RTPS – Internal Audit Checklist, ISO 45001:2018 OHSMS Page 1 of 3
(Against RTPS’s OH&S Manual, document number RTPS/OHSM/01, rev 00, dated 8.11.2018)
Note: While conducting internal audits of OHSMS in RTPS as per the concerned Internal Audit Calendar (RTPS/OH&S/SYS-07/F-01)
and Internal Audit Schedule (RTPS/OH&S/SYS-07/F-02), designated internal auditors may use this checklist by selecting their
relevant checkpoints, and record their audit findings against those checkpoints in their designated Internal Audit Report
(RTPS/OH&S/SYS-07/F-03) by maintaining the serial numbers of checkpoints under this checklist for traceability.
Reference
Sl Concerned
Clause
Checkpoints
No Functions/Departments
4.1 1) External and internal issues Monitored and reviewed in MRMs? ED, LMR, AMR
4.2 2) Needs & expectations of relevant interested parties Monitored and reviewed in MRMs? ED, LMR, AMR
4.3 3) Scope of OHSMS suitable for all functions and activities of RTPS? LMR, AMR
4.4 4) Continued implementation and improvement of ISO 45001 OHSMS evident in RTPS? LMR, AMR &
All Departments
5.1 5) Leadership and commitment of RTPS’s top management demonstrated towards OHSMS through ‘a’ to ‘k’ as listed ED
under para 5.1 of the Manual.
5.2 6) 1. OH&S policy and its vernacular versions displayed at various locations in RTPS? AMR
2. OH&S policy adequately communicated to all? All Departments
3. OH&S policy communicated / made-available to interested parties of RTPS as per arrangements under Purchase, Admin
Communication Matrix (Annex-6, sl-2 & 3)?
5.3 7) OH&S roles/responsibilities/authorities (Annex-5) adequately known and implemented within RTPS? ED, LMR, AMR, All
Any changes in Organisation Structure? Departments
5.4 8) 1. Minutes of Safety Committee. Reviewed and acted upon? EE Safety
Consultation and Participation of Workers in
Hazard identification and risk assessment;
Determining actions to address risks and opportunities; All Departments
Personnel competence requirements, training needs, and evaluating training effectiveness;
Internal and external communication arrangements;
Incidents investigation, nonconformities and corrective actions.
6.1 9) 1. Organization-level risks and opportunities and related action plans determined and recorded under Risk AMR
Treatment Plan as per procedure RTPS/OHS/SYS-01 (System procedure for determination of risks and
opportunities)?
2. Function/department-level risks and opportunities and related action plans determined and recorded under Risk
Treatment Plan as per procedure RTPS/OHS/SYS-01 (System procedure for determination of risks and
opportunities)?
6.1.2 10) HIRA conducted as per procedure RTPS/OHS/SYS-01 (System procedure for OH&S Hazard identification and Risks All Departments
assessment)? HIRA Registers/ Worksheets covering all activities?
STG-2-OFI-19: HIRA not captured for so many activities at Pond Ash Disposal Area.
6.1.3 11) As per procedure RTPS/OHS/SYS-02 (System procedure for OH&S legal requirements and other requirements):
1. Legal Register (RTPS/OHS/LR) maintained, reviewed, updated, and communicated? ED
2. Compliances of legal/other requirements ensured? Compliance Evaluation Record (RTPS/OHS/LR/F-01) LMR
available? AMR
3. STG-2-OFI-01: Appointing of Statutory Personnel?
4. STG-2-OFI-20: Daily disposal of domestic solid waste by separating it as per the legal norms is to be
practiced and records are to be maintained.
5. STG-2-OFI-38: Annual Medical examination of contract work men and KPCL employees to comply KFR
requirements , has to be conducted in full manner.
6. STG-2-OFI-41: Reports of Structural Audit of Buildings and plant fixtures is to be submitted to comply
KFR-1948
6.1.4 12) Action plans to address risks & opportunities available/documented under (1) Risk register, (2) HIRA Register, and All Departments
(3) SOPs/Work-instructions?
STG-2-OFI-26: Noticed that fumes/spill of HCL found on the HCL storage tank.
