EMS & OHSMS Internal Audit Checklist

EMS (ISO 14001:2015) & OHSMS(ISO 45001:2018) Internal audit checklist
Audit Date:08.11.2019 Process :Stores & Waste Management CONCLUSION
45
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0
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Auditor:Mrs.Aparna Auditee:Mr.Pradeep
Opportunities for
Audit Findings Evidences
Improvement
Clause Question
Clause No. Audit Question - OHSMS (ISO 45001:2018)
Compliance
Minor N/C
Major N/C
No. No. Provide reference to documented information to justify Provide suggestions for
Audit Question - EMS (ISO 14001:2015)
OFI
the finding process improvement
Is the policy effectively communicated in the Process and employees Is the policy effectively communicated in the Process and employees
5.2 1
are aware of their EMS obligations?
5.2
are aware of their H&S obligations?
√ EHS Policy Displayed at MP & L area
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Roles,responsibility and authority forLogistics
5.3 2
personnels to achive effective implementation
5.3
documented?
√ evidenced.
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of CEA Table & HIRA table evidenced for MP & L
6.1.2 3
cycle perspective?
6,1,2
risks established and is the methodology defined?
√ and Scrap yard
Do risk assessment procedures cover routine-non routine activities;

6.1.2 4 6,1,2
personnel having access to the workplace (visitors, subcontractors)?
√ Coverd routine & non routuine process
developed an appropriate plan to address the significant aspects, Aspects - Classified as signinicant and HIRA
compliance obligations and risks and opportunities - considering Does the methodology provide for the classification of risks and classified as High,Medium and low risks ;
6.1.2 5
technological options and its financial, operational and business
6,1,2
identification of those that are to be eliminated or controlled?
√ Significant aspects -Packing waste generation ;
requirements? High Risk - Working at height
Does the methodology provide input into the determination of the

6 6,1,2 facility requirements, identification of training needs and √ Training defined as one of the control measure
development of operational controls?
Do risk assessment results demonstrate that all the activities and

7 6,1,2
facilities were covered and risks were evaluated?
√ Complaince
8 6,1,2 Does the process link to operational control procedures? √ Complaince
Are results of hazard identification and risk assessments considered

6.1.2 9 The results of aspect & imapct considerd for Objectives setting? 6,1,2
while setting health and safety objectives?
√ EHS objectives linked with CEA and HIRA table
determined, and have access to, compliance obligations related to its

6.1.3 10
environmental aspects?
6.1.3 Are requirements other than legal requirements identified? √ Complaince - Disposal of Hazardous waste
determined how these compliance obligations apply to the Is the information concerning applicable legislation and other
6.1.3 11
organisation?
6.1.3
requirements kept up-to-date?
√ Compliance
Page 1 of 44
45
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Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
Does the process defined enviromental objectives based on Are documented health and safety objectives established for each EHS Objectives defined for year 2019 ;LTC- 0
6.2 12
significant enviromental impacts?
6.2
relevant function?
√ ;Waste Volarisation - 76%
EHS Management programes are evidenced Eg:

Does the process defined a plan to achieve EMS objectives (What is 1)Packing materials reduction;
Are H&S objectives established and they consistent with the
6.2 13 objective,target,responsibility,time frame , methods & evluation 6.2
commitment to continual improvement?
√ 2) Logistics Optimisation ;
system ) - Managemnt Programes 3)Zero recordable case due to slips /Falls MP
& L area
Are responsibilities, means and timeframe for achieving objectives are Are programmes for achieving health and safety objectives are
6.2 14
documented?
6.2
established?
√ EHS Operational master plan - 2019
Are management programmes are reviewed at regular and planned Are responsibilities, means and timeframe for achieving objectives are
6.2 15
intervals?
6.2
documented?
Are management programmes are amended to address changing Are health and safety management programmes are reviewed at
6.2 16
circumstances?
6.2
regular and planned intervals?
Are health and safety management programmes are amended to

17 6.2
address changing circumstances?
7,1 18 Have sufficient and adequate resources been allocated to fulfil 7.1 Have sufficient and adequate resources been allocated to fulfil √ Servo System for 1800 T IM
Are employees are aware of the importance of the requirements of

7.2 19 Has trainings are planned, Executed and effectiveness monitored 7.2
the H&S management system?
√ Skill matrix and training records evidenced
has your process ensured that persons working under its influence are Are employees are aware of the H&S consequences of their work
7.3 20 aware of its policy, aspects and impacts, their contribution to the EMS 7.3 activities, benefits of improved personal performance, and √ Display boards /waning signs provided
and the implications of not conforming with these requirements? consequences of departing from procedures?
Does the process have communication system (Internal & External) Does the process have communication system (Internal & External)
7.4 21
towards EMS
7.4
towards OHSAS
√ Suppleir cimmunication through E-mails
Page 2 of 44
45
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Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
have you determined the controls to ensure your significant

Are operations and activities associated with risks where control
8.1 22 environmental aspects are addressed considering Elimination, 8.1
measures need to be applied are identified?
√ complaince
substitution, isolation, Engineering.admin control
Have you determined the controls to ensure your significant

8.1 23
environmental aspects are addressed considering each life cycle stage
8.1 Do operational control requirements cover all activities and facilities? √ Compliance
Does the process provide evidence that controls are implemented as Does the process provide evidence that controls are implemented as Energy consumption & water consumption
8.1 24
defined in significant aspects report
8.1
defined in risk report
√ reports
Do documented procedures exist where their absence could lead to Do documented procedures exist where their absence could lead to
8.1 25
deviations from the policy and the objectives?
8.1
√ SOP for Injection moulding
Wastesa are stored separtely and identified

8.1 26 Are waste are collected effectively and identified Are waste are collected effectively and identified √ properly
8.1 27 Oil /water leakages observed Slippery fllor /wet floor condition √ Compliance
8.1 28 All employees wearing required PPE All employees wearing required PPE √ Compliance
29 System to prevent from slips/fall √ Compliance
8.1 30 General cleaniness of shop floor General cleaniness of shop floor √ Compliance
31 Ergonomic risks & mitigations √ compliance
Is adequate Secondary containment system available for all liquid Secondary containment system available scrap
8.1 32
storages
√ yard area
8.1 33 Are waste are disposed as per complaince requirements √ Compliance
have processes been established, implemented and maintained to Has the Process established, implemented and maintained a
8.2 34 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential √ On-Site emergency plan avilable
and documented? accidents that can have an impact(s) and how it will respond to them?
Page 3 of 44
45
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Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
35 8.2 Does all walks are clearly maked √ Compliance
36 8.2 Does adequate fire fighting equipments avilable √ Compliance
37 Does all emergency evacation doors are marked and freely accessibl;e √ Compliance
38 Does safe assembly point are clearly amrked and easily acessible √ Compliance
39 8.2 Does the ERT member identified properly √ Compliance
Has the process established and implemented a procedure to

