ISO 45001 2017 Checklist

22/1/2018 ISO 45001:2017 Checklist - iAuditor
4 Context of the organization

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of workers and other interested parties
Determine relevant interested parties to OH&S management system
Meets requirement Non-conformance Improvement Opportunity N/A
Determine relevant needs and expectations of interested parties
Determine which of these needs and expectations are added to applicable legal and other requirements

4.3 Determining the scope of the environmental management system
The OH&S management system scope considers the following:
Physical boundaries and applicability
External and internal issues relevant to its purpose and objectives
Relevant needs and expectations of interested parties
Work related activities
OH&S MS scope is documented and available to interested parties

4.4 OH&S management system
5 Leadership

5.1 Leadership and commitment
Top management is identi ed
Top management demonstrates leadership and commitment
Taking accountability for OH&S management system effectiveness
Ensures OH&S nonconformities and opportunities are identi ed and action is taken
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Ensures work related hazards and opportunities are systematically identi ed, OH&S risks and opportunities are evaluated and prioritized and action is
taken to achieve risk reduction
Ensures OH&S management policy and objectives are established and are compatible with strategic direction and context of organization
Ensures OH&S management is integrated into organization's business processes
Ensures resources are available
Ensures that processes are established for the consultation and active participation of workers (and, as applicable, their representatives) in the
establishment, implementation, maintenance and continual improvement of the OH&S MS, identifying and removing obstacles or barriers to
participation
Communicates importance of effective OH&S management and of conforming to its requirements
Ensures intended outcomes
Directing and supporting persons to contribute to the effectiveness of the OH&S management system
Promotes continuous improvement
Supports other relevant management roles to demonstrate their leadership as it applies to their areas of respsonsibility
Promotes and leads a positive culture with regard to the OH&S management system

5.2 Policy
Establish, implement and maintain an OH&S management system policy
Appropriate to the purpose and context of the organization, including the nature of its OH&S risk and opportunities.
Provides a framework for setting OH&S objectives
Includes a commitment to satisfy applicable legal and other requirements
Includes a commitment to the control of OH&S risks through hierarchy of control
Includes a commitment to continual improvement of the OH&S management system
Includes a commitment to worker participation and consultation
OH&S Policy shall be maintained as documented information
OH&S Policy shall be communicated within organization
OH&S Policy is available to interested parties
OH&S Policy shall be reviewed periodically to ensure that it remains relevant and appropriate

5.3 Organizational roles, responsibilities, accountabilities and authorities
Responsibilities and authorities for relevant roles are assigned and communicated within the organization
Assign responsibility and authority to ensure OH&S MS conforms to the ISO 45001:2017 standard
Assign responsibility and authority for reporting to top management the performance of the OH&S

5.4 Participation, consultation and representation
Process has been established to ensure effective participation and consultation by workers at all levels and functions of the organization
With the mechanisms, time and resources to participate in, at a minimum, the processes of the OH&S MS
With the mechanisms, time, training and resources necessary to be consulted in, at a minimum, the process of developing policy
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
Encouraging timely reporting and response to work-related hazards, OH&S risks, OH&S opportunities, incidents and nonconformities
Ensure that relevant external interested parties are consulted, when appropriate, about matters pertinent to the OH&S management system
6 Planning

6.1 Actions to address risks and opportunities

6.1.1 General
Determine if organization has established, implemented and maintains a process and that its OH&S management system can achieve its intended
outcomes, prevent (or reduce) undesired effects and achieve continual improvement
Has the organization determined risks related to hazards and opportunities
Has the organization determined risks and opportunities related to applicable legal and other requirements
Has the organization determined and assessed risk and opportunities related to the operation of the OH&S management system that can affect the
achievement of the intended outcomes
Verify documented information

6.1.2 Hazard identi cation and assessment of OH&S risks
Verify process to determine and assess hazards and opportunities in the workplace and to workers that takes into account
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 at a location not under direct control of the organization
Organization's operations and activities including the design of work areas, processes, etc., changes in knowledge of hazards, situations occurring in
the vicinity of the workplace or not controlled by the organization
Actual or proposed changes in the organization, its operations, processes, activities and OH&S management system
Past incidents, internal or external to the organization, including emergencies, and their causes
Applicable legal and other requirements
Effectiveness of existing controls
Consideration of the hierarchy of controls
Opportunities to eliminate or reduce OH&S risks and to adapt work to workers

6.1.3 Determination of legal and other requirements
Verify process to identify and have access to up-to-date legal and other requirements that are applicable to its OH&S risks and management system
Determine how to apply and meet these requirements
Verify maintained and retained documented information
Applicable legal and other requirements, ensuring this documented information is updated to re ect changes
To show how compliance with its applicable legal and other requirements is achieved

6.1.5 Planning to take action
Organization shall plan actions to address its risks and opportunities
Organization shall plan actions to address applicable legal and other requirements
Organization shall plan actions to prepare for, and respond to, emergency situations, how to integrate and implement the relevant actions, including the
determination and application of controls, into the OH&S management system
Organization shall plan how to evaluate the effectiveness of these actions and respond accordingly

