ISO 45001:2018 Readiness Checklist

• Company

• Conducted on

  Date

• Prepared by

• Location
  Address

4.1 Understanding the organisation and its context

• Has the organisation determined:

• External and internal issues, relevant to its purpose and that affect the ability to achieve the intended outcome(s) of the OH&S management system?

  Yes

  Partly

  No

  N/A

4.2 Understanding the needs and expectations of workers and other interested parties

• Has the organisation determined:

• Other interested parties, in addition to workers, that are relevant to the OH&S management system?

  Yes

  Partly

  No

  N/A

• The relevant needs and expectations (i.e. requirements) of workers and other interested parties?

  Yes

  Partly

  No

  N/A

• Which of these needs and expectations are or could become applicable legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

4.3 Determining the scope of the OH&S MS

• Has the organisation:

• Determined the boundaries and applicability of the OH&S management system to establish its scope?

  Yes

  Partly

  No

  N/A

• Considered the external and internal issues in 4.1 in determining this scope?

  Yes

  Partly

  No

  N/A

• Taken into account the requirements in 4.2 in determining this scope?

  Yes

  Partly

  No

  N/A

• Taken into account the planned or performed work-related activities in determining this scope?

  Yes

  Partly

  No

  N/A

• Made the scope available as documented information?

  Yes

  Partly

  No

  N/A

• Does the organisation's OH&S management system include the activities, products and services within the organisation's control or influence that can impact the organisation's OH&S performance?

  Yes

  Partly

  No

  N/A

4.4 OH&S Management System

• Has the organisation established, implemented, maintained and continually improved an OH&S management system, including the processes needed and their interactions, in accordance with the requirements of the ISO45001 Standard?

  Yes

  Partly

  No

  N/A

5.1 Leadership and commitment

• Does top management demonstrate leadership and commitment with respect to the OH&S management system through the following?

• Taking overall responsibility and accountability for the prevention of work-related injury and ill-health, as well as the provision of safe and healthy workplaces and activities?

  Yes

  Partly

  No

  N/A

• Ensuring that the OH&S policy and related OH&S objectives are established and are compatible with the strategic direction of the organisation?

  Yes

  Partly

  No

  N/A

• Ensuring the integration of the OH&S management system requirements into the organisation’s business processes?

  Yes

  Partly

  No

  N/A

• Ensuring that the resources needed to establish, implement, maintain and improve the OH&S management system are available?

  Yes

  Partly

  No

  N/A

• Communicating the importance of effective OH&S management and of conforming to the OH&S management system requirements?

  Yes

  Partly

  No

  N/A

• Ensuring that the OH&S management system achieves its intended outcome(s)?

  Yes

  Partly

  No

  N/A

• Directing and supporting persons to contribute to the effectiveness of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Ensuring and promoting continual improvement?

  Yes

  Partly

  No

  N/A

• Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility?

  Yes

  Partly

  No

  N/A

• Developing, leading and promoting a culture in the organisation that supports the OH&S management system?

  Yes

  Partly

  No

  N/A

• Protecting workers from reprisals when reporting incidents, hazards, risks and opportunities?

  Yes

  Partly

  No

  N/A

• Ensuring the organisation establishes and implement a process(es) for consultation and participation of workers?

  Yes

  Partly

  No

  N/A

• Supporting the establishment and functioning of health and safety committees

  Yes

  Partly

  No

  N/A

5.2 OH&S Policy

• Has top management, established, implemented and maintained an OH&S policy that:

• Includes a commitment to provide safe and healthy working conditions for the prevention of work-related injury?

  Yes

  Partly

  No

  N/A

• Is appropriate to the purpose, size and context of the organisation and to the specific nature of its OH&S risks and OH&S opportunities?

  Yes

  Partly

  No

  N/A

• Provides a framework for setting OH&S objectives?

  Yes

  Partly

  No

  N/A

• Includes a commitment to fulfil legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• Includes a commitment to eliminate hazards and reduce OH&S risks?

  Yes

  Partly

  No

  N/A

• Includes a commitment to continual improvement of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Includes a commitment to consultation and participation of workers, and where they exist, workers representatives?

  Yes

  Partly

  No

  N/A

• Is the OH&S Policy:

• Available as documented information?

