© Akhil K Garg .

Audit Che c k list - ISO 45001:2018 OHSMS Page 1 of 7

I nt roduc t ion:
ISO has since published its much-awaited management-systems to achieve the actual purpose; since they either present text copied
standard ISO 45001:2018, presenting wonderfully determined as such from the Standard, or present some deviation from the
elements (requirements) for the most effective Occupational Health intended requirements of the Standard, where the text is changed.
and Safety Management System (OHSMS) for all organizations. To facilitate this, and based on his vast experience of all such
No doubt, the effectiveness and success of such an OHSMS in an management-systems since 1996, the author presents a
organization depends on the level of its actual compliance against all comprehensive but easy to understand checklist covering all the
the ‘requirements’ put-up under this Standard. Obviously, the right requirements under standard ISO 45001:2018, but at the same time,
type of audits and/or assessments are the only tools to bring out the without any change in the intent of the Standard.
status of such compliances; and no doubt, a good audit checklist is a This checklist by the author may be used for all types of assessments
must to ensure the desired quality of such an audit/assessment. and audits against ISO 45001:2018, viz, first-party, second-party and
Indecently, standard ISO 45001:2018 presents its various OHSMS third-party; and also, for clearly understanding and appreciating this
requirements rather mixed-up under complex syntaxes and Standard.
sentence-structures. This makes it difficult for a common user to Earlier, the author shared on www.acedamia.edu his easily-
clearly understand all these requirements, and also, to precisely understandable version of ISO 45001:2018, which may also be
appreciate them in terms of the intended approach and purpose. referred, if required.
This is why, such audit checklists available elsewhere generally fail

N ot e s:
A. This is a high-level checklist, comprehensively covering all the requirements under standard ISO 45001:2018 given there
mixed-up under complex syntaxes and sentence-structures. Here, the checkpoints to ‘formulate the system’ are given under
unshaded cells, whereas those to ‘implement the system’ are given under yellow-shaded cells.
B. For using this checklist for audits, following may be undertaken as required.
1. Decide relevant checkpoints, out of those listed here, vis-à-vis related lower-level checkpoints and sample-
size/functions/levels/etc, as considered suitable for the concerned audit; and
2. Record the ‘audit findings’ and ‘audit conclusion’ separately against every chosen checkpoint, or under the space added
against every checkpoint.
C. Terms ‘document’ and ‘record’ have been used here to specify the related intent under standard ISO 45001:2018, as against
the common term ‘documented information’ used under the Standard – ref. clause A.3.f of the Standard.
D. All other terms under ISO 45001:2018 (defined there under clauses 3 and A.3) have been used as such in this checklist.
E. Following terms having specific concepts and meanings under ISO 45001:2018 (retained here as such) need to be specifically
understood by those using this checklist.
- Determine - Establish - Plan - Define - Assess - Implement - Maintain - Ensure - Include - Consider - Take into account
- Appropriate - Applicable - Necessary - Process(es)
(ISO 45001:2018)
Clause

Sl
Checkpoint
No

1. Following external issues, and internal issues, determined?

4 .1

- Which are relevant to the purpose of organization, and - Which affect organization’s ability to achieve intended outcome of OHSMS.
2. Interested parties (relevant to OHSMS, and other than workers) determined?
4 .2

3. Relevant needs and expectations (= requirements) of workers and above other interested parties determined?
4. Determined, which of above needs and expectations are, or could become, compliance obligations for the organization?
5. Boundaries of OHSMS, and applicability of OHSMS, determined?
6. Based on above determined boundaries and applicability of OHSMS, the scope of OHSMS established, and documented?
7. Above determined scope of OHSMS fulfils the following?
o Considers external issues, and internal issues, (4.1)?
4 .3

o Takes into account:

- Requirements of workers and other interested parties (4.2)?
- Planned work-related activities of the organization? And
- Performed work-related activities of the organization?
Other checkpoint against this clause included under 4.4 below, since relevant there .
8. An OHSMS established, in accordance with the requirements of standard ISO 45001:2018?
9. Established OHSMS fulfils the following?
o Does it include:
- Needed processes, and their interactions?
- Activities, products, and services within organization’s control, or influence, that can impact its OH&S performance? (required under
clause 4.3, but relevant here to include)
4 .4

