Combined EHS Management System Audit Checklist

Generic Process Audit Checklist

ClauseTopicAuditor(s)Page

EH&S System Planning and Compliance Reviews

4.2EH&S Policy(ies)3

4.3.1Hazard Identification and Risk Assessment4

4.3.1Environmental Aspects Identification and Significance Review6

4.3.1, 4.5.1Legal and Other Requirements, EH&S Compliance Reviews8

4.4.7Emergency Preparedness and Response9

Operational Control

4.4.6, othersOperational Control (for chosen process 1)10




Improvement

4.3.3, 4.3.4EH&S Objectives and Management Programs14

4.6Management Review16

Monitoring and Corrective Action

4.5.4Internal Audit Program17

4.5.2Accidents, Incidents, Nonconformances, Corrective/Preventive Action18

Document and Record Control, Purchasing, Calibration and Training

4.4.4, 4.4.5Document Control19

4.5.3Record Control20

4.4.2Training, Awareness and Competence21

4.4.1Roles and Responsibilities22

4.4.6Purchasing23

4.4.6Calibration242

4.4.3Consultation and Communication25

Audit Summary26

Audit Date: ______________ Audit No: ____________

Audit Conclusions:

_____________________________ _________ _______________________________________

Lead Auditor 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 RequirementsReviewer 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.

FORMCHECKBOX Previous audit results

FORMCHECKBOX Current process EH&S metrics

FORMCHECKBOX Any open or recent corrective actions, violations

FORMCHECKBOX Job Hazard List

FORMCHECKBOX List of Significant Aspects

FORMCHECKBOX Process flowchart(s)/layouts

FORMCHECKBOX Instructions and system procedures (listed above) FORMCHECKBOX Regulatory requirements

FORMCHECKBOX EH&S objectives and targets

FORMCHECKBOX 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? FORMCHECKBOX

Does it include commitments to continual improvement and compliance to regulatory and other requirements? FORMCHECKBOX

Is it documented? Is there a formal process to communicate the policy to the workforce? FORMCHECKBOX

Is there a policy and method to make the policy available to the general public/interested parties? FORMCHECKBOX

Is there evidence that the policy is periodically reviewed and revised to keep it relevant to the organization? FORMCHECKBOX

Was top management involved in the policy development? FORMCHECKBOX

Reference 18001/14001 4.2Requirements and Scope:

Overall evaluation:

FORMCHECKBOX Did not check.

FORMCHECKBOX Did not apply.

FORMCHECKBOX Conforms. No deficiencies identified.

FORMCHECKBOX Opportunity for improvement. Detail below.

FORMCHECKBOX Best Practice. Detail below. Be specific.

FORMCHECKBOX Nonconformity. Provide details below. Reference the specific requirement violated.

List the commitments made in the policy below:

1.

2.

3.

4.

5.

6.

Issue Date: _____________ Last Revised: ______________

Comments and Findings:

Hazard Identification and Risk Assessment

Review the methods and results of the hazard identification and risk assessment. FORMCHECKBOX

Does the organization have a procedure for the ongoing identification and assessment of risks? Is it properly controlled? FORMCHECKBOX

Does the procedure address:

Routine and non-routine activities?

FORMCHECKBOX

Visitors and activities performed by subcontractors? FORMCHECKBOX

All facilities, areas of functions? (list in area to right) Note: for ongoing review list modifications or new processes/jobs FORMCHECKBOX

Is there evidence that the above were evaluated? Are the results documented? FORMCHECKBOX

Is there a process to keep this information up-to-date? Is there evidence that it is being kept up-to-date? FORMCHECKBOX

Does the procedure address the scope, nature and timing of Hazard ID and Risk Assessment? FORMCHECKBOX

Does the procedure provide for the classification and elimination or control of risks? FORMCHECKBOX

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:







Procedure No. ______________ Revision date: ____________

Major Areas or Functions Evaluated?

1. FORMCHECKBOX Yes FORMCHECKBOX No





6. FORMCHECKBOX Yes FORMCHECKBOX No.







Are controls, facility requirements and/or training needs identified to minimize or eliminate risks? FORMCHECKBOX

Is there evidence that the process is proactive, vs. reactive? FORMCHECKBOX

Is performance in completing JHAs satisfactory? FORMCHECKBOX

Is there evidence that the overall process of identification and control of risks is effective? FORMCHECKBOX

Is there evidence that personnel involved in JHA were trained in how to perform it? FORMCHECKBOX

Is there evidence of employee involvement in the development of JHA, assessment of risk or identification of necessary controls? FORMCHECKBOX

Were tools (e.g. checklists) developed to assist in the JHAs and were they used? FORMCHECKBOX

Reference 18001 4.3.1List 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

1. _____________________________ ____________ FORMCHECKBOX Pos. FORMCHECKBOX Neg.