  Yes

  Partly

  No

  N/A

• Communicated within the organisation?

  Yes

  Partly

  No

  N/A

• Available to interested parties, as appropriate?

  Yes

  Partly

  No

  N/A

• Relevant and appropriate?

  Yes

  Partly

  No

  N/A

5.3 Organisational roles, responsibilities and authorities

• Does top management ensure responsibilities and authorities for relevant roles within the OH&S management system are assigned and communicated at all levels within the organisation and maintained as documented information?

  Yes

  Partly

  No

  N/A

• Do workers at each level of the organisation assume responsibility for those aspects of the OH&S management system over which they have control?

  Yes

  Partly

  No

  N/A

• Does top management assign the responsibility and authority:

• to ensure the OH&S management system conforms to the requirements of ISO 45001?

  Yes

  Partly

  No

  N/A

• to report on the performance of the OH&S management system to top management?

  Yes

  Partly

  No

  N/A

5.4 Consultation and participation of workers

• Does the organisation establish, implement and maintain processes for consultation and participation of workers at all applicable levels and functions and where they exist, worker's representatives, in the development, planning, implementation, evaluation and actions for improvement of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Does the organisation:

• Provide mechanisms, time, training and resources necessary for consultation and participation?

  Yes

  Partly

  No

  N/A

• Provide timely access to clear, understandable and relevant information about the OH&S management system?

  Yes

  Partly

  No

  N/A

• Determine and remove obstacles or barriers to participation and minimise those that cannot be removed?

  Yes

  Partly

  No

  N/A

• Does the organisation emphasise the consultation of non-managerial workers on the following:

• Determining the needs and expectations of interested parties?

  Yes

  Partly

  No

  N/A

• Establishing the OH&S policy?

  Yes

  Partly

  No

  N/A

• Assigning organizational roles, responsibilities and authorities as applicable?

  Yes

  Partly

  No

  N/A

• Determining how to fulfil legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• Establishing OH&S objectives and planning to achieve them?

  Yes

  Partly

  No

  N/A

• Determining applicable controls for outsourcing, procurement and contractors?

  Yes

  Partly

  No

  N/A

• Determining what needs to be monitored, measured and evaluated?

  Yes

  Partly

  No

  N/A

• Planning, establishing, implementing and maintaining an audit program?

  Yes

  Partly

  No

  N/A

• Ensuring continual improvement?

  Yes

  Partly

  No

  N/A

• Does the organisation emphasise the participation of non-managerial workers in the following:

• Determining the mechanisms for their consultation and participation?

  Yes

  Partly

  No

  N/A

• Hazard identification and assessment of risks and opportunities?

  Yes

  Partly

  No

  N/A

• determining actions to eliminate hazards and reduce OH&S risks?

  Yes

  Partly

  No

  N/A

• determining competence requirements, training needs, training and evaluation of training?

  Yes

  Partly

  No

  N/A

• Determining what needs to be communicated and how this will be done?

  Yes

  Partly

  No

  N/A

• Determining control measures and their effective implementation and use?

  Yes

  Partly

  No

  N/A

• Investigating incidents and nonconformities and determining corrective actions?

  Yes

  Partly

  No

  N/A

6.1 Actions to address risks and opportunities

6.1.1 General

• Does the organisation consider its context, interested parties and the scope of the OH&S management system and determine the risks and opportunities that need to be addressed to:

• Give assurance that the OH&S management system can achieve its intended outcome(s)?

  Yes

  Partly

  No

  N/A

• Prevent, or reduce, undesired effects?

  Yes

  Partly

  No

  N/A

• Achieve continual improvement?

  Yes

  Partly

  No

  N/A

• When determining the risks and opportunities for the OH&S management system and its intended outcomes that need to be addressed, does the organisation take into account:

• hazards

  Yes

  Partly

  No

  N/A

• OH&S risks and other risks?

  Yes

  Partly

  No

  N/A

• OH&S opportunities and other opportunities?

  Yes

  Partly

  No

  N/A

• legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• Does the organisation in its planning process(es) determine and assess the risks and opportunities that are relevant to the intended outcomes of the OH&S management system associated with changes in the organisation, its processes or the OH&S management system?

  Yes

  Partly

  No

  N/A

• In the case of planned changes (permanent or temporary), is this assessment undertaken before the change is implemented?

