Yale Lifting Solutions ISO 45001 2018 Audit checklist 2023

Yale Lifting Solutions

ISO 45001:2018 Audit Checklist 2023

4. Context of the organisation

4.1 Understanding the organisation and its context

Have you determined external and internal issues that are relevant to your purpose and your strategic direction and that affect your ability to achieve the intended outcomes of your Occupational Health and Safety Management System?

How do you monitor and review information about these external and internal issues?

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

Have you determined the following?

the interested parties in addition to workers that are relevant to the Occupational Health and Safety Management System?

the needs and expectations of these interested parties that are relevant to the Occupational Health and Safety Management System?

How do you monitor and review information about these interested parties and their relevant needs and expectations? 4.3 Determining the scope of the OH&S management system

Have you determined the boundaries and applicability of the OH&S management system to establish your scope?

the external and internal issues referred to in 4.1?

the requirements of relevant interested parties referred to in 4.2?

take into account the planned or performed work related activities?

Is the scope available as documented information?

4.4 OH&S Management System

Have you implemented and have the system in place to maintain and continually improve your OH&S management system, including the processes needed and their interactions, in accordance with the requirements of ISO 45001?

5. Leadership

5.1 Leadership and commitment

How does Top Management demonstrate leadership and commitment with respect to the OH&S management system?

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?

ensuring that the OH&S policy and related OH&S objectives are established for the OH&S management system and are compatible with the strategic direction of the organization?

ensuring the integration of the OH&S management system requirements into the organization’s business processes?

ensuring that the resources needed for the OH&S management system are available?

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

ensuring that the OH&S management system achieves its intended outcomes?

directing and supporting workers to contribute to the effectiveness of the OH&S management system?

ensuring and promoting continual improvement?

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

developing, leading and promoting a culture in the organisation that supports the intended outcomes of the OH&S management system?

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

ensuring the organisation establishes and implements a process(es) for consultation and participation of workers?

supporting the establishment and functioning of health and safety committee?

5.2 OH&S Policy

includes a commitment to provide safe and healthy working conditions for the prevention of work related injury and ill health and is appropriate to the purpose, size and context of the organisation and to the specific nature of its OH&S risks and opportunities?

provides a framework for setting OH&S objectives?

includes a commitment to fulfil legal requirements and other requirements?

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

includes commitment to continual improvement of the OH&S management system?

includes a commitment to consultation and participation of workers, and, where they exist worker’s representative?

Is the OH&S policy

available as documented information

communicated within the organisation

available to interested parties

relevant and appropriate?

5.3 Organisational roles, responsibilities and authorities

Does top management ensure that the responsibilities and authorities for relevant roles within the OH&S management system are assigned, available as documented information, communicated and understood at all levels within the organization?

Do workers assume responsibility for those aspects of the OH&S management system for which they have control?

ensuring that the OH&S management system conforms to the requirements of ISO 45001?

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

5.4 Consultation and of workers

Has your organisation established, implemented and maintained a process (es) for consultation and participation of workers at all applicable levels and functions, and where they exist, worker’s representatives, in the development, performance evaluation and actions for improvement of the

OH&S system?

provide mechanisms, time, training and resources necessary for consultation and participation?

provide timely access to clear, understandable and relevant information about the OS&H management system?

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

determining the needs and expectations of interested parties?

establishing the OH&S policy?

assigning organisational roles, responsibilities and authorities, as applicable?

determining how to fulfil legal and other requirements?

establish and plan to achieve OH&S objectives?

determining applicable controls for outsourcing, procurement and contractors?

determining what needs to be monitored, measured and evaluated?

planning, establishing, implementing and maintaining an audit programme?

ensuring continual improvement?

determining the mechanisms for their consultation and participation?

identifying hazards and assessing risks and opportunities?

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

determining competence requirements, training needs, training and evaluating training?

determining control measures and their effective implementation and use?

investing incidents and nonconformities and determine corrective action?

6. Planning

6.1 Actions to address risks and opportunities

6.1.1 General

give assurance that the OH&S management system can achieve its intended outcomes?

prevent, or reduce, undesired effects?

achieve continual improvement?

hazards

OH&S risks and other risks

OH&S opportunities and other opportunities

Legal and other requirements?

Has your organization in its planning process determined and assessed the risks and opportunities relevant to the intended outcomes of the OH&S system associated with planned changes permanent or temporary before the change is implemented?

Does your organization maintain documented information on?

risks and opportunities?

the process 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?

6.1.2 Hazards identification and assessment of risks and opportunities

6.1.2.1 Hazard identification

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

infrastructure, equipment, materials, substances and the physical conditions of the workplace?

product and service design, research, development, testing, production, assembly, construction, service delivery, maintenance and disposal?

human factors?

how work is performed?

Past relevant incidents, internal or external to the organisation, including emergencies, and there causes?

potential emergency situations?

