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ISO 45001 Occupational Health and Safety (OHS) Audit Checklist | Process Street
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ISO 45001 Occupational Health and Safety (OHS) Audit Checklist Share
Run this checklist to perform an internal audit on an organization's occupational health and safety (OHS) management
system against the ISO 45001:2018 requirements.
1
Introduction:
2 Enter basic details
3
Preparing for the audit:
4 Establish context of the OHSMS audit
5 Establish objectives of the OHSMS audit
6 Establish scope of the OHSMS audit
7 Establish criteria of the OHSMS audit
8 Ensure OHSMS audit monitoring systems are in place
9 Request documented information from auditee
10
Assign audit roles and responsibilities:
11 Assign audit team
12 Assign audit team lead
13
Reviewing documented information:
14 Review auditee's documented information
15 Approval:
16 (Conditional) Resolve documented information issue(s)
17 Prepare an audit plan
18 Assign work to the audit team
19
Initiating the audit:
20 Make arrangements with the auditee
21 Conduct open meeting
22 Ensure relevant audit information is accessible
23
Collecting evidence (context of the organization):
24 Assess understanding of the organization and its context
25 Assess the needs and expectations of relevant interested parties
26 Assess the scope of the OHSMS
27
Collecting evidence (leadership):
28 Assess leadership of the OHSMS
29 Assess OHSMS policies
30 Assess OHSMS roles, responsibilities, and authorities
31 Assess consultation and participation of workers
32
Collecting evidence (planning):
33 Assess actions to address risks and opportunities
34 Assess actions to address and identify hazards
35 Assess determination of legal and other requirements
36 Assess OHSMS planning action
37 Assess OHSMS objectives
38
Collecting evidence (support):
https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

39 Assess OHSMS resources

40 Assess OHSMS competence
41 Assess OHSMS awareness
42 Assess communication procedures
43 Assess documented information
44
Collecting evidence (operation):
45 Assess operational planning and control
46 Assess procedures for eliminating hazards and risks
47 Assess procedures for management of change
48 Assess procurement
49 Assess emergency preparation and response
50
Collecting evidence (performance evaluation):
51 Assess systems for monitoring and measuring performance
52 Assess evaluation of compliance
53 Assess internal audit procedures
54 Assess OHSMS management review procedures
55
Collecting evidence (improvement):
56 Assess incident, nonconformity, and corrective action procedures
57 Assess continuous improvement procedures
58
Audit findings:
59 Review audit evidence and findings
60 Approval:
61
Closing the audit:
62 Prepare OHSMS audit report
63 Issue OHSMS audit report
64 (Conditional) Prepare for audit follow-up
65 Prepare for closing meeting
66 Conduct closing meeting
67 Complete the audit
68
Sources:
69
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Introduction:
ISO 45001 defines the requirements for an occupational health and safety (OHS) management system.
The purpose of the standard is to enable organizations to implement a management system that facilitates continuous
improvement of OHS performance, in the interest of preventing injury and ill-health.
Organizations of all sizes and types can use ISO 45001; the standard will enable improvement of performance by:
Developing and implementing clear policy and objectives

Understanding and considering risks and opportunities
Determining the hazards of the OHS system and implementing controls
Clearly communicating risks throughout the organization
Evaluating performance of the OHS and seeking to continuously improve it
Making sure workers are actively involved in and understand the OHS management system
By utilizing this checklist to implement an operational health and safety (OHS) management system, organizations
will stand to gain the following:

Improved regulatory and compliance issues response time

Reduced frequency of workplace incidents
Reduced workplace downtime and fewer operational distruptions
Reduced insurance costs
Reduced employee absence and turnover
Recognition of having successfully implemented ISO 45001 (informally, based on internal audit reports)
This checklist is designed to streamline the process for implementing an operational health and safety (OHS)
management system in line with the requirements set out in the ISO 45001:2018 standard.
This checklist is designed as a supplement, and is not intended to replace ISO 45001.
For best results, users are encouraged to edit the checklist and modify the contents to best suit their use cases, as it
cannot provide specific guidance on the particular risks and controls applicable to every situation.
Typically, management system auditors will prepare custom checklists that reflect the specific scope, scale, and
objectives of the operational health and safety management system being audited.
Enter basic details

Before beginning preparations for the audit, enter some basic details about the operational health and safety
management system (OHSMS) audit using the form fields below.
Audit programme manager information
Audit programme manager first name Something will be typed here...

Audit programme manager second name Something will be typed here...
Auditee information
Auditee Something will be typed here...
Notes on previous audit (if applicable)
Reason for audit

Audit start date
Date will be set here
If this process involves multiple people, you can use the members form field to allow the person running this checklist
to select and assign additional individuals.
For example, if management is running this checklist, they may wish to assign the lead internal auditor after completing
the basic audit details.
Preparing for the audit:

Establish context of the OHSMS audit
In order to understand the context of the audit, the audit programme manager should take into account the auditee’s:

1
Business goals and objectives
2
Relevant external and internal issues
3
The needs and expectations of relevant interested parties
4
Information security and confidentiality requirements of the OHSMS
Record the context of the audit in the form field below.
Context of the audit
Establish objectives of the OHSMS audit

