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ISO 45001 Audit Checklist

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La norma ISO 45001 especifica los requisitos de un sistema de gestión de la seguridad y la salud en el trabajo para prevenir las lesiones laborales de los trabajadores. Esta lista de comprobación puede utilizarse para definir las áreas de interés para la certificación de la empresa con la ayuda de un análisis de GAP de la norma ISO 45001.
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ISO 45001 Audit Checklist

1. Context of the company

1.1 Understand the company and its context

Determine the external and internal issues that prevent the intended outcomes of the OSH management system from being achieved.

1.2 Understand the Needs and Expectations of Workers and other Interested Parties

Identify the relevant interested parties for the OSH management system.

Identify the relevant needs and expectations of the interested parties.

Determine which of these needs and expectations are in addition to applicable legal and other requirements.

1.3 Determine the Scope of the Environmental Management System

The scope of the occupational health and safety management system (OH&S MS) considers the following:

Physical limitations and applicability.

External and internal issues relevant to its purpose and objectives.

Relevant needs and expectations of interested parties

Work related activities

The scope of OSH in the management system is documented and available to interested parties.

1.4 OH&S Management System

The occupational health and safety management system is established, implemented, maintained and continuously improved.

2. Leadership

2.1 Leadership and Commitment

Top management identifies.

Top management demonstrates leadership and commitment.

Considers accountability for the effectiveness of the OH&S management system.

Ensures that OH&S nonconformities and opportunities are identified and action is taken.

Ensures that work-related hazards and opportunities are systematically identified, OH&S risks and opportunities are assessed and prioritized, and mitigation actions are taken.

Ensures that OH&S management policies and objectives are established and are consistent with the strategic direction and context of the organization.

Ensures that OH&S management is integrated into the organization's business processes.

Ensures the availability of resources.

Ensures that processes are established for consultation and active participation of workers (and their representatives, as appropriate) in the establishment, implementation, maintenance and continuous improvement of OH&S, identifying and removing barriers or impediments to participation.

Communicates the importance of effective OH&S management and compliance with its requirements.

Ensures that intended outcomes are achieved.

Directs and supports individuals who contribute to the effectiveness of the OH&S management system.

Promotes continuous improvement.

Supports other relevant leadership roles to demonstrate leadership in their areas of responsibility.

Promotes and leads a positive culture with regard to the OH&S management system.

2.2 Policy

Establish, implement and maintain an occupational health and safety management system policy.

Appropriate to the purpose and context of the organization, including the nature of their OH&S risk and opportunities.

Provides a framework for setting OH&S objectives.

Includes a commitment to comply with applicable legal and other requirements.

Includes a commitment to control OH&S risks through a hierarchy of controls.

Includes a commitment to continuous improvement of the OH&S management system.

Includes a commitment to employee participation and consultation.

The OH&S Policy is provided as documented information.

The OH&S Policy is communicated within the company.

Information on the OH&S Policy is available to interested parties.

The OH&S Policy is reviewed at regular intervals to ensure that it remains relevant and up-to-date.

2.3 Organizational roles, responsibilities, accountabilities and authorities

Responsibilities and authorities for relevant roles are assigned and communicated within the organization.

Assignment of responsibility and authority to ensure that the MS in the area of occupational health and safety complies with the ISO 45001 standard.

Assignment of responsibility and authority to report to top management on occupational health and safety performance.

2.4 Participation, consultation and representation

A procedure has been established to ensure effective participation and consultation of employees at all levels and functions of the company.

With the mechanisms, time and resources to participate at least in the processes of the OH&S member states.

With the mechanisms, time, training and resources necessary to at least be consulted in the policy development process.

With timely access to clear, understandable, and relevant information about the OH&S management system.

Identifying and removing obstacles or barriers to participation and minimizing those that cannot be removed.

Promoting timely reporting and response to work-related hazards, OH&S risks, OH&S opportunities, incidents, and nonconformities.

Ensure relevant external stakeholders are consulted, as appropriate, on matters relevant to the OH&S management system.

3. Planning

3.1 Actions to address risks and opportunities

3.1.1 General

Determine whether the organization has established, implemented, and maintained a process and whether its OH&S management system is achieving its intended results, preventing (or reducing) undesirable effects, and achieving continuous improvement.

Has the organization identified the risks in terms of hazards and opportunities?

Has the company determined the risks and opportunities in relation to applicable legal and other requirements?