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

those in the vicinity of the workplace who can be affected by the activities of the organisation?

workers at a location not under the direct control of the organisation?

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?

situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organisation?

Situations not controlled by the organisation and occurring in the vicinity of the workplace that can cause injury and ill health to persons in the workplace?

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

changes in knowledge of, and information about, hazards?

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

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

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

Has the organisation’s methodologies and criteria for the assessment of OH&S risks been defined with respect to the scope, nature and timing to ensure they are proactive rather than reactive and are used in a systematic way?

Does the organisation maintain and retain documented information on the methodologies and criteria

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

opportunities to adapt work, work organisation and work environment to workers?

Opportunities to eliminate hazards and reduce OH&S risks?

Other opportunities for improving the OH&S system?

6.1.3 Determination of legal requirements and other requirements

Has the organisation established, implemented and maintained processes to: a) determine and have access to up to date legal requirements and other requirements that are applicable to the hazards, OH&S risks and OH&S management system?

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

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

Does the organisation maintain and retain information on its legal and other requirements?

How does the organisation ensure its legal requirements are up to date and reflect any changes?

6.1.4 Planning Action

Actions to address these risks and opportunities, address legal and other requirements and prepare for and respond to emergency situations?

How to integrate and implement the actions into its OH&S management system processes or other business processes?

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

Does the organisation take into account best practice, technological options and financial, operational and business requirements when planning its actions?

6.2 OH&S objectives and planning

Has your organization established OH&S objectives at relevant functions, levels that are needed to maintain and continually improve the OH&S management system?

consistent with the OH&S policy?

measurable or capable of performance evaluation?

take into account applicable requirements, the results of the assessment of risks and opportunities and the results of consultation with worker and workers representatives?

monitored?

communicated?

updated as appropriate?

Do you maintain and retain documented information on the OH&S objectives?

How the results will be evaluated including indicators for monitoring?

How the actions to achieve OH&S objectives will be integrated into the organisations business processes?

Do you maintain and retain documented information on the OH&S plans?

7. Support

7.1 Resources

7.1. Has your organization determined and provided the resources needed for the establishment, implementation, maintenance and continual improvement of the OH&S management system?

7.2 Competence

determined the necessary competence of workers that affects the performance and effectiveness of the OH&S management system?

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

retained appropriate documented information as evidence of competence?

the OH&S and objectives policy?

their contribution to the effectiveness of the OH&S system including the benefits of improved OH&S performance?

the implications of not conforming to the OH&S management system requirements?

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

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

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

7.4 Communication

7.4.1 General

0n what it will communicate?

Internally among the various levels and functions of the organisation?

Among contractors and visitors to the workplace?

Among other interested parties?

how to communicate?

How does the organisation take into account diversity (Gender, language, culture, literacy, disability) aspects when considering communication needs?

How are the views of interested parties considered in establishing communication processes?

In establishing communication processes has legal and other requirements been taken into account and that the information is consistent with other information generated from the system and reliable?

In what form is documented information retained as evidence of communications?

7.4.2 Internal communication

Internally communicated information is relevant to the OH&S management system among various levels and functions of the organisation

Does it include changes to the OH&S management system?

Workers are able to contribute to continual improvement?

7.4.3 External communication

Has the company got an external communication process?

How does external communication of OH&S information take into account legal and other requirements?

7.5 Documented information

Does your organization’s OH&S management system include: a) documented information required by ISO45001?

documented information

determined by the organization as being necessary for the effectiveness of the OH&S management system?

format (e.g. language, software version, graphics) and media (e.g. paper, electronic)?

review and approval for suitability and adequacy?

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

it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity)?

For the control of documented information, how does your organization address the following activities, as applicable: a) distribution, access, retrieval and use?

storage and preservation, including preservation of legibility?

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

retention and disposition?

How do you ensure documented information of external origin is identified and controlled? 8. Operation 8.1 Operational planning and control

8.1.1 General

Does your organization plan, implement and control the processes (see 4.4) needed to meet the requirements of the OH&S management system and to implement the actions determined in Clause 6 by?

establishing criteria for the processes?

implementing control of the processes in accordance with the criteria?

maintaining and keeping documented information to the extent necessary to have confidence that processes are being carried out as planned?

adapting to workers?

How does your organization coordinate the relevant parts of OH&S management system with other organisations in multi-employer situations?

How does your organization ensure that outsourced processes are controlled?

8.1.2 Eliminating hazards and reducing OH&S risks?

eliminate the hazard?

substitute with less hazardous process, operations, materials or equipment?

use engineering controls and reorganisation of work?

use administration controls, including training?

use adequate personal protective equipment?

8.1.3 Management of change

new products, services and processes, or changes to existing products, services and processes, including:

workplace locations and surroundings?

working organisation?

working conditions?

Equipment?

work force?

changes to legal requirements and other requirements?

changes to knowledge or information about hazards and OH&S risks?

developments in Knowledge and technology?

