ISO 45001:2018 & ISO 14001:2015 Management System Checklist

Key aspects the Assessor will be examining to assess if there is an effective HSE Management system -
a) top management leadership, commitment, responsibilities / accountability;
b) top management leading / promoting a culture in the organization that supports the intended outcomes
of the HSE management system;
c) communication (internal / external where required) & d) consultation and participation of workers,
e) allocation of the necessary resources to maintain it;
f) HSE policies,
g) effective process(es) for identifying hazards, controlling HSE risks and taking advantage of HSE
opportunities;
h) continual performance evaluation and monitoring – identify improvements (includes audits, inspections,
performance reports, metrics / KPIs etc)
i) integration of the HSE management system with organization’s processes;
j) HSE objectives that align with the HSE policy and take into account the organization’s hazards, HSE risks
and HSE opportunities;
k) compliance with its legal requirements and other requirements and compliance evaluation processes.

Risk is to be assessed throughout the audit – (slight change from earlier standards)
• Determine external and internal issues (4.1)
• Determine relevant interested parties and their requirements (4.2)
• Consider the issues and requirements and determine the risks and opportunities that need to be ad-
dressed (6.1)
• Plan actions to address these risks and opportunities and integrate and implement the actions into the
HSEMS processes (6.1) (8.1)
• Plan how to evaluate the effectiveness of these actions (6.1)
• Evaluate performance (9.1)
• Review information, including trends and indicators on the effectiveness of actions taken to address
risks and opportunities (9.3)

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The xxx relevant to the organisations significant hazards and risks are ART ref NC closure Date
Example xxxx Major/Minor
Compliant? Audit Date
Y/N
4 Context of the Organization
4.1 Understanding the organization and its context
The internal and external issues that are relevant to the organization’s
purpose that affect its ability to achieve the intended outcome(s) of its
Occupational health and safety management system (HSE manage-
ment system) have been determined. e.g. Compliant?
 Political, legal and regulatory, financial, economic, technological, Y/N
competitive and natural environment
 Organization’s policies, objectives and strategies to achieve them.
 Drivers and trends that have an impact on the organization and its
objectives.
 Relationships with and perceptions and values of external inter-
ested parties.
 Relationships with and perceptions and values of members of the
organization.
 Capabilities and resources.
 Contractual relationships
4.2 Understanding the needs and expectations of interested parties
The organization has determined
a) the interested parties in addition to workers that are relevant to the
HSE management system; Compliant?
b) the requirements (needs & expectations) of workers and other Y/N
interested parties that are relevant to the HSE management system.
E.g.
 Workers are automatically an interested party
 Suppliers, partners, agents, contractors – past, present and future
(potential)
 Regulatory authorities Compliant?
 Company owners or boards. Y/N
It has been determined which of these needs and expectations are or
could become legal requirements and other requirements. Compliant?
Y/N
4.3 Determining the scope of the HSE management system
The organization has determined the boundaries (units, functions and
physical boundaries) and applicability of the HSE management system
to establish its scope. Compliant?
Y/N
When determining the scope of the HSE management system
 external and internal issues (as identified in 4.1
have been considered? Compliant?
Y/N
When determining the scope of the HSE management system
 Legal and other requirements (as identified in 4.2),
 planned or performed work‐related activities,
have been considered. Compliant?
Y/N
The HSE management system includes the activities, products and