  Yes

  Partly

  No

  N/A

• Does the organisation maintain documented information on:

• risks and opportunities?

  Yes

  Partly

  No

  N/A

• the processes and actions needed to determine and address its risks and opportunities to the extent necessary to have confidence that they are carried out as planned?

  Yes

  Partly

  No

  N/A

6.1.2 Hazard identification and assessment of risks and opportunities

6.1.2.1 Hazard identification

• Has the organisation established, implemented and maintained a process(es) for hazard identification that is ongoing and proactive?

  Yes

  Partly

  No

  N/A

• Does the process(es) take into account, but not be limited to:

• how work is organised, social factors (including workload, work hours, victimisation, harassment and bullying), leadership and the culture in the organisation?

  Yes

  Partly

  No

  N/A

• routine and non-routine activities and situations, including hazards arising from infrastructure, equipment, materials, substances and the physical condition of the workplace?

  Yes

  Partly

  No

  N/A

• routine and non-routine activities and situations, including hazards arising from product and services design, research, development, testing, production, assembly, construction, services delivery, maintenance and disposal?

  Yes

  Partly

  No

  N/A

• routine and non-routine activities and situations, including hazards arising from human factors?

  Yes

  Partly

  No

  N/A

• routine and non-routine activities and situations, including hazards arising from how the work is performed?

  Yes

  Partly

  No

  N/A

• past relevant incidents, internal or external to the organisation, including emergencies, and their causes?

  Yes

  Partly

  No

  N/A

• potential emergency situations?

  Yes

  Partly

  No

  N/A

• people, including consideration of those with access to the workplace and their activities, including workers, contractors, visitors and other persons?

  Yes

  Partly

  No

  N/A

• people, including consideration of those in the vicinity of the workplace who can be affected by the activities of the organisation?

  Yes

  Partly

  No

  N/A

• people, including workers at a location not under the direct control of the organisation?

  Yes

  Partly

  No

  N/A

• other issues, including consideration of the design of work areas, processes, installations, machinery/equipment, operating procedures and work organisation, including their adaptation to the needs and capabilities of the workers involved?

  Yes

  Partly

  No

  N/A

• other issues, including consideration of situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organisation?

  Yes

  Partly

  No

  N/A

• other issues, including consideration of situations not controlled by the organisation and occurring in the vicinity of the workplace that can cause injury snd ill health to persons in the workplace?

  Yes

  Partly

  No

  N/A

• actual or proposed changes in organisation, operations, processes, activities and the OH&S management system?

  Yes

  Partly

  No

  N/A

• changes in knowledge of, and information about, hazards?

  Yes

  Partly

  No

  N/A

6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management system

• Has the organisation established, implemented and maintained a process to:

• assess OH&S risk from identified hazards, while taking into account the effectiveness of existing controls?

  Yes

  Partly

  No

  N/A

• determine and assess the other risks related to the establishment, implementation, operation and maintenance of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Is (are) the organisation's methodology(ies) and criteria for the assessment of OH&S risks defined with respect to their scope, nature and timing to ensure they are proactive rather than reactive and used in a systematic way?

  Yes

  Partly

  No

  N/A

• Is documented information maintained and retained on the methodology(ies) and criteria?

  Yes

  Partly

  No

  N/A

6.1.2.3 Assessment of OH&S opportunities and other opportunities for the OH&S management system

• Has the organisation established, implemented and maintained a process(es) to assess:

• OH&S opportunities to enhance OH&S performance, while taking into account planned changes to the organisation, its policies, its processes or its activities?

  Yes

  Partly

  No

  N/A

• Opportunities to adapt work, work organisation and work environment to workers?

  Yes

  Partly

  No

  N/A

• Opportunities to eliminate hazards and reduce OH&S risks?

  Yes

  Partly

  No

  N/A

• Other opportunities for improving the OH&S management system?

  Yes

  Partly

  No

  N/A

6.1.3 Determination of legal requirements and other requirements

• Has the organisation established, implemented and maintained a process(es) to:

• determine and have access to up-to-date legal requirements and other requirements that are applicable to its hazards, OH&S risks and OH&S management system?