Does the process defined what needs to be measured, the frequency
9.1 40
of measurement and the evaluation of results towards EMS?
9.1.1 regularly monitor and measure the key characteristics of its √ Waste Disosal data
operations that have a significant risk?
Does the procedure include documenting information to monitor

41 9.1.1 performance, applicable operational controls and conformity with the √ Waste Disosal data
health and safety objectives and targets?
Does the process ensure that calibrated or verified monitoring and

42 9.1.1
measurement equipment is used and maintained?
√ Compliance
when nonconformance occurs, does the organisation take steps to Are the causes of nonconformities are investigated and results
10.2 43
control and correctly deal with the consequences?
10.2
documented?
√ Compliance
Are corrective actions appropriate to the significance of the effects of

Are appropriate corrective actions developed to eliminate the causes
10.2 44 the nonconformities encountered, including the environmental 10.2
of nonconformities?
√ Compliance
impact?
10.2 45 10.2 Are corrective actions are followed up for effective implementation? √ Compliance
Page 4 of 44
Audit Date:07.11.2019 Process :Canteen & OHC CONCLUSION
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Auditor:Mr.Pradeep Auditee:Mr.Ramakrishnan
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
Clause No. Audit Question - OHSMS (ISO 45001:2018) Provide reference to documented information to justify Provide suggestions for
No. No. Audit Question - EMS (ISO 14001:2015)
OFI
5.2 1
5.2
√ Policy displayed at various locations
5.2 2 Is the policy made available to all interested parties? 5.2 Is the policy made available to all interested parties? √ Policy sent to all suppliers Via E-mail
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Responsibility & authority for Production
5.3 3
5.3
documented?
√ engineer evidenced.
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of CEA Table & HIRA table evidenced for
6.1.2 4
cycle perspective?
6,1,2
√ Maintenance
Aspects - Classified as signinicant and HIRA

developed an appropriate plan to address the significant aspects,
classified as High,Medium and low risks ;
compliance obligations and risks and opportunities - considering Does the methodology provide for the classification of risks and
6.1.2 5
6,1,2
√ Significant aspects -Food waste from
canteen;Bio-medical waste from OHC ; High Risk
requirements?
- Slipper floor in canteen, food quality etc
7.4 6
towards EMS
7.4
towards OHSAS
√ Internal E-mail are evidenced towards EHS

√ Compliance
8.1 8 Are waste are collected effectively and identified 8.1 Are waste are collected effectively and identified √ Dust bins provided at various locations
8.1 9 water leakages observed 8.1 Slippery fllor /wet floor condition √ Daily cleaning checklist evidenced
8.1 10 All employees wearing required PPE 8.1 All employees wearing required PPE √ Compliance
11 8.1 System to prevent from slips/fall √ Compliance
8.1 12 General cleaniness of shop floor 8.1 General cleaniness of shop floor √ Compliance
13 8.1 Ergonomic risks & mitigations √ Compliance
Page 5 of 44
Audit Date:07.11.2019 Process :Canteen & OHC CONCLUSION
23
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0
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Auditor:Mr.Pradeep Auditee:Mr.Ramakrishnan
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
8.2 14 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential √ Compliance
17 8.2 Does all emergency evacation doors are marked and freely accessibl;e √ Compliance
18 8.2 Does safe assembly point are clearly amrked and easily acessible √ Compliance
10.2 20
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?
22 10.2 Are corrective actions are followed up for effective implementation? √ Compliance
does your process continually improve the suitability, adequacy and does your process continually improve the suitability, adequacy and
10.3 23 effectiveness of the environmental management system to enhance 10.3 effectiveness of the Health & Safety management system to enhance √ Compliance
environmental performance? environmental performance?
Page 6 of 44
Audit Date:06.11.2019 Process :Training / Office /Admin CONCLUSION
32
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0
0
Auditor:Mr.Nithyanantham Auditee:Mrs.Aparana
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
5.2 1
5.2
√ Policy displayed at various locations
5.2 2 Is the policy made available to all interested parties? 5.2 Is the policy made available to all interested parties? √ Policy sent to all suppliers Via E-mail
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Responsibility & authority for Production
5.3 3
5.3
documented?
√ engineer evidenced.
6.1.2 4
cycle perspective?
6,1,2
√ Maintenance

classified as High,Medium and low risks ;
6.1.2 5
6,1,2
√ Significant aspects -Food waste from
canteen;Energy consumption for admin, ;
requirements?
High Risk - Electric shock,Erogonomics etc

√ Timer for street lights
Does the process defined enviromental objectives based on Are documented health and safety objectives established for each
6.2 7
6.2
relevant function?
√ Printing Paper reduction
Has the process identified the competency requirements for effective Are competence requirements are defined - Gap identified and
7.2 8
implementation of EMS
7.2
fuillfilled ( Training needs, plan, achievement and effectiveness)
√ EHS competence mapping

√ Regular training conducted
7.3 10 aware of its policy, aspects and impacts, their contribution to the EMS 7.3 activities, benefits of improved personal performance, and √ Regular training conducted
Do training procedures take into account differing levels of Do training procedures take into account differing levels of
7.2 11
responsibility, ability, literacy and risk?
7.2
responsibility, ability, literacy and risk?
√ EHS Skill matrix evidenced for all employees
Are training needs are identified and trainings are provided to satisfy Are training needs are identified and trainings are provided to satisfy
7.2 12
competence needs?
7.2
competence needs?
√ EHS Skill matrix evidenced for all employees
16/4/2019 - Thermography training ; 20/8/2019 -

7.2 13 Are training records are maintained? 7.2 Are training records are maintained? √ ERT training
Page 7 of 44
32
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0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
7.4 14
towards EMS
7.4
towards OHSAS
√ Internal E-mail are evidenced towards EHS

√ Compliance
8.1 16 Are waste are collected effectively and identified 8.1 Are waste are collected effectively and identified √ Dust bins provided at various locations
8.1 17 Oil /water leakages observed 8.1 Slippery fllor /wet floor condition √ Daily cleaning checklist evidenced
8.1 18 All employees wearing required PPE 8.1 All employees wearing required PPE √ Compliance
19 8.1 System to prevent from slips/fall √ Compliance
8.1 20 General cleaniness of shop floor 8.1 General cleaniness of shop floor √ Compliance
21 8.1 Ergonomic risks & mitigations √ Compliance
Is adequate Secondary containment system available for all liquid

8.1 22
storages
√ Compliance
8.2 23 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential √ Compliance
26 8.2 Does all emergency evacation doors are marked and freely accessibl;e √ Compliance
Page 8 of 44
32
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0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
27 8.2 Does safe assembly point are clearly amrked and easily acessible √ Compliance
10.2 29
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?
Page 9 of 44
Audit Date:07.11.2019 Process :Tool Maintenance CONCLUSION
38
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0
0
Auditor:Mr.Vasantha Kumar Auditee:Mr.Devendran
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
5.2 1
5.2
√ EHS Policy Displayed at mainteance area
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Roles,responsibility and authority for Mainteance
5.3 2
5.3
documented?
√ Engineer evidenced.
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of CEA Table & HIRA table evidenced for Tool
6.1.2 3
cycle perspective?
6,1,2
√ Maintenance