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services within the organization’s control or influence that can impact Compliant?
the organization’s HSE performance. Y/N
Is the scope available as documented information?
Compliant?
Y/N
4.4 HSE management system
The HSE system addresses the identified processes needed and their
interactions to achieve the intended outcomes. Compliant?
Y/N
5 Leadership and Worker Participation
5.1 Leadership and commitment
Top management has demonstrated leadership and commitment with
respect to the HSE management system by: Compliant?
Y/N
 taking overall responsibility and accountability for the prevention
of work‐related injury and ill health as well as the provision of safe
and healthy workplaces and activities Compliant?
Y/N
 ensuring that the HSE policy and related HSE objectives are estab-
lished and are compatible with the strategic direction of the or-
ganization Compliant?
Y/N
 ensuring the integration of the HSE management system require-
ments into the organization’s business processes Compliant?
Y/N
 ensuring that the resources needed to establish, implement,
maintain and improve the HSE management system are available Compliant?
Y/N
 communicating the importance of effective HSE management and
of conforming to the HSE management system requirements Compliant?
Y/N
 ensuring that the HSE management system achieves its intended
outcome(s) Compliant?
Y/N
 directing and supporting persons to contribute to the effective-
ness of the HSE management system; Compliant?
Y/N
 ensuring and promoting continual improvement
Compliant?
Y/N
 supporting other relevant management roles to demonstrate their
leadership as it applies to their areas of responsibility Compliant?
Y/N
 developing, leading and promoting a culture in the organization
that supports the intended outcomes of the HSE management Compliant?
system. E.g. Y/N
 Determination of safety values - regularly and consistently pro-
moted by senior management.
 Senior management leadership tours / visits / employee engage-
ment conversations / Behavioural based safety (BBS) programmes
- discuss concerns - workplace, procedures, hazards -Positive rein-
forcement of employee behaviour.
 High levels of hazard reporting. ‘remove any obstacles’ to an
effective hazard reporting system.
 Incident investigation and timely corrective action management
 Safety culture surveys conducted -plans and actions identified.
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 Work / life balance
 Embrace openness and a fair workplace.
 Teamwork - support, empathy, creativity, resilience.
 HSE Responsibilities / Area ownership –
 protecting workers from reprisals when reporting incidents, haz-
ards, risks and opportunities Compliant?
Y/N
 ensuring the organization establishes and implements a
process(es) for consultation and participation of workers (see 5.4) Compliant?
Y/N
 supporting the establishment and functioning of health and safety
committees, [see 5.4 e) 1)] Compliant?
Y/N
5.2 HSE policy
Top management have established, implemented and maintained an
HSE policy Compliant?
Y/N
that within the scope of the HSE is appropriate to
 is appropriate to the nature and scale of the organization’s risks;
 has commitment to establishing measurable objectives
 demonstrates a commitment to the continued improvement of
performance.
 requires compliance with relevant legislation and any other re-
quirements;
 is reviewed periodically to ensure it remains relevant and appro-
priate to the organization’s risks.
 is authorized by the organization’s top management
Compliant?
Y/N
The policy is:
 available as documented information
 communicated within the organization
 available to interested parties, as appropriate
 relevant and appropriate. Compliant?
Y/N
5.3 Organizational roles, responsibilities and authorities
Responsibilities and authorities for relevant roles are assigned and
communicated at all levels and maintained as documented informa- Compliant?
tion. Y/N
5.4 Consultation and participation of workers
Process(es) for consultation and participation of workers at all applic-
able levels and functions and, where they exist, workers’ representat-
ives are established, implemented and maintained. E.g. Compliant?
HSRs, DWGs, Safety Committees, Toolbox meetings, and are employ- Y/N
ees consulted regarding changes to their work and any risk assess-
ments conducted, as well as the processes for hazard reporting?
Are people consulted upon -
1) determining the needs and expectations of interested parties (see 4.2);
2) establishing the HSE policy (see 5.2);
3) assigning organizational roles, responsibilities and authorities, as applicable (see 5.3);
4) determining how to fulfil legal requirements and other requirements (see 6.1.3);
5) establishing HSE objectives and planning to achieve them (see 6.2);
6) determining applicable controls for outsourcing, procurement and contractors (see
8.1.4);
7) determining what needs to be monitored, measured and evaluated (see 9.1);
8) planning, establishing, implementing and maintaining an audit programme(s) (see
9.2.2);
9) ensuring continual improvement (see 10.3);
e) emphasize the participation of non-managerial workers in the following:
1) determining the mechanisms for their consultation and participation;
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2) identifying hazards and assessing risks and opportunities (see 6.1.1 and 6.1.2);
3) determining actions to eliminate hazards and reduce HSE risks (see 6.1.4);
4) determining competence requirements, training needs, training and evaluating
training (see 7.2);
5) determining what needs to be communicated and how this will be done (see 7.4);
6) determining control measures and their effective implementation and use (see 8.1,
8.1.3 and 8.2);
7) investigating incidents and nonconformities and determining corrective actions (see
10.2).
Obstacles or barriers to participation are determined and removed
those that cannot be removed are minimized. Compliant?
Y/N
6 Planning for the HSE Management System
6.1. Actions to address risks and opportunities
The processes needed to meet requirements have been established
and implemented to give assurance that the HSE management system
can achieve its intended outcomes including Compliant?
 prevention or reduction of undesired effects Y/N
The risks and opportunities related to:
 internal and external issues (4.1)
 the needs and expectations of interested parties (4.2)
 the scope of the HSE management system (4.3)
 hazards (6.1.2.1)
 HSE risks and other risks (6.1.2.2)
 HSE opportunities and other opportunities (6.1.2.3)
 legal and other requirements (6.1.3)
 changes in the organization, processes or the HSE management
system (8.1.3)
 any other issues and requirements Compliant?
have been determined. Y/N
Documented information is maintained for:
 Risks and opportunities that need to be addressed
 The processes needed and that they are carried out as planned Compliant?
Y/N
6.1.2 Hazard identification and assessment of risks and opportunities
Ongoing and proactive process(es) for hazard identification are estab-
lished, implemented and maintained. Compliant?
Y/N
The process(es) consider:
 How the work is organized, social factors, leadership and culture
in the organization
 Routine and non-routine activities and situations Compliant?
 Past relevant incidents, incl. Emergencies and their causes Y/N
 Potential emergency situations
 People
 Other issues
 actual or proposed changes in organization, operations, processes,
activities and HSE management system
 changes in knowledge of, and information about, hazards