The audit programme manager needs to establish objectives of the OHSMS audit.
Individual audit objectives need to be consistent with the context of the auditee, including the following factors:
1
Extent of the OHSMS to be audited
2
Capacity of the OHSMS to help the organization to meet relevant regulatory requirements
3
Effectiveness of the OHSMS in producing its intended results
4
Opportunities for OHSMS improvements
5
Suitability of the OHSMS with respect to overall strategic context and business objectives of the auditee
Audit objectives
Establish scope of the OHSMS audit

Audit scope should be consistent with the context of the auditee.
Consider the following factors, and define the audit scope in the form field below:
1
Audit location
2
Audit function
3
Audit activities
4
Processes to be audited
5
Audit time-frame
Audit scope

Establish criteria of the OHSMS audit

For individual audits, criteria should be defined to be used as a reference against which conformity will be determined.
Individual audit criteria might include:
1
Relevant policies
2
Processes and standard operating proceudures
3
Performance objectives and KPIs
4
Statutory and other relevant regulatory requirements
5
Management system requirements (e.g. other ISO standards)
6
Risks and opportunities as determined by the auditee
7
Internal codes of conduct
Audit criteria
Ensure OHSMS audit monitoring systems are in place

Audit programme managers should also make sure that tools and systems are in place to ensure adequate monitoring
of the audit and all relevant activities.
Relevant activities to be monitored might include any of the following:
1
Timeliness of the audit (whether deadlines and schedules are being met)
2
Performance of the audit team members (including lead auditor)
3
Successful implementation of audit plans
4
Feedback from auditee and other relevant parties
5
Documentation of audit activities
Request documented information from auditee

Request all existing relevant OHSMS documentation from the auditee. You can use the form field below to quickly
and easily request this information
Assign audit roles and responsibilities:

Assign audit team

Audit programme managers should assign audit team members.
When deciding on your audit team, consider the following:
1
Overall competence required by the audit team
2
Audit complexity
3
Combined or joint audit?
4
Audit methods
5
Ability of the audit team to work and interact effectively with the auditee
6
Relevant internal and external issues (e.g. auditee language barriers)
7
Type and complexity of processes to be audited (do they require specialized knowledge?)
Use the various fields below to assign audit team members.
Audit team member #1 full name Something will be typed here...

Should you require fewer or more audit team members, edit this template to your requirements.
Assign audit team lead

Audit programme managers should be responsible for assigning the audit team leader.
This should be done well ahead of the scheduled date of the audit, to be sure that planning can take place in a timely
manner.
A dynamic due date has been set for this task, for one month before the scheduled start date of the audit.
Use the form fields below to record the details of the lead auditor.
Lead auditor first name Something will be typed here...

Lead auditor second name Something will be typed here...
Additional lead auditor details
Reviewing documented information:

Review auditee's documented information
The lead auditor should obtain and review all documentation of the auditee's management system. A review of all
documentation is an approval task. The audit team leader must approve all documentation, reject or reject with notes.
Continuation of this checklist is not possible until all documentation has been approved.

This will help to prepare for individual audit activities, and will serve as a high-level overview from which the lead
auditor will be able to better identify and understand areas of concern or nonconformity.
Documented information is an umbrella term that could refer to:
Processes (either recorded on paper or with software)

Management system documents and records
Previous audit reports
The above list is by no means exhaustive. The lead auditor should also take into account individual audit scope,
objectives, and criteria.
Reference material, such as individual ISO standards, will be useful at this point.
Using the form fields below, record any issues of nonconformities observed.
Issue(s) with documented information? An option

An option will will be selected
be selected here here
Approval:
Will be submitted for approval:
Review auditee's documented information

Will be submitted
(Conditional) Resolve documented information issue(s)

Using the form fields below, describe the issue(s) with documented information so far, and the steps taken to resolve
the issue(s).
Issue(s) with documented information
How were documented information issue(s) resolved?
Prepare an audit plan

The lead auditor should prepare an audit plan for the individual audit.
This plan should involve the following components and considerations:
1
Roles and responsibilities of each audit team member
2
Risk-based approach to audit planning
3
Scheduling and coordination of audit activities
4
Scope and complexity of the audit
5
Sampling techniques for collecting evidence
6
Opportunities for improvement

7
Risks of inadequate planning
8
Impact of the audit on auditee activities
Audit plan
File will be uploaded here
Assign work to the audit team

The lead auditor should assign work to the audit team.
Work to be assigned should be outlined in the audit plan.
You can use Process Street's task assignment feature to assign specific tasks in this checklist to individual members of
your audit team.
Initiating the audit:

Make arrangements with the auditee
The lead auditor should make contact with the auditee and ensure the following:
1
Basic introduction and clear outline of lead auditor roles and responsibilities
2
Clarify the methods of communication
3
Permission has been granted to proceed with the audit
4
The auditee understands the audit programme so far
5
Relevant information is accessible to all parties involved with the audit
6
Request access to additional relevant information
7
Determine if there are any additional regulatory requirements that will impact audit activities
8
Confirm information security policies
9
Confirm audit scheduling
10
Location-specific arrangements are made
11
Auditee understands requirements for additional observers/guides etc.
12
Risk areas of note are communicated
13
Outstanding issues are resolved
Any scheduling of audit activities should be made well in advance.
For example, the dates of the opening and closing meetings should be provisionally declared for planning purposes.

