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ISO 45001 Compliance Audit
ISO 45001 Compliance Audit
Anonymous

ISO 45001 Compliance Audit

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Free ISO 45001 Compliance Audit Checklist

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Title Page

  • Site conducted

  • Conducted on

  • Prepared by

  • Location

Audit Criteria

Context of the Organization

  • Does the business understand the needs and expectations of workers and other interested parties?

  • Does the business understand which of these needs and expectations are, or could become, legal requirements and other requirements?

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

  • Has the following been considered when establishing the management system scope: work activities, interested parties, and internal and external issues?

  • Is the management system scope documented?

  • Is the management system established, implemented, maintained and continuously improved?

Leadership

  • Do top management take 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?

  • Do top management ensure that the OH&S policy and related OH&S objectives are established and are compatible with the strategic direction of the organization?

  • Is the management system integrated into business processes?

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

  • Do top management communicate the importance of effective OH&S management and of conforming to the OH&S management system requirements?

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

  • Do top management direct and support persons who contribute to the effectiveness of the OH&S management system?

  • Do top management promote continual improvement?

  • Do top management develop, promote and lead on positive OH&S related culture?

Policy

  • Does the policy include a commitment to provide safe and healthy working conditions for the prevention of work related injury and ill health?

  • Does the policy provide a framework for setting the OH&S objectives?

  • Does the policy include a commitment to fulfil legal requirements and other requirements?

  • Does the policy include a commitment to eliminate hazards and reduce OH&S risks?

  • Does the policy include a commitment to continual improvement of the OH&S management system?

  • Does the policy include a commitment to consultation and participation of workers?

  • Is the policy documented?

  • Is the policy communicated within the business?

  • Is the policy available to interested parties?

  • Is the policy relevant and appropriate?

Roles & Responsibilities

  • Do top management ensure that the OH&S management system conforms to the requirements of this document?

  • Do top management assign the responsibility and authority for reporting on the performance of the OH&S management system?

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

Consultation & Participation

  • Has the business established, implemented and maintained a process for consultation and participation of workers at all applicable levels and functions?

  • Has the business provided adequate resources for consultation and participation?

  • Has the business consulted non-managerial team members on adequate parts of the management system (policy, roles, process and objectives, risk control and competence etc.)?

Planning

  • Has the business given due consideration to identifying and addressing risks and opportunities that allow the management system to achieve its intended outcomes?

  • Has the business given due consideration to identifying and addressing risks and opportunities that allow the management system to reduce or prevent risk?

  • Has the business given due consideration to identifying and addressing risks and opportunities that allow the management system to achieve continual improvement?

  • Has the business given due consideration to egal and other requirements taht need to be factored into the management system?

  • Does the business have documented information on risks and opportunities?

  • Does the business plan actions to address identified risks and opportunities?

  • Does the business plan actions to address applicaple legal and other requirements?

  • Does the business plan actions to prepare for and respond to emergency situations?

  • Does the business evaluate the effectiveness of these actions?

  • Does the business plan actions to

Hazard Identification & Assessment

  • Does the process for hazard identification consider organizational, social and cultural factors?

  • Does the process for hazard identification include routine and non-routine activity?

  • Dees the process for hazard identification include past performance as a factor of consideration?

  • Does the process for hazard identification include the consideration of human factors and how the work is performed?

  • Does the process for hazard identification include the consideration of potential emergency situations?

  • Does the process for hazard identification consider process and work design factors?

  • Does the process for hazard identification consider consequential risks caused by other works under the control of the business?

  • Does the process for hazard identification consider consequential risks caused by other works not under the control of the business?

  • Does the assessment process consider the effectiveness of existing controls?

  • Does the assessment process focus on pro-active assessment?

Legal & Other Requirements

  • Does the legal and other process determine current legal requirements and other requirements that are applicable to its hazards, OH&S risks and its management system?

  • Does the legal and other process determine how relevant legal and other requirements apply to the busuiness and what needs to be communicated?

  • Does the legal and other process take relevant legal and other requirements into account when establishing, implementing, maintaining and continually improving its management system?

  • Does the business maintain and retain documented information on its legal and other requirements?

Objectives

  • Has the business established OH&S objectives at relevant functions and levels?

  • Are objectives consistent with policy?

  • Are objectives measureable?

  • Do objectives consider applicable requirements (Legal & Other)?

  • Do objectives consider identified risks an opportunities?

  • Are objectives monitored?

  • Are objectives communicated?

  • Are objectives updated as appropriate?

  • DO objectives state what will be done?

  • Do objectives outline resource requirements?