E.g. The risks and opportunities related to the following have

been determined – including emergency scenarios:
 Internal and external issues (4.1)
 The needs and expectations of interested parties (4.2)
 The scope of the HSE management system (4.3)
 Hazards (6.1.2.1)
 HSE risks and other risks (6.1.2.2)
 HSE opportunities and other opportunities (6.1.2.3)

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 Legal and other requirements (6.1.3)
 Changes in the organization, processes or the HSE management
system (8.1.3)

Established, implemented and maintained process(es) for assessing

HSE risks consider the effectiveness of existing controls.
E.g.
Travel, Violence, harassment and workplace stress; hazardous sub-
stances and dangerous goods; asbestos, manual handling; material
handling, plant and the associated systems of work; electricity; the
work environment; working at heights; fatigue; biological hazards;
electromagnetic radiation; traffic, confined spaces, hot works, permit
to work, excavation and trenching, hazardous energy, noise, waste,
emissions, energy, water discharges, vegetation management, cultural Compliant?
significance, contractors, outsourced services, procurement, etc. Y/N
Processes are established, implemented and maintained for
 assessing HSE opportunities to enhance HSE performance
 other opportunities for improving the HSE management system

NOTE – Opportunities is a new obligation and should ensure strategic Compliant?

improvement projects identified. Y/N
Documented information is maintained and retained on the methodo-
logy(ies) and criteria for assessing HSE risks. Compliant?
Y/N
6.1.3 Determination of legal requirements and other requirements
Legal requirements and other requirements are maintained as docu-
mented information and updating is ensured.

All legislation, standards and other requirements relevant to health

and safety in the organisation are identified and regularly monitored
for changes.
Does a mechanism exist to enable legal and other requirements to be
cross-referenced to
 the operational control mechanism by which compliance is en-
sured
 the objective and target established to achieve compliance Compliant?
 the OHS hazard or Environmental aspect to which it applies Y/N
6.1.4 Planning Action
The integration and implementation of the actions into its HSE man-
agement system processes (see 6.2; 7; 8; 9.1); and other business
processes are planned and the effectiveness of actions evaluated.
Compliant?
Y/N
Actions are planned to address
 Legal requirements and other requirements
 Prepare for and respond to emergency situations
 Risks and opportunities Compliant?
Y/N
6.2 HSE objectives and planning to achieve them