Date of opening meeting

Date will be set here
Conduct open meeting

An opening meeting between the auditee and all relevant parties should be held.
It's advised that the opening meeting should be led by the lead auditor.
The scheduling for this meeting should have already been determined earlier in the checklist.
During the opening meeting, confirm the following with all relevant parties:
1
Audit programme plans
2
Individual audit scope
3
Individual audit objectives
4
Individual audit criteria
5
Individual audit plans
6
Roles and responsibilities of the audit team
7
That all planned activities can be performed, and proper authorization is acquired
8
Language of the audit
9
Information security protocol
10
Relevant access and arrangements for the audit team
11
Notable on-site activities that could impact audit process
Typically, such an opening meeting will involve the auditee's management, as well as crucial actors or specialists in
relation to processes and procedures to be audited.
This meeting is a great opportunity to ask any questions about the audit process and generally clear the air of
uncertainties or reservations.
Depending on the size and scope of the audit (and as such the organization being audited) the opening meeting might be
as simple as announcing that the audit is starting, with a simple explanation of the nature of the audit.
Familiarity of the auditee with the audit process is also an important factor in determining how extensive the opening
meeting should be.
During the opening meeting, the following items should be clearly communicated:
1
Methods for reporting and communicating audit progress
2
Conditions of audit termination
3
Procedures for dealing with audit findings during the audit

4
Procedures for receiving feedback from the auditee in response to findings during the audit
Ensure relevant audit information is accessible

Where, when, and how information is accessible is a crucial factor during the audit.
It's important to make clear where all relevant interested parties can find important audit information.
Make sure important information is readily accessible by recording the location in the form fields of this task.
You may want to consider uploading important information to a secure central repository (URL) that can be easily
shared to relevant interested parties.
Audits can store important information both physically and/or virtually.
Location of relevant audit information Something will be typed here...
Collecting evidence (context of the organization):

Assess understanding of the organization and its context
Understanding the context of the organization is necessary when developing a OHSMS in order to identify, analyze, and
understand the business environment in which the organization conducts its business and realizes its product.
Record information pertaining to the organization and its context in the form fields below.
Internal issues information
External issues information
Relevant interested parties information

Nonconformity with organization and its context? An option
Record conformities for organization and its context
Record nonconformities for organization and its context
Suggestions for organization and its context
Assess the needs and expectations of relevant interested parties

Provide a record of evidence gathered relating to the needs and expectations of interested parties in the form
fields below.

Needs and expectations of interested parties information

Nonconformity with needs and expectations of interested parties? An option
An option will
will be be selected
selected here here
Record conformities for needs and expectations of interested parties
Record nonconformities for needs and expectations of interested parties
Suggestions for needs and expectations of interested parties
Assess the scope of the OHSMS

The scope of the operational health and safety management system is basically a description of the processes,
procedures, services, and products that the OHSMS applies to.
Provide a record of evidence gathered relating to the OHS management system scope in the form fields below.
OHSMS scope information

Nonconformity with OHSMS scope? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS scope
Record nonconformities for OHSMS scope
Suggestions for OHSMS scope
Collecting evidence (leadership):

Assess leadership of the OHSMS
Provide a record of evidence gathered relating to the OHS management system leadership in the form fields
below.
OHSMS leadership information

Nonconformity with OHSMS leadership? An option
Record conformities for OHSMS leadership
Record nonconformities for OHSMS leadership
Suggestions for OHSMS leadership

Assess OHSMS policies

Provide a record of evidence gathered relating to the OHSMS policy in the form fields below.
OHSMS policy information

Nonconformity with OHSMS policy? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS policy
Record nonconformities for OHSMSpolicy
Suggestions for OHSMS policy
Assess OHSMS roles, responsibilities, and authorities

Provide a record of evidence gathered relating to the organizational roles, responsibilities, and authorities of the
OHSMS in the form fields below.
OHSMS roles and responsibilities information

Nonconformity with OHSMS roles and responsibilities? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS roles and responsibilities
Record nonconformities for OHSMS roles and responsibilities
Suggestions for OHSMS roles and responsibilities
Assess consultation and participation of workers

Provide a record of evidence gathered relating to the consultation and participation of the workers of the
OHSMS using the form fields below.
Consultation and participation of workers information

Nonconformity with consultation and participation of workers? An option
An option will
will be be selected
selected here here
Record conformities for consultation and participation of workers
Record nonconformities for consultation and participation of workers

Suggestions for consultation and participation of workers
Collecting evidence (planning):

Assess actions to address risks and opportunities
Provide a record of evidence gathered relating to the documentation of risks and opportunities in the OHSMS
using the form fields below.
OHSMS risks information
Procedures for OHSMS risk mitigation information
OHSMS opportunities information
Procedures for engaging OHSMS opportunities information

Nonconformity with documentation of OHSMS risks and opportunities? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS risks and opportunities
Record nonconformities for OHSMS risks and opportunities
Suggestions for OHSMS risks and opportunities
Assess actions to address and identify hazards

Provide a record of evidence gathered relating to the documentation of actions to address and identify hazards in
the OHSMS using the form fields below.
Actions to address and identify OHSMS hazards information

Nonconformity with actions to address and identify OHSMS hazards information?
An option
Record conformities for actions to address and identify OHSMS hazards information
Record nonconformities for actions to address and identify OHSMS hazards information
Suggestions for actions to address and identify OHSMS hazards information
Assess determination of legal and other requirements

Provide a record of evidence gathered relating to the determination of legal and other requirements in the
Determination of OHSMS legal/other requirements information

Nonconformity with determination of OHSMS legal/other requirements? An option
An option will
will be be selected
selected here here
Record conformities for determination of OHSMS legal/other requirements
Record nonconformities for determination of OHSMS legal/other requirements
Suggestions for determination of OHSMS legal/other requirements
Assess OHSMS planning action