Aspects Identification and Determination of Significance

Review the methods and results of the aspects review and significance determination. FORMCHECKBOX

Does the organization have a procedure for the ongoing identification and assessment of significant aspects it can control or influence? Is it properly controlled? FORMCHECKBOX


Routine and non-routine activities?

FORMCHECKBOX

All facilities, areas or operations? (list in area to right) Note: for ongoing review list modifications or new processes/jobs FORMCHECKBOX

Is there evidence that the above were evaluated? Are the results documented? FORMCHECKBOX

Is there a process to keep this information up-to-date? Is there evidence that it is being kept up-to-date? FORMCHECKBOX

Is the process for determining significance defined? Is it systematic? Was it applied correctly? FORMCHECKBOX

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:







Procedure No. ______________ Revision date: ____________

Major Areas or Activities Evaluated?







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. _________________________ FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No





Are controls, facility requirements and/or training needs identified to minimize or control significant aspects? FORMCHECKBOX

Is there evidence that the process is proactive, vs. reactive? FORMCHECKBOX

Is there evidence that the overall process of identification and control of significant aspects is effective? FORMCHECKBOX *

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? FORMCHECKBOX

Were tools (e.g. checklists) developed to assist in the identification of significant aspects and were they used? FORMCHECKBOX

Reference 14001 4.3.1List indicators of effectiveness for the control/minimization of significant environmental aspects.

Metric Value Trend






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? FORMCHECKBOX

Does the organization have access to the requirements that apply to it? FORMCHECKBOX

Does the organization have a process for keeping these requirements up-to-date? FORMCHECKBOX

Has the organization identified and incorporated its other requirements (e.g. VPP) into the system? FORMCHECKBOX

Does the organization have a process to communicate the above requirements to appropriate personnel in the workplace? FORMCHECKBOX

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? FORMCHECKBOX

Reference 18001 4.3.1, 4.5.1

Reference ISO 14001 4.5.2Requirements 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.

Procedure no. __________________ Revision Date: _____________

Overall evaluation:







Requirement Access? Evaluated?

1. FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No







Emergency Preparedness and Response

Review the organizations emergency procedures.

Are the procedures up-to-date? FORMCHECKBOX

Is there evidence that the procedures have been tested? FORMCHECKBOX

Have the procedures been reviewed after the occurrence of accidents and incidents? FORMCHECKBOX

Reference 18001/14001 4.4.7Requirements and Scope: This section reviews the organizations emergency procedures.

Overall evaluation:







Emergency Procedure Complete? Up-to-date?


Last Tested: _____________


Last Tested: _____________


Last Tested: _____________


Last Tested: _____________


Last Tested: _____________

Incident Date Procedures Reviewed?



Comments and Findings

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? FORMCHECKBOX

Have any EHS criteria been established for the operation of this process? If so, is it monitored? FORMCHECKBOX

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? FORMCHECKBOX

Are operators aware of the EHS policy? FORMCHECKBOX

Are the operators aware of their roles and responsibilities? FORMCHECKBOX

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.

FORMCHECKBOX

Are the operators aware of who the management appointee is? Of their EHS representative(s)? FORMCHECKBOX

If there is any EHS monitoring equipment in use, is it calibrated? FORMCHECKBOX

Are EHS related documents and records properly controlled? FORMCHECKBOX

Are regulatory requirements associated with this process being met? List in the right column. FORMCHECKBOX

Reference 1800/140011 4.2, 4.3.1, 4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3Requirements and Scope: This section evaluates whether the organization 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.

3.

4.

5.

6.

Overall evaluation:







Operators Awareness Training Record




Equipment Calibrated/Controlled

FORMCHECKBOX Yes FORMCHECKBOX No


Legal Requirement Compliant?







EHS Statistics for Process/Area



Process: _____________________








FORMCHECKBOX






Procedure No: ____________________ Rev. _____________


1.

2.

3.

4.

5.

6.

Overall evaluation:
























Process: _____________________








FORMCHECKBOX






Procedure No: ____________________ Rev. _____________


1.

2.

3.

4.

5.

6.