6.1.2 4 6,1,2
6.1.2 5
6,1,2
√ Significant aspects -Oil leakage ; High Risk - Slips,
requirements? Manual tool handling


7 6,1,2
√ Complaince

determined, and have access to, compliance obligations related to its Complaince - Handling of used oil & oil soaked
6.1.3 10
6.1.3 Are requirements other than legal requirements identified? √ waste
6.1.3 11
organisation?
6.1.3
√ Compliance
Page 10 of 44
38
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0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
Does the process defined enviromental objectives based on Are documented health and safety objectives established for each EHS Objectives defined for year 2019 ;Energy
6.2 12
6.2
relevant function?
√ -2.04 per kg;
Does the process defined a plan to achieve EMS objectives (What is

√ Runner reduction
system ) - Managemnt Programes
6.2 14
documented?
6.2
established?
6.2 15
intervals?
6.2
documented?
6.2 16
circumstances?
6.2

17 6.2

7.4 21
towards EMS
7.4
towards OHSAS
√ Display boards /waning signs provided
Page 11 of 44
38
0
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

√ Compliance

8.1 23
8.1 Do operational control requirements cover all activities and facilities? √ Compliaince
Does the process provide evidence that controls are implemented as Does the process provide evidence that controls are implemented as
8.1 24
8.1
√ Compliaince
8.1 25
8.1
√ Compliaince
8.1 26 Are waste are collected effectively and identified Are waste are collected effectively and identified √ Complaince
8.1 27 Oil /water leakages observed Slippery fllor /wet floor condition √ Complaince
8.1 28 All employees wearing required PPE All employees wearing required PPE √ Complaince
29 System to prevent from slips/fall √ Complaince
8.1 30 Ergonomic hazards elimination √ EOP provided for handling
Materials stored infront Emergency door exist

33 Does all emergency evacation doors are marked and freely accessibl;e √ near operator usage area.
Safe assembly point No 2 at noth direction was
34 Does safe assembly point are clearly amrked and easily acessible √ bloked with scrap trollys
35 8.2 Does the ERT member identified properly √ Complaince
Page 12 of 44
38
0
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
10.2 36
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?
Page 13 of 44
Audit Date:07.11.2019 Process :Plant Engineering CONCLUSION
45
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0
0
Auditor:Mr.Alphones Auditee:Mr.Venkateshwaran
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
5.2 1
5.2
√ EHS Policy Displayed at at shop floor
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Roles,responsibility and authority for Fire Guard
5.3 2
5.3
documented?
√ evidenced.
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of CEA Table & HIRA table evidenced for DG/
6.1.2 3
cycle perspective?
6,1,2
√ Compressor/ETP

6.1.2 4 6,1,2

developed an appropriate plan to address the significant aspects, classified as High,Medium and low risks ;
compliance obligations and risks and opportunities - considering Does the methodology provide for the classification of risks and Significant aspects -Emission from DG;Energy
6.1.2 5
6,1,2
√ consumption,Sludge from ETP waste water from
requirements? paint booth ; High Risk - Electric shock,work at
heigh etc.


7 6,1,2
√ Complaince

determined, and have access to, compliance obligations related to its Complaince - Emission limits for DG, treated
6.1.3 10
6.1.3 Are requirements other than legal requirements identified? √ water quality for ETP etc
6.1.3 11
organisation?
6.1.3
√ Compliance
Page 14 of 44
45
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0
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Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
EHS Objectives defined for year 2019 ;LTC- 0 ;

6.2 12
6.2
relevant function?
√ LTCR& RCR-0 Energy -2.04 per kg; Water- 4.4
Ltrs/Kg ;

Are H&S objectives established and they consistent with the 1)50 % recovery of spent solvent ;
√ 2)Zero recordable case due to slips /Falls in
cooling tower
6.2 14
documented?
6.2
established?
6.2 15
intervals?
6.2
documented?
6.2 16
circumstances?
6.2

17 6.2

7.4 21
towards EMS
7.4
towards OHSAS
Page 15 of 44
45
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0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

√ Complaince

8.1 23
8.1 Do operational control requirements cover all activities and facilities? √ Complaince
8.1 24
8.1
√ reports
8.1 25
8.1
√ OCP for DG oepration
8.1 30 General cleaniness of shop floor General cleaniness of shop floor √
31 Ergonomic risks & mitigations √ Working Flatforms provided for all height works
Is adequate Secondary containment system available for all liquid Secondary containment system evidenced for oil
8.1 32
storages
√ storage
Page 16 of 44
45
0
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
36 Does all emergency evacation doors are marked and freely accessibl;e √ Compliance
37 Does safe assembly point are clearly amrked and easily acessible √ Compliance

9.1 39
9.1.1 regularly monitor and measure the key characteristics of its √ Daily Energy & water consumption reports

40 9.1.1 performance, applicable operational controls and conformity with the √ Daily Energy & water consumption reports

41 9.1.1
√ Compliance
10.2 42
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?
Are proposed corrective actions are reviewed through risk

44 10.2
assessment?
√ Compliance
Page 17 of 44
Audit Date:06.11.2019 Process :Maintenance CONCLUSION
42
1
0
0
Auditor:Mr.Pradeep Auditee:Mr.Sathish Kumar
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
5.2 1
5.2
√ EHS Policy Displayed at mainteance area
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Roles,responsibility and authority for Mainteance
5.3 2
5.3
documented?
6.1.2 3
cycle perspective?
6,1,2
√ Maintenance

6.1.2 4 6,1,2
6.1.2 5
6,1,2
√ Significant aspects -Oil leakage ; High Risk -
requirements? Electric shock,Manual tool handling


7 6,1,2
√ Complaince

determined, and have access to, compliance obligations related to its Complaince - Handling of used oil & oil soaked
6.1.3 10
6.1.3 Are requirements other than legal requirements identified? √ waste
6.1.3 11
organisation?
6.1.3
√ Compliance
Page 18 of 44
42
1
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
Does the process defined enviromental objectives based on Are documented health and safety objectives established for each EHS Objectives defined for year 2019 ;Energy
6.2 12
6.2
relevant function?
√ -2.04 per kg;
Does the process defined a plan to achieve EMS objectives (What is EHS Management programes are evidenced Eg:
√ 1) 15 % reduction in electricity in
system ) - Managemnt Programes 1800 T IM ;
6.2 14
documented?
6.2
established?
6.2 15
intervals?
6.2
documented?
6.2 16
circumstances?
6.2

17 6.2

7.4 21
towards EMS
7.4
towards OHSAS
Page 19 of 44
42
1
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

√

8.1 23
8.1 Do operational control requirements cover all activities and facilities? √
8.1 24
8.1
√ Energy consumption & Oil consumption reports
8.1 25
8.1
Instead of push buttons palm buttons can be

8.1 30 Ergonomic hazards elimination √ replaced
Is adequate Secondary containment system available for all liquid Secondary containment system availabel for oil &
8.1 31
storages
√ grease storage area

Page 20 of 44
42
1
0
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
36 8.2 Does the ERT member identified properly √

9.1 37
9.1.1 regularly monitor and measure the key characteristics of its √ Daily Energy & Oil consumption reports

38 9.1.1
√ Compliance
10.2 39
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?