Provide a record of evidence gathered relating to the OHSMS planning action using the form fields below.
OHSMS planning action information

Nonconformity with OHSMS planning action? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS planning action
Record nonconformities for OHSMS planning action
Suggestions for OHSMS planning action
Assess OHSMS objectives

Provide a record of evidence gathered relating to the OHSMS objectives using the form fields below.
OHSMS objectives information

Nonconformity with OHSMS objectives? An option
Record conformities for OHSMS objectives
Record nonconformities for OHSMS objectives
Suggestions for OHSMS objectives

Collecting evidence (support):

Assess OHSMS resources
Provide a record of evidence gathered relating to the OHSMS resources in the form fields below.
OHSMS resources information

Nonconformity with OHSMS resources? An option
Record conformities for OHSMS resources
Record nonconformities for OHSMS resources
Suggestions for OHSMS resources
Assess OHSMS competence

Provide a record of evidence gathered relating to the OHSMS competence in the form fields below.
OHSMS competence information

Nonconformity with OHSMS competence? An option
Record conformities for OHSMS competence
Record nonconformities for OHSMS competence
Suggestions for OHSMS competence
Assess OHSMS awareness

Provide a record of evidence gathered relating to the OHSMS awareness in the form fields below.
OHSMS awareness information

Nonconformity with OHSMS awareness? An option
An option will
will be be selected
selected here here
Record conformities for OHSMS awareness
Record nonconformities for OHSMS awareness

Suggestions for OHSMS awareness
Assess communication procedures

Provide a record of evidence gathered relating to the OHSMS communication procedures in the form fields below.
OHSMS communication procedures information

Nonconformity with OHSMS communication procedures? An option
Record conformities for OHSMS communication procedures
Record nonconformities for OHSMS communication procedures
Suggestions for OHSMS communication procedures
Assess documented information

Provide a record of evidence gathered relating to the documented information of the OHSMS in the form fields
below.
OHSMS documented information notes

Nonconformity with OHSMS documented information? An option
Record conformities for OHSMS documented information
Record nonconformities for OHSMS documented information
Suggestions for OHSMS documented information
Collecting evidence (operation):

Assess operational planning and control
Provide a record of evidence gathered relating to operational planning and control of the OHSMS in the form
fields below.
OHSMS planning and control information

Nonconformity with OHSMS planning and control? An option
An option will
will be be selected
selected here here

Record conformities for OHSMS planning and control
Record nonconformities for OHSMS planning and control
Suggestions for OHSMS planning and control
Assess procedures for eliminating hazards and risks

Provide a record of evidence gathered relating to procedures for eliminating hazards and risks in the OHSMS
Procedures for eliminating OHSMS hazards and risks information

Nonconformity with procedures for eliminating OHSMS hazards and risks? An option
Record conformities for procedures for eliminating OHSMS hazards and risks
Record nonconformities for procedures for eliminating OHSMS hazards and risks
Suggestions for procedures for eliminating OHSMS hazards and risks
Assess procedures for management of change

Provide a record of evidence gathered relating to the procedures for management of change in the OHSMS
Procedures for management of OHSMS change information

Nonconformity with procedures for management of OHSMS change? An option
Record conformities for procedures for management of OHSMS change
Record nonconformities for procedures for management of OHSMS change
Suggestions for procedures for management of OHSMS change
Assess procurement
Provide a record of evidence gathered relating to procurement in the OHSMS using the form fields below.
OHSMS procurement information

Nonconformity with OHSMS procurement? An option

Record conformities for OHSMS procurement
Record nonconformities for OHSMS procurement
Suggestions for OHSMS procurement
Assess emergency preparation and response

Provide a record of evidence gathered relating to emergency preparation and response in the OHSMS using the
form fields below.
OHSMS emergency preparation and response information

Nonconformity with OHSMS emergency preparedness and response? An option
Record conformities for OHSMS emergency preparation and response
Record nonconformities for OHSMS emergency preparation and response
Suggestions for OHSMS emergency preparation and response
Collecting evidence (performance evaluation):

Assess systems for monitoring and measuring performance
Provide a record of evidence gathered relating to systems for monitoring and measuring performance in the
Systems for monitoring and measuring OHSMS performance information

Nonconformity with systems for monitoring and measuring OHSMS performance?
An option
Record conformities for systems for monitoring and measuring OHSMS performance
Record nonconformities for systems for monitoring and measuring OHSMS performance
Suggestions for systems for monitoring and measuring OHSMS performance
Assess evaluation of compliance

Provide a record of evidence gathered relating to evaluation of compliance in the OHSMS using the form fields
below.
Evaluation of OHSMS compliance information

Nonconformity with evaluation of OHSMS compliance? An option
Record conformities for evaluation of OHSMS compliance
Record nonconformities for evaluation of OHSMS compliance
Suggestions for evaluation of OHSMS compliance
Assess internal audit procedures

Provide a record of evidence gathered relating to internal audit procedures in the OHSMS using the form fields
below.
OHSMS internal audit procedures information

Nonconformity with OHSMS internal audit procedures? An option
Record conformities for OHSMS internal audit procedures
Record nonconformities for OHSMS internal audit procedures
Suggestions for OHSMS internal audit procedures
Assess OHSMS management review procedures

