OH&S INTERNAL AUDIT CHECKLIST

This checklist is prepared for the internal auditors guide in carrying out the OHSMS internal audit. The auditor shall verify all the applicable checkpoint and tick the
appropriate box in the "Classification" field. "Objective evidence/Remarks" shall be filled by verifiable objective evidences.
Abbreviations: No NCR = the process/operation conforms to the requirement; OBS = Observation, or opportunities for improvement; MIN = Minor; MAJ
- Major

Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
1 Check the OH&S Policy if: 4.2 (OHSAS
18001:2007)
a) Appropriate to the nature, and scale of the organization’s
OH&S risk

b) Includes the commitment to prevent injury and ill health

and continual improvement in the OH&S management and
performance.

c) Includes a commitment to at least comply with applicable

requirements and other requirements to which the
organization subscribes relating to its OHS hazards.

d) Provides a framework for setting and reviewing OH&S

objectives.

e) Documented, implemented and maintained.

f) Reviewed for continuing suitability

2 Check the availability of OH&S Policy. 4.2 (OHSAS

18001:2007)

3 Check if the OH&S Policy is communicated and understood 4.2 (OHSAS

by all employees including sub-contractors. Check 18001:2007)
awareness.

4 Check the procedure (HSEP-50) for hazard identification, 4.3.1 (OHSAS

risk assessment and determination of necessary control if it 18001:
covers; 2007) /HSEP-
(a) routine and non-routine activities 50
(b) activities of all persons having access to the
workplace including sub-contractor and visitors
(c) human behaviour, capabilities and human factors
(d) identified hazards originating outside the workplace
capable of adversely affecting the health and safety of
persons including sub-contractors within the
workplace
(e) hazard created in the vicinity of the workplace by
work-related activities under the control of the
organization.
(f) infrastructure, equipment and materials at the
workplace whether provided by GL or others.
(g) changes or proposed changes in the organization, its
activities or materials
(h) modification to the OHSMS, including temporary
changes and their impacts on the operations,
processes and activities
(i) any applicable legal obligations relating to risk
assessment and implementation of necessary controls
(j) the design of work areas, processes, installations,
machinery/equipment, operating procedures and work
organization, including their adaptation to human
capabilities

5 Check the methodology for hazard identification and risk

assessment is
(a) defined with respect to scope, nature and timing
(b) provide for the identification, prioritization and
documentation of risks and the application of controls, as
appropriate

6 Are the significant risk identified by the company considered 4.3.1 (OHSAS
in setting the objectives? 18001:
2007) /HSEP-
7 50
Check the risk assessment and verify if the the hierarchy to 4.3.1 (OHSAS
reduce the risk considered in determining controls. 18001:
2007) /HSEP-
50

8 Is the hazard identification and risk assessment in the 4.3.1 (OHSAS

section activities complete and updated? 18001:
2007) /HSEP-
50

9 Is the risk assessment periodically reviewed? Is the risk 4.3.1 (OHSAS

assessment reviewed after an emergency/incident (if any)? 18001:
2007) /HSEP-
50

10 Is there any significant change in operations? If so, is risk 4.3.1 (OHSAS

assessment carried out? Check for records of risk 18001:
assessment. 2007) /HSEP-
50
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
11 Check the awareness and understanding of the OHS 4.3.1 (OHSAS
hazards associated to one’s tasks. Verify familiarity on 18001:
operational procedures relevant to identified significant OHS 2007) /HSEP-
hazards. 50

12 Verify the changes to legal requirements applicable to GL .

4.3.2 (OHSAS
18001: 2007) /
HSEP 200

13 Are legislation and other requirements applicable to GL

compiled and made available on a shared folder? Accessible 4.3.2 (OHSAS
to employees? 18001: 2007) /
HSEP 200

14 Check records of the evaluation of compliance with the legal

and other requirements applicable to GL. 4.5.2 (OHSAS
18001:
2007)/HSEP
200

15 Check if the documented OH&S objectives are:

(1) Established, implemented and maintained at relevant
functions and levels within the organization.
(2) Measurable and consistent with the policy
(3) includes commitment to the prevention of injury and ill
health 4.3.3 (OHSAS
(4) commitment includes compliance with applicable legal 1800: 2007)
requirements and with other requirements to which the
organization subscribes
(6) and to continual improvement

16 Are the Objectives and programmes reviewed? 4.3.3 (OHSAS

1800: 2007)
17 Check the programmes established for achieving its
objectives. It shall include;
(a) designation and responsibility and authority for
achieving objectives at relevant functions and levels
(b) the means and time-frame by which the objectives
are to be achieved. 4.3.3 (OHSAS
Monitoring of objective evidences for the implementation of 1800: 2007)
each targets and objectives should be available.