41 10.2
assessment?
√ Compliance
Page 21 of 44
Audit Date:06.11.2019 Process :Moulding/Paintshop & Assembly CONCLUSION
38
2
6
0
Auditor:Mr.Nithyanandhan/Mrs.Aparna Auditee:Mr.Ashok/Mr.Ragu/Mr.Selva
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI
5.2 1
5.2
√ EHS Policy Displayed at shop floor
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Roles,responsibility and authority for Moulding
5.3 2
5.3
documented?
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of CEA Table & HIRA table evidenced for Moulding,
6.1.2 3
cycle perspective?
6,1,2
√ HMI assembly & Q5 assembly

6.1.2 4 6,1,2

developed an appropriate plan to address the significant aspects, classified as High,Medium and low risks ;
compliance obligations and risks and opportunities - considering Does the methodology provide for the classification of risks and Significant aspects -Emission fro paint
6.1.2 5
6,1,2
√ booth;Energy consumption, paint waste, waste
requirements? water from paint booth ; High Risk - Electric
shock,Manual handling of trolly etc


7 6,1,2
√ Complaince

Complaince - Waste water from paint booth,

6.1.3 10
6.1.3 Are requirements other than legal requirements identified? √ Emission from paint booth , VOC emission in Glue
coating etc
6.1.3 11
organisation?
6.1.3
√ Compliance
Page 22 of 44
38
2
6
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

6.2 12
6.2
relevant function?
Ltrs/Kg ;Waste - 76 % volisation

1)50 % recovery of spent solvent ;
Are H&S objectives established and they consistent with the 2) 15 % reduction in electricity in 1800 T IM ;
√ 3)10 % reduction in paint consumption per cycle
4)Zero recordable case due to slips /Falls in
cooling tower
6.2 14
documented?
6.2
established?
6.2 15
intervals?
6.2
documented?
6.2 16
circumstances?
6.2

17 6.2

7.4 21
towards EMS
7.4
towards OHSAS
Page 23 of 44
38
2
6
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

√

8.1 23
8.1 Do operational control requirements cover all activities and facilities? √
8.1 24
8.1
√ reports
8.1 25
8.1
Plastic lumbs are not stored in identified bins in

8.1 26 Are waste are collected effectively and identified Are waste are collected effectively and identified √ 1800T & 550 T Injection moulding machine
Oil Leakage observed in 2700 T Injection

8.1 27 Oil /water leakages observed Slippery fllor /wet floor condition √ moulding machine
Cut resistance gloves not used by employee at

8.1 28 All employees wearing required PPE All employees wearing required PPE √ Mobils IP line while handling knife
29 System to prevent from slips/fall √ Working flatforms provided for all heigh works
8.1 30 General cleaniness of shop floor General cleaniness of shop floor √ Dust accumulated in Re-grinding machine panel
31 Ergonomic risks & mitigations √

Is adequate Secondary containment system available for all liquid Secondary containment system not available in
8.1 32
storages
√ paint storage area.
have processes been established, implemented and maintained to Has the Process established, implemented and maintained a Fire protection system in
8.2 33 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential √ On-Site emergency plan avilable Q5 line cab be improved
and documented? accidents that can have an impact(s) and how it will respond to them? with sprinkler system
Page 24 of 44
38
2
6
0
Opportunities for
Improvement
Clause Question
Compliance
Minor N/C
Major N/C
OFI

38 8.2 Does the ERT member identified properly √

9.1 39
9.1.1 regularly monitor and measure the key characteristics of its √ Daily Energy & water consumption reports

40 9.1.1 performance, applicable operational controls and conformity with the √ Daily Energy & water consumption reports

41 9.1.1
√ Compliance
10.2 42
10.2
documented?
√ Compliance

of nonconformities?
√ Compliance
impact?

44 10.2
assessment?
√ Compliance
Page 25 of 44
Audit Date:Emergency Prepardness,Safety audits,Incident
investigations,participations Process : CONCLUSION
29
0
0
0
Auditor:Mr.Ashok Kumar Auditee:Mr.Venkateswaran
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Process(es) for consultation and participation of workers at all

Safety committee meetings -Sept 2019 , Canteen
applicable levels and functions, and, where they exist, workers’
1 5.4
representatives, in the development, planning, implementation,
√ committee - April 2019 and trainings, Safety day
celebrations, Suggestion system etc.
performance evaluation and actions for
Safety committee meetings -Sept 2019 , Canteen

mechanisms, time, training and resources necessary for consultation
2 5.4
and participation
√ committee - April 2019 and trainings, Safety day
celebrations, Suggestion system etc.
provide timely access to clear, understandable and relevant

3 5.4
information about the OH&S
√ Suggestion system
provision of training at no cost to workers and the provision of

All training are provided at no cost and working
4 5.4 training during working hours, where possible, can remove significant √ hours only
barriers to worker participation.
have processes been established, implemented and maintained to

Does the Process respond to actual emergency situations and
8.2 5 prepare for and respond to potential emergency situations identified 8.2
accidents, and prevent or mitigate associated adverse risks?
√ On-Site Emergency planl; Rev dated 10/04/2019
and documented?
Does the Process periodically review and, where necessary, revise its
Reviewed once in year and last update in April
6 8.2 emergency preparedness and response procedures, in particular, after √ 2019
the occurrence of accidents or emergency situations?
Does the Process also periodically test such procedures where

7 8.2
practicable?
√ Mock drill report dated 20/08/2019
In developing its procedures, has the Process considered the nature

of on-site hazards, e.g., flammable liquids, storage tanks and
8 8.2
compressed gases, and measures to be taken in the event of spillages
√ Compliance
or accidental releases?
In developing its procedures, has the Process considered the most

9 8.2
likely type and scale of an emergency situation or accident?
√ Compliance

10 8.2 appropriate method(s) for responding to an accident or emergency √ On-Site Emergency planl; Rev dated 10/04/2019
situation?
In developing its procedures, has the Process considered internal and

11 8.2
external communication plans?
In developing its procedures, has the Process considered the action(s)

12 8.2
required to minimize environmental damage?
Page 26 of 44
29
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
In developing its procedures, has the Process considered the

13 8.2 mitigation and response action(s) to be taken for different types of √ On-Site Emergency planl; Rev dated 10/04/2019
accident or emergency situation?
In developing its procedures, has the Process considered the need for
14 8.2 a process for post-accident evaluation to establish and implement √ On-Site Emergency planl; Rev dated 10/04/2019
corrective and preventive actions?
In developing its procedures, has the Process considered the periodic

15 8.2
testing of emergency response procedure(s)?
In developing its procedures, has the Process considered the training

16 8.2
of emergency response personnel?
√ ERT training dated 20/08/2019
In developing its procedures, has the Process considered a list of key

17 8.2 personnel and aid agencies, including contact details (e.g. fire √ On-Site Emergency planl; Rev dated 10/04/2019
department, spillage clean-up services)?
In developing its procedures, has the Process considered evacuation

18 8.2
routes and assembly points?
√ Markeing done for all exist and walkways
In developing its procedures, has the Process considered the potential

19 8.2 for an emergency situation(s) or accident(s) at a nearby facility (e.g. √ On-Site Emergency planl; Rev dated 10/04/2019
plant, road, railway line)?

