Document Title:

Factory Name/Logo
Internal Audit Tool
Document Number: Date Compiled: Latest Revision Date:
4.5.5/02/01 3/9/2013 3/9/2013
AUDIT PROTOCOL

Part -1 OHSAS Internal audit summary

Part -2 Social compliance internal audit summary

Part -3 Environmental management system internal audit summary

 Document Type:
Working Document
Rev No: Sheets:
1 1 of 2

mmary

it summary

ernal audit summary

 Document Title: Document Type:
Factory Name/Logo
Internal Audit Tool Working Document
Document Number: Date Compiled: Latest Revision Date: Rev No: Sheets:
4.5.5/02/01 3/9/2013 3/9/2013 1 1 of 2

Audit summary: Occupational Health and Safety

Organisation: Date of Audit:

Department Being
Last Audit Date:
Audited:

Audit Team Members:

Department Auditees:

Lead Auditor: Signature:

Clause Description Max Score Obt. Score % Obt. Score

4.2 Policy 22 0
0%
4.3 Planning 48 0
0%
4.4 Implementation and operation 104 0
0%
4.5 Checking 56 0
0%
4.6 Management review 22 0
0%

GRAND TOTAL 252 0

RATING

Best Achievement Over 95% Total Compliance

Good Performance Between 80 - 95% Total Compliance
KEY: Poor Performance Between 70 - 80% Total Compliance
Unacceptable Performance Less that 70% Total Compliance

AUDITORS COMMENTS AUDITORS RECOMMENDATIONS

OHSAS 18001
No.
Clause

OHS Policy
1

Clause 4.2 6

10

11

Page 4
 REQUIREMENTS

OHS Policy
Does the factory has an OHS policy?

Is the policy appropriate to the nature and scale of the

organizational OHS risk?
Is the policy included a commitment to continual
improvement?
Is the policy include commitment to prevent injury and ill
health?
is the policy include commitment to comply with applicable
legal and other requirements?
Is the policy provides framework for setting and reviewing
OHS objective?

Is the policy documented, implemented and maintained?

Is the policy communicated to all employee to gain

awarenss on OHS obligations?
Is the policy communicated to all interested parties?

Is the OHS policy displayed at common place?

Is the policy reviewed periodically to ensure that it

remains relevant and appropriate to the organization?

Page 5
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 22

Page 6
OHSAS 18001
No.
Clause

Hazard Identification and Risk Asses

6
Clause 4.3.1
7

10

11

12

Legal and other requirements

Page 7
 OHSAS 18001
No.
Clause

Clause 4.3.2 3

Objective and program

Clause 4.3.3 1

Page 8
OHSAS 18001
No.
Clause

Page 9
 REQUIREMENTS

Hazard Identification and Risk Assessment

Does the organization prepared a procedure for hazard
identification, risk assessment and determination of
necessary control?
Has risk assessment been conducted for all routine and
non routine activities?
Has risk assessment been conducted for all activities in
the workplace including contractors and visitors?
Has risk assessment been conducted for human
behaviour, capabilities and human factors?
Has risk assessment been conducted for hazards
originating ourside the workplace that has possibilities to
harm staff under the control of the organization?
Has risk assessment been conducted for all hazards
created in the workplace?

Has risk assessment been conducted for all infrastructure,

equipment and materials of the workplace?

Has risk assessment been conducted for any changes or

modification of organaization, activities or materials (if
any)?

Are employee involved in the risk assessment process?

Are there any training recorded for HIRA?

Are risk control implemented according to the hierarchy of

control?

Are all control action suggested from risk assessment

monitored for their timely completion and effectiveness?
Legal and other requirements
Does the organization prepared a procedure for identifing
and accessing the legal and other requirements
applicable to it?

Page 10
 REQUIREMENTS

Does the organization developed a legal and other

requirement register?

Is the legal register easily accessible to everybody?

Are the employee of the organization aware about the

legal requirements?

Does the organization verify legal requirements are

implemented? Ensure corrective actions have been taken
for the gaps and records are well maintained?
Objective and program
Does the organization set annual health and safety
objective?

Have the objectives been developed at each relevant

function and level within the organization?

Are objectives specific and measurable wherever

practicable?

Has the organization taken into consideration when

establishing (and reviewing) its objectives:

preventig injury and ill health

legal and other requirements,
technological options, financial, operational and business
requirements and the views of interested parties?