  Yes

  Partly

  No

  N/A

• determine how these legal requirements and other requirements apply to the organisation and what needs to be communicated?

  Yes

  Partly

  No

  N/A

• take these legal requirements and other requirements into account when establishing, implementing, maintaining and continually improving its OH&S management system?

  Yes

  Partly

  No

  N/A

• Has the organisation maintained and retained documented information on its legal requirements and other requirements and ensured that this is updated to reflect any changes?

  Yes

  Partly

  No

  N/A

6.1.4 Planning action

• Does the organisation plan:

• actions to address these risks and opportunities?

  Yes

  Partly

  No

  N/A

• actions to address legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• actions to prepare for and respond to emergency situations?

  Yes

  Partly

  No

  N/A

• how to integrate and implement the actions into its OH&S MS processes or other business processes?

  Yes

  Partly

  No

  N/A

• how to evaluate the effectiveness of these actions?

  Yes

  Partly

  No

  N/A

• Does the organisation take into account the hierarchy of controls and outputs from the OH&S management system when planning to take action?

  Yes

  Partly

  No

  N/A

• When planning to take action, does the organisation consider best practices, technological options and financial, operational and business requirements?

  Yes

  Partly

  No

  N/A

6.2 OH&S objectives and planning to achieve them

6.2.1 OH&S Objectives

• Has the organisation established OH&S objectives at relevant functions and levels to maintain and improve the OH&S management system and its performance?

  Yes

  Partly

  No

  N/A

• Are the OH&S objectives:

• Consistent with the OH&S policy?

  Yes

  Partly

  No

  N/A

• Measurable, if practicable or capable of performance evaluation?

  Yes

  Partly

  No

  N/A

• Monitored?

  Yes

  Partly

  No

  N/A

• Communicated?

  Yes

  Partly

  No

  N/A

• Updated as appropriate?

  Yes

  Partly

  No

  N/A

• Do the OH&S objectives take into account:

• Applicable requirements?

  Yes

  Partly

  No

  N/A

• The results of the assessment of risks and opportunities?

  Yes

  Partly

  No

  N/A

• The results of consultation with workers, and where they exist, workers representatives?

  Yes

  Partly

  No

  N/A

6.2.2 Planning to achieve OH&S objectives

• When planning how to achieve its OH&S objectives, does the organisation determine:

• What will be done?

  Yes

  Partly

  No

  N/A

• What resources will be required?

  Yes

  Partly

  No

  N/A

• Who will be responsible?

  Yes

  Partly

  No

  N/A

• When it will be completed?

  Yes

  Partly

  No

  N/A

• How the results will be evaluated, including indicators for monitoring?

  Yes

  Partly

  No

  N/A

• How the actions to achieve OH&S objectives will be integrated into the organisation's business processes?

  Yes

  Partly

  No

  N/A

• Does the organisation maintain and retain documented information on the OH&S objectives and plans to achieve them?

  Yes

  Partly

  No

  N/A

7.1 Resources

• Does the organisation determine and maintain the resources needed for the establishment, implementation, maintenance and continual improvement of the OH&S management system?

  Yes

  Partly

  No

  N/A

7.2 Competence

• Does the organisation:

• determine the necessary competence of workers that affects or can affect its OH&S performance?

  Yes

  Partly

  No

  N/A

• ensure that workers are competent (including the ability to identify hazards) on the basis of appropriate education, induction, training, or experience?

  Yes

  Partly

  No

  N/A

• where applicable, take actions to acquire and maintain the necessary competence, and evaluate the effectiveness of the actions taken?

  Yes

  Partly

  No

  N/A

• retain appropriate documented information as evidence of competence?

  Yes

  Partly

  No

  N/A

7.3 Awareness

• Does the organisation make workers aware of:

• The OH&S policy and OH&S objectives?

  Yes

  Partly

  No

  N/A

• Their contribution to the effectiveness of the OH&S management system, including the benefits of improved OH&S performance?

  Yes

  Partly

  No

  N/A

• The implications and potential consequences of not conforming to the OH&S management system requirements?

  Yes

  Partly

  No

  N/A

• Incidents and the outcomes of investigations that are relevant to them?

  Yes

  Partly

  No

  N/A

• hazards, OH&S risks and actions determined that are relevant to them?