Provide a record of evidence gathered relating to management review procedures in the OHSMS using the form
fields below.
OHSMS management review procedures information

Nonconformity with OHSMS management review procedures? An option
Record conformities for OHSMS management review procedures
Record nonconformities for OHSMS management review procedures
Suggestions for OHSMS management review procedures

Collecting evidence (improvement):

Assess incident, nonconformity, and corrective action procedures
Provide a record of evidence gathered relating to incident, nonconformity, and corrective action procedures in
the OHSMS using the form fields below.
OHSMS incident, nonconformity, and corrective action procedures information

Nonconformity with OHSMS incident, nonconformity, and corrective action procedures?
An option
An option will
will be be selected
selected here here
Record conformities for OHSMS incident, nonconformity, and corrective action procedures
Record nonconformities for OHSMS incident, nonconformity, and corrective action procedures
Suggestions for OHSMS incident, nonconformity, and corrective action procedures
Assess continuous improvement procedures

Provide a record of evidence gathered relating to continuous improvement procedures in the OHSMS using the
form fields below.
OHSMS continuous improvement procedures information

Nonconformity with OHSMS continuous improvement procedures? An option
Record conformities for OHSMS continuous improvement procedures
Record nonconformities for OHSMS continuous improvement procedures
Suggestions for OHSMS continuous improvement procedures
Audit findings:
Review audit evidence and findings
The audit team leader must review the audit's evidence and findings before the continuation of this checklist is possible.
The audit team leader can then approve, reject or reject with comments, the below information.
Context of the organization

Understanding of the OHSMS and its context
Internal issues: {{form.Internal_issues_information}}
External issues: {{form.External_issues_information}}
Relevant interested parties: {{form.Relevant_interested_parties_information}}
Any nonconformities?: {{form.Nonconformity_with_organization_and_its_context?}}
Conformities: {{form.Record_conformities_for_organization_and_its_context}}
Nonconformities: {{form.Record_nonconformities_for_organization_and_its_context}}
Suggestions: {{form.Suggestions_for_organization_and_its_context}}
Needs and expectations of relevant interested parties
Information: {{form.Needs_and_expectations_of_interested_parties_information}}
Any nonconformities?: {{form.Nonconformity_with_needs_and_expectations_of_interested_parties?}}
Conformities: {{form.Record_conformities_for_needs_and_expectations_of_interested_parties}}
Nonconformities: {{form.Record_nonconformities_for_needs_and_expectations_of_interested_parties}}
Suggestions: {{form.Suggestions_for_needs_and_expectations_of_interested_parties}}
OHSMS scope
Information: {{form.OHSMS_scope_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_scope?}}
Conformities: {{form.Record_conformities_for_OHSMS_scope}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_scope}}
Suggestions: {{form.Suggestions_for_OHSMS_scope}}
Leadership
OHSMS leadership
Information: {{form.OHSMS_leadership_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_leadership?}}
Conformities: {{form.Record_conformities_for_OHSMS_leadership}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_leadership}}

Suggestions: {{form.Suggestions_for_OHSMS_leadership}}
OHSMS policy
Information: {{form.OHSMS_policy_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_policy?}}
Conformities: {{form.Record_conformities_for_OHSMS_policy}}
Nonconformities: {{form.Record_nonconformities_for_OHSMSpolicy}}
Suggestions: {{form.Suggestions_for_OHSMS_policy}}
OHSMS roles, responsibilities, and authorities
Information: {{form.OHSMS_roles_and_responsibilities_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_roles_and_responsibilities?}}
Conformities: {{form.Record_conformities_for_OHSMS_roles_and_responsibilities}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_roles_and_responsibilities}}
Suggestions: {{form.Suggestions_for_OHSMS_roles_and_responsibilities}}
OHSMS consultation and participation of workers
Information: {{form.Consultation_and_participation_of_workers_information}}
Any nonconformities?: {{form.Nonconformity_with_consultation_and_participation_of_workers?}}
Conformities: {{form.Record_conformities_for_consultation_and_participation_of_workers}}
Nonconformities: {{form.Record_nonconformities_for_consultation_and_participation_of_workers}}
Suggestions: {{form.Suggestions_for_consultation_and_participation_of_workers}}
Planning
OHSMS actions to address risks and opportunities
OHSMS risks information: {{form.OHSMS_risks_information}}
Procedures for OHSMS risk mitigation: {{form.Procedures_for_OHSMS_risk_mitigation_information}}
OHSMS opportunities information:: {{form.OHSMS_opportunities_information}}
Procedures for engating OHSMS opportunities information:

{{form.Procedures_for_engaging_OHSMS_opportunities_information}}
Any nonconformities?: {{form.Nonconformity_with_documentation_of_OHSMS_risks_and_opportunities?}}