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6.2.1 HSE Objectives
The HSE objectives take in to account
 risks and opportunities;
 the results of consultation with workers and, where they exist,
workers’ representatives
and are:
 measurable (if practicable) or capable of performance evaluation
 monitored
 communicated
 updated as appropriate and
 documented information on the HSE objectives has been retained. Compliant?
Y/N
6.2.2 Planning to achieve HSE objectives
The organization has determined, when planning, how to achieve its
HSE objectives by
 what will be done
 what resources will be required
 who will be responsible
 when it will be completed
 how the results will be evaluated using indicators for monitoring
progress
 how actions to achieve HSE objective are integrated into business Compliant?
processes. Y/N
7 Support
7.1 Resources
Resources needed for the establishment, implementation, mainten-
ance and continual improvement of the HSE management system are
determined and provided. Compliant?
Y/N
7.2 Competence
The organization shall:
a) determine the necessary competence of workers that affects or can Compliant?
affect its HSE performance; Y/N
b) ensure that workers are competent (including the ability to identify
hazards) on the basis of appropriate education, training or experience;
c) where applicable, take actions to acquire and maintain the neces-
sary competence, and evaluate the effectiveness of the actions taken;
d) retain appropriate documented information as evidence of compet-
ence.
NOTE – is there a training needs analysis? How does organisation en-
sure compliance to the identified training needs assessments?
7.3 Awareness
Workers are made aware of:
 the HSE policy and HSE objectives;
 their contribution to the effectiveness of the HSE management
system, including the benefits of improved HSE performance
 incidents and the outcomes of investigations that are relevant to
them
 hazards, HSE risks and actions determined that are relevant to
them
 the ability to remove themselves from work situations that they
consider present an imminent danger to their life or health, as
well as the arrangements for protecting them from undue con- Compliant?
sequences for doing so. Y/N
7.4 Communication
Internal and external communication processes have been established,
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implemented and maintained. Compliant?
Y/N
Communication processes determine
 on what will be communicated;
 when to communicate;
 with whom to communicate:
o internally among the various levels and functions of the
organization;
o among contractors and visitors to the workplace;
o among other interested parties;
 how to communicate. Compliant?
Y/N
The organization has considered diversity aspects (e.g. gender, lan-
guage, culture, literacy, disability) when considering its communication
needs. Compliant?
Y/N
When establishing the communication processes, the organization has:
 considered views of external interested parties
 considered its legal requirements and other requirements
 ensures that HSE information to be communicated is consistent
with information generated within the HSE management system,
Compliant?
and is reliable.
Y/N
Documented information as evidence of its communications is re-
tained (as appropriate). Compliant?
Y/N
7.5 Documented information
7.5 The organization’s HSE management system shall include:
a) documented information required by this document;
b) documented information determined by the organization as being
necessary for the effectiveness of the HSE management system.

When creating and updating documented information, the organiza-

tion shall ensure appropriate:
a) identification and description (e.g. a title, date, author or reference
number);
b) format (e.g. language, software version, graphics) and media (e.g.
paper, electronic);
c) review and approval for suitability and adequacy.

Documented information required by the HSE management system

and by this document shall be controlled to ensure:
a) it is available and suitable for use, where and when it is needed;
b) it is adequately protected (e.g. from loss of confidentiality, improper
use or loss of integrity).
For the control of documented information, the organization shall
address the following activities, as applicable:
— distribution, access, retrieval and use;
— storage and preservation, including preservation of legibility;
— control of changes (e.g. version control);
— retention and disposition.

Documented information of external origin determined by the organiz-

ation to be necessary for the planning and operation of the HSE man- Compliant?
agement system shall be identified, as appropriate, and controlled Y/N
8 Operation

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8.1 Operational planning and control
8.1.1 The organization shall plan, implement, control and maintain the pro-
cesses needed to meet requirements of the HSE management system,
and to implement the actions determined in Clause 6, by:
a) establishing criteria for the processes;
b) implementing control of the processes in accordance with the cri-
teria;
c) maintaining and retaining documented information to the extent
necessary to have confidence that the processes have been carried out
as planned;
d) adapting work to workers.

At multi-employer workplaces, the organization shall coordinate the

relevant parts of the HSE management system with the other organiz-
ations. e.g. HSE management plans or Manuals clarifying roles and
responsibilities etc?