- Documents and records required by standard ISO 45001:2018? (required under clause 7.5.1, but relevant here to include).
- Documents and records of internal origin, and external origin, determined (7.5.1) by organization as being necessary for effectiveness
of OHSMS? (required under clause 7.5.1, but relevant here to include)
o Does it consider the outcome of 4.1, 4.2 and 4.3? (required under clause 6.1.1, but relevant here to include)
o Does it take into account determined legal requirements and other requirements? (required under clause 6.1.3, but relevant here to include)
10. Implementation of the above established OHSMS evident?
11. Maintenance of the implemented OHSMS evident?
12. Continual improvement of the maintained OHSMS evident?

(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 1 of 7
 © Akhil K Garg . Audit Che c k list - ISO 45001:2018 OHSMS Page 2 of 7

(ISO 45001:2018)
Clause
Sl
Checkpoint
No

13. Leadership and commitment of ‘top management’ towards OHSMS demonstrated through following?
a. Taking - overall responsibility, and - overall accountability … for:
o The prevention of work-related – injury, and - ill health,
o The provision of - safe workplaces, - safe activities, - healthy workplaces, and - healthy activities;
b. Ensuring that:
o OH&S policy is established,
o Related OH&S objectives are established, and
o Both the above are compatible with strategic direction of organization;
5 .1

c. Ensuring t h a t O H S M S requirements are integrated into organization’s business processes;

d. Ensuring that needed resources are available to: - establish, - implement, - maintain, and - continually improve .. the OHSMS;
e. Communicating: - the importance of effective OH&S management, and - the importance of conforming to O H S M S requirements;
f. Ensuring that the O H S M S achieves its intended outcome(s);
g. - Directing, and - supporting ... persons to contribute to the effectiveness of O H S M S ;
h. – Ensuring, and - promoting … continual improvement of OHSMS;
i. Supporting other relevant management roles to demonstrate their own leadership, as it applies to their own areas of responsibility;
j. – Developing, - leading, and - promoting … a culture in the organization that supports the intended outcomes of OHSMS;
k. Protecting workers from reprisals when they report - incidents, - hazards, - risks, and - opportunities;
l. Ensuring that process(es) are established, and implemented, .. for - consultation, and - participation … of workers; and
m. Supporting the - establishment, and - functioning ... of health and safety committees.
14. Top management established OH&S policy for the organization?
15. Above established OH&S policy documented?
16. Above established OH&S policy fulfils all the following?
o Is it appropriate to, the purpose/size/context of organization (4.1 to 4.4); and to specific nature of organization’s OH&S risks (6.1.2.2)
and OH&S opportunities (6.1.2.3)?
o Does it provide a framework for setting OH&S objectives?
o Is it relevant and appropriate for the organization?
o Does it include following commitments?
- Commitment to provide safe and healthy working conditions for prevention of work-related injury and ill health.
5 .2

- Commitment to fulfil legal requirements and other requirements.

- Commitment to eliminate hazards.
- Commitment to reduce OH&S risks.
- Commitment to continual improvement of the OHSMS.
- Commitment to consultation with, and participation of, workers/workers’-representatives.
17. Above established OH&S policy communicated within the organization?
18. Above established OH&S policy available to interested parties of organization?
19. Implementation of above established OH&S policy evident?
20. Maintenance of above implemented OH&S policy evident?
21. Top management ensures that responsibilities and authorities for relevant roles within OHSMS are:
- assigned, and - communicated .. at all levels within the organization?
22. Above assigned/communicated roles, responsibilities and authorities documented?
23.
5 .3