6.2 OH&S objectives and planning to achieve them

6.2.1 OH&S objectives
OH&S objectives determined at appropriate levels and take into account the organization's signi cant environmental aspects and associated
compliance obligations
OH&S objectives shall be:
Consistent with the OH&S policy
Measurable (if practicable)
Take into account applicable legal and other requirements
Take into account the result of any consultation with workers
Monitored
Communicated
Updated as appropriate
Verify the organization considered best practices, technological options, nancial, operational and business requirements
Verify the organization arranged for the participation of workers

6.2.2 Planning actions to achieve OH&S objectives
Organization shall determine:
What will be done
What resources will be required
Who will be responsible
When it will be completed
How the results will be evaluated
How the actions to achieve OH&S objectives will be integrated into the organization's business processes
Verify retained documented information on the OH&S objectives and plans to achieve them
7 Support

7.1 Resources
Organization determined and provide needed resources

7.2 Competence
Organization shall determine necessary competence of person(s) doing work under its control that affects its OH&S performance
Organization shall ensure that person(s) are competent on the basis of education, training, quali cation or experience
Organization shall, where applicable, take actions necessary to acquire the necessary competence, and evaluate the effectiveness of the actions taken
Verify organization retains appropriate documented information as evidence of competence

7.3 Awareness
People doing work under the organization's control are aware of
the OH&S policy
their contribution to the effectiveness of the OH&S management system, including the bene ts of improved OH&S performance
the implications of not conforming with the OH&S management system requirements, including the consequences, actual or potential, of their work
activities
information and lessons learned concerning relevant incidents

7.4 Information and communication
Verify internal and external communication process (what, when, with whom and how to communicate)
Verify how organization de nes the intent to be achieved by informing and communicating, and shall evaluate whether the objectives have been met
Verify how the organization takes into account diversity (i.e language, culture, literacy, disability), where they exist, when considering its information
and communication needs
Verify how it receives, maintains documented information on and responds to relevant communications

7.5 Documented information
Verify documented information is identi ed and described
Verify appropriate format (i.e language, software version, graphics) and media (i.e. paper, electronic)
Verify documented information is reviewed and approved
Verify documented information is available, suitable for use and is adequately protected
Verify documented information's distribution, access, retrieval and use
Verify documented information's storage and preservation
Verify retention and disposition
Verify access for workers
Verify control of changes
Verify documented information of external origin is identi ed and controlled
8 Operation

8.1 Operational planning and control
Determine organization has established operating criteria for the process(es)
Determine process controls that have been implemented
Verify processes to verify effective implementation of controls
Verify documented information about controls to have con dence that the processes have been carried out as planned
Verify covering situations where the absence of documented information could lead to deviations from the OH&S policy and the OH&S objectives
Verify process for achieving reduction in OH&S risk using the following Hierarchy of Controls
Elimination of hazard
Substitute with less hazardous material, process, operations or equipment
Use engineering controls
Use administrative controls including safety signs, markings, warning devices and safe system of work
Use personal protective equipment

8.2 Management of change
Plan and manage temporary or permanent changes to the OH&S management system do not have a negative impact by
Verifying the resolution of incidents and nonconformities
Verifying new products, processes or services at the design stage or re-design stage
Verifying changes in knowledge or information about hazards
Verifying changes to work processes, procedures, equipment, organizational structure, sta ng, products, services, contractors or suppliers
Verifying developments in knowledge and technology
Verifying changes to applicable legal and other requirements
Verify process for implementation and control of planned changes.
Verify responsibilities and authorities for managing changes and their associated OH&S risks are identi ed
Verify the organization reviews the consequences of unintended changes and takes action to mitigate any adverse effects, if necessary

8.3 Outsourcing
Verify outsourced processes affecting its OH&S management system are controlled

8.4 Procurement
Verify controls for procurement, i.e. products, hazardous materials or substances, raw materials, equipment or services, conform to its OH&S
management system

8.5 Contractors
Verify the organization's process to identify and communicate on the hazards, and to evaluate and control the OH&S risks, arising from the:
contractor's activities and operations to the organization's workers
organization's activities and operations to the contractor's workers
contractor's activities and operations to other interested parties in the workplace
Verify process where the requirements of the OH&S management system, or at least the equivalent, are met by the contractors and their workers
(including criteria for selection of contractors)
Verify process for coordinating relevant portions of the OH&S management system with other organizations for multi-employer workplaces