  Yes

  Partly

  No

  N/A

• The ability to remove themselves from work situations that they consider present an imminent danger to their life or health, as well as the arrangements for protecting them from undue consequences for doing so?

  Yes

  Partly

  No

  N/A

7.4 Communication

7.4.1 General

• Has the organisation established, implemented and maintained the process(es) needed for the internal and external communications relevant to the OH&S management system

  Yes

  Partly

  No

  N/A

• Has your organisation determined relevant to the OH&S MS communications process:

• On what it will communicate?

  Yes

  Partly

  No

  N/A

• When to communicate?

  Yes

  Partly

  No

  N/A

• With whom to communicate internally among the various levels and functions of the organisation?

  Yes

  Partly

  No

  N/A

• With whom to communicate among contractors and visitors to the workplace?

  Yes

  Partly

  No

  N/A

• With whom to communicate internally among other interested parties?

  Yes

  Partly

  No

  N/A

• How to communicate?

  Yes

  Partly

  No

  N/A

• Does the organisation take into account diversity aspects (eg gender, language, culture, literacy, disability) when considering its communication needs?

  Yes

  Partly

  No

  N/A

• Does the organisation ensure that the views of external interested parties are considered in establishing its communication processes?

  Yes

  Partly

  No

  N/A

• When establishing its communication processes, has the organisation:

• taken into account its legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• ensured that OH&S information to be communicated is consistent with information generated within the OH&S management system, and is reliable?

  Yes

  Partly

  No

  N/A

• Does the organisation respond to relevant communications on its OH&S management system?

  Yes

  Partly

  No

  N/A

• Does the organisation retain documented information as evidence of its communications, as appropriate?

  Yes

  Partly

  No

  N/A

7.4.2 Internal Communication

• Does the organisation:

• internally communicate information relevant to the OH&S management system among the various levels and functions of the organisation, including changes to the OH&S management system, as appropriate?

  Yes

  Partly

  No

  N/A

• Ensure its communication process(es) enables workers to contribute to continual improvement?

  Yes

  Partly

  No

  N/A

7.4.3 External Communication

• Does the organisation externally communicate information relevant to the OH&S management system, as established by the organisation's communication processes and taking into account its legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

7.5 Documented information

7.5.1 General

• Does the organisation's OH&S management system include documented information required by the ISO Standard?

  Yes

  Partly

  No

  N/A

• Does the organisation's OH&S management system include documented information determined by the organisation as being necessary for the effectiveness of the OH&S management system?

  Yes

  Partly

  No

  N/A

7.5.2 Creating and updating

• When creating and updating documented information, does the organisation ensure appropriate:

• identification and description?

  Yes

  Partly

  No

  N/A

• format and media?

  Yes

  Partly

  No

  N/A

• review and approval for suitability and adequacy?

  Yes

  Partly

  No

  N/A

7.5.3 Control of documented information

• Is documented information required by the OH&S management system and the ISO Standard controlled to ensure:

• it is available and suitable for use, where and when it is needed?

  Yes

  Partly

  No

  N/A

• it is adequately protected (eg from loss of confidentiality or improper use)

  Yes

  Partly

  No

  N/A

• For control of documented information, has the organisation addressed the following activities:

• distribution, access, retrieval and use?

  Yes

  Partly

  No

  N/A

• storage and preservation, including preservation of legibility?

  Yes

  Partly

  No

  N/A

• control of changes (e.g. version control)?

  Yes

  Partly

  No

  N/A

• retention and disposal?

  Yes

  Partly

  No

  N/A

• Is documented information of external origin determined by the organisation to be necessary for the planning and operation of the OH&S management system identified (as appropriate) and controlled?

  Yes

  Partly

  No

  N/A

8.1 Operation planning and control

8.1.1 General

• Does the organisation plan, implement, control and maintain the processes to meet requirements of the OH&S MS, and to implement the actions determined by Clause 6, by:

• establishing criteria for the processes?

  Yes

  Partly

  No

  N/A

• implementing control of the processes in accordance with the criteria?

  Yes

  Partly

  No

  N/A

• maintaining and retaining documented information to the extent necessary to have confidence that the processes have been carried out as planned?

  Yes

  Partly

  No

  N/A

• adapting work to workers?