Overall evaluation:
























Process: _____________________








FORMCHECKBOX





Reference 1800/140011 4.2, 4.3.1, 4.3.2, 4.4.1-4.4.6, 4.5.1, 4.5.3Requirements and Scope: This section evaluates whether the organization 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. _____________


1.

2.

3.

4.

5.

6.

Overall evaluation:
























Objectives and Improvement

EHS Objectives and Management Programs

Has the organization established documented EHS Objectives? FORMCHECKBOX

Have objectives been deployed at relevant levels and functions of the organization? FORMCHECKBOX

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? FORMCHECKBOX

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? FORMCHECKBOX

Requirements and Scope: This section evaluates whether the organization has identified EHS objectives and its performance in achieving them.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







Objective Mgmt Program? Performance Summary

1. FORMCHECKBOX Yes FORMCHECKBOX 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?

1. FORMCHECKBOX Yes FORMCHECKBOX No2. FORMCHECKBOX Yes FORMCHECKBOX No3. FORMCHECKBOX Yes FORMCHECKBOX No4. FORMCHECKBOX Yes FORMCHECKBOX No5. FORMCHECKBOX Yes FORMCHECKBOX No

Have documented management programs been established for the EHS objectives? FORMCHECKBOX

Do these programs include timeframes, responsibilities and resources needed? FORMCHECKBOX

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? FORMCHECKBOX

Are the objectives and management programs reviewed at regular and planned intervals? Are they being amended to address changes? FORMCHECKBOX

Reference 18001 4.3.3, 4.3.4

Reference 14001 4.3.3EHS Objectives and Management Programs (continued)


Management Review

Does the organization conduct planned, periodic management reviews? FORMCHECKBOX

Is the periodicity appropriate? FORMCHECKBOX

Are these reviews documented? FORMCHECKBOX

Review several records of management review. Are these reviews attended by top management? FORMCHECKBOX

Do these reviews evaluate EHS system suitability (design)? FORMCHECKBOX

Do these reviews evaluate EHS system adequacy (resources)? FORMCHECKBOX

Do these reviews evaluate EHS system effectiveness (results)? FORMCHECKBOX

Do these reviews evaluate EHS regulatory compliance reviews? FORMCHECKBOX

Do these reviews evaluate EHS system audit results? FORMCHECKBOX

Do these reviews evaluate the status of corrective/preventive action? FORMCHECKBOX

Do these reviews evaluate external EHS communication? FORMCHECKBOX

Do these reviews include evaluation of performance in meeting EHS objectives? FORMCHECKBOX

Is there evidence that changes to policy, objectives and other elements are considered? FORMCHECKBOX

Is there evidence that the management review leads to action? Are actions followed up and completed? List in right column. FORMCHECKBOX

Reference 18001/14001 4.6Requirements and Scope: This section evaluates the effectiveness of the organizations management review process.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







Review Date Attendance? Comprehensive? Actions?

1. FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No

Reviewed Corrective/Preventive Action? FORMCHECKBOX Yes FORMCHECKBOX No Reviewed Internal Audits? FORMCHECKBOX Yes FORMCHECKBOX No

Reviewed Compliance Reviews? FORMCHECKBOX Yes FORMCHECKBOX No

Reviewed External Communications? FORMCHECKBOX Yes FORMCHECKBOX No

Action 1: ____________________________ Completed? FORMCHECKBOX Yes FORMCHECKBOX No





Reviewed Corrective/Preventive Action? FORMCHECKBOX Yes FORMCHECKBOX No

Reviewed Internal Audits? FORMCHECKBOX Yes FORMCHECKBOX No








Reviewed Corrective/Preventive Action? FORMCHECKBOX Yes FORMCHECKBOX No

Reviewed Internal Audits? FORMCHECKBOX Yes FORMCHECKBOX No








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? FORMCHECKBOX

Does the procedure describe audit scope, responsibilities, frequency, methods and competencies of auditors? FORMCHECKBOX

Does the audit program include all elements of the EHS system? FORMCHECKBOX

Are previous audits reviewed as part of audit planning? FORMCHECKBOX

Are audit results provided to management? FORMCHECKBOX

Does the audit program and corresponding schedule reflect the organizations risks and results of previous audits? FORMCHECKBOX

Are auditors independent of those having responsibility for the area/activity being audited? Have they been trained? FORMCHECKBOX

Are audit findings documented, reported and addressed in a timely manner? FORMCHECKBOX

Is the audit program effective? FORMCHECKBOX

Reference 18001 4.5.4

Reference 14001 4.5.5Requirements and Scope: This section evaluates the organizations internal audit process.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







Audit No. Complete/Documented? Independent?

FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No





Audit Finding/CAR Date Addressed?

________________________ ______________ FORMCHECKBOX Yes FORMCHECKBOX No






Auditor Name Evidence of Training?

____________________________________ FORMCHECKBOX Yes FORMCHECKBOX No







Accidents, Incidents, Nonconformances and Corrective and Preventive Action

Does the organization have a procedure for accidents, incidents, nonconformances and corrective and preventive action? Is it controlled? FORMCHECKBOX

Does the procedure(s) address:

Handling and investigation of accidents, incidents and nonconformances? FORMCHECKBOX

Requirements for taking actions to mitigate consequences, including corrective action? FORMCHECKBOX

Preventive action? FORMCHECKBOX

Requirements to confirm the effectiveness of actions taken? FORMCHECKBOX

Requirements to assess the risk of actions prior to implementation? FORMCHECKBOX

Review several CAR/PARs. Do they: Identify the cause? FORMCHECKBOX

Identify actions to eliminate the cause? FORMCHECKBOX

Record the results of the action? FORMCHECKBOX

Provide evidence of a review of the effectiveness of action? FORMCHECKBOX

Is the action taken appropriate to the magnitude of the problem? FORMCHECKBOX

Are changes to documented procedures resulting from the action documented and recorded? FORMCHECKBOX

Are corrective actions closed out in a timely manner? Review several. Choose different ones than those evaluated as part of the audit program review? FORMCHECKBOX

Is there evidence that the corrective action program is effective? FORMCHECKBOX


Reference 14001 4.5.3Requirements 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:







Incident/Accident Investigated? Action Taken

1. _______________________ FORMCHECKBOX Yes FORMCHECKBOX No _____________________




CAR/PAR Date Root Cause Action

Identified? Effective?

1. ________________ _____________ FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No








CAR/PAR Date Closed? Verified?










Common Elements - Document and Record Control, Purchasing, Calibration and Training

Document Control

Is there a procedure for document control? Is it controlled? FORMCHECKBOX


The location/distribution of documents (e.g. master list or equivalent)? FORMCHECKBOX

The periodic review and revision of documents? FORMCHECKBOX

Who is authorized to review and approve types of documents? FORMCHECKBOX

Controls needed to ensure that only current documents are used? FORMCHECKBOX

The control of obsolete documents, including identification? FORMCHECKBOX

The control of external documents (e.g. regulations, standards, etc.? FORMCHECKBOX

Are electronic documents adequately controlled (i.e. can they be located, are they password protected, is control maintained when printed)? FORMCHECKBOX

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? FORMCHECKBOX

Reference 18001/14001 4.4.4, 4.5.5Requirements 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:







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)

Ready availability, if electronic (logical file path, easy to locate)

Consistency with local formatting requirements

Document or No. Properly Controlled







Record Control

Is there a procedure for record control? Is it controlled? FORMCHECKBOX


Identification of records (number, name, etc)? FORMCHECKBOX

Maintenance of records (e.g. storage, protection, backup)? FORMCHECKBOX

Disposition of records (retention and disposal)? Are retention times for specific types of records documented? FORMCHECKBOX

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. FORMCHECKBOX


Reference 14001 4.5.4Requirements and Scope: This section evaluates the centralized elements of record control. The control of individual records will be evaluated during other audits.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







Record Documented Legal

Retention Time Retention Time

1. _____________________________ ____________ ____________

2. _____________________________ ____________ ____________

3. _____________________________ ____________ ____________

4. _____________________________ ____________ ____________

5. _____________________________ ____________ ____________

6. _____________________________ ____________ ____________

7. _____________________________ ____________ ____________

8. _____________________________ ____________ ____________

9. _____________________________ ____________ ____________


Training, Awareness and Competence

Is there a procedure for training? Is it controlled? FORMCHECKBOX


How differing levels of responsibility, literacy, ability and risk are or should be taken into account in training procedures/documents? FORMCHECKBOX

How training needs are identified? FORMCHECKBOX

The need for and methods of providing awareness training? FORMCHECKBOX

Subcontractors, temporaries and visitors? FORMCHECKBOX

Is there a skills matrix or other means for identifying required competencies? Does it appear complete? FORMCHECKBOX

Is there a system for retention of training records? FORMCHECKBOX

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? FORMCHECKBOX

Individuals roles and responsibilities relative to the EHS System, including for emergency response? FORMCHECKBOX

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

Reference 18001/14001 4.4.2Requirements and Scope: This section evaluates the centralized elements of the training program. Training for individual tasks will be evaluated during other audits.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







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?