Is equipment with risk suitably maintained and inspected - For example:

• asbestos inspected for friability and risk ratings
• breathing apparatus and other PPE maintenance/inspections
• cooling towers (RMP, reports, protocols, registration etc).
• electrical equipment / leads, RCDs, thermo imaging of switchboards, emer-
gency stops & interlocked guards/light curtains, certificates of electrical safety
•fire and emergency services equipment,
• forklifts, EWPs
• housekeeping of areas including chemical storage areas, testing of eye wash
and safety showers
• ladder inspections,
• leads for welding sets including flash back arrestors,
• lifting gear/equipment – cranes (incl crack testing or die penetration), hoists,
lifts (registration), scaffolding equipment, slings, chains, harnesses, lanyards,
forklift cages & jibs, inertia reels
• oxygen / gas sensors,
• pressure vessels & boilers – integrity, safety relief valves, piping, registration
• storage tanks,
• ventilation systems,
• warehouse racking. Compliant?
• backflow prevention devices, pH monitoring probes, air conditioning systems Y/N
8.1.2 The organization shall establish, implement and maintain a process(es)
for the elimination of hazards and reduction of HSE risks using the
following hierarchy of controls:
a) eliminate the hazard;
b) substitute with less hazardous processes, operations, materials or
equipment;
c) use engineering controls and reorganization of work;
d) use administrative controls, including training; Compliant?
e) use adequate personal protective equipment Y/N
8.1.3 The organization shall establish a process(es) for the implementation
and control of planned temporary and permanent changes that impact Compliant?
HSE performance, including: Y/N
a) new products, services and processes, or changes to existing
products, services and
processes, including:
— workplace locations and surroundings;
— work organization;
— working conditions;
— equipment;
— work force;
b) changes to legal requirements and other requirements;
c) changes in knowledge or information about hazards and HSE risks;
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d) developments in knowledge and technology.
The organization shall review the consequences of unintended
changes, taking action to mitigate any adverse effects, as necessary.
NOTE Changes can result in risks and opportunities.
8.1.4 Procurement of products and services is controlled.
Compliant?
Y/N
Procurement process(es) are coordinated with contractors to identify
hazards and assess and control HSE risks. Compliant?
Y/N
HSE criteria for the selection of contractors are defined and applied.
Compliant?
Y/N
When outsourcing functions and processes
 they are controlled
 outsourcing arrangements are consistent with legal and other
requirements
 type and control applied is defined within the HSE management Compliant?
system Y/N
8.2 Emergency preparedness and response
Process(es) needed to prepare for and respond to potential emergency
situations, as identified in 6.1.2.1, include:
 providing training for the planned response
 communicating and providing relevant information to all workers
on their duties and responsibilities
 communicating relevant information to contractors, visitors,
emergency response services, government authorities and, as
appropriate, the local community
NOTE – are drills conducted, debriefs occurring, emergency equipment Compliant?
suitable and maintained etc. Y/N

9 Performance Evaluation
9.1. Monitoring, measurement, analysis and performance evaluation
9.1.1 HSE performance is monitored, measured, analysed and evaluated.
Compliant?
Y/N
The organisation has determined:
 what needs to be monitored and measured
 the methods for monitoring, measurement, analysis and perform-
ance evaluation, as applicable, to ensure valid results
 the criteria against which the organization will evaluate its HSE
performance
 when the monitoring and measuring shall be performed
 when the results from monitoring and measurement shall be
analysed, evaluated and communicated

NOTE – also confirm processes to monitor risk control effectiveness

(e.g. inspections, workplace observations, hygiene surveys, health
surveillance programs etc). Compliant?
Y/N
Calibrated or verified monitoring and measurements equipment is
used as appropriate. Compliant?
Y/N
9.1.2 The organization shall establish, implement and maintain a process(es)
for evaluating compliance with legal requirements and other require-
ments (see 6.1.3). Compliant?
The organization shall: Y/N
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a) determine the frequency and method(s) for the evaluation of com-
pliance;
b) evaluate compliance and take action if needed (see 10.2);
c) maintain knowledge and understanding of its compliance status
with legal requirements and other requirements;
d) retain documented information of the compliance evaluation
result(s).
9.2. Internal audit
The organization shall conduct internal audits at planned intervals to
provide information on whether the HSE management system:
a) conforms to:
1) the organization’s own requirements for its HSE management sys-
tem, including the HSE policy and HSE objectives;
2) the requirements of this document;
b) is effectively implemented and maintained.