Has the company identified and evaluated the risks and opportunities related to the operation of the OSH management system that may affect the achievement of the intended results?

Documented information verified.

3.1.2 Hazard identification and assessment of OH&S risks

Verify a process for identifying and evaluating hazards and opportunities in the workplace and for workers that consider the following:

Routine and non-routine activities and situations

Emergency situations

People (workers, contractors and visitors) who have access to or are in the vicinity of the workplace and their activities, and for workers who perform work-related activities in a location that is not under the direct control of the company.

The operations and activities of the company, including the design of work areas, processes, etc., changes in knowledge of hazards, situations that occur near the workplace or are not controlled by the company.

Actual or proposed changes in the company, its operations, processes, activities and OH&S management system.

Past, internal or external incidents in the company, including emergencies, and their causes.

Applicable legal and other requirements

Effectiveness of existing controls

Consideration of control hierarchies

Ways of eliminating or reducing occupational health and safety risks and adapting the work to the workers.

Documented information verified.

3.1.3 Determine legal and other requirements

Verification process to identify and access current legal and other requirements applicable to the OSH and management system.

Determine how to apply and comply with the requirements.

Verify information retained and documented.

Track applicable legal and other requirements to ensure this documented information is updated to reflect changes.

Demonstrate how compliance with applicable legal and other requirements will be achieved.

3.1.4 Planning measures

The company plans measures to manage its risks and opportunities.

The company plans measures to comply with applicable legal and other requirements.

The company plans measures to prepare for and respond to emergency situations. The relevant measures, including the definition and application of controls, are integrated into the occupational health and safety management system and can be implemented.

The company plans how to evaluate the effectiveness of these measures and responds accordingly.

3.2 OH&S objectives and planning to achieve them

3.2.1 OH&S objectives

Occupational health and safety objectives have been established at the appropriate level, taking into account the company's significant environmental aspects and related compliance obligations.

Occupational health and safety objectives are:

Consistency with the OH&S policy

Measurable (if practicable)

Consideration of applicable legal and other requirements

To take into account the outcome of any consultation with workers.

To be monitored.

To be communicated.

To be updated as appropriate.

Work objectives of the organization are reviewed in light of best practices, technological capabilities, financial, operational and business requirements.

Review the organization established for worker participation.

Documented information verified.

3.2.2 Plan actions to achieve OH&S objectives

The company determines:

What will be done?

What resources will be needed?

Who will be responsible?

When will they be completed?

How will the results be evaluated?

Review how the measures to achieve the health and safety objectives will be integrated into the business processes.

Review the retained documented information on the OHS objectives and the plans to achieve them.

4. Support

4.1 Resources

Company determines and provides required resources.

4.2 Competence

The company shall determine the required competence of the person(s) performing work under their control that affects their occupational health and safety performance.

The company shall ensure that the person(s) are competent by virtue of education, training, qualification or experience.

The company shall take action as necessary to acquire the required competence and evaluate the effectiveness of the action taken.

Verify that the company maintains appropriate documented information as evidence of competence.

4.3 Awareness

Individuals working in or for the company are aware:

of the OH&S policy.

their contribution to the effectiveness of the OH&S management system, including the benefits of improved OH&S performance.

the effects of non-compliance with the OH&S management system requirements, including the actual or potential consequences of their work activities.

on information and lessons learned from relevant incidents.

4.4 Information and communication

Review the internal and external communication process (what to communicate, when, with whom, and how).

Review how the company defines the intent to be achieved through information and communication and assess whether the objectives have been met.

Review how the company considers diversity (i.e., language, culture, literacy, disability), if any, when pursuing its information and communication policy.

Review how the company receives, maintains documented information about, and responds to relevant communications.

4.5 Documented information

Verify that documented information is identified and described.

Verify that the format (i.e., language, software version, graphics) and media (i.e., paper, electronic media) are appropriate.

Verify that the documented information has been reviewed and approved.

Verify that the documented information is available, appropriate for use, and adequately protected.

Verify the distribution, access retrieval, and use of documented information.

Verify the storage and retention of documented information.

Review verification of retention and disposition.

Verify access for employees.

Verify verification of changes.

Verify that documented information of external origin is identified and controlled.

5. Operation

5.1 Operational Planning and Control

Determine if the company has established operating criteria for the process(es).

Determine the process controls that have been implemented.

Verify processes to verify effective implementation of controls.

Verify documented information on controls to provide confidence that processes were performed as designed.

Review the potential for situations where the lack of documented information could lead to deviations from OH&S policy and objectives.