20 8.2
possibility of mutual assistance from neighbouring Processs?
9.2 21 9.2 Does EHS walks planned and scheduled as per procedure? √ Monthly scheduled
Does EHS walks conducted as per defined frequency by qualified

9.2 22 9.2
auditors & all findings are closed effectively with corrective action.
√ EHS walks dated Oct 10 , 2019
23 9.2 Does Safety audit conducted as per plan √ Monthly scheduled
Does EHS walks conducted as per defined frequency by qualified

24 9.2
√ EHS walks dated Oct 10 , 2019
10.2 25
10.2
documented?
√ Compliance
Page 27 of 44
29
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI

of nonconformities?
√ Compliance
impact?
Are proposed corrective and preventive actions are reviewed through

27 10.2
risk assessment?
√ Compliance
Page 28 of 44
Audit Date:07.11.2019 Process :Compliance Obligations CONCLUSION
8
0
0
0
Auditor:Mr.Ahok Kumar Auditee:Mr.Venkateshwaran
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Does your SMRC determine which of intersted parties requirements Does your SMRC determine which of intersted parties requirements
are to be managed as compliance obligations in order to mitigate are to be managed as compliance obligations in order to mitigate EHS Legal bodies - Meeting the regulations and
4.2 1
adverse risk or exploit beneficial opportunities that can be integrated
4.2
adverse risk or exploit beneficial opportunities that can be integrated
√ ammendments
in the operational planning of the EMS? in the operational planning of the OHSMS?
Complaince Obligations register evidenced Eg:

6.1.3 2
6.1.3 Are requirements other than legal requirements identified? √ Air Consent - 1808212400966; Valid 31/03/2020
Factory Licence:KM9618/15 Valid Dec 2019
6.1.3 3
organisation?
6.1.3
√ Monthly reviewed and reported to corporate
accounted for these obligations when establishing, implementing, Is relevant information on legal and other requirements is Mothly meetings & Training evienced - Eg:
6.1.3 4
maintaining and continually improving its EMS?
6.1.3
communicated to employees and other interested parties?
√ Hazardous waste management- Aug 2019

9.1.2 5 DOES THE PROCESS INCLUDE 9.1.2 periodically evaluate how well your Process complies with legal √ Monthly reviewed and reported to corporate
requirements?
Are there records of the results of your Process's legal compliance

9.1.2 6 Determination of frequency of evaluation of compliance 9.1.2
evaluations?

9.1.2 7 Evaluation of compliance and undertaking of action if needed? 9.1.2 periodically evaluate how well your Process complies with non-legal √ Monthly reviewed and reported to corporate
(other) requirements?
Are there records of the results of your Process's non-legal (other)

9.1.2 8 Maintenance of knowledge and understanding of its status? 9.1.2
compliance evaluations?
Page 29 of 44
Audit Date:08.11.2019 Process :Doc Control , IA & MRM CONCLUSION
28
0
0
0
Auditor:MrRagunanthan Auditee:Mr.Venkateshwaran
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Has the Process determined defined and documented the scope of its
4.3 1 Does the scope of EMS defined clearly and documented 4.3
H&S management system?
√
Does the Organisation estabilished, implemented and maintained

4.4 2
EMS
4.3 Has the Process established, documented, implemented and
maintained and continually improved an H&S management system in
√
accordance with the requirements?
Is the health and safety policy documented and authorized by top

5.2 3 EMS Policy 5.2
management?
√ Corporate EHS Policy evidenced
appropriate – considering knowledge gained from Clause 4

Is the policy is appropriate to the nature and the scale of the Process’s
5.2 4 requirements, as well as the impacts of its activities, products and 5.2
health and safety risks?
√ Compliance
services?
strategic – providing a framework for setting environmental

5.2 5
objectives?
5.2 Does the policy include a commitment to continual improvement? √ Compliance
proactive – by including a commitment to the protection of the Does the policy include a commitment to comply with applicable
5.2 6
environment?
5.2
legislation and other requirements to which the Process subscribes?
√ Compliance
ensures fulfillment of your compliance obligations and to continually

5.2 7
improve your EMS?
5.2 Is the policy implemented? √ Compliance
5.2 8
5.2
√ Display boards available at various places
5.2 9 Is the policy made available to all interested parties? 5.2 Is the policy made available to all interested parties? √ Communicated to suppliers via E-mail
5.2 10 Is the policy periodically reviewed for suitability? 5.2 Is the policy periodically reviewed for suitability? √ Reviewed in each MRM
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Responsibility & Authority for Muolding Engineer
5.3 11
5.3
documented?
√ evidenced.
7.5 12 Does the process have clear document control procedures 4.4.5 Does the process have clear document control procedures √ Evidenced
Does the process have proper Document identification,revision Does the process have proper Document identification,revision
7.5 13
control,status,storage, retrival system in place
7.5
control,status,storage, retrival system in place
√ Evidenced
Are documents are periodically reviewed, revised as necessary and Are documents are periodically reviewed, revised as necessary and
7.5 14
approved by authorized personnel?
7.5
approved by authorized personnel?
√ Evidenced
Page 30 of 44
28
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
7.5 15 Are current versions available at all relevant locations? 7.5 Are current versions available at all relevant locations? √ Evidenced
Are obsolete docs protected against unintended use; retained ones Are obsolete docs protected against unintended use; retained ones
7.5 16
identified?
7.5
identified?
√ Evidenced

√ Evidenced

8.1 18
8.1 Do operational control requirements cover all activities and facilities? √ Evidenced
8.1 19
8.1
√
8.2 20 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential √ ERP available

21 9.1.1
√
9.2 22 Does internal audit planned and scheduled as per procedure? 9.2 Does internal audit planned and scheduled as per procedure? √
Does internal audit conducted as per defined frequency by qualified Does internal audit conducted as per defined frequency by qualified
9.2 23
9.2
√ Yearly once - Nov 2019 schedule evidenced
Has top management reviewed the Process’s health and safety