Conformities: {{form.Record_conformities_for_OHSMS_risks_and_opportunities}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_risks_and_opportunities}}
Suggestions: {{form.Suggestions_for_OHSMS_risks_and_opportunities}}
OHSMS actions to address and identify hazards
Information: {{form.Actions_to_address_and_identify_OHSMS_hazards_information}}
Any nonconformities?:
{{form.Nonconformity_with_actions_to_address_and_identify_OHSMS_hazards_information?}}
Conformities: {{form.Record_conformities_for_actions_to_address_and_identify_OHSMS_hazards_information}}
Nonconformities:
{{form.Record_nonconformities_for_actions_to_address_and_identify_OHSMS_hazards_information}}
Suggestions: {{form.Suggestions_for_actions_to_address_and_identify_OHSMS_hazards_information}}
OHSMS determination of legal and other requirements
Information: {{form.Determination_of_OHSMS_legal/other_requirements_information}}
Any nonconformities?: {{form.Nonconformity_with_determination_of_OHSMS_legal/other_requirements?}}
Conformities: {{form.Record_conformities_for_determination_of_OHSMS_legal/other_requirements}}
Nonconformities: {{form.Record_nonconformities_for_determination_of_OHSMS_legal/other_requirements}}
Suggestions: {{form.Suggestions_for_determination_of_OHSMS_legal/other_requirements}}
OHSMS planning action
Information: {{form.OHSMS_planning_action_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_planning_action?}}
Conformities: {{form.Record_conformities_for_OHSMS_planning_action}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_planning_action}}
Suggestions: {{form.Suggestions_for_OHSMS_planning_action}}
OHSMS objectives
Information: {{form.OHSMS_objectives_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_objectives?}}
Conformities: {{form.Record_conformities_for_OHSMS_objectives}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_objectives}}
Suggestions: {{form.Suggestions_for_OHSMS_objectives}}

Support
OHSMS resources
Information: {{form.OHSMS_resources_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_resources?}}
Conformities: {{form.Record_conformities_for_OHSMS_resources}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_resources}}
Suggestions: {{form.Suggestions_for_OHSMS_resources}}
OHSMS competence
Information: {{form.OHSMS_competence_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_competence?}}
Conformities: {{form.Record_conformities_for_OHSMS_competence}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_competence}}
Suggestions: {{form.Suggestions_for_OHSMS_competence}}
OHSMS awareness
Information: {{form.OHSMS_awareness_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_awareness?}}
Conformities: {{form.Record_conformities_for_OHSMS_awareness}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_awareness}}
Suggestions: {{form.Suggestions_for_OHSMS_awareness}}
OHSMS communication procedures
Information: {{form.OHSMS_communication_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_communication_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_communication_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_communication_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_communication_procedures}}
OHSMS documented information
Information: {{form.OHSMS_documented_information_notes}}

Any nonconformities?: {{form.Nonconformity_with_OHSMS_documented_information?}}
Conformities: {{form.Record_conformities_for_OHSMS_documented_information}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_documented_information}}
Suggestions: {{form.Suggestions_for_OHSMS_documented_information}}
Operation
OHSMS operational planning and control
Information: {{form.OHSMS_planning_and_control_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_planning_and_control?}}
Conformities: {{form.Record_conformities_for_OHSMS_planning_and_control}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_planning_and_control}}
Suggestions: {{form.Suggestions_for_OHSMS_planning_and_control}}
OHSMS procedures for eliminating hazards and risks
Information: {{form.Procedures_for_eliminating_OHSMS_hazards_and_risks_information}}
Any nonconformities?: {{form.Nonconformity_with_procedures_for_eliminating_OHSMS_hazards_and_risks?}}
Conformities: {{form.Record_conformities_for_procedures_for_eliminating_OHSMS_hazards_and_risks}}
Nonconformities: {{form.Record_nonconformities_for_procedures_for_eliminating_OHSMS_hazards_and_risks}}
Suggestions: {{form.Suggestions_for_procedures_for_eliminating_OHSMS_hazards_and_risks}}
Procedures for management of OHSMS change
Information: {{form.Procedures_for_management_of_OHSMS_change_information}}
Any nonconformities?: {{form.Nonconformity_with_procedures_for_management_of_OHSMS_change?}}
Conformities: {{form.Record_conformities_for_procedures_for_management_of_OHSMS_change}}
Nonconformities: {{form.Record_nonconformities_for_procedures_for_management_of_OHSMS_change}}
Suggestions: {{form.Suggestions_for_procedures_for_management_of_OHSMS_change}}
OHSMS procurement
Information: {{form.OHSMS_procurement_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_procurement?}}
Conformities: {{form.Record_conformities_for_OHSMS_procurement}}

Nonconformities: {{form.Record_nonconformities_for_OHSMS_procurement}}
Suggestions: {{form.Suggestions_for_OHSMS_procurement}}
OHSMS emergency preparation and response
Information: {{form.OHSMS_emergency_preparation_and_response_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_emergency_preparedness_and_response?}}
Conformities: {{form.Record_conformities_for_OHSMS_emergency_preparation_and_response}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_emergency_preparation_and_response}}
Suggestions: {{form.Suggestions_for_OHSMS_emergency_preparation_and_response}}
Performance evaluation
Systems for monitoring and measuring OHSMS performance
Information: {{form.Systems_for_monitoring_and_measuring_OHSMS_performance_information}}
{{form.Nonconformity_with_systems_for_monitoring_and_measuring_OHSMS_performance?}}
Conformities: {{form.Record_conformities_for_systems_for_monitoring_and_measuring_OHSMS_performance}}
Nonconformities:
{{form.Record_nonconformities_for_systems_for_monitoring_and_measuring_OHSMS_performance}}
Suggestions: {{form.Suggestions_for_systems_for_monitoring_and_measuring_OHSMS_performance}}
Evaluation of OHSMS compliance
Information: {{form.Evaluation_of_OHSMS_compliance_information}}
Any nonconformities?: {{form.Nonconformity_with_evaluation_of_OHSMS_compliance?}}
Conformities: {{form.Record_conformities_for_evaluation_of_OHSMS_compliance}}
Nonconformities: {{form.Record_nonconformities_for_evaluation_of_OHSMS_compliance}}
Suggestions: {{form.Suggestions_for_evaluation_of_OHSMS_compliance}}
OHSMS internal audit procedures
Information: {{form.OHSMS_internal_audit_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_internal_audit_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_internal_audit_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_internal_audit_procedures}}