Visitors FORMCHECKBOX Yes FORMCHECKBOX No

Contractors FORMCHECKBOX Yes FORMCHECKBOX No


Roles and Responsibilities

Has a member of the top management team been appointed to be responsible for the EHS System? FORMCHECKBOX

Is this individuals role defined? FORMCHECKBOX

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

Is this individual involved in the maintenance and improvement of the EHS system? FORMCHECKBOX

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

Is the role of safety representatives (e.g. Safety Committee members) defined? FORMCHECKBOX

Is the role of EHS internal auditors defined? FORMCHECKBOX

Are the roles of other safety professionals defined? FORMCHECKBOX

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. FORMCHECKBOX

Is there a formal process to identify resources needed for the effective operation of the EHS system? FORMCHECKBOX

Reference 18001/14001 4.4.1Requirements and Scope: This section evaluates whether the organization 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:







Role Defined?EMS Management Rep _______________________ FORMCHECKBOX Yes FORMCHECKBOX NoOH&S Management Rep _______________________ FORMCHECKBOX Yes FORMCHECKBOX NoManagement Appointee _______________________ FORMCHECKBOX Yes FORMCHECKBOX NoMethods used to demonstrate commitment

1.

2.

3.

4.

5.

Methods used to identify resource needs

1.

2.

3.

4.


Control of Vendors/Purchasing

Is there a process to ensure that the risks associated with purchased products are recognized? FORMCHECKBOX

Is there evidence this process is being used? FORMCHECKBOX

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. FORMCHECKBOX

Is there evidence this process is being used? FORMCHECKBOX

Is there a process to communicate EHS requirements and/or procedures to potential or new subcontractors and vendors? FORMCHECKBOX

Is there evidence that subcontractors are provided relevant training to protect them and employees? FORMCHECKBOX

Reference 18001/14001 4.4.6Requirements and Scope: This section evaluates whether the organization 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:







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 Evidence of briefing/training?




Pick several products/materials that are purchased by the facility. Verify that a MSDS sheet is available for the product/material.

Product/Material MSDS Available? Reviewed?






Calibration

Does the organization have any EHS monitoring equipment (e.g. explosive meters, noise meters)? FORMCHECKBOX

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. FORMCHECKBOX

Is the equipment properly stored and/or handled when not in use? FORMCHECKBOX

Are personnel using the equipment properly trained in its use? FORMCHECKBOX

Are calibration records for any such equipment maintained? FORMCHECKBOX

Review the calibration records. If any equipment is found to be out-of-calibration when received for calibration, is re-monitoring performed? FORMCHECKBOX

Reference 18001/14001 4.5.1Requirements and Scope: This section evaluates whether the organization calibrates and controls any monitoring and measurement equipment that support the EHS system.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







Equipment In Calibration Program? Records?







Consultation and Communication

Is there a process in place to involve employees:

In the development and review of policies and procedures to manage risks? FORMCHECKBOX

In any changes that affect workplace health and safety? FORMCHECKBOX

On health and safety matters? FORMCHECKBOX

Is there a process in place to communicate EHS information to and from employees? FORMCHECKBOX

Is the process effective? FORMCHECKBOX

Is there a process in place to communicate EHS information to or from other interested parties? FORMCHECKBOX

Is the process documented? Is it controlled? FORMCHECKBOX

Reference 18001/14001 4.4.3Requirements and Scope: This section evaluates whether the organization has established processes to involve and communicate with its employees and interested parties.

Procedure No: ____________________ Rev. _____________

Overall evaluation:







List the methods used to involve/communicate with employees in the EHS system.

1.

2.

3.

4.

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. FORMCHECKBOX Yes FORMCHECKBOX No2. FORMCHECKBOX Yes FORMCHECKBOX No3. FORMCHECKBOX Yes FORMCHECKBOX No4. FORMCHECKBOX Yes FORMCHECKBOX No5. FORMCHECKBOX Yes FORMCHECKBOX NoComments and Findings

Audit Summary

No.Type

(NC/OFI/BP)ClauseStatus (open/closed and CAR No.)Description

PAGE 1( 2005 Joe Kausek & Associates

Documents

Combined EHS Management System Audit Checklist