18 Top Management shall demonstrate its commitment by

ensuring availability of resources essential to establish,
implement, maintain and improve the OHSMS 4.4.1 (OHSAS
18001:2007)/H
SEMS-01

19 Top management shall ensure that roles, responsibilities and

authorities are defined, documented and communicated
within the organization 4.4.1 (OHSAS
18001:2007)/H
SEMS-01

20 The organization shall appoint a member of top

management who, irrespective of other responsibilities, shall
have responsibility and authority that includes
a) Ensuring that OHSMS is established, implemented and
4.4.1 (OHSAS
maintained in accordance with OHSAS 18001:2007
18001:2007)/H
b) Reporting to top management on the performance of the
SEMS-01
OHSMS and any need for improvement.

21 Verify employees awareness on his/her documented

responsibilities towards OHSMS. Are the employees aware
who is the Management Representative?
4.4.1 (OHSAS
18001:2007)/H
SEMS-01

22 Verify records to ensure personnel are competent on the

basis of appropriate education, training and experience.
(check competency matrix, training matrix, CV) 4.4.2 (OHSAS
18801:2007) /
HSEP-110

23 Verify training plan and system in identification of training

needs. 4.4.2 (OHSAS
18801:2007) /
HSEP-110

24 Verify if all new employees have undergone the required

induction training 4.4.2 (OHSAS
18801:2007) /
HSEP-110

25 Check the availability and accessibility of all training records

(in-house & third party) 4.4.2 (OHSAS
18801:2007) /
HSEP-110
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
26 Check system in evaluating the effectiveness of training.
4.4.2 (OHSAS
18801:2007) /
HSEP-110

27 Check is the employees are aware of the OH&S

consequences, actual or potential , of their work activities, 4.4.2 (OHSAS
THEIR BEHAVIOUR and the OH&S benefits of improved 18801:2007) /
personal performance HSEP-110

28 Verify the employees awareness on their roles and

responsibilities and importance in achieving conformity to the
OH&S policy and procedures and to the requirements of the 4.4.2 (OHSAS
OHS management system, including emergency 18801:2007) /
preparedness and response requirements HSEP-110

29 Verify the employees awareness on the potential

consequences of departure from specified procedures. 4.4.2 (OHSAS
18801:2007) /
HSEP-110

30 Top management shall ensure that appropriate

communication processes are established within the 4.4.3.1
organization and that communication takes place regarding (OHSAS
the effectiveness of the OHSMS 18001: 2007) /
HSEMS-01

31 Internal Communication
4.4.3.1
Verify the awareness on the means of communicating
(OHSAS
information on health & safety.
18001: 2007) /
HSEMS-01
32 Verify the system of communication with contractors and
4.4.3.1
other visitors to the workplace (check sample of
(OHSAS
communications)
18001: 2007) /
HSEMS-01
33 Verify the system for receiving, documenting and responding
4.4.3.1
to relevant communications from external parties (client, civil
(OHSAS
defence, etc). Check action/s taken for valid external
18001: 2007) /
concern, if any.
HSEMS-01
34 The organization shall establish, implement and maintain
procedure for
(a) participation of workers of workers by their:
- appropriate involvement in hazard identification, risk
assessments and determination of controls
- appropriate involvement in incident investigation
- involvement in the development and review of OH&S 4.4.3.2
policies and Objectives (OHSAS
- consultation where there are any changes that affect 18001: 2007) /
their OH&S HSEMS-01
- representation on OH&S matters.
(b) consultation with contractors where there are
changes that affect their OH&S

35 Are the employees aware on the participation arrangements

including who is their representative on OH&S matters? 4.4.3.1
(OHSAS
18001: 2007) /
HSEMS-01

36 Is there any recorded consultation with external parties?

37 Ensure that OHSMS documentation includes: <Management>

- statement of OH&S Policy and objectives
- description of the scope of the OHSMS
- description of the main elements of the OHSMS and
their interaction and reference to related documents
- documents including records required by OHSAS 4.4.4 (OHSAS
standard 18001:2007)/H
- documents, including records, determined by the SEMS-01
organization to be necessary to ensure the effective
planning, operation and control of processes that relate
to the management of its OH&S risks.