  Yes

  Partly

  No

  N/A

• On multi-employer workplaces, has the organisation implemented a process for coordinating the relevant parts of the OH&S MS with other organisations?

  Yes

  Partly

  No

  N/A

8.1.2 Eliminating hazards and reducing OH&S risks

• Has the organisation established, implemented and maintained a process(es) for the elimination of hazards and reduction of OH&S risks using the hierarchy of controls (eliminate, substitute, engineering controls/reorganisation of work, administrative controls and PPE)?

  Yes

  Partly

  No

  N/A

8.1.3 Management of change

• Has the organisation established a process(es) for the implementation and control of planned temporary and permanent changes that impact OH&S performance?

  Yes

  Partly

  No

  N/A

• Does this process(es) include new products, services and processes, or changes to existing products, services and processes, including workplace locations and surroundings, work organisation, working conditions, equipment and workforce?

  Yes

  Partly

  No

  N/A

• Does this process(es) include changes to legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• Does this process(es) include changes in knowledge or information about hazards and risks?

  Yes

  Partly

  No

  N/A

• Does this process(es) include developments in knowledge and technology?

  Yes

  Partly

  No

  N/A

• Does the organisation review the consequences of unintended changes and take action to mitigate any adverse effects, as necessary?

  Yes

  Partly

  No

  N/A

8.1.4 Procurement

8.1.4.1 General

• Has the organisation established, implemented and maintained a process(es) to control the procurement of products and services in order to ensure their conformity to its OH&S management system?

  Yes

  Partly

  No

  N/A

8.1.4.2 Contractors

• Has the organization co-ordinated its procurement process(es) with its contractor(s) to identify hazards and to assess and control the OH&S risks arising from the:

• Contractors’ activities and operations that impact the organisation?

  Yes

  Partly

  No

  N/A

• Organisation’s activities and operations that impact the contractors?

  Yes

  Partly

  No

  N/A

• Contractors’ activities and operations that impact other interested parties in the workplace?

  Yes

  Partly

  No

  N/A

• Has the organisation ensured that the requirements of its OH&S management system are met by contractors and their workers?

  Yes

  Partly

  No

  N/A

• Does the organization’s procurement process(es) define and apply OH&S criteria for the selection of contractors?

  Yes

  Partly

  No

  N/A

8.1.4.3 Outsourcing

• Has the organisation ensured that outsourced functions and processes are controlled?

  Yes

  Partly

  No

  N/A

• Has the organisation ensured that its outsourcing arrangements are consistent with legal requirements and other requirements and with achieving the intended outcomes of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Has the organisation defined the type and degree of control to be applied to these functions and processes within the OH&S management system?

  Yes

  Partly

  No

  N/A

8.2 Emergency preparedness and response

• Has the organisation established, implemented and maintained a process(es) needed to prepare for and respond to potential emergency situations identified during the ‘Planning’ stages?

  Yes

  Partly

  No

  N/A

• Do these processes include

• establishing a planned response to emergency situations, including the provision of first aid?

  Yes

  Partly

  No

  N/A

• providing training for the planned response?

  Yes

  Partly

  No

  N/A

• periodically testing and exercising the planned response capability?

  Yes

  Partly

  No

  N/A

• evaluating performance and, as necessary, revising the planned response, including after testing and, in particular, after the occurrence of emergency situations?

  Yes

  Partly

  No

  N/A

• communicating and providing relevant information to all workers on their duties and responsibilities?

  Yes

  Partly

  No

  N/A

• communicating relevant information to contractors, visitors, emergency response services, government authorities and, as appropriate, the local community?

  Yes

  Partly

  No

  N/A

• taking into account the needs and capabilities of all relevant interested parties and ensuring their involvement, as appropriate, in the development of the planned response?

  Yes

  Partly

  No

  N/A

• Does the organisation maintain documented information on the process(es) and on the plans for responding to potential emergency situations?

  Yes

  Partly

  No

  N/A

9.1 Monitoring, measurement, analysis and performance evaluation

9.1.1 General

• Has the organisation established, implemented and maintained a process(es) for monitoring, measurement, analysis and performance evaluation?

  Yes

  Partly

  No

  N/A

• As part of this, has the organisation determined:

• What needs to be monitored and measured, including the extent to which legal requirements and other requirements are fulfilled?

