INTERNAL AUDIT CHECKLIST – ISO 45001:2018 & ISO 14001:2004

Standard Audited ISO 45001:2018 & ISO 14001:2004

Procedure Audited Audit date Audit reference

Department Section
Name of Auditor Date & signature of auditor
Name of Auditor Date & signature of auditor
Name of auditee(s) Title of Auditee(s)
Name of auditee(s) Title of Auditee(s)
Name of auditee(s) Title of Auditee(s)

Records/methods Compliant Partially Non-

NCR ref.
Audit area Clause checked & procedure Compliant compliant Observations
No.
witnessed (√) (√) (√)
4.2 HSE Policy (IMS Policy)
- Is HSE a main element in IMS Policy?
- Is IMS Policy communicated?
4.2
- Is the latest IMS Policy displayed and
available?
4.3 Planning
4.3.1 Hazard identification, risk assessment and determining controls – environmental aspect – impact assessment
- Has all the hazards been identified
and risk assessed? (verify the
documents)
- Hazard and risk assessment /
environmental aspect and impact
procedure followed or not?
- Adequate review of risk
4.3.1
assessments / EIA done or not?
(including significant changes)
- Have all significant environment
control measures prioritized and
practiced?
- Is all the control measures identified
and practiced?
- Is risk assessment is done for the 4.3.1
hazards due to neighboring
organizations?

Audit as per the applicability / relevance of clauses to the departmental operations and activities.
 - Does risk assessment covers visitors
and other interested parties?
- Is the hazard register copy
maintained and available at site?
4.3.2 Legal and other requirements
- Have all the HSE legal requirements
been identified?
- Copy of the HSE legal register
4.3.2
maintained and available?
- HSE Legal compliance audits are
conducted periodically?
4.3.3 Objectives and programme(s)
- HSE Objectives and HSE KPIs –
established, communicated and are
made available for reference.
- Whether the site or project has a
4.3.3
suitable HSE plan documented?
- HSE Legal and contractual
requirements are considered while
establishing objectives?
4.4 Implementation and Operation
4.4.1 Resources, roles, responsibility, accountability and authority
- Adequate HSE resources available?
- HSE organization capturing roles,
4.4.1
responsibilities, accountability and
authority is established?
4.4.2 Competence, Training and Awareness
The organization has identified training needs. 4.4.2
Organization shall provide training or take other
action to meet these needs, evaluate the
4.4.2
effectiveness of the training or action taken, and
retain associated records.
4.4.3 Communication, Participation and Consultation
Check different modes of communication within
the department ensuring adequate participation 4.4.3.1
and consultation on HSE issues.
Is there any procedure established for the
effective communication in different levels of 4.4.3.1
organization?
4.4.4 Documentation
Organization is having all the documentation like; 4.4.4

Audit as per the applicability / relevance of clauses to the departmental operations and activities.
 - the OH&S policy and objectives
- documents, including records,
required by this OHSAS Standard
- 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 OH&S risks.
4.4.5 Document Control
Check whether employees are referring to latest
procedures and forms? 4.4.5
Adequacy of document control.
The organization has ensured that documentation
is legible, dated (with dates of revision) and
4.4.5
readily identifiable, maintained in an orderly
manner and retained for a specified period.
4.4.6 Operational Control
- Check whether all HSE regulations,
practices and procedures in the
management system are practically
followed.
- Waste control procedures and
policies are practically followed?
(identification, segregation, suitable
4.4.6
and lawful disposals – verify the
documentation for waste
management
- HSE Control procedures and
measures are adequate on site – to
protect visitors, employees and the
society.
4.4.7 Emergency Preparedness Response
The organization has established and maintained
procedures to identify potential for and respond 4.4.7
to accidents and emergency situations.
The organization has established and maintained
procedures to prevent and mitigate impacts that
4.4.7
may be associated with accidents and emergency
situations.
Emergency drill conducted? – verify the reports. 4.4.7

Audit as per the applicability / relevance of clauses to the departmental operations and activities.
 4.5 Checking
4.5.1 Performance measurement and monitoring

- HSE Statistics and performance

analysis done?
- Preventive measures are established
in line with the analysis results?
- Master calibration records 4.5.1
maintained for all significant HSE
equipments (fire detection and
fighting systems etc.)
- HSE KPI tracking and monitoring
done?
4.5.3 Incident investigation, nonconformity, corrective action and preventive action
- Well defined HSE incident
investigation procedure? – check one
complete incident investigation.
(flow, documentation,
responsibilities and adherence to the
policy) 4.5.3.1
- Check the status of proposed
corrective and preventive actions?
- Check whether the system
demonstrates tracking of preventive
actions.
4.5.4 Control of Records
Check whether HSE records are :
- Filed and named
- Traceable
- Controlled adequately 4.5.4
Storage process and archiving frequency
Check training records, audit records etc.

4.5.5 Internal Audit (Complied)

Audit as per the applicability / relevance of clauses to the departmental operations and activities.