Has a management review been conducted and recorded covering all
9.3 24
the requirements of the new ISO 14001:2015 standard?
9.3 management system at planned intervals, to ensure its continuing √ Nov 2019 audit schedule evidenced.
suitability, adequacy, and effectiveness?
Monthly MRM conducted and annual MRM as

10.2 25
10.2
documented?
√ per EHS Agenda conducted - MRM for 2019
planned in Nov 2019

of nonconformities?
√ EHS wals reports & action plans
impact?
10.2 27 Are corrective actions are followed up for effective implementation? 10.2 Are corrective actions are followed up for effective implementation? √ Compliance
Page 31 of 44
28
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
10.3 28 effectiveness of the environmental management system to enhance 10.3 effectiveness of the Health & Safety management system to enhance √ Monthly MRM EHS slides
Page 32 of 44
Audit Date:06.11.2019 Process :Top Management CONCLUSION
37
0
0
0
Auditor:Mr.Sundar rajan Auditee:Mr.Raghunathan
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Has your SMRC determined external and internal issues relevant to its Has your SMRC determined external and internal issues relevant to its Identified idental & external issues ; Eg: External
4.1 1 purpose that could affect its ability to achieve the intended result(s) 4.1 purpose that could affect its ability to achieve the intended result(s) √ issues -Increse in price of resources; Mew
of its EMS? of its OHSMS? technology; Suppleir inability etc.
Does the process identified the interested parties that are relevant to Does the process identified the interested parties that are relevant to Intersted aprties identified - Customers, Business
4.2 2
the EMS?
4.2
the OHSMS?
√ suppliers,,Employees etc
Needs & Expeactation determined - Custoemr:

Does the organisation determine the requirements of these interested Does the organisation determine the requirements of these interested
4.2 3
parties that are relevant to the EMS,
4.2
parties that are relevant to the OHSMS,
√ Incresed life time of product, recyclability,
degreaes packing etc.
which may include regulatory requirements, local, regional or global which may include regulatory requirements, local, regional or global
4.2 4 environmental conditions that can affect, or be affected by, your 4.2 environmental conditions that can affect, or be affected by, your √
SMRC? SMRC?
EHS Legal bodies - Meeting the regulations and
Does your SMRC determine which of those requirements are to be Does your SMRC determine which of those requirements are to be ammendments
managed as compliance obligations in order to mitigate adverse risk managed as compliance obligations in order to mitigate adverse risk
4.2 5
or exploit beneficial opportunities that can be integrated in the
4.2
or exploit beneficial opportunities that can be integrated in the
√
operational planning of the EMS? operational planning of the OHSMS?
Does the Organisation estabilished, implemented and maintained Has the Process established, documented, implemented and
4.4 8 4.3
EMS maintained and continually improved an H&S management system in
Has Top Management taken accountability for the effectiveness of Has Top Management taken accountability for the effectiveness of
5.1 6
the EMS?
5.1
the OHSMS?
√ Compliance
5.1 7 established the policy and objective in line with strategic direction? 5.1 established the policy and objective in line with strategic direction? √ Corporate EHS Policy evidenced
ensured the EMS processes have been aligned with the business ensured the OHSMS processes have been aligned with the business
5.1 8
objectives?
5.1
objectives?
√ Process Mapping evidenced
Resources are discussed in monthly MRM &

5.1 9 ensured allocation of adequate resources? 5.1 ensured allocation of adequate resources? √ provided. Eg: Thermal imaging camera
directed and supported persons who contribute to the effectiveness directed and supported persons who contribute to the effectiveness Regular monthly meetings conducted with
5.1 10
of the environmental management system?
5.1
of the OHSMS management system?
√ Mangement
supported relevant management roles to demonstrate their supported relevant management roles to demonstrate their
5.1 11
leadership as it applies to their areas of responsibility?
5.1
leadership as it applies to their areas of responsibility?
√ Compliance
Page 33 of 44
37
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI

management?
√ Corporate EHS Policy evidenced

√ Compliance
services?

5.2 14
objectives?
5.2 Does the policy include a commitment to continual improvement? √ Compliance
5.2 15
environment?
5.2
legislation and other requirements to which the Process subscribes?
√ Compliance

5.2 16
improve your EMS?
5.2 Is the policy implemented? √ Compliance
5.2 17
5.2
√ Display boards available at various places
5.2 18 Is the policy made available to all interested parties? 5.2 Is the policy made available to all interested parties? √ Communicated to suppliers via E-mail
5.2 19 Is the policy periodically reviewed for suitability? 5.2 Is the policy periodically reviewed for suitability? √ Reviewed in each MRM
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and Responsibility & Authority for Muolding Engineer
5.3 20
5.3
documented?
√ evidenced.

6.2 21
6.2
relevant function?
Ltrs/Kg ;Waste - 76 % volisation

1)50 % recovery of spent solvent ; 2) 15 %
Are H&S objectives established and they consistent with the reduction in electricity in 1800 T IM ; 3)10 %
√ reduction in paint consumption per cycle 4)Zero
recordable case due to slips /Falls in cooling
tower
6.2 23
documented?
6.2
established?
Page 34 of 44
37
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
6.2 24
intervals?
6.2
documented?
6.2 25
circumstances?
6.2

26 6.2
7,1 27 Have sufficient and adequate resources been allocated to fulfil 7.1 Have sufficient and adequate resources been allocated to fulfil √ EHS Operational master plan - 2019
The needs of the environmental management system considering The needs of the Safety management system considering human
28 human resources, natural resources, infrastructure, technology and 7.2 resources, natural resources, infrastructure, technology and financial √ EHS Operational master plan - 2019
financial requirements for the process? requirements for the process?
have top management allocated resources needed and reviewed for have top management allocated resources needed and reviewed for EHS Operational master plan - 2019 & reviewed
7.1 29
adequacy?
7.1
adequacy?
√ in Monthly MRM
7.2 44 7.2
implementation of EMS fuillfilled ( Training needs, plan, achievement and effectiveness)

7.3 46 aware of its policy, aspects and impacts, their contribution to the EMS 7.3 activities, benefits of improved personal performance, and
7.2 47 7.3
responsibility, ability, literacy and risk? responsibility, ability, literacy and risk?
7.2 48 7.2
competence needs? competence needs?
7.2 49 Are training records are maintained? 7.2 Are training records are maintained?
Page 35 of 44
37
0
0
0
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Does the process have communication system (Internal & External) Does the process have communication system (Internal & External) Intenal mails; corporate mails,communication
7.4 30
towards EMS
7.4
towards OHSAS
√ from TNPCB
8.1 58 8.1
defined in significant aspects report defined in risk report

81 9.1.1
9.2 31 Does internal audit planned and scheduled as per procedure? 9.2 Does internal audit planned and scheduled as per procedure? √ Yearly once - Nov 2019 schedule evidenced
9.2 32
9.2
√ Nov 2019 audit schedule evidenced.
Has top management reviewed the Process’s health and safety Monthly MRM conducted and annual MRM as
9.3 33
9.3 management system at planned intervals, to ensure its continuing √ per EHS Agenda conducted - MRM for 2019
suitability, adequacy, and effectiveness? planned in Nov 2019
10.2 34
10.2
documented?