  Yes

  Partly

  No

  N/A

• What needs to be monitored and measured, including its activities and operations related to identified hazards, risks and opportunities?

  Yes

  Partly

  No

  N/A

• What needs to be monitored and measured, including progress towards the achievement of the organisation's OH&S objectives?

  Yes

  Partly

  No

  N/A

• What needs to be monitored and measured, including effectiveness of operational and other controls?

  Yes

  Partly

  No

  N/A

• The methods for monitoring, measurement, analysis and performance evaluation, as applicable, to ensure valid results?

  Yes

  Partly

  No

  N/A

• The criteria against which the organization will evaluate its OH&S performance?

  Yes

  Partly

  No

  N/A

• When the monitoring and measuring shall be performed?

  Yes

  Partly

  No

  N/A

• When the results from monitoring and measurement shall be analysed, evaluated and communicated?

  Yes

  Partly

  No

  N/A

• Does the organisation evaluate the OH&S performance and determine the effectiveness of the OH&S management system?

  Yes

  Partly

  No

  N/A

• Does the organisation ensure that monitoring and measuring equipment is calibrated or verified as applicable?

  Yes

  Partly

  No

  N/A

• Does the organisation ensure that monitoring and measuring equipment is used and maintained as appropriate?

  Yes

  Partly

  No

  N/A

• Does the organisation retain appropriate documented information:

• As evidence of the monitoring, measurement, analysis and performance evaluation results?

  Yes

  Partly

  No

  N/A

• On the maintenance, calibration or verification of measuring equipment?

  Yes

  Partly

  No

  N/A

9.1.2 Evaluation of Compliance

• Has the organisation established, implemented and maintained a process(es) for evaluating compliance with legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• Has the organisation:

• determined of frequency and method(s) for the evaluation of compliance?

  Yes

  Partly

  No

  N/A

• evaluated compliance and taken action if needed?

  Yes

  Partly

  No

  N/A

• maintained knowledge and understanding of its compliance status with legal requirements and other requirements?

  Yes

  Partly

  No

  N/A

• retained documented information of the compliance evaluation results?

  Yes

  Partly

  No

  N/A

9.2 Internal Audit

9.2.1 General

• Does the organisation conduct internal audits at planned intervals to provide information on whether the OH&S management system:

• conforms to the organisation's own requirements for its OH&S management system, including the OH&S policy and OH&S objectives?

  Yes

  Partly

  No

  N/A

• conforms to the requirements of the ISO Standard?

  Yes

  Partly

  No

  N/A

• is effectively implemented and maintained?

  Yes

  Partly

  No

  N/A

9.2.2 Internal audit program

• Has the organisation:

• Planned, established, implemented and maintained an audit program(s) including the frequency, methods, responsibilities, consultation, planning requirements and reporting, which takes into consideration the importance of the processes concerned and the results of previous audits?

  Yes

  Partly

  No

  N/A

• defined the audit criteria and scope for each audit?

  Yes

  Partly

  No

  N/A

• selected auditors and conducted audits to ensure objectivity and impartiality of the audit process?

  Yes

  Partly

  No

  N/A

• ensured that the results of the audits are reported to relevant managers, workers, and where they exist, worker's representatives, and other relevant interested parties?

  Yes

  Partly

  No

  N/A

• taken action to address nonconformities and continually improve its OH&S performance?

  Yes

  Partly

  No

  N/A

• retained documented information as evidence of the implementation of the audit program and the audit results?

  Yes

  Partly

  No

  N/A

9.3 Management Review

• Does top management review the organisation's OH&S management system at planned intervals, to ensure its continuing suitability, adequacy and effectiveness?

  Yes

  Partly

  No

  N/A

• Does the management review include consideration of:

• the status of actions from previous management reviews?

  Yes

  Partly

  No

  N/A

• changes in: external and internal issues relevant to the OH&S management system; needs and expectations of interested parties' legal requirements and other requirements; and risks and opportunities?

  Yes

  Partly

  No

  N/A

• the extent to which the OH&S policy and OH&S objectives have been met?

  Yes

  Partly

  No

  N/A

• information on the organisation's OH&S performance, including trends in: incidents, nonconformities, corrective actions and continual improvement; monitoring and measurement results; results of evaluation of compliance with legal requirements and other requirements; audit results; consultation and participation of workers; risk and opportunities?