38 Verify approval of documents prior to issue <All Sections>

4.4.5 (OHSAS
18001:2007) /
HSEP-70

39 Check if documents had been reviewed, updated and re-

approved as necessary 4.4.5 (OHSAS
18001:2007) /
HSEP-70

40 Check if changes and the current revision status of the

documents are identified. <With vertical line for revised 4.4.5 (OHSAS
items> 18001:2007) /
HSEP-70

41 Latest revisions of applicable documents should be available

at points of use. 4.4.5 (OHSAS
18001:2007) /
HSEP-70
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
42 Documents should be legible and readily
Available. 4.4.5 (OHSAS
18001:2007) /
HSEP-70

43 Documents of external origin should be identified and their

distribution controlled
<External documents>
• Documents provided by customers i.e. customer 4.4.5 (OHSAS
correspondence (controlled by receiving section) 18001:2007) /
• Laws, national and international standards <ISO, safety HSEP-70
standards> (controlled by receiving section)

44 Verify if unintended use of obsolete documents has been

prevented and suitable identification has been applied if 4.4.5 (OHSAS
retained for any purpose. 18001:2007) /
HSEP-70

45 Noise Monitoring

46 Light Measurement

47 PPE

48 PPE

49 Equipment Maintenance

50 Third party Inspection

51 Calibration of Equipment

52 Goods and services shall be purchased from approved

suppliers. Verify supplier selection
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
53 Verify is supplier are periodically evaluated.

54 Verify the Emergency preparedness and response

procedure. Are the potential emergency situations identified?
4.4.7 (OHSAS
18001:2007)/E
PP Gulf Labs

55 Check familiarity of employees on how to respond to

relevant emergency situations:
- Accident in the workplace
4.4.7 (OHSAS
- Fire and Explosion
18001:2007)/E
- Gas leak
PP Gulf Labs
- radiation leak

56 Is the emergency procedure periodically tested? Check

records of drills. Verify if the emergency procedure is
4.4.7 (OHSAS
reviewed after the drill or occurrence of emergency
18001:2007)/E
situations.
PP Gulf Labs

57 Check the monitoring system of GL's OH&S performance.

58 Verify the monitoring of the extent to which the OH&S

objectives are met. 4.5.1 (OHSAS
18001:
2007)/HSEMS-
01

59 Verify Evaluation of Legal Compliance

4.5.1 (OHSAS
18001:
2007)/HSEMS-
01

60 Check HSE Inspections, STOP CARDS, Audit Results,

Incident Reports 4.5.1 (OHSAS
18001:
2007)/HSEMS-
01

61 Verify Non conformance, Corrective and Preventative

Actions Reporting 4.5.1 (OHSAS
18001:
2007)/HSEMS-
01

62 Verify the procedure to record, investigate and analyse

incidents in order to:
(a) determine underlying OH&S deficiencies and other
factors that might be causing or contributing to the
occurrence of incidents
4.5.3.1
(b) identify the need for corrective action
(OHSAS
(c) identify opportunities for preventive action
18001: 2007)/
(d) identify opportunities for continual improvement
HSEP -03
(e) communicate the results of such investigations

63 Check the incident reports and verify if the investigations are

4.5.3.1
performed in a timely manner, causes are identified and
(OHSAS
actions are taken to avoid recurrence
18001: 2007)/
HSEP -03
64 Are the incident investigations documented and maintained?
4.5.3.1
(OHSAS
18001: 2007)/
HSEP -03