of nonconformities?
impact?
10.3 37 effectiveness of the environmental management system to enhance 10.3 effectiveness of the Health & Safety management system to enhance √ Monthly MRM EHS slides
Page 36 of 44
Audit Date: Process : CONCLUSION
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Has your SMRC determined external and internal issues relevant to its Has your SMRC determined external and internal issues relevant to its
4.1 1 purpose that could affect its ability to achieve the intended result(s) 4.1 purpose that could affect its ability to achieve the intended result(s)
of its EMS? of its OHSMS?
Does your SMRC monitor and review external and internal Does your SMRC monitor and review external and internal
4.1 2 environmental conditions which could affect the SMRC, and which the 4.1 environmental conditions which could affect the SMRC, and which the
SMRC could affect? SMRC could affect?
Does the process identified the interested parties that are relevant to Does the process identified the interested parties that are relevant to
4.2 3 4.2
the EMS? the OHSMS?
Does the organisation determine the requirements of these interested Does the organisation determine the requirements of these interested
4.2 4 4.2
parties that are relevant to the EMS, parties that are relevant to the OHSMS,
which may include regulatory requirements, local, regional or global which may include regulatory requirements, local, regional or global
4.2 5 environmental conditions that can affect, or be affected by, your 4.2 environmental conditions that can affect, or be affected by, your
SMRC? SMRC?
Does your SMRC determine which of those requirements are to be Does your SMRC determine which of those requirements are to be
managed as compliance obligations in order to mitigate adverse risk managed as compliance obligations in order to mitigate adverse risk
4.2 6 4.2
or exploit beneficial opportunities that can be integrated in the or exploit beneficial opportunities that can be integrated in the
operational planning of the EMS? operational planning of the OHSMS?
Does the Organisation estabilished, implemented and maintained Has the Process established, documented, implemented and
4.4 8 4.3
EMS maintained and continually improved an H&S management system in
Has Top Management taken accountability for the effectiveness of Has Top Management taken accountability for the effectiveness of
5.1 9 5.1
the EMS? the OHSMS?
5.1 10 established the policy and objective in line with strategic direction? 5.1 established the policy and objective in line with strategic direction?
ensured the EMS processes have been aligned with the business ensured the OHSMS processes have been aligned with the business
5.1 11 5.1
objectives? objectives?
5.1 12 ensured allocation of adequate resources? 5.1 ensured allocation of adequate resources?
Page 37 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
directed and supported persons who contribute to the effectiveness directed and supported persons who contribute to the effectiveness
5.1 13 5.1
of the environmental management system? of the environmental management system?
supported relevant management roles to demonstrate their supported relevant management roles to demonstrate their
5.1 14 5.1
leadership as it applies to their areas of responsibility? leadership as it applies to their areas of responsibility?

management?

services?

5.2 17 5.2 Does the policy include a commitment to continual improvement?
objectives?
5.2 18 5.2
environment? legislation and other requirements to which the Process subscribes?

5.2 19 5.2 Is the policy implemented?
improve your EMS?
5.2 20 5.2
are aware of their EMS obligations? are aware of their H&S obligations?
5.2 21 Is the policy made available to all interested parties? 5.2 Is the policy made available to all interested parties?
5.2 22 Is the policy periodically reviewed for suitability? 5.2 Is the policy periodically reviewed for suitability?
Does the process have clear roles, responsibility and authority for Are roles, responsibilities and authorities are defined and
5.3 23 5.3
personnels to achive effective implementation documented?
DID ASPECTS & Imapcts DETERMINATION INCLUDE consideration of a life Is a procedure for the identification of hazards and assessment of
6.1.2 25 6,1,2
cycle perspective? risks established and is the methodology defined?

6.1.2 26 communicated significant aspects throughout your process ? 6,1,2
Page 38 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI

6.1.2 27 6,1,2
technological options and its financial, operational and business identification of those that are to be eliminated or controlled?
requirements?

28 6,1,2 facility requirements, identification of training needs and

29 6,1,2
30 6,1,2 Does the process link to operational control procedures?


6.1.3 32 6.1.3 Are requirements other than legal requirements identified?
6.1.3 33 6.1.3
organisation? requirements kept up-to-date?
accounted for these obligations when establishing, implementing, Is relevant information on legal and other requirements is
6.1.3 34 6.1.3
maintaining and continually improving its EMS? communicated to employees and other interested parties?
6.2 35 6.2
significant enviromental impacts? relevant function?

6.2 37 6.2
documented? established?
Page 39 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
6.2 38 6.2
intervals? documented?
6.2 39 6.2
circumstances? regular and planned intervals?

40 6.2
7,1 41 Have sufficient and adequate resources been allocated to fulfil 7.1 Have sufficient and adequate resources been allocated to fulfil
The needs of the environmental management system considering The needs of the Safety management system considering human
42 human resources, natural resources, infrastructure, technology and 7.2 resources, natural resources, infrastructure, technology and financial
financial requirements for the process? requirements for the process?
have top management allocated resources needed and reviewed for have top management allocated resources needed and reviewed for
7.1 43 7.1
adequacy? adequacy?
7.2 44 7.2
implementation of EMS fuillfilled ( Training needs, plan, achievement and effectiveness)

7.3 46 aware of its policy, aspects and impacts, their contribution to the EMS 7.3 activities, benefits of improved personal performance, and
7.2 47 7.3
responsibility, ability, literacy and risk? responsibility, ability, literacy and risk?
7.2 48 7.2
competence needs? competence needs?
7.2 49 Are training records are maintained? 7.2 Are training records are maintained?
Page 40 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
7.4 50 7.4
towards EMS towards OHSAS
7.5 51 Does the process have clear document control procedures 4.4.5 Does the process have clear document control procedures
Does the process have proper Document identification,revision Does the process have proper Document identification,revision
7.5 52 7.5
control,status,storage, retrival system in place control,status,storage, retrival system in place
Are documents are periodically reviewed, revised as necessary and Are documents are periodically reviewed, revised as necessary and
7.5 53 7.5
approved by authorized personnel? approved by authorized personnel?
7.5 54 Are current versions available at all relevant locations? 7.5 Are current versions available at all relevant locations?
Are obsolete docs protected against unintended use; retained ones Are obsolete docs protected against unintended use; retained ones
7.5 55 7.5
identified? identified?