  Yes

  Partly

  No

  N/A

• adequacy of resources for maintaining an effective OH&S management system?

  Yes

  Partly

  No

  N/A

• relevant communications from interested parties?

  Yes

  Partly

  No

  N/A

• opportunities for continual improvement.

  Yes

  Partly

  No

  N/A

• Do outputs of the management review include decisions related to:

• the continuing suitability, adequacy and effectiveness of the OH&S management system in achieving its intended outcomes?

  Yes

  Partly

  No

  N/A

• continual improvement opportunities?

  Yes

  Partly

  No

  N/A

• any need for changes to the OH&S management system?

  Yes

  Partly

  No

  N/A

• resources needed?

  Yes

  Partly

  No

  N/A

• actions, if needed?

  Yes

  Partly

  No

  N/A

• opportunities to improve integration of the OH&S management system with other business processes?

  Yes

  Partly

  No

  N/A

• any implications for the strategic direction of the organisation?

  Yes

  Partly

  No

  N/A

• Does top management communicate the relevant outputs of management reviews to workers, and where they exist, worker's representatives?

  Yes

  Partly

  No

  N/A

• Does the organisation retain documented information as evidence of the results of management reviews?

  Yes

  Partly

  No

  N/A

10.1 General

• Does the organisation determine opportunities for improvement and implement necessary actions to achieve the intended outcomes for its OH&S management system?

  Yes

  Partly

  No

  N/A

10.2 Incident, nonconformity and corrective action

• Has the organisation established, implemented and maintained a process(es), including reporting, investigating and taking action to achieve the intended outcomes of its OH&S management system?

  Yes

  Partly

  No

  N/A

• When an incident or nonconformance occurs, does the organisation:

• react in a timely manner to the incident or nonconformity and, as applicable:<br> - take action to control and correct it; and<br> - deal with the consequences?

  Yes

  Partly

  No

  N/A

• evaluate, with the participation of workers and the involvement of other relevant interested parties, the need for corrective action to eliminate the root cause(s) of the incident or nonconformity, in order that it does not recur or occur elsewhere, by:<br> - investigating the incident or reviewing the non-conformity;<br> - determining the cause(s) of the incident or nonconformity; and<br> - determining if similar incidents have occurred, if nonconformities exist, or they could potentially occur?

  Yes

  Partly

  No

  N/A

• review existing assessments of OH&S risk and other risks, as appropriate?

  Yes

  Partly

  No

  N/A

• determine and implement any action needed, including corrective action, in accordance with the hierarchy of controls and the management of change?

  Yes

  Partly

  No

  N/A

• assess OH&S risks that relate to the new or changed hazards, prior to taking action;

  Yes

  Partly

  No

  N/A

• review the effectiveness of any action taken, including corrective action?

  Yes

  Partly

  No

  N/A

• make any changes to the OH&S management system, if necessary?

  Yes

  Partly

  No

  N/A

• Yes

  Partly

  No

  N/A

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

  Yes

  Partly

  No

  N/A

• Does the organisation retain documented information as evidence of the nature of any incidents or nonconformities and subsequent actions taken?

  Yes

  Partly

  No

  N/A

• Does the organisation retain documented information as evidence of the results of any action and corrective action, including their effectiveness?

  Yes

  Partly

  No

  N/A

• Does the organisation communicate this documented information to relevant workers and, where they exist, worker's representatives and other relevant interested parties?

  Yes

  Partly

  No

  N/A

10.3 Continual improvement

• Does the organisation continually improve the suitability, adequacy and effectiveness of the OH&S management system by:

• enhancing OH&S performance?

  Yes

  Partly

  No

  N/A

• promoting a culture that supports an OH&S management system?

  Yes

  Partly

  No

  N/A

• promoting the participation of workers in implementing actions for the continual improvement of the OH&S management system?

  Yes

  Partly

  No

  N/A

• communicating the relevant results of continual improvement to workers and, where they exist, worker's representatives?

  Yes

  Partly

  No

  N/A

• maintaining and retaining documented information as evidence of continual improvement?

  Yes

  Partly

  No

  N/A

• General comments and observations

• Sign off

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