65 Verify if causes, corrective and preventive action are

identified in the incident reports 4.5.3.1
(OHSAS
18001: 2007)/
HSEP -03

66 Verify if the corrective and preventive action in incident 4.5.3.1

investigations are effectively implemented. (OHSAS
18001: 2007)/
HSEP -03
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
67 The organization shall establish, implement and maintain
procedure for dealing with actual and potential nonconformity
and for taking corrective and preventive action. The
procedure shall define the requirements for:
(a) identifying and correcting non conformity and taking
action to mitigate their OH&S consequences
(b) investigating nonconformity, determining their causes
and taking actions in order to avoid their recurrence
(c) evaluating the need for action to prevent non 4.5.3.2
conformity and implementing appropriate action (OHSAS
designed to avoid their occurrence 18001:2007)/
(d) recording and communicating the results of corrective HSEP-140
actions and preventive action taken
(e) reviewing the effectiveness of corrective action and
preventive action taken
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
68 Is risk assessment carried out for new or changed hazard
identified during implementation of corrective and preventive 4.5.3.2
action? (OHSAS
18001:2007)/
HSEP-140

69 Any corrective and preventive action taken to eliminate the

causes of actual and potential non conformity shall be 4.5.3.2
appropriate to the magnitude of problems and (OHSAS
commensurate with the OH&S risks encountered. 18001:2007)/
HSEP-140

70 Verify if changes arising from corrective and preventive

action and reflected in the OHS relevant documentation.
4.5.3.2
(OHSAS
18001:2007)/
HSEP-140

71 Verify the availability of documented procedure to define the

controls needed for the identification, storage, protection,
4.5.4 (OHSAS
retrieval, retention time and disposition of records.
18001: 2007) /
HSEP-100

72 Check for the master list of records

4.5.4 (OHSAS
18001: 2007) /
HSEP-100

73 Verify awareness of person in-charge on proper control of

records. 4.5.4 (OHSAS
18001: 2007) /
HSEP-100

74 All records should be legible, readily identifiable and

retrievable
4.5.4 (OHSAS
18001: 2007) /
HSEP-100

75 Retention period being followed.

4.5.4 (OHSAS
18001: 2007) /
HSEP-100

76 Check for proper disposal of records

4.5.4 (OHSAS
18001: 2007) /
HSEP-100

77 Check documented procedure for internal audit if

responsibilities and requirements for planning, conducting, 4.5.5 (OHSAS
reporting results and maintaining records are defined. 18001:2007) /
HSEP- 20

78 Check if internal audits are conducted at planned intervals

(once a year). Check the audit plan and programmes. 4.5.5 (OHSAS
18001:2007) /
HSEP- 20

79 Verify the results of the previous internal audit. All findings

from the previous audit must have been closed out. 4.5.5 (OHSAS
18001:2007) /
HSEP- 20

80 Check for the implementation and effectiveness of the

corrective action for previous audit findings 4.5.5 (OHSAS
18001:2007) /
HSEP- 20

81 Top management shall review the organization’s OHSMS at

planned intervals, to ensure its continuing suitability,
adequacy and effectiveness. This review shall include 4.6 (OHSAS
assessing opportunities for improvement and the need for 18001:2007) /
changes to the OH&S, including policy and objectives. HSEP-02
Item Classification
No. Applicable
Check Points Objective Evidence /Remarks
Clause No
OBS MIN MAJ
NCR
82 Verify if the management review has been conducted at
least once a year. 4.6 (OHSAS
18001:2007) /
HSEP-02
83 Agenda for discussion during management review are
established and defined based on the standard for
management review
- HSE Policy and objectives
- Progress made towards HSE objectives, targets and
programs, and any proposed changes to targets
- Current status of HSESMS implementation
- Result of Audits (internal or external), investigation
reports, corrective and preventative actions
- Overdue remedial actions
- Setting deadlines for the completion of remedial actions
- HSE statistics
- HSE performance of the organization
- The level of HSE awareness of employees
- Results of participation and consultation and any matters 4.6 (OHSAS
raised by the HSE Committee 18001:2007) /
- Relevant communications from external interested HSEP-02
parties, including complaints
- Evaluation of compliance with Legal requirements and
other requirements to which the organization subscribes.
- Changing circumstances, including developments in legal
and other requirements related to HSE
- Planning of any new HSEMS requirements or
recommendations for improvement.

84 Records of management reviews shall be maintained

(meeting minutes & attendance sheet) 4.6 (OHSAS
18001:2007) /
HSEP-02