Suggestions: {{form.Suggestions_for_OHSMS_internal_audit_procedures}}
OHSMS management review procedures
Information: {{form.OHSMS_management_review_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_management_review_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_management_review_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_management_review_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_management_review_procedures}}
Improvement
OHSMS incident, nonconformity, and corrective action procedures
Information: {{form.OHSMS_incident,_nonconformity,_and_corrective_action_procedures_information}}
{{form.Nonconformity_with_OHSMS_incident,_nonconformity,_and_corrective_action_procedures?}}
Conformities:
{{form.Record_conformities_for_OHSMS_incident,_nonconformity,_and_corrective_action_procedures}}
Nonconformities:
{{form.Record_nonconformities_for_OHSMS_incident,_nonconformity,_and_corrective_action_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_incident,_nonconformity,_and_corrective_action_procedures}}
OHSMS continuous improvement procedures
Information: {{form.OHSMS_continuous_improvement_procedures_information}}
Any nonconformities?: {{form.Nonconformity_with_OHSMS_continuous_improvement_procedures?}}
Conformities: {{form.Record_conformities_for_OHSMS_continuous_improvement_procedures}}
Nonconformities: {{form.Record_nonconformities_for_OHSMS_continuous_improvement_procedures}}
Suggestions: {{form.Suggestions_for_OHSMS_continuous_improvement_procedures}}
Approval:
Will be submitted for approval:
Review audit evidence and findings

Will be submitted
Closing the audit:

Prepare OHSMS audit report

Audit reports should be issued within 24 hours of the audit to ensure the auditee is given opportunity to take
corrective action in a timely, thorough fashion
If the report is issued several weeks after the audit, it will typically be lumped onto the "to-do" pile, and much of the
momentum of the audit, including discussions of findings and feedback from the auditor, will have faded.
The lead auditor should prepare the audit report.
This task has been assigned a dynamic due date set to 24 hours after the audit evidence has been evaluated against
criteria.
The audit report is the final record of the audit; the high-level document that clearly outlines a complete, concise, clear
record of everything of note that happened during the audit.
Use the sub-checklist below to check off important items included within the audit report:
1
Audit programme objectives
2
Individual audit objectives
3
Individual audit scope
4
Individual audit criteria
5
An overview of the auditee & their context
6
Roles and responsibilities of the audit team
7
Key dates and locations of the audit
8
Complete audit findings and corresponding evidence
9
Audit conclusions
10
Assessment of audit criteria
11
Unresolved conflicts of opinion between audit team and auditee
Use the form field below to upload the completed audit report.
Complete audit report

File will be uploaded here
Need for follow-up action? An option
Issue OHSMS audit report

As stressed in the previous task, that the audit report is distributed in a timely manner is one of the most important
aspects of the entire audit process.
Use the email widget below to quickly and easily distribute the audit report to all relevant interested parties.

By default, the widget will send the report to:
The auditee main point of contact (Auditee main point of contact)

The audit programme manager (Audit programme manager email
The lead auditor (Lead auditor email)
Should you want to distribute the report to additional interested parties, simply add their email addresses to the email
widget below:
(Conditional) Prepare for audit follow-up

Depending on the outcome of the audit, there may be a need for follow-up action.
Follow-up action might include:
Corrective action in response to nonconformities

Actions to address risks and opportunities
A time-frame should be agreed upon between the audit team and auditee within which to carry out follow-up action.
As part of the follow-up actions, the auditee will be responsible for keeping the audit team informed of any relevant
activities undertaken within the agreed time-frame. The completion and effectiveness of these actions will need to be
verified - this may be part of a subsequent audit.
In any case, recommendations for follow-up action should be prepared ahead of the closing meetingand shared
accordingly with relevant interested parties.
Use the form fields below to record follow-up action suggestions.
Follow-up actions
Prepare for closing meeting

Before the closing meeting, the audit team should make adequate preparations.
Make sure the following items are resolved ahead of the closing meeting:
1
All audit findings are reviewed against audit objectives
2
Audit conclusions are agreed upon
3
Recommendations are prepared, if necessary
4
Follow-up action has been discussed and agreed upon
Conduct closing meeting

Just like the opening meeting, it's a great idea to conduct a closing meeting to orient everyone with the proceedings and
outcome of the audit, and provide a firm resolution to the whole process.
The main point of the closing meeting should be to present audit findings and conclusions.