6.2 13) As per procedure RTPS/OHS/SYS-04 (System procedure for OHS Objectives): All Departments
A. Approved OH&S objectives and action plans for the current year available under RTPS/OHS/SYS-04/F-01
(Objectives and Action Plans – OAP reviewed)
B. Status of monthly progress for Objectives are reviewed and revised, as required?
7.1 14.
Needed resources determined/provided to establish, implement, maintain, and continually improve the OHSMS in ED, LMR
RTPS? Resources needed for the OH&S management system are made available (any requests from HODs All Departments
and any additional resources provided. Also refer OFI of Certification Audit)
Form No. Rev 00: RTPS/OH&S/SYS-07/F-06 Dt. 10-10-2019 Page 1 of 3
RTPS – Internal Audit Checklist, ISO 45001:2018 OHSMS Page 2 of 3
(Against RTPS’s OH&S Manual, document number RTPS/OHSM/01, rev 00, dated 8.11.2018)
Reference Sl Concerned
Clause
Checkpoints
No Functions/Departments
7.2 15. At all the functions/departments: All Departments
A. Skill Matrix available showing current level of staff competence and training topics relevant for the EE Training
department?
B. On-the-job training is provided, their effectiveness evaluated, and records maintained?
C. STG-2-OFI-03: Acquiring the "Boiler Operation Engineer's Examination " by all Engineeers
7.2 16. Training Needs and Awareness Programs, which are required across RTPS, identified, and Training Calendar EE Training
preparing / finalized and circulated? Programmes as planned under Training Calendar arranged, their effectiveness
evaluated, and records maintaining?
7.3 17. Workers in RTPS aware of the following? Such awareness imparted through OH&S Training sessions, safety All Departments
meetings or during on the job trainings? EE(Training)
1. OH&S policy of RTPS; EE(Safety)
2. OH&S objectives, relevant to them;
3. OH&S hazards, consequences and control measures to be followed;
4. Do’s and Don’ts related to their work;
5. Consequences of not following the defined OH&S requirements;
6. Incidents and the outcome of investigations that are relevant to them;
7. Their ability to remove themselves from work situations that they may consider having an imminent and
serious danger to their life and health
STG-2-OFI-39: Training programme related to OHS to be conducted 10 hrs per year to each employee as
per CEA Notification rules dated 24.01.2010 Clause No.11(Page No.26 ) shall be extended to more and more
workmen
7.4 18. 1. OHSMS related internal and external communications taking place as per arrangements under ED, LMR, AMR, All
Communication Matrix (Annex-6)? Departments
2. Communication Matrix (Annex-6) suitably updated? AMR
7.5 19. All OHSMS documents and records : LMR/AMR
1. Master Lists of all internal and external documents maintained to be checked All Departments
2. Document numbering, review, approval, issue maintained
3. Retention and disposition of obsolete documents.
8.1.a 20. Departmental SOPs / work instructions / Operational control procedures (OCPs) define OH&S related operating- All Departments
criteria and needed process-controls?
8.1.b 21. All defined and required OH&S controls implemented in all work activities/processes? All Departments
8.1.c 22. 1. Identified hazards/risks and controls communicated to concerned external providers including contractors? All Departments
2. Audits conducted on concerned external providers to ensure the implementation of defined controls
(Annex-2)?
8.1.d 23. 1. Are there any temporary and permanent changes done recently, which affect OH&S performance in RTPS All Departments
assessed before implementation?
2. Unintended changes corrected later and approved by competent authority?
8.2.b 24. Potential emergency situations identified in HIRA Registers? All Departments
8.2.c, d 25. Onsite Emergency Plan adequately documented, and implemented, to prevent or mitigate emergency situations? EE Safety
Fire Safety
8.2.e 26. Emergency preparedness procedures tested periodically through mock drills, at least once every 6 months? EE Safety
Results of Mock Drills recorded? Fire Safety
8.2.f 27. 1. Adequacy of emergency preparedness procedures reviewed based on the results of mock drills? EE Safety
2. Onsite emergency plan reviewed at least once in 2 years, or after occurrence of any emergency? Fire Safety
3. Any changes in OEP brought?
8.2.g 28. Training of identified personnel for emergency situations. preparedness and response procedure EE Safety
OEP Training records?