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

8.1.4 Procurement

Has the organisation established, implemented and maintained processes to control the procurement of products and services in order to ensure their conformity to its OH&S management system?

the contractors’ activities and operations that impact the organisation?

the organisation’s activities and operations that impact the contractors’ workers?

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

How does the organisation ensure that the requirements of its OH&S management system are met by contractors and their workers?

Does the organisations procurement processes define and apply occupational health and safety criteria for the selection of contractors?

How does the organisation ensure outsourced functions and processes are controlled?

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

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

8.2 Emergency preparation and response

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

providing training for the planned response?

periodically testing and exercising the planned response capability?

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

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

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

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?

Has the organisation maintained documented information on the process and on the plans for responding to potential emergency situations?

9. Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

The organisation shall establish, implement and maintain processes for monitoring, measurement analysis and performance evaluation. How does your organization determine?

the extent to which legal requirements and other requirements are met?

its activities and operations related to identified hazards, risks, and opportunities?

progress towards achieving OH&S objective?

Effectiveness of operational and other controls?

the methods for monitoring, measurement, analysis and performance evaluation needed to ensure valid results?

the criteria against which the organisation will evaluate its OH&S performance?

How does your organization evaluate the performance and the effectiveness of the OH&S management system?

How does the organisation ensure that monitoring and measuring equipment is calibrated or verified as applicable, and used and maintained as appropriate?

In what form does your organization retain appropriate documented information as evidence of the monitoring, measurement, analysis and performance evaluation and maintenance, calibration or verification of measuring equipment?

9.1.2 Evaluation of compliance

How does your organization establish implement and maintain processes for evaluating compliance with legal and other requirements?

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

evaluate compliance and take action if needed?

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

retaining documented information of the compliance evaluation results?

9.2 Internal audit

9.2.1 General

Does your organization conduct internal audits at planned intervals to provide information on whether the OH&S management system?

the organization’s own requirements for its OH&S management system, including policy and objectives? 2. the requirements of this International Standard?

Is effectively implemented and maintained?

9.2.2 Internal audit programme

Does your organization: a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, and the results of previous audits?

define the audit criteria and scope for each audit?

select auditors and conduct audits to ensure objectivity and the impartiality of the audit process?

ensure that the results of the audits are reported to relevant management; ensure results of internal audits are reported to workers and where they exist, workers’ representatives, and other relevant interested parties?

take action to address nonconformity and continually improve its OH&S audit programme and the audit results?

retain documented information as evidence of the implementation of the audit programme and the audit results?

9.3 Management review

ISO 45001 requires “Top management shall review the organization’s OH&S management system, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness”. What format does this review(s) take?

Is your organizations management review planned and carried out taking into consideration?

The status of actions from previous management reviews?

Needs and expectations of interested parties?

Legal requirements and other requirements?

Risks and opportunities?

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

Information on the OH&S performance, including

Incidents nonconformities and corrective actions and continual improvement?

Monitoring and measurement results?

Results of evaluation of compliance with legal requirements other requirements?

Audit results?

Consultation and participation of workers?

Risks and opportunities?

Adequacy of resources for maintaining an effective OH&S system?

Relevant communication with interested parties?

Opportunities for continual improvement?

Do the outputs of the management review include decisions and actions related to?

The continuing suitability, adequacy, and effectiveness in achieving the intended outcomes?

Continual improvement opportunities?

Any need for changes to the OH&S management system?

Resource needs?

Actions needed?

Opportunities to improve integration of the OH&S system with other business processes?

Any implications for the strategic direction of the organisation?

How are the relevant outputs from management review communicated to workers and where they exist workers’ representatives?

In what form does your organization retain documented information as evidence of the results of management reviews?

10. Improvement

10.1 General

How do you determine and select opportunities for improvement and implement any necessary actions to achieve intended outcomes of your OH&S management system?

10.2 Incident, nonconformity and corrective action

Take action to control and correct it?

Deal with the consequences?

investigating the incident or reviewing the nonconformity?

determining the causes of the incident or nonconformity?

determining if similar incidents have occurred, if nonconformities exist, or if could potentially occur?

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

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

assess OH&S risks and that relate to new or changed hazards, prior to taking action?

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

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

Does your organization take corrective actions appropriate to the effects or potential effects of the incidents or nonconformities encountered?

the nature of the incidents or nonconformities and any subsequent actions taken?

the results of any action and corrective action including their effectiveness?

How is this information communicated to relevant workers, and, where applicable, workers’ representatives, and other interested parties?

10.3 Continual improvement

How does your organization continually improve the suitability, adequacy and effectiveness of the OH&S management system?

enhance OH&S performance?

promote a culture that supports the OH&S management system?

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

communicating the results of continual improvement workers and if appropriate workers’ representatives?

maintain and retain documented information as evidence of continual improvement?