Lead auditors should be responsible for presenting audit findings and conclusions.
You can use the sub-checklist below as a kind of attendance sheet to make sure all relevant interested parties are in
attendance at the closing meeting:
1
Auditee management
2
Audit programme manager
3
Individuals responsible for the processes and procedures being audited
4
The audit client
5
All members of the audit team
6
Other relevant interested parties, as determined by the auditee/audit programme
Once attendance has been taken, the lead auditor should go over the complete audit report, with special attention
placed on:
1
If applicable, first addressing any special occurrences or situations that might have impacted the reliability of
audit conclusions
2
Making sure all present are familiar with or have access to the complete audit report
3
Making sure the auditee is familiar with the audit process
4
Confirming the time-frame for audit follow-up actions
5
Diverging opinions / disagreements in relation to audit findings between any relevant interested parties
6
Depending on the situation and context of the audit, formality of the closing meeting can vary.
For more formal audits, minutes and records of attendance can be kept.
For more informal (e.g. internal) audits, it can be sufficient to simply communicate audit findings and audit conclusions.
In any case, during the course of the closing meeting, the following should be clearly communicated to the auditee:
1
That audit evidence is based on sample information, and therefore cannot be fully representative of the overall
effectiveness of the processes being audited
2
The specific methods of audit reporting used
3
Complete audit findings and conclusions
4
Advice for how to proceed in light of audit findings
5
Consequences if audit findings are not addressed
6
Recommendations for post-audit follow-up activities
7

The fact that recommendations are not binding
Complete the audit

The audit is to be considered formally complete when all planned activities and tasks have been completed, and any
recommendations or future actions have been agreed upon with the audit client.
All information documented during the course of the audit should be retained or disposed of, depending on:
The nature of the information (sensitive, proprietary, etc.)

Requirements for particular management system standards
Any other agreements between relevant interested parties
It should be assumed that any information collected during the audit should not be disclosed to external parties without
written approval of the auditee/audit client.
However, it may sometimes be a legal requirement that certain information be disclosed. Should that be the case, the
auditee/audit client must be informed as soon as possible.
Sources:
ISO - ISO 45001:2018
ISO - ISO 27001:2013
ISO - ISO 26000:2010
ISO - ISO 19011:2018
ISO - Consolidated ISO Supplement
ISO - Management System Standards
ISO - ISO 9001:2015
Samuel O. Idowu, Catalina Sitnikov, Lars Moratis - ISO 26000 - A Standardized View on Corporate
Social Responsibility
Martin Hinsch - ISO 9001:2015 for Everyday Operations
David Lilburn Watson, Andrew Jones - Digital Forensics Processing and Procedures: Meeting the Requirements
of ISO 17020, ISO 17025, ISO 27001 and Best Practice Requirements
Disclaimer:
1. Process Street is not affiliated or in partnership with the International Organization for Standardization (ISO). The
materials on Process Street’s website are provided on an as-is basis and are for educational purposes. Process
Street makes no warranties, expressed or implied, and hereby disclaims and negates all other warranties including,
without limitation, implied warranties or conditions of merchantability, fitness for a particular purpose, or non-
infringement of intellectual property or other violation of rights.
2. Further, Process Street does not warrant or make any representations concerning the accuracy, likely results, or
reliability of the use of the materials on its website or otherwise relating to such materials or on any sites linked to
this site.
Related checklists:
ISO 19011 Management Systems Audit Checklist
ISO 9001 Internal Audit Checklist for Quality Management Systems
ISO 27001 Information Security Management System (ISO 27K ISMS) Audit Checklist
ISO 9001 and ISO 14001 Integrated Management System (IMS) Checklist
ISO 9000 Structure Template
ISO 9000 Marketing Procedures
ISO 14001 Environmental Management Self Audit Checklist

ISO 14001 EMS Structure Template

ISO 14001 EMS Mini-Manual Procedures
ISO 26000 Social Responsibility Performance Assessment Checklist
FMEA Template: Failure Mode and Effects Analysis
SWOT Analysis Template
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ISO 45001 Occupational Health and Safety (OHS) Audit Checklist | Process Street

Request demo checklist!

Click here for instant access…

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

39 Assess OHSMS resources

Developing and implementing clear policy and objectives

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Improved regulatory and compliance issues response time

Enter basic details

Audit programme manager information

Audit programme manager first name Something will be typed here...

Auditee Something will be typed here...

Notes on previous audit (if applicable)

Reason for audit

Preparing for the audit:

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Record the context of the audit in the form field below.

Context of the audit

Establish objectives of the OHSMS audit

Establish scope of the OHSMS audit

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Establish criteria of the OHSMS audit

Individual audit criteria might include:

Ensure OHSMS audit monitoring systems are in place

Relevant activities to be monitored might include any of the following:

Request documented information from auditee

Assign audit roles and responsibilities:

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Audit programme managers should assign audit team members.

When deciding on your audit team, consider the following:

Use the various fields below to assign audit team members.

Audit team member #1 full name Something will be typed here...

Assign audit team lead

Lead auditor first name Something will be typed here...

Additional lead auditor details

Reviewing documented information:

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Documented information is an umbrella term that could refer to:

Processes (either recorded on paper or with software)

Using the form fields below, record any issues of nonconformities observed.

Issue(s) with documented information? An option

Review auditee's documented information

(Conditional) Resolve documented information issue(s)

Issue(s) with documented information

How were documented information issue(s) resolved?

Prepare an audit plan

This plan should involve the following components and considerations:

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Assign work to the audit team

Work to be assigned should be outlined in the audit plan.

Initiating the audit:

Any scheduling of audit activities should be made well in advance.

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Date of opening meeting

Conduct open meeting

During the opening meeting, the following items should be clearly communicated:

https://www.process.st/checklist/iso-45001-occupational-health-and-safety-ohs-audit-checklist/[26-Apr-22 9:05:38 PM]

Ensure relevant audit information is accessible

Audits can store important information both physically and/or virtually.

Location of relevant audit information Something will be typed here...

Collecting evidence (context of the organization):

Internal issues information

External issues information

Relevant interested parties information