  • Do set objectives outline responsibility for completion?

  • Do objectives set a timeline?

  • Do objectives illustrate evaluation criteria?

Support

  • Does the business establish core competence at respective levels?

  • Does the business ensure team members are competent?

  • Does the business maintain competence?

  • Does the business retain appropriate documented information regards training evidence?

  • Are workers aware of the OH&S Policy?

  • Are workers aware of their contributions toward the effectiveness of the management system?

  • Are workers made aware of incidents that are relevant to them?

  • Are workers aware of risks relevant to them?

  • Are workers aware of their empowerment to move themselves away from significant and imminent harm?

Communication

  • Does the business determine what it will communicate?

  • Has the business defined when it will communicate?

  • Has the business defined who it will communicate with (internally & externally)?

  • Has the business defined how it will communicate?

  • Does the business retain documented information on its communications?

Documentation

  • Do documents have adequate identification and description?

  • Are documents available in an appropriate format?

  • Are documents suitably reviewed and approved before use?

  • Are documents available where and when needed?

  • Are documents adequately protected?

  • Are documents appropriately distributed?

  • Are documents stored suitably?

  • Are documents revised accurately and with traceability?

  • Are document retention periods defined?

Operations

  • Are processes planned, controlled, maintained and implemented?

  • Are process adapted where necessary?

  • Is there evidence of the correct hierarchy of control in use? a) eliminate the hazard; b) substitute with less hazardous processes, operations, materials or equipment; c) use engineering controls and reorganization of work; d) use administrative controls, including training; e) use adequate personal protective equipment.

  • Is there a process for change management (CM)?

  • Does the CM process include products & services?

  • Does the CM process include legal and other requirements?

  • Does the CM process include changes in knowledge ant technology?

  • Does the CM process include the management of unintended consequence?

Procurement

  • Is there a procurement process?

  • Does the process consider contractor activities that may effect OH&S performance?

  • Does the process consider business activities that may effect the OH&S performance of the contractor?

  • Does the business ensure that outsources functions and activities are controlled to minimise OH&S risks?

Emergency Preparedness

  • Is there a process for emergency preparedness?

  • Is there a planned response for emergency situations?

  • Are team members trained in applicable emergency response areas?

  • Is response action periodically tested?

  • Are emergency response plans communicated?

  • Are documents relative to emergency preparedness retained?

Performance Evaluation

  • Is there a process for performance evaluation?

  • Is compliance with legal requirement monitored/evaluated?

  • Are activities and operations monitored/evaluated?

  • Are risk control measures monitored/evaluated?

  • Is progress toward objectives monitored?

  • Is the effectiveness of operational controls monitored/evaluated?

  • Does the business schedule its monitoring and evaluation processes?

  • Are evaluation/monitoring results analyzed and communicated?

  • Is monitoring equipment calibrated?

Internal Audit

  • Does the business conduct internal audits at planned intervals?

  • Do internal audits ascertain the effectiveness of the management system?

  • Do internal audits ascertain whether or not the OH&S policy is being adhered to?

  • Do internal audits have a defined scope and criteria?

  • Are auditors impartial?

  • Are the results of audits shared appropriately?

  • Where necessary are actions taken to address nonconformance?

  • Are audit documents retained by the business?

Management Review

  • Does the business carry out a management review (MR)?

    • Compliant
    • OFI
    • Non-Compliant
    • N/A
    • Not Sampled

  • Does MR consider actions from previous meetings?

  • Does MR consider changes in internal and external issues relevant to OH&S?

  • Does MR consider objective status?

  • Does MR consider OH&S Performance?

  • Does MR consider resource adequacy?

  • Does MR consider key communications?

  • Does MR consider opportunities for continuous improvement?

  • Does MR generate suitable outputs?

  • Does MR generate details for changes needed to the management system?

  • Are management review details communicated?

  • Is management review documented and documents retained?

Incidents, nonconformity and corrective action?

  • Does the business have a process for managing incidents?

  • Does the business have a process for managing nonconformity?

  • Are incidents and NC's reacted to in a timely manner?

  • Are actions taken to react to incidents and NC's and prevent their reoccurrence?

  • Are causes of incidents and NC's identified?

  • Are trend analysis undertaken for incidents and NC's?

  • Is the effectiveness of actions taken evaluated?

  • Does the business promote an evolving culture?

  • Is continuous improvement embedded into the culture of the business?

  • Is continual improvement a theme throughout the management system?

ISO 45001 Compliance Audit
Anonymous

ISO 45001 Compliance Audit

Use this Template
The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.

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