5.2 Management of Change

Verify that planning and managing temporary or permanent changes to the OSH management system will not have a negative impact.

Verify the process for implementing and controlling planned changes.

Review the responsibilities and authorities for managing for changes and associated OH&S risks.

Verify that the company reviews the consequences of unintended changes and takes action to mitigate any negative impacts, as appropriate.

5.3 Outsourcing

Verify that outsourced processes that impact the OH&S management system are controlled.

5.4 Procurement

Check the extent to which procurement, i.e. products, hazardous materials or substances, raw materials, equipment or services, comply with the provisions of the OH&S management system.

5.5 Contractors

Verify the company's process for identifying and communicating about hazards and assessing and controlling occupational health and safety risks posed by hazards:

Verify the process by which the OH&S management system requirements, or at least the equivalent, are met by contractors and their workers (including criteria for selecting contractors).

Review the verification process for coordinating relevant parts of the OH&S management system with other companies, for multi-employer workplaces.

5.6 Emergency preparedness and response

Verify that the company has established, implemented and maintained a procedure for potential emergency situations.

Verify that the company considers the needs and capabilities of relevant interested parties at all stages of the process and ensures their participation.

Verified documented information.

6. Performance evaluation

6.1 Monitoring, measurement, analysis and evaluation

Verify that the organization monitors and measures its operations against identified hazards and OHS risks and opportunities, operational controls, and progress toward meeting OHS objectives.

Verify that calibrated or verified monitoring and measuring equipment is used and maintained, as appropriate

Determine what criteria are used to evaluate occupational safety and health performance.

Verify how results are analyzed, evaluated, and communicated.

Review when monitoring and measurement will be conducted.

Verify that workers participate in these activities.

Verify that the company evaluates OH&S performance, determines the effectiveness of the OH&S management system, and uses information for its evaluations.

Verify the process for evaluating compliance with applicable regulatory requirements and other requirements to which the company is subject.

Verify how the company determines the frequency and method(s) by which compliance is assessed.

Verify that the company takes action for compliance, as appropriate.

Review how the company maintains knowledge and understanding of its status of compliance with legal and other requirements.

Document the review through appropriate means.

6.2 Internal audit

Verify that audits are conducted at scheduled intervals.

Verify that an internal audit program has been established, implemented, and is maintained.

The importance of the environmental process is reviewed.

Changes that affect the organization are included.

Results of previous audits are considered.

Verify that audit criteria and scope are established for each audit.

Auditors are objective and impartial.

Audit results are shared with appropriate management.

Review retained documented information.

6.3 Management review

Management reviews of the environmental management system (EMS) are conducted at scheduled intervals.

Verify that management review includes:

status of actions from previous management reviews.

Changes in external and internal issues relevant to the OH&S management system.

changes in applicable regulatory and other requirements.

changes in the company's OH&S risks, exposures, and opportunities.

the extent to which occupational health and safety policies and objectives have been achieved.

information about the company's occupational health and safety performance, including trends.

incidents, non-conformities, continuous improvement and corrective actions.

employee participation and consultation

monitoring and measurement results

audit results

results of compliance assessment

OH&S risks, exposures and opportunities

relevant communication(s) from interested parties

opportunities for continuous improvement

adequacy of resources

Management review findings include:

Conclusions about the continuing suitability, adequacy, and effectiveness of the OH&S management system

decisions related to opportunities for continuous improvement

decisions related to the need for changes to the OH&S management system, including resource requirements

actions, if necessary, when occupational health and safety objectives have not been met

any implications for the strategic direction of the company

Verify that the results of the management review are communicated to employees.

Verify the documented information that has been withheld.

7. Improvement

7.1 Incident, nonconformity and corrective action

Review how the company responds to an incident or nonconformance.

Review how the company evaluates the actions taken for control and correction and deals with the consequences.

Determine what actions should be taken to prevent a recurrence of nonconformity.

Review the involvement of workers in the root cause determination.

Review actions taken and their effectiveness.

Verify retained documented information supporting the nature of the nonconformity and any subsequent actions, as well as the results of corrective actions.

Verify documented information communicated to affected workers and relevant interested parties.

7.2 Continuous Improvement

Verify the company's continuous improvement process.

Verify that workers are consulted as part of the continuous improvement process.

Verify that continuous improvement results are communicated to staff.

Verify retained documented information.

Confirmation

Date & time of audit

Name Auditor

Signature Auditor