Internal ISO 45001:2018 Audit

• Site Conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

• Assessment Particpants

• Summary of Audit

Clause 4 Context of the Organisation.

4.1 Understanding the organisation

• Have external and internal issues have been identified that are relevant to the business?

  Yes

  No

• Were these issues and any recent changes been discussed at a senior level?

  Yes

  No

• Add evidence of the discussion of issues at a senior level.

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.2 Understanding the needs of interested parties.

• Has senior management identified interested parties and their requirements?

  Yes

  No

• Add evidence of the discussion of issues at a senior level.

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

4.3 Determining Scope.

• Has the business scope been reviewed within the last 12 months?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

4.4 QSHE Management System

• Does the a top level business overview determine the business process and including inputs, processes and outputs?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

Clause 5 Leadership

5.1 Leadership and Commitment

• Provide examples of how the management has demonstrated involvement with the management system.

  Low level

  Moderate Level

  High Level

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide examples of how the management demonstrates a commitment to promoting continual improvement and protect employee H&S

  Low level

  Moderate Level

  High Level

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

5.2 Communicating the Policy

• Is the H&S Policy approved by senior management?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the discussion of issues at a senior level.

• Does the policy cover all aspects of Clause 5.2?

  Select Commitment to providing safe working conditions to prevent injury and ill health Frame work for setting H&S objectives Commitment to filfil legal and other requirements Commitment to eliminate hazards and reduce risk commitment to continually improve the H&S MS Commitment to include workers through consultation and participation

  • Commitment to providing safe working conditions to prevent injury and ill health
  • Frame work for setting H&S objectives
  • Commitment to filfil legal and other requirements
  • Commitment to eliminate hazards and reduce risk
  • commitment to continually improve the H&S MS
  • Commitment to include workers through consultation and participation

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the current policy available to stakeholders?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

5.3 Organisational Roles

• Is there a company organisational chart available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the organisational chart.

5.4 Consultation and Participation of Workers

• Is there an established group of workers who regularly discuss H&S?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Have the H&S representatives been provided training and resources to carry out their role?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Have the H&S representatives (non-managerial) been involved with consultation on all aspects of clauses 4.4 d) and e)

  Select needs of interested partiesCommitment to providing safe working conditions to prevent injury and ill health establishing the H&S policy setting H&S objectives and planning to achieve them how to fulfil legal and other requirements controls for outsourcing/ contracts/ procurement ensuring continual improvement of the H&S MS interaction with the audit program determining what needs to be monitored and measured evaluating training investigating incidents determining the communication process Identifying hazards and assessing risk

  • needs of interested partiesCommitment to providing safe working conditions to prevent injury and ill health
  • establishing the H&S policy
  • setting H&S objectives and planning to achieve them
  • how to fulfil legal and other requirements
  • controls for outsourcing/ contracts/ procurement
  • ensuring continual improvement of the H&S MS
  • interaction with the audit program
  • determining what needs to be monitored and measured
  • evaluating training
  • investigating incidents
  • determining the communication process
  • Identifying hazards and assessing risk

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 6 Planning

6.1.1 Actions to address risk and opportunities

• Have the risks to the business been identified in the business continuity plan for the facility?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan.

• Has the plan been tested within the last two years?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence of the business continuity plan test

• Have branch opportunities been identified via the business KPI's or via a SWOT analysis?

  Yes

  No

• Add evidence of the business KPI's and/ or SWOT analysis

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• 👷🏽 Compliance obligations - Has the health and safety legal register been reviewed to ensure compliance and has identified any actions?<br>

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating at least three relevant pieces of legislation identified by the business and how they comply

6.1.2 `Hazard Identification and assessment of risk opportunities

• Is there an established hazard identification process?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and subsequent examples of the process being followed.

• Is there an established risk assessment process?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and subsequent examples of the process being followed.

• Is there evidence of assessing H&S opportunities within the business?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and subsequent examples of the process being followed.

6.1.3 Determination of Legal and other Requirements

• Does the business have up-to-date, applicable legal requirements determined?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and subsequent examples of the process being followed.

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

6.1.4 Planning Action

• Does the business have action plans to address the requirements in clause 6.1.4?

  Select address risks and oppoerunties address legal requirements prepare and respond to emergencies integrate the action into the H&S MS processes evaluate the effectiveness of the actions

  • address risks and oppoerunties
  • address legal requirements
  • prepare and respond to emergencies
  • integrate the action into the H&S MS processes
  • evaluate the effectiveness of the actions

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and subsequent examples of the process being followed.

Clause 6.2 Objectives and planning

• Has the business completed the requirements for reporting business objectives?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• How are the objectives reviewed and communicated?

  Select Regular staff meetings Annual report Website/ Internal intranet Newsletters Social media Other

  • Regular staff meetings
  • Annual report
  • Website/ Internal intranet
  • Newsletters
  • Social media
  • Other

• Please specify how the objectives are reviewed and communicated

Clause 7 Support

7.1 Resources

• People - Are there sufficient and suitably trained staff members within the facility in order to adequately process the requirements of the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence a sample of relevant training records

• Infrastructure - Are the facilities, equipment and IT systems suitable to operate effectively?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Environment for the operation - Is the environment and work culture suitable for productive working.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence and images to demonstrate the suitable infrastructure

• Organisational Knowledge - Have the operators' job descriptions taken into consideration the requirements of the role?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of job descriptions and knowledge requirements to carry out the role.

• How does the business obtain information regarding the customer's future requirements?

  Select No monitoring of Customer satisfaction Customer meetings Customer surveys Customer feedback Other

  • No monitoring of Customer satisfaction
  • Customer meetings
  • Customer surveys
  • Customer feedback
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of how the customer's future requirements are considered

• Please specify how the business obtains information regarding customers future requirements (include evidence)

7.2 Competence

• Do the staff members have the education, training or experience deemed necessary to fulfil their job role.