9.1.1 29. Following ensured as per procedure RTPS/OHS/SYS-06 (System procedure for OH&S monitoring and Safety Dept
measurement)? Environment Dept
1. All OH&S parameters monitored through defined methods/responsibility/frequency (ref 5.1 to 5.9 of the Medical Dept
Procedure) HRD &
Ambient Noise Monitoring Concerned HODs
Indoor Noise Monitoring
Ambient air quality
Monitoring of Illumination levels
Pre-employment Medical Check-up
Form No. Rev 00: RTPS/OH&S/SYS-07/F-06 Dt. 10-10-2019 Page 2 of 3
RTPS – Internal Audit Checklist, ISO 45001:2018 OHSMS Page 3 of 3
(Against RTPS’s OH&S Manual, document number RTPS/OHSM/01, rev 00, dated 8.11.2018)
Reference Sl Concerned
Clause
Checkpoints
No Functions/Departments
Routine Medical Check-up
Drinking water quality
Food quality
2. All compliance obligations monitored through defined methods/responsibility/frequency (ref 5.10 of the
Procedure)?
3. Results of monitoring recorded, analysed, and necessary actions taken and recorded (ref 5.0 of the
Procedure)?
4. Suitably calibrated equipment used for monitoring and measurement? Records of calibration maintained (ref
5.0 of the Procedure)?
5. If any monitoring/measurement is outsourced, evidence of calibration of used equipment obtained and
maintained (ref 5.0 of Procedure)?
9.2 30. Following ensued as per procedure RTPS/OHS/SYS-07 (System procedure for Internal audit)? LMR. AMR,
a. List of qualified Internal auditors maintained. Designated Internal
b. Internal Audit Calendar (RTPS/OH&S/SYS-07/F-01) for the year prepared and adequately communicated. Auditors
c. Internal Audit Schedule (RTPS/OH&S/SYS-07/F-02) of every audit prepared and communicated at least one ALL Departments
week prior to the audit.
d. All audit nonconformities (NC) recorded in NC Report (RTPS/OH&S/SYS-07/F-04); auditee proposed the
required actions with date of completion; and auditor sent so completed audit report to EE-Safety.
e. Completion of committed actions on NCs verified, and NC Report closed by CE-O&M.
f. Audit Summary (RTPS/OH&S/SYS-07/F-05) prepared for every internal audit, and presented in the Management
Reviews.
9.3 31. Following ensured as per procedure RTPS/OHS/SYS-08 (System procedure for Management review)? ED, LMR, AMR
a. OH&S management reviews are conducted once in six months plus/minus one month; chaired by the ED- ALL Departments
RTPS.
b. All defined agenda are discussed and recorded along with the taken decisions in RTPS/OHS/SYS-08/F-01.
c. Relevant information on the output of management review are communicated to workers or worker’s
representatives.
10.1 32. Opportunities determined in RTPS for improvements in the intended outcome of the OHSMS, as under Sec-1 of ALL Departments
OH&S Manual? Determined opportunities implemented?
10.2 33. Any Non Conformities/ Improvements brought through: ALL Departments
a. Routine site visits.
b. Incidents of unsafe acts, unsafe conditions, or potential emergency situations.
c. OH&S incidents, near misses, and incidents resulting in injury/ill-health or fatality.
d. During Mock drills.
e. Not following of defined OH&S procedures.
f. Non fulfilment of compliance obligations.
g. Results of monitoring and measurement.
10.2 34. Records of OHS/SYS-09/F-01 Form for recording Near misses and RTPS/OHS/SYS-09/F-02 Form for reporting EE Safety and
OH&S incidents ALL Departments
STG-2-OFI-12: COTO to be reviewed with respect to visitors, customers and interested parties.
10.2 35. All detected nonconformities reported, investigated, acted-upon ? LMR/AMR
ALL Departments
10.3 36. Any Records of continual improvement available? LMR/AMR
STG-2-OFI-02: Modernisation of all canteens with hygienic practises. ALL Departments
*****
Form No. Rev 00: RTPS/OH&S/SYS-07/F-06 Dt. 10-10-2019 Page 3 of 3
