Documentation Requirements - General

  • Has the organisation documented its H&S and Environmental management system?

  • Does the documentation include the scope of the management systems?

  • documented procedures and records required by 18001 and 14001?

  • Does the organisation have an environmental policy that satisfies 14001 requirements?

  • Does the organisation have a Health and Safety policy that satisfies 18001 requirements?

Control of Documents

  • Are all documents required by the management system controlled?

  • to ensure that changes and the current revision status of documents are identified?

  • to ensure that relevant versions of applicable documents are available at points of use?

  • to ensure that documents of external origin are identified and their distribution controlled?

  • to prevent the unintended use of obsolete documents?

Legal and other requirements

  • Has the organisation identified applicable HS and Environmental legislation?

  • Does the organisation have a system for identifying new and changes to legislation?

  • Are relevant versions of applicable regulations available at points of use?

  • Does the audit programme include legal compliance?

  • Is action taken where legal and other requirements are found not to be complied with?

Control of Records

  • Have records been established to provide evidence of conformity and effective operation of the management system?

  • Has a documented procedure been established to define the following controls?

  • Storage of records?

  • Protection of records?

  • Retrieval of records?

  • retention time of records?

  • Are records readily identifiable?

  • Are records readily retrievable?

H&S Risk Assessments

  • Are OHSAS Risks Assessments up to date and cover all applicable activities and chemicals?

  • Are Risks reviewed and considered in order to establish Safe Systems of Work?

  • Are Risk Assessments reviewed and update as a result of accidents, near misses and changes?

  • Are Hazards and risks communicated to relevant employees?

Environmental Aspects and Impacts

  • Has the organisation concluded an Aspects and Impacts Assessment?

  • Has actions resulting from the Aspects and Impacts Assessment been determined?

  • Are Objectives and Targets aligned to significant impacts?

  • Are Aspects and Impact reviewed for suitability at regular intervals?

Roles, Responsibilities and Authorities

  • Has roles, responsibilities and authorities been determined and documented?

  • Do roles, responsibilities and authorities cover quality, environmental and OH&S?

  • Have top management nominated a representative for OH&S and EMS?

Competence, Awareness & Training

  • Has the organisation determined the necessary competence for personnel?

  • where applicable, provided training or taken other actions to achieve the necessary competence?

  • evaluated the effectiveness of the actions taken?

  • maintained appropriate records of education, training, skills and experience?

Objectives and programmes

  • Has the organization determined, provided and maintained the infrastructure needed to achieve conformity to product requirements?

  • Does this infrastructure include, as applicable buildings, workspace and associated utilities?

  • process equipment (both hardware and software)?

  • supporting services (such as transport, communication or information systems)?

Operational Controls?

  • Has the organization determined and documented its environmental controls?

  • Are statutory and regulatory requirements understood and appropriately controlled?

  • Are Risk Assessments and method statements available for site work?

  • Are supplier contracts and applicable PI and PL insurances checked periodically?

  • Are visitor and subcontractor controls operated to ensure H&S and Environmental policy and procedures are complied with?

Communication, participation and consultation

  • Are appropriate system in place to communicate H&S and Environmental policies and procedures?

  • Does these systems include communication with suppliers and contractors?

  • Are appropriate systems in place for employee consultation?

  • Are records of communication and consultation maintained?

Emergency preparedness and response

  • Has the organisation established, implemented and maintains procedures for identifying and responding to emergency situations?

  • Are these procedures periodically reviewed for effectiveness?

Internal Auditing

  • Does the organization conduct internal audits at planned intervals

  • Has an audit programme been planned, taking into consideration the status and importance of the processes and areas to be audited,

  • Have the audit criteria, scope, frequency and methods been be defined?

  • Does the audit programme ensure that auditors shall not audit their own work?

  • Are records of the audits and their results maintained (see 4.2.4)?

  • Does the management responsible for the area being audited ensure that any necessary corrections and corrective actions are taken without undue delay to eliminate detected nonconformities and their causes?

  • Do follow-up activities include the verification of the actions taken and the reporting of verification results (see 8.5.2)?

Management Review

  • Does the input to management review include information on results of audits?

  • follow-up actions from previous management reviews?

  • policy, objectives and the extent these are being met?

  • communication and participation?

  • status of preventive and corrective actions?

  • Review of current and future legislation and legal compliance?

  • changes that could affect the management systems?

  • resources?

  • recommendations for improvement?

Performance measurement and monitoring

  • Does the organization apply suitable methods for monitoring and, where applicable, measurement of the management system processes?

  • Do these methods demonstrate the ability of the processes to achieve planned results?

  • When planned results are not achieved, is correction and corrective action taken, as appropriate?

Incident investigation

  • Does the organisation have procedures that demonstrate that H&S and Environmental incidents are investigated, analysed and recorded?

Nonconformity, corrective and preventive action

  • Has a documented procedure been established to define requirements for reviewing nonconformities (including customer complaints)?

  • Does the organization take action to eliminate the causes of nonconformities in order to prevent recurrence?

  • Are corrective actions appropriate to the effects of the nonconformities encountered?

  • Are preventive actions appropriate to the effects of the potential problems?

  • Has a documented procedure been established to define requirements for reviewing nonconformities (including customer complaints)?

  • determining the causes of nonconformities?

  • evaluating the need for action to ensure that nonconformities do not recur?

  • evaluating the need for action to prevent occurrence of nonconformities?

  • determining and implementing action needed?

  • records of the results of action taken (see 4.2.4)?

  • reviewing the effectiveness of the corrective action taken?

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