The organization shall:

a) plan, establish, implement and maintain an audit programme(s)
including the frequency, methods, responsibilities, consultation, plan-
ning requirements and reporting, which shall take into consideration
the importance of the processes concerned and the results of previous
audits;
b) define the audit criteria and scope for each audit;
c) select auditors and conduct audits to ensure objectivity and the
impartiality of the audit process;
d) ensure that the results of the audits are reported to relevant man-
agers; ensure that relevant audit results are reported to workers, and,
where they exist, workers’ representatives, and other relevant inter-
ested parties;
e) take action to address nonconformities and continually improve its
HSE performance (see Clause 10);
f) retain documented information as evidence of the implementation Compliant?
of the audit programme and the audit results. Y/N
9.3. Management review
Top management shall review the organization’s OH&S management
system, at planned intervals, to ensure its continuing suitability, ad-
equacy and effectiveness.
The management review shall include consideration of:
a) the status of actions from previous management reviews;
b) changes in external and internal issues that are relevant to the Compliant?
OH&S management system, including: Y/N
1) the needs and expectations of interested parties;
2) legal requirements and other requirements;
3) risks and opportunities;
c) the extent to which the OH&S policy and the OH&S objectives have
been met;
d) information on the OH&S performance, including trends in:
1) incidents, nonconformities, corrective actions and continual im-
provement;
2) monitoring and measurement results;
3) results of evaluation of compliance with legal requirements and
other requirements;
4) audit results;
5) consultation and participation of workers;
6) risks and opportunities;
e) adequacy of resources for maintaining an effective OH&S manage-
ment system;
f) relevant communication(s) with interested parties;
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g) opportunities for continual improvement.
The outputs of the management review shall include decisions related
to:
— the continuing suitability, adequacy and effectiveness of the OH&S
management system in achieving its intended outcomes;
— continual improvement opportunities;
— any need for changes to the OH&S management system;
— resources needed;
— actions, if needed;
— opportunities to improve integration of the OH&S management
system with other business processes; Compliant?
— any implications for the strategic direction of the organization Y/N
Relevant outputs of the management reviews are communicated to
workers and, where they exist, workers’ representatives.
The organization shall retain documented information as evidence of Compliant?
the results of management reviews. Y/N
10 Improvement
10.2 The organization shall establish, implement and maintain a
process(es), including reporting, investigating and taking action, to
determine and manage incidents and nonconformities. When an incid-
ent or a nonconformity occurs, the organization shall:
a) react in a timely manner to the incident or nonconformity and
1) take action to control and correct it;
2) deal with the consequences;
b) evaluate, with the participation of workers (see 5.4) and the involve-
ment of other relevant interested parties, the need for corrective ac-
tion to eliminate the root cause(s) of the incident or nonconformity, in
order that it does not recur or occur elsewhere, by:
1) investigating the incident or reviewing the nonconformity;
2) determining the cause(s) of the incident or nonconformity;
3) determining if similar incidents have occurred, if nonconformities
exist, or if they could potentially occur;
c) review existing assessments of risks (see 6.1);
d) determine and implement any action needed, including corrective
action, in accordance with the hierarchy of controls (see 8.1.2) and the
management of change (see 8.1.3);
e) assess risks that relate to new or changed hazards,
f) review the effectiveness of any action taken,
g) make changes to the management system, if necessary. Compliant?
Y/N
Corrective actions shall be appropriate to the effects or potential ef-
fects of the incidents or
nonconformities encountered.
The organization shall retain documented information as evidence of:
— the nature of the incidents or nonconformities and any subsequent
actions taken;
— the results of any action and corrective action, including their ef-
fectiveness.
The organization shall communicate this documented information to
relevant workers, and, where they exist, workers’ representatives, and
other relevant interested parties
10.3 The organization shall continually improve the suitability, adequacy
and effectiveness of the OH&S management system, by:
a) enhancing OH&S performance; Compliant?
b) promoting a culture that supports an OH&S management system; Y/N
c) promoting the participation of workers in implementing actions for
the continual improvement of the OH&S management system;
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ISO 45001:2018 & ISO 14001:2015 Management System Checklist

Clause Title Non-Conform-

Date
No. Migration Requirements ance Ref
d) communicating the relevant results of continual improvement to
workers, and, where they exist, workers’ representatives;
e) maintaining and retaining documented information as evidence of
continual improvement.
Final Statement

Name

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