  Yes

  No

• Is there a program to enhance the staff members competence level?

  Yes

  No

• Provide evidence of training records and knowledge in order to carry out the role.

7.3 Awareness

• Are staff members aware of the H&S policy? Are they aware of current branch KPI's and their contribution towards it? Are they aware of the latest outcomes to an incident investigation?

  Select Yes No

  • Yes
  • No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of staff awareness of their role within the management system

7.4 Communication

• How is the Internal workforce communicated with?

  Select There is no communication internally Employee representataive meetings Social Media Newsletters Internal Intranet Notice boards Other

  • There is no communication internally
  • Employee representataive meetings
  • Social Media
  • Newsletters
  • Internal Intranet
  • Notice boards
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of internal communication

• Please specify other methods internal workforce is communicated with (include evidence)

• How are external stakeholders communicated with?

  Select There is no external communication Website Social Media Marketing newsletter/ e-mails Other

  • There is no external communication
  • Website
  • Social Media
  • Marketing newsletter/ e-mails
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of external communication

• Please specify other methods external stakeholders are communicated with (include evidence)

7.5 Documented Information

• Creating and Updating - Are documents created using standardised, controlled templates?.

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of templates and their method of control

• Control of Documents - Are the documents controlled in a manner that can not be edited by unapproved personnel?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of controlled documents

• Retention of Documents - Is document retention managed relevant to the process?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 8 Operation

8.1 Operational Planning and Control

• Are there processes available to meet the H&S requirements of the business?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the business processes

8.1.2 Eliminating hazards and reducing H&S risk

• Is there a process available for eliminating hazards and reducing risks?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Does the process follow the hierarchy of control?

  Yes

  No

  Not in audit scope

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process, including the hierarchy of control

8.1.3 Management of Change

• Is there a process available for managing change?

  Select New products, services or processes (inc work equipment, conditions, workforce etc) changes to legal requirements changes to information about H&S developments in knowledge and technology

  • New products, services or processes (inc work equipment, conditions, workforce etc)
  • changes to legal requirements
  • changes to information about H&S
  • developments in knowledge and technology

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and examples of it being followed

8.1.4 Procurement

• Is there a process available for managing contractors and outsourced functions?

  Select Yes No

  • Yes
  • No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence for the management of contractors and outsourced functions

8.2 👷🏽 Emergency Preparedness and Response.

• Is the emergency contact list available and complete?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the evacuation plan available and displayed ?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is the Fire risk assessment and First aid provisions assessment suitable and sufficient?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last emergency situation at the facility? Was this recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• When was the last evacuation drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the first aid kits and fire protection/detection equipment adequate and regularly checked?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Are the spill kits suitable and checked?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there adequate first aiders and fire wardens within the facility - demonstrate evidence of training?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Is there a loss of containment risk of chemicals and or hazardous materials being stored/ handled?

  Yes

  No

  Not in audit scope

• When was the last spill drill completed and recorded?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Was the last emergency drill reviewed? What were the results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Which staff are trained as the spill team? How are emergency situations communicated to visitors?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

Clause 9 Performance Evaluation

9.1 Monitoring, measurements, analysis and evaluation

• General - Can the business demonstrate recent KPI results?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating the latest KPI results

• Analysis and evaluation - How has the business reacted to KPI/ OKR/ objectives results?

  Select No reaction Celebrated success Reviewed targets Identified cause of inadequate performance Identified and acted upon inadequate performance Other

  • No reaction
  • Celebrated success
  • Reviewed targets
  • Identified cause of inadequate performance
  • Identified and acted upon inadequate performance
  • Other

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Add evidence demonstrating how the business has reacted to

• Please describe how the business has reacted to the KPI/ OKR/ Objective results

• Add evidence demonstrating how environmental compliance is being monitored

• Can the business demonstrate the evaluation of its legal and other compliance?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

9.2 Internal Audit

• Has the audit schedule been followed? Have the results documented, recorded and communicated to management?

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Does an internal audit schedule exist?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Has the schedule been followed?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Have the results from the internal audits been communicated with relevant parties?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

9.3 Management Review

• General - Has there been a senior management meeting that discussed H&S aspects as required on the ISO standards?

  Select status from the previous meeting changes in internal and external issues extent to which the policy objectives have been met incident performance monitoring and measuring results legal compliance evaluation audit results consultation of workers risks and opportunities resource planning for an effective H&S MS communication with relevant parties opportunities for continual improvement

  • status from the previous meeting
  • changes in internal and external issues
  • extent to which the policy objectives have been met
  • incident performance
  • monitoring and measuring results
  • legal compliance evaluation
  • audit results
  • consultation of workers
  • risks and opportunities
  • resource planning for an effective H&S MS
  • communication with relevant parties
  • opportunities for continual improvement

• When was the last senior management meeting attended by QSHE? Have minutes been recorded?

  Yes

  No

  Not in audit scope

• Please add evidence of the agenda

• Are minutes of the meeting available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Please add minutes as evidence

• Management review outputs - What opportunities for improvement, changes to the MS or resource were identified?

Clause 10 Improvement

• Does the business have an incident management process?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Provide evidence of the process and examples of it being used

• Non-conformity and corrective action - Is there a relevant non-conformance process available?

  Yes

  No

• What level of non-conformance is determined? (Raise an action to rectify)

  Finding (FID)

  Minor Non Conformance (Min NC)

  Major Non Conformance (Maj NC)

• Demonstrate the last non-conformance and the investigation, closure and improvement processes

• Continual Improvement - Provide evidence of an example of continual improvement within the business - process updates, customer satisfaction, environmental improvements etc.

• Name and signature of Auditor

  Sign