Does the organization developed a plan (program) to

implement its OHS objectives?

Have responsibilities been allocated to individuals with a

time frame to implement decided objectives?

Does the organization have a process to review and

measure the progress of its objective?

Page 11
REQUIREMENTS

Page 12
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

sk Assessment

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

rements

0 2

Page 13
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

gram

0 2

0 2

0 2

0 2

0 2

0 2

0 2

Page 14
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 48

Page 15
OHSAS 18001
No.
Clause

OHS implementation team and respo

Clause 4.4.1

Page 16
OHSAS 18001
No.
Clause

Clause 4.4.2

Communication consultation and part

Clause 4.4.3.1

Page 17
 OHSAS 18001
No.
Clause

Clause 4.4.3.1
3

Clause 4.4.3.2 1

Documentation and document co

Page 18
OHSAS 18001
No.
Clause

3
Clause 4.4.4

9
Clause 4.4.5
10

11

12

Page 19
 OHSAS 18001
No.
Clause

13

Operational control

4.4.6
3

Emergency preparedness and resp

4.4.7 1

Page 20
OHSAS 18001
No.
Clause

Page 21
 REQUIREMENTS

OHS implementation team and responsibility

Does the organization appointed a member of top
management as MR (management responsible) to
implement the OHS management system?
Does the organization defined role responsibility and
authority of its selected MR?

Does the organization set a OHS management team

(example, OHS manager, OHS representative, health and
safety officer, first aider, fire fighters emergency
coordinator, internal auditor, incident investigator, risk
assessor, and other necessary staff etc.) with specific
role responsibility and authority?

Are the role and responsibilities of OHS management

team documented (example, appointment letter and job
description) and communicated ?

Does the top management show commitment by providing

necessary resources to run the OHS management
system?

Does the organization introduced the MR to all person

working under the premises?
2
Does the organization prepared a procedure for
competence training and awareness?

Does the training procedure indicates different levels of

responsibility, ability, language skill and literacy?

Does the procedure developed to aware of all employee

on
a) actual and potential OHS risk and
b) consequences of their works, behaviour and
c) OHS bebefits of improved personal performance?

Page 22
 REQUIREMENTS

Does the procedure developed to aware of all employee

on their
a) role and responsibilites,
b) importance of following OHS policies and procedures,
c) requirements of OHS management system,
d) emergency preparedness and response requirements?

Does the procedure developed to aware of all employee

on potential consequences of deviating from OHS
procedures?

Does the organization identify training needs associated

with it's OHS risk and OHS management system?

Does the organization provides training to reduce OHS

risk and increase efficiencies of it's management system?

Does the organization perform competency assessment

of its employee in terms of education, training,
experiences and keep record of it?

Does the organization conduct evaluation of the training

and keep associated records?

Communication consultation and participation

Does the organization developed a procedure to

communicate it's OHS hazards and management system
related issues to various levels and functions of internal
and external parties?

Does the procesure include communication methods with

contractors and other visitors in the workplace?

Page 23
 REQUIREMENTS

Does the procedure include methods of receiving,

documenting and responding to relevant communications
from external parties?

Are the arrangement on communicating health and safety

information includes,
a) Hazards and risks to everybody
b) Safety alerts and bulletines
c) Changes to the opeating procedure

Does the organization developed a procedure on

participation and consultation on OHS issues?

Does the procedure includes methods of workers

participation on hazard identification, risk assessment and
risk control?

Does the procedure include methods of appropriate

involvement of workers in the incident investigation?

Does the procedure include methods of worker's

involvement in the development and review of OHS
policies and objectives?

Does the procedure include methods of worker's

consultation if they face any challenge that affect OHS?

Does the procedure include methods of worker's

representation on OHS matters?

Does the organization aware all of it's workers on

participation and consultation process and who is their
representative on OHS issues?

Does the organization consult with the contractors if there

is any changes that affect their OHS?

Does the organization consult with external interested

parties about OHS matters?

Documentation and document control

Page 24
 REQUIREMENTS

Does the organization developed a OHS manual

describiting it's scope and OHS management system?

Does the organization prepared it's OHS policy and

objective?

Does the organization developed all required procedures

for the OHS management system and their interaction
and reference to related documents?

Does the organization prepared all required forms and

checklists to keep record required by the OHSAS
standard?

Does the organization prepared necessary documents

and checklist for OHS planning, operation and control
process related to it's OHS risk management?

