OHSAS 18001 2007

INTERNAL AUDIT PROGRAM

OHSAS 18001 is an Occupational Health and Safety Standard

Introduction to OHSAS 18001 Audit Program

Our Audit Program is made up of four programs:

OHSAS 18001 Compliance Audit Program
OHSAS 18001 Policy Audit Program
OHSAS 18001 Procedures Audit Program
OHSAS 18001 Records Audit Program

Each of these four programs will be discussed below.

We begin with a table of contents. It shows how we've organized
our OHSAS 18001 Internal Audit Program. While the content of each
program is different, the following material shows that each one of
our four audit programs is organized in the same way.

OHSAS 18001 INTERNAL AUDIT PROGRAM TABLE OF CONTENTS
PART	INTRODUCTION	PAGE
1	Introduction to OHSAS 18001	4
2	Introduction to Audit Program	5
A	OHSAS 18001 COMPLIANCE AUDIT PROGRAM	11
1	Compliance Audit Procedure	11
2	Compliance Audit Profile	12
3	Compliance Audit Questions	SAMPLE
4	Compliance Audit Scores	58
5	Compliance Audit Summary	59
6	Compliance Audit Conclusions	60
7	Compliance Audit Recommendations	61
8	Compliance Audit Implementation Record	62
B	OHSAS 18001 POLICY AUDIT PROGRAM	63
1	Policy Audit Procedure	63
2	Policy Audit Profile	64
3	Policy Audit Questions	65
4	Policy Audit Scores	68
5	Policy Audit Summary	70
6	Policy Audit Conclusions	71
7	Policy Audit Recommendations	72
8	Policy Audit Implementation Record	73
C	OHSAS 18001 PROCEDURES AUDIT PROGRAM	74
1	Procedures Audit Procedure	74
2	Procedures Audit Profile	75
3	Procedures Audit Questions	76
4	Procedures Audit Scores	82
5	Procedures Audit Summary	84
6	Procedures Audit Conclusions	85
7	Procedures Audit Recommendations	86
8	Procedures Audit Implementation Record	87
D	OHSAS 18001 RECORDS AUDIT PROGRAM	88
1	Records Audit Procedure	88
2	Records Audit Profile	89
3	Records Audit Questions	90
4	Records Audit Scores	98
5	Records Audit Summary	100
6	Records Audit Conclusions	101
7	Records Audit Recommendations	102
8	Records Audit Implementation Record	103
E	LICENSE AGREEMENT AND CONTACT INFORMATION	104
MAR 2008	COPYRIGHT Ó 2008 BY PRAXIOM RESEARCH GROUP LIMITED	VER 1.0

Overview of OHSAS 18001 2007 Compliance Audit Program

Our Compliance Audit Program uses questions to list the six sets of
occupational health and safety (OH&S) management system requirements
that make up OHSAS 18001 2007. Accordingly, our Audit Program contains
six separate questionnaires:

4.1 General Audit Questionnaire
4.2 Policy Audit Questionnaire
4.3 Planning Audit Questionnaire
4.4 Implementation Audit Questionnaire
4.5 Checking Audit Questionnaire
4.6 Review Audit Questionnaire

Our compliance audit questions start with section 4.1 because
the OHSAS 18001 requirements start in section 4.1.

Two answers are possible for each question: YES or NO. YES answers
mean you’re in compliance with the standard and NO answers mean
you’re not in compliance. NO answers point to compliance problems
(also known as nonconformities or noncompliances).

Once you’ve answered all the compliance audit questions, you’re
ready to summarize your audit, calculate compliance scores, draw
general audit conclusions, and make and implement recommendations
to address your compliance problems.

Overview of OHSAS 18001 2007 Policy Audit Program

Our Policy Audit covers the following topics:

Management
Documentation
Usability
Training
Implementation
Changes

Start by selecting a policy that you want to audit. Then prepare your Policy
Audit Profile. Before you begin answering policy audit questions, please
record the name of this policy at the top of the Policy Audit questionnaire.
This will help to maintain the focus of your audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to policy performance problems, YES answers identify positive areas, while
N/A responses identify questions that are not applicable in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your internal audit, calculate policy performance scores, draw general audit
conclusions, and make and implement recommendations to address your
policy performance problems.

Overview of OHSAS 18001 2007 Procedures Audit Program

Our Procedures Audit covers the following topics:

Management
Documentation
Content
Compliance
Usability
Training
Control
Records
Changes

Start by selecting a procedure that you want to audit. Then prepare
your Procedures Audit Profile. Define the scope of your audit, identify
the participants, and prepare a brief audit plan.

Before you begin answering procedures audit questions, please record
the name of this procedure at the top of the Audit questionnaire. This
will help auditors to maintain the focus of their audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to procedural performance problems, YES answers identify positive areas,
while N/A responses identify questions that are not applicable in your
situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate procedural performance scores, draw general audit
conclusions, and make and implement recommendations to address
your procedural performance problems.

Overview of OHSAS 18001 2007 Records Audit Program

Our Records Audit Program is partly based on the ISO 15489-1
records management standard and covers the following topics:

Management
Initiation
Recording
Revisions
Access
Maintenance
Retention
Destruction
Reporting
Usability
Authenticity
Protection
Continuity
Training
Auditing
Compliance

Start by selecting a set of records. Our Audit Program can be used to
audit virtually any type of record keeping system. Examples that you may
wish to consider include the following: OH&S training records, planning
records, monitoring records, measurement records, audit records,
management review records, production records, etc.

Once you’ve chosen which records to audit, you’re ready to prepare
your Records Audit Profile. Specify the scope of your audit, its location,
the participants, and prepare a brief audit plan.