8.6 Emergency preparedness and response
Verify the organization has established, implemented and maintained a process(es) for potential emergency situations
Verify the organization
identi es and plans for potential emergency situations
the preparation of a planned response to emergency situations
periodic testing and exercise of emergency response capability
periodically reviews and revises the process(es) and planned response actions, in particular after the occurrence of an emergency situation or test
provision of relevant information to all members of the organization, at all levels, on their duties and responsibilities
provision of training for emergency prevention, preparedness and response
communication of information to contractors, visitors, relevant emergency response services, government authorities and the local community
Organization shall take into account at all stages of the process the needs and capabilities of relevant interested parties and ensure their involvement
9 Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation
Verify organization is monitoring and measuring its operations with identi ed hazards and OH&S risks and opportunities, operational controls and
progress towards meeting OH&S objectives
Verify that calibrated or veri ed monitoring and measurement equipment is used and maintained, as appropriate
Determine what criteria against which the organization evaluates its OH&S performance
Verify how the organization analyzes, evaluates and communicates results
Verify when the monitoring and measuring shall be performed
Verify workers participate in these activities
Verify organization evaluates OH&S performance, determines the effectiveness of the OH&S management system and uses information during its
evaluations
Verify process for evaluating compliance with applicable legal requirements and other requirements to which the organization subscribes
Verify how the organization determines frequency and method(s) by which compliance will be evaluated, evaluates compliance and takes action, if
necessary, and how it maintains knowledge and understanding of its status of conforming with legal and other requirements
Review retained appropriate documented information

9.2 Internal audit
Verify audits are conducted at planned intervals
Verify organization has established, implemented, and maintains an internal audit program
Verify the importance of the environmental process, changes affecting the organization and the results of previous audits are considered
Verify audit criteria and scope are created for each audit
Auditors are objective and impartial
Audit results reported to relevant management
Review retained documented information

9.3 Management review
Verify management reviews EMS at planned intervals
Verify 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 legal and other requirements
changes in the organization's OH&S risks, risks and opportunities

the extent to which OH&S policy and objectives have been met
information on the organization's OH&S performance, including trends in
incidents, nonconformities, continual improvement and corrective actions
worker participation and consultation
monitoring and measurement results
audit results
results of evaluation of compliance
OH&S risks, risks and opportunities
relevant communication(s) from interested parties
opportunities for continual improvement
adequacy of resources
Outputs of management review shall include:
conclusions on the continuing suitability, adequacy and effectiveness of the OH&S management system
decisions related to continual improvement opportunities
decisions related to any need for changes to the OH&S management system, including resources needs
actions, if needed, when OH&S objectives have not been achieved
any implications for the strategic direction of the organization
Verify outputs of management review are communicated to its workers
Verify retained documented information
10 Improvement

10.1 Incident, nonconformity and corrective action
Verify how organization reacts to and incident or nonconformity by evaluating actions taken to control and correct it and how the organization deals
with the consequences
Determine what actions are taken to prevent nonconformity from recurring
Verify participation of workers in the determination of root causes
Verify implemented actions and their effectiveness
Verify retained documented information that provides evidence of the nature of the nonconformity and any subsequent actions taken and the results
of any corrective actions
Verify documented information communicated to relevant workers and relevant interested parties

10.2 Continual improvement
Verify process of how the organization continually improves
Verify workers are consulted in continual improvement process
Verify results of continual improvement is communicated to its workers
Verify retained documented information

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22/1/2018 ISO 45001:2017 Checklist - iAuditor

4 Context of the organization

Determine relevant interested parties to OH&S management system

Meets requirement Non-conformance Improvement Opportunity N/A

Determine relevant needs and expectations of interested parties

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

The OH&S management system scope considers the following:

Meets requirement Non-conformance Improvement Opportunity N/A

Physical boundaries and applicability

External and internal issues relevant to its purpose and objectives

Relevant needs and expectations of interested parties

Work related activities

OH&S MS scope is documented and available to interested parties

Meets requirement Non-conformance Improvement Opportunity N/A

Top management is identi ed

Meets requirement Non-conformance Improvement Opportunity N/A

Top management demonstrates leadership and commitment

Meets requirement Non-conformance Improvement Opportunity N/A

Taking accountability for OH&S management system effectiveness

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

Ensures resources are available

Communicates importance of effective OH&S management and of conforming to its requirements

Ensures intended outcomes

Promotes continuous improvement

Establish, implement and maintain an OH&S management system policy

Meets requirement Non-conformance Improvement Opportunity N/A

Provides a framework for setting OH&S objectives

Includes a commitment to satisfy applicable legal and other requirements

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

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

Includes a commitment to worker participation and consultation

OH&S Policy shall be maintained as documented information

Meets requirement Non-conformance Improvement Opportunity N/A

OH&S Policy shall be communicated within organization

Meets requirement Non-conformance Improvement Opportunity N/A

OH&S Policy is available to interested parties

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Has the organization determined risks related to hazards and opportunities

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Verify documented information

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Routine and non-routine activities and situations

Applicable legal and other requirements

Effectiveness of existing controls

Consideration of the hierarchy of controls

Opportunities to eliminate or reduce OH&S risks and to adapt work to workers

Verify documented information

Meets requirement Non-conformance Improvement Opportunity N/A

Meets requirement Non-conformance Improvement Opportunity N/A

Determine how to apply and meet these requirements

Meets requirement Non-conformance Improvement Opportunity N/A

Verify maintained and retained documented information

Meets requirement Non-conformance Improvement Opportunity N/A