8.1 57 8.1 Do operational control requirements cover all activities and facilities?
8.1 58 8.1
defined in significant aspects report defined in risk report
8.1 59 8.1
deviations from the policy and the objectives? deviations from the policy and the objectives?
8.1 60 Are operating criteria stipulated in the procedures? 8.1 Are operating criteria stipulated in the procedures?
Are the product life cycle assessment carried out in

8.1 61
Design,manufacturing,transport,use and disposal
8.2 62 prepare for and respond to potential emergency situations identified 8.2 procedure(s) to identify potential emergency situations and potential
Page 41 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
Does the Process respond to actual emergency situations and

63 8.2
accidents, and prevent or mitigate associated adverse risks?
Does the Process periodically review and, where necessary, revise its
64 8.2 emergency preparedness and response procedures, in particular, after
the occurrence of accidents or emergency situations?
Does the Process also periodically test such procedures where

65 8.2
practicable?
In developing its procedures, has the Process considered the nature

of on-site hazards, e.g., flammable liquids, storage tanks and
66 8.2
compressed gases, and measures to be taken in the event of spillages
or accidental releases?

67 8.2
likely type and scale of an emergency situation or accident?

68 8.2 appropriate method(s) for responding to an accident or emergency
situation?
In developing its procedures, has the Process considered internal and

69 8.2
external communication plans?
In developing its procedures, has the Process considered the action(s)

70 8.2
required to minimize environmental damage?

71 8.2 mitigation and response action(s) to be taken for different types of
accident or emergency situation?
In developing its procedures, has the Process considered the need for
72 8.2 a process for post-accident evaluation to establish and implement
corrective and preventive actions?
In developing its procedures, has the Process considered the periodic

73 8.2
testing of emergency response procedure(s)?
In developing its procedures, has the Process considered the training

74 8.2
of emergency response personnel?
In developing its procedures, has the Process considered a list of key

75 8.2 personnel and aid agencies, including contact details (e.g. fire
department, spillage clean-up services)?
Page 42 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
In developing its procedures, has the Process considered evacuation

76 8.2
routes and assembly points?
In developing its procedures, has the Process considered the potential

77 8.2 for an emergency situation(s) or accident(s) at a nearby facility (e.g.
plant, road, railway line)?

78 8.2
possibility of mutual assistance from neighbouring Processs?

9.1 79 9.1.1 regularly monitor and measure the key characteristics of its
80 9.1.1 performance, applicable operational controls and conformity with the

81 9.1.1

9.1.2 82 DOES THE PROCESS INCLUDE 9.1.2 periodically evaluate how well your Process complies with legal
requirements?
Are there records of the results of your Process's legal compliance

9.1.2 83 Determination of frequency of evaluation of compliance 9.1.2
evaluations?

9.1.2 84 Evaluation of compliance and undertaking of action if needed? 9.1.2 periodically evaluate how well your Process complies with non-legal
(other) requirements?
Are there records of the results of your Process's non-legal (other)

9.1.2 85 Maintenance of knowledge and understanding of its status? 9.1.2
compliance evaluations?
9.2 86 Does internal audit planned and scheduled as per procedure? 9.2 Does internal audit planned and scheduled as per procedure?
9.2 87 9.2
auditors & all findings are closed effectively with corrective action. auditors & all findings are closed effectively with corrective action.
Has top management reviewed the Process’s health and safety

9.3 88 9.3 management system at planned intervals, to ensure its continuing
suitability, adequacy, and effectiveness?
Page 43 of 44
0
0
0
0
Auditor: Auditee:
Opportunities for
Improvement
Compliance
Clause Question
Minor N/C
Major N/C
OFI
10.2 89 10.2
control and correctly deal with the consequences? documented?

of nonconformities?
impact?
Are proposed corrective and preventive actions are reviewed through

91 10.2
risk assessment?
92 10.2 Are corrective actions are followed up for effective implementation?
10.3 93 effectiveness of the environmental management system to enhance 10.3 effectiveness of the Health & Safety management system to enhance
Page 44 of 44

EMS & OHSMS Internal Audit Checklist

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EMS (ISO 14001:2015) & OHSMS(ISO 45001:2018) Internal audit checklist

Audit Date:08.11.2019 Process :Stores & Waste Management CONCLUSION

Do risk assessment procedures cover routine-non routine activities;

Does the methodology provide input into the determination of the

Do risk assessment results demonstrate that all the activities and

8 6,1,2 Does the process link to operational control procedures? √ Complaince

Are results of hazard identification and risk assessments considered

determined, and have access to, compliance obligations related to its

EHS Management programes are evidenced Eg:

Are health and safety management programmes are amended to

Are employees are aware of the importance of the requirements of

have you determined the controls to ensure your significant

Have you determined the controls to ensure your significant

Wastesa are stored separtely and identified

29 System to prevent from slips/fall √ Compliance

31 Ergonomic risks & mitigations √ compliance

8.1 33 Are waste are disposed as per complaince requirements √ Compliance

35 8.2 Does all walks are clearly maked √ Compliance

36 8.2 Does adequate fire fighting equipments avilable √ Compliance

39 8.2 Does the ERT member identified properly √ Compliance

Has the process established and implemented a procedure to

Does the procedure include documenting information to monitor

Does the process ensure that calibrated or verified monitoring and

Are corrective actions appropriate to the significance of the effects of

Aspects - Classified as signinicant and HIRA

have you determined the controls to ensure your significant

11 8.1 System to prevent from slips/fall √ Compliance

13 8.1 Ergonomic risks & mitigations √ Compliance

15 8.2 Does all walks are clearly maked √ Compliance

16 8.2 Does adequate fire fighting equipments avilable √ Compliance

19 8.2 Does the ERT member identified properly √ Compliance

Are corrective actions appropriate to the significance of the effects of

Aspects - Classified as signinicant and HIRA

Are results of hazard identification and risk assessments considered

Are employees are aware of the importance of the requirements of

16/4/2019 - Thermography training ; 20/8/2019 -

have you determined the controls to ensure your significant

19 8.1 System to prevent from slips/fall √ Compliance

21 8.1 Ergonomic risks & mitigations √ Compliance

Is adequate Secondary containment system available for all liquid

24 8.2 Does all walks are clearly maked √ Compliance

25 8.2 Does adequate fire fighting equipments avilable √ Compliance

28 8.2 Does the ERT member identified properly √ Compliance

Are corrective actions appropriate to the significance of the effects of

Do risk assessment procedures cover routine-non routine activities;

Does the methodology provide input into the determination of the

Do risk assessment results demonstrate that all the activities and

8 6,1,2 Does the process link to operational control procedures? √ Complaince

Are results of hazard identification and risk assessments considered

Does the process defined a plan to achieve EMS objectives (What is

Are health and safety management programmes are amended to

Are employees are aware of the importance of the requirements of

have you determined the controls to ensure your significant

Have you determined the controls to ensure your significant

29 System to prevent from slips/fall √ Complaince

8.1 30 Ergonomic hazards elimination √ EOP provided for handling

32 8.2 Does adequate fire fighting equipments avilable √ Compliance

Materials stored infront Emergency door exist

35 8.2 Does the ERT member identified properly √ Complaince

Are corrective actions appropriate to the significance of the effects of

Do risk assessment procedures cover routine-non routine activities;

Aspects - Classified as signinicant and HIRA

Does the methodology provide input into the determination of the