Procedure for communication
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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?
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Has the organization informed employees as to who are their OHS representative(s) and their participation arrangements?
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Has the organization a procedure that contractors are consulted where there are changes that affect their OHS?
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Have the core elements of the E&OHS management system, and their interaction, been described in paper or electronic form?
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Does the E&OHS management system include
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Observations & Objective Evidence Yes
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Yes. Hard copies and soft copy of documents are maintained and controlled
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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?
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Are procedures maintained to ensure that all E&OHS related documents and data can be located?
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Are procedures maintained to ensure periodic review, appropriate revision and approval for adequacy by authorized personnel of all required E&OHS documents?
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Are current versions of all required E&OHS documents available at all essential locations?
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Are obsolete E&OHS documents promptly removed or otherwise assured against unintended use?
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Are archival E&OHS documents retained for legal or knowledge preservation purposes or both, suitably identified?
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Are activities and operations associated with identified E&OHS risks planned, incl. maintenance, and carried out under specified conditions?
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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?
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Yes as mentioned above
Do the procedures stipulate operating criteria?
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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?
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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.
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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?
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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?
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Have procedures been implemented
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to identify the potential for
Observations & Objective Evidence Yes. Well defined in the procedure
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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?
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Has the organization In planning the potential emergency taken into account the needs of relevant interested parties, e.g. emergency services and neighbours?
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Yes. The organization has identified potential emergency situations including Natural calamities.
Are emergency preparedness and response plans and procedures reviewed and revised as appropriate?
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Are emergency procedures tested where practicable?
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Yes. As per the procedure for emergency preparedness.
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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?
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Monitoring and measurement of Procedure for non conformity, corrective action & preventive action is available.
Do the procedures appropriately provide for qualitative and quantitative measures?
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Yes. Well defined in the procedure.
Are records available to track performance and conformance with the E&OHS objectives?
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Provide these procedures for proactive measures of performance that monitor compliance with the OHS management program, operational criteria and applicable legislation and regulatory requirements?
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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?
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Provide these procedures for recording of data and results of monitoring and measurement sufficient data to facilitate subsequent corrective and preventive action analysis?
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This is done through corrective action & preventive action report
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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?
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Are the records of the equipment calibrations and maintenance activities retained?
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Has the organization fully evaluated its compliance with legal and regulatory requirements in regard to E&OHS?
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Yes – Procedure for Evaluation of compliance reviewed. Compliance is evaluated as per Doc.
Are the records of these compliance evaluations kept?
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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?
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Are incident investigations performed in a timely manner?
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Are the results of incident investigations documented and maintained?
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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?
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Are proposed corrective and preventive actions reviewed through the risk assessment process prior to their being implemented?
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This is done through corrective action & preventive action report
Are corrective and preventive actions reviewed for appropriateness and effectiveness?
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Are procedures and necessary changes arising from corrective and preventive action reflected in the E&OHS management system documentation?
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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?
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Are E&OHS records legible, identifiable and traceable to the activities, readily retrievable, protected against damage and have retention times been specified?
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Are there sufficient E&OHS records to demonstrate conformance to the requirements of this standard?
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Have E&OHS audit procedures at planned intervals been developed and implemented?
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This is done as per the procedure.
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No. Calibration reports are not available for some of the measuring devices.
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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
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Yes. Defined in implementation and operation doc of EHS manual
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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
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Conformance
OHSAS 18001
Requirement
(Y, N, NA)
Observations & Objective Evidence
Are audit frequencies and topics based on the results of risk assessments of the organization’s activity and the results of prior audits?
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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?
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Yes. Well defined in the procedure.
Do audit procedures adequately define scope, frequency, methods and responsibilities?
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Do the audits confirm that the E&OHS management system is effective in meeting the organization’s policy and objectives?
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Are the audits carried out by personnel independent of the area/function being audited?
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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?
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Do management reviews include the specific topics required by the standard?
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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?
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Yes. As per the procedure.
Are the review meetings attended by the organization’s top management?
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Yes. Verified the meetings minutes of the last MRM conducted.
Is relevant output regarding OHS made available for communication and consultation?
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Yes. As per the procedure.
Are management reviews documented?
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Yes. As per the procedure for Management review meeting.
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