Does the organization developed a procedure on control

of documents using for OHS management system?

Are all documents approve before use?

Are the documents reviwed periodically to update as

necessary and re approved before use?

Are the changes of documents and current reivision status

identifiable?
Are the updated versions of relavent document availabe
at the points of use?
Are the documents legible and readily identifiable?
Does the organization has a system to identify, distribute
and controlled all external source docuements related with
OHS?

Page 25
 REQUIREMENTS

Does the organization has a system to prevent

unintended use of any obsolate docuemnts and apply
suitable identification to them if they are retained for any
purpose.

Operational control
Does the organization determine operations and activities
related to identified OHS risks where necessary control is
required?

Does the organization implement and maintain suitable

operation control on those operations and activities where
control is required?

Does the organization implement and maintain control

over purchased goods, equipment and services?

Does the organization implement and maintain control

over contractors and other visitors to the workplace?

Does the organization develope procedure for operations

and activities where daviation could lead to violate OHS
policy and procedure?

Emergency preparedness and response

Does the organization developed a procedure on

emergency preparedness and response?

Does the procedure describes how to identify potential

emergency situations?

Does the procedure describes how to respond to the

potential emergency situations?

Does the organization periodically review it's emergency

preparedness and response procedure?

Page 26
 REQUIREMENTS

Does the organization review it's emergency

preparedness and response procedure after periodically
testing and after the occurance of emergency situations?

Does the organization periodically test the procedure to

response emergency situations and involve relevant
interested parties as applicable?

Page 27
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

d responsibility

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

Page 28
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

and participation

0 2

0 2

Page 29
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

ment control

Page 30
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

Page 31
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

rol

0 2

0 2

0 2

0 2

0 2

and response

0 2

0 2

0 2

0 2

Page 32
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 104

Page 33
OHSAS 18001
No.
Clause

Performance measurement and mon

4
Clause 4.5.1

Evauation of compliance

Clause 4.5.2

Incidence investigation, non conformity, corrective act

Clause 4.5.3.1
Page 34
 OHSAS 18001
No.
Clause

Clause 4.5.3.1

Clause 4.5.3.2 1

Control of record

Clause 4.5.4 2

Internal audit

Page 35
OHSAS 18001
No.
Clause

Clause 4.5.5 4

Page 36
 REQUIREMENTS

Performance measurement and monitoring

Does the organization developed a procedure to monitor
and measure it's OHS performance?

Does the organization monitor how far it's OHS objectives

are met?
Does the organization monitor the effectiveness of it's
OHS control?

Does the organization conduct proactie measures of

performance that monitor conformance with the OHS
programs, controls and operational criteria?

Does the organization conduct reactive measures of

performance that monitor ill health, incidents and other
historical evidence of OHS performance?

Does the organizatio keep record of data and results of

monitoring and measuring performances?

Does the organization developed a procedure for

calibration equipments required to monitor and measure
it's OHS performance?

Evauation of compliance
Does the organization have a procedure for periodically
evaluating compliance with applicable legal and other
requirements?

Does the organization have the records of the results of

the periodic evaluation?

Incidence investigation, non conformity, corrective action and preventive action

Does the orgazination develop a procedure for record,

investigate and analyse incidences?

Page 37
 REQUIREMENTS

Does the organization conduct incident investigation to

determine underlying OHS deficiencies and other factors
that might cause incidents?

Does the organization conduct incident investigation to

identify corrective action, preventive action and
opportunities for continual improvement?

Does the organization conduct incident investigation in

timely manner and communicate the results?
Does the organization develop a procedure to deal with
actual and potential non conformity (ies) and corrective
and preventive actions?
Does the organization identify all actual non conformities,
determine their cause(s) and take currective action to
avoid their recurrence?

Does the organization identify all potential non

conformities, determin causes and take preventive action
to avoid their occurance?

Does the organization record and communicate the

results of corrective and preventive actions taken?

Does the organization review effectiveness of corrective

and preventive action(s) taken?

Control of record

Does the organization develop a procedure for control of

documents?

Does the procedure include methods of identification,

storage, protection, retrival, retention and disposal of
records?

Are records of the organization legible, identifiable and

taceable?

Internal audit

Page 38
 REQUIREMENTS

Does the organization develop a procedure for internal

audit?

Does the internal audit procedure include, responsibilities,

completencies and requirements for planning and
conducting audits, reporting results and retaining
associated records?