Before you begin answering record keeping audit questions, please enter
the name of the records being audited at the top of the audit questionnaire.
This will help to ensure that the focus of the internal audit is maintained.
Three response options are provided: YES, NO, and N/A. NO answers
point to record keeping performance problems, YES answers identify
positive areas, while N/A responses identify questions that are not
applicable.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate record keeping performance scores, draw general
audit conclusions, and make and implement recommendations to
address your record keeping performance problems.

SAMPLE AUDIT QUESTIONS

A. COMPLIANCE AUDIT PROGRAM

3. COMPLIANCE AUDIT QUESTIONS

SECTION 4.5 - CHECKING AUDIT QUESTIONNAIRE

4.5.1 MONITOR AND MEASURE YOUR OH&S PERFORMANCE
1	Did you establish procedures to monitor and measure your organization’s OH&S performance?				YES	NO
2		Did you establish monitoring and measurement methods that meet your organization’s needs?			YES	NO
3			Did you establish quantitative methods to monitor and measure OH&S performance?		YES	NO
4			Did you establish qualitative methods to monitor and measure OH&S performance?		YES	NO
5	Do you use your organization’s OH&S monitoring and measurement procedures?				YES	NO
6		Do you monitor and measure how well your organization is achieving its OH&S objectives?			YES	NO
7		Do you monitor and measure the effectiveness of OH&S programs?			YES	NO
8		Do you monitor and measure the effectiveness of OH&S controls?			YES	NO
9			Do you monitor and measure health controls?		YES	NO
10			Do you monitor and measure safety controls?		YES	NO
11		Do you monitor and measure the overall effectiveness of OH&S operating criteria?			YES	NO
12		Do you monitor and measure historical OH&S performance deficiencies?			YES	NO
13			Do you monitor and measure ill health?		YES	NO
14			Do you monitor and measure incidents?		YES	NO
15				Do you monitor and measure accidents?	YES	NO
16				Do you monitor and measure near-misses?	YES	NO
17	Do you maintain your organization’s OH&S monitoring and measurement procedures?				YES	NO
18	Do you record the results of your OH&S monitoring and measuring activities?				YES	NO
19		Can your organization’s OH&S monitoring and measuring records provide the evidence that is needed to take corrective action?			YES	NO
20		Can your organization’s OH&S monitoring and measuring records provide the evidence that is needed to take preventive action?			YES	NO
21	Did you establish procedures to control your OH&S monitoring and measuring equipment?				YES	NO
22		Do you control how your OH&S monitoring and measuring equipment is calibrated?			YES	NO
23			Do you keep records of your equipment calibration results and activities?		YES	NO
24		Do you control how your OH&S monitoring and measuring equipment is maintained?			YES	NO
25			Do you keep records of your equipment maintenance results and activities?		YES	NO
26	Do you maintain procedures to control your OH&S monitoring and measuring equipment?				YES	NO
4.5.2 EVALUATE LEGAL AND NONLEGAL COMPLIANCE
4.5.2.1 EVALUATE COMPLIANCE WITH LEGAL REQUIREMENTS
27	Did you establish a procedure to periodically evaluate how well your organization complies with all applicable legal OH&S requirements?				YES	NO
28		Did you implement your organization’s legal compliance evaluation procedure?			YES	NO
29		Do you maintain your organization’s legal compliance evaluation procedure?			YES	NO
30	Do you record the results of your periodic legal OH&S compliance evaluations?				YES	NO
31		Do you keep legal compliance evaluation records?			YES	NO
4.5.2.2 EVALUATE COMPLIANCE WITH NONLEGAL (OTHER) REQUIREMENTS
32	Did you establish a procedure to periodically evaluate how well your organization complies with nonlegal (other) OH&S requirements?				YES	NO
33		Did you implement your organization’s nonlegal compliance evaluation procedure?			YES	NO
34		Do you maintain your organization’s nonlegal compliance evaluation procedure?			YES	NO
35	Do you record the results of nonlegal (other) compliance evaluations?				YES	NO
36		Do you maintain nonlegal compliance evaluation records?			YES	NO
4.5.3 INVESTIGATE INCIDENTS AND TAKE REMEDIAL ACTION
4.5.3.1 INVESTIGATE YOUR ORGANIZATION'S OH&S INCIDENTS
37	Did you create procedures to investigate incidents?				YES	NO
38	Do you use incident investigation procedures?				YES	NO
39		Do you record your OH&S incidents?			YES	NO
40		Do you investigate incidents in a timely manner?			YES	NO
41		Do you analyze the factors that cause incidents?			YES	NO
42			Do you identify the OH&S deficiencies and other factors that could be causing incidents or contributing to their occurrence?		YES	NO
43		Do you identify remedial action opportunities?			YES	NO
44			Do you identify corrective action opportunities?		YES	NO
45				Do you ensure that corrective actions comply with Part 4.5.3.2, below?	YES	NO
46			Do you identify preventive action opportunities?		YES	NO
47				Do you ensure that preventive actions comply with Part 4.5.3.2, below?	YES	NO
48			Do you identify continual improvement opportunities?		YES	NO
49		Do you document the results of OH&S incident investigations?			YES	NO
50			Do you keep incident investigation documents?		YES	NO
51		Do you communicate the results of OH&S incident investigations?			YES	NO
52	Do you maintain incident investigation procedures?				YES	NO
53	Etcetera ...

Now that you know what our internal audit
program looks like, please consider purchasing
Title 67: OHSAS 18001 2007 Internal Audit Program.

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Updated on January 7, 2010. On the Web since May 25, 1997.