Does the internal audit procedure address, the

determination of audit criteria, scope, frequency and
methods?
Does the organization select auditors and conduct audits
ensuring objectivity and impartiality?
Does the organization have a plan for internal audit?

Does the organization conduct internal audit to determine

whether the OHS management system,
A) conforms with the OHSAS standard
B) is properly implemented and maintained
C) meeting OHS policy and objective

Does the organization provide information of the ausit

result to the management for action?

Page 39
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

nd monitoring

0 2

0 2

0 2

0 2

0 2

0 2

0 2

iance

0 2

0 2

tive action and preventive action

0 2

Page 40
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

Page 41
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 56

Page 42
OHSAS 18001
No.
Clause

Management review

Clause 4.6 6

10

11

Page 43
 REQUIREMENTS

Management review
Does the organization conduct management review at
planned interval to ensure it's suitability, adequacy and
effectiveness?

Does the management review include review of internal

audit and evaluation of compliance with legal and other
requirements?

Does the management review include review results of

participation and consultations?
Does the management review include communication and
complains from external parties?
Does the management review include OHS performance
of the organization?
Does the management review include the extent which
objective have been met?
Does the management review include, status of incident
investigation, corrective and preventive actions?

Does the management review include, follow up action

from previous management review?
Does the management review include, reviewing any
changed circumstances in equipment, design,
management or legal issues?

Does the management review include, recommendation

for improvement?

Dose the organization document and communicate the

management review result?

Page 44
 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

ew

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 22

Page 45
 Document Title:
Factory Name/Logo
Internal Audit Tool
Document Number: Date Compiled: Latest Revision Date:
4.5.5/02/01 3/9/2013 3/9/2013

Audit summary: Social compliance

Organisation: Date of Audit:

Department Being
Last Audit Date:
Audited:

Audit Team Members:

Department Auditees:

Lead Auditor: Signature:

Clause Description Max Score

4.2 Policy
4.3 Planning
4.4 Implementation and operation
4.5 Checking
4.6 Management review

GRAND TOTAL 0

RATING #DIV/0!

Best Achievement Over 95% Total Compliance

Good Performance Between 80 - 95% Total Compliance
KEY: Poor Performance Between 70 - 80% Total Compliance
Unacceptable Performance Less that 70% Total Compliance

AUDITORS COMMENTS AUDITORS RECOMMENDATIO

 Document Type:
Working Document
Rev No: Sheets:
1 1 of 2

nce

Obt.
% Obt. Score
Score
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!
#DIV/0!

0 #DIV/0!

#DIV/0!

Compliance
5% Total Compliance
0% Total Compliance
Total Compliance

AUDITORS RECOMMENDATIONS
OHSAS 18001
No.
Clause

OHS Policy
1

5
License

10

Child labor 2

Labor hours
Labor hours 2

Time card

Wages

Worker's
document /
personal file
Registers
11
 REQUIREMENTS

OHS Policy
Trade License

Fire License

Boiler License

Import Registration Certificate (IRC)

Export Registration Certificate (ERC)

EPB License

BGMEA/BKMEA/BTMA Membership Certificate

Building Construction Approval

Incorporation Certificate

Factory / Labour License

Complete age certificate with attested photo

No falsification in age certificate

Are there any child workers in the factory (below 14 years)

O.T hours within permissible time limit

7th day rest policy

Register for adolescent worker's working time (if any)

In and Out time

Time Keeper's & Worker's signature

Minimum wages to each grade

Calculation for O.T payment & deduction

Revenue stamp

Pay slips

Payments case

Job application with photo

Age certificate with attested photograph

Interview form

Appointment letter

Yearly increment

Job permanent letter

Approved leave form enclose into the worker's personal file.

Provident Fund (8.33% from basic for BEPZA only)

10% annual increment from gross (For BEPZA only)

Fire drill register with photograph reflecting date & time

Injures monitoring register

Leave register (CL/ML/EL)

Maternity leave register

Broken needle register

Separate register for adolescent worker(if any)

Visitor register

Out pass register with out pass slip

Key In/Out register

Security patrolling register

Welfare Committee Meeting register

Workers awareness buildup register(welfare officer)

First Aid trained register including AIDS awareness

Maintenance register

Safety awareness register (mechanic incharge)

Boiler register

Generator register

Child keeping register

 POINTS TOTAL
AUDITORS COMMENTS / NOTES
ACHIEVED POSSIBLE

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2

0 2
0 2

0 22