Despite above assigned responsibilities/authorities, top management takes overall accountability for OHSMS functioning?
24. Top management assigned specific responsibilities and authorities for the following?
- To ensure that OHSMS conforms to the requirements of standard ISO 45001:2018.
- To report on the performance of OHSMS to organization’s top management.
25. Workers at each level assume responsibility for those aspects of OHSMS over which they have control?
26. Following process(es) established (for the development, planning, implementation, performance evaluation, and
improvement of OHSMS)?
- For consultations with workers and workers’-representatives, and - For participation of workers and workers’-representatives,
….. at all applicable levels and functions.
27. Implementation of above established process(es) evident?
28. Maintenance of above implemented process(es) evident?
29. Following provided for above consultations and participation?
- Necessary mechanism, time, training and resources; and - Timely access to clear, understandable and relevant information about OHSMS.
30. Obstacles or barriers to above ‘participation’ determined?
31. Above determined obstacles/barriers to participation removed or minimized?
32. ‘Consultations’ with non-managerial workers emphasized/emphasizes on following?
1. Determining the needs and expectations of interested parties (4.2),
2. Establishing the OH&S policy (5.2),
5 .4

3. Assigning applicable organizational roles, responsibilities and authorities (5.3),

4. Determining how to fulfil legal requirements and other requirements (6.1.3),
5. Establishing OH&S objectives (6.2.1), and planning to achieve them (6.2.2),
6. Determining applicable controls for outsourcing, procurements and contractors (8.1.4),
7. Determining what needs to be monitored, measured and evaluated for OHSMS (9.1),
8. Planning, establishing, implementing and maintaining audit programme(s) (9.2.2),
9. Ensuring continual improvement (10.3).
33. ‘Participation’ with non-managerial workers emphasized/emphasizes in following?
1. Determining the mechanism for their consultation and participation,
2. Identifying hazards (6.1.1), and assessing risks and opportunities (6.1.2),
3. Determining actions to eliminate hazards and reduce OH&S risks (6.1.4),
4. Determining competence requirements, training needs, training, & evaluating training (7.2),
5. Determining what needs to be communicated and how this will be done (7.4),
6. Determining control measures and their effective implementation and use (8.1, 8.1.3, 8.2),
7. Investigating incidents and nonconformities, and determining corrective actions (10.2).

(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 2 of 7
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(ISO 45001:2018)
Clause
Sl
Checkpoint
No

34. Risks, and opportunities, determined, and documented, for the following?
o To give assurance that OHSMS can achieve its intended outcome(s).
o To prevent, or reduce, the undesired effects of OHSMS.
o To achieve continual improvement of OHSMS.
35. Above determination of risks/opportunities for OHSMS, and its intended-outcomes, take-into-account the following?
 Hazards (6.1.2.1), OH&S risks (6.1.2.2), other risks (6.1.2.2), OH&S opportunities (6.1.2.3), other opportunities (6.1.2.3),
legal requirements and other requirements (6.1.3).
6 .1 .1

36. Following risks and opportunities determined and assessed, and documented, in all planning processes (as under 6.1.2 to
6.1.4)?
o That are relevant to the intended outcomes of OHSMS due to changes in the organization.
o That are relevant to the processes of the organization. or
o That are relevant to the OHSMS of the organization.
Other checkpoint against this clause included under 4.4 above, since relevant there .
37. Above assessments undertaken before implementing planned changes in organization (8.1.3), whether permanent or
temporary?
38. Process(es) established for ongoing and proactive hazard identification?
39. Above established process(es) for hazard identification take-into-account all of the following?
a. How work is organized, social factors (including workload, work hours, victimization, harassment, bullying), leadership, and culture in
organization.
b. Hazards arising from routine activities, non­routine activities, routine situations, non-routine situations, infrastructure/equipment,
materials/substances, physical conditions of workplace, product/service design, research/development/testing, production/service-
delivery, assembly/construction, maintenance, disposal, human factors, and how the work is performed.
c. Past relevant incidents, internal or external to the organization, including emergencies, and their causes.
d. Potential emergency situations.
6 .1 .2 .1

e. People, including, (1) those having access to the workplace and activities, including workers, contractors, visitors, and other persons;
(2) those in the vicinity of the workplace who can be affected by the activities of the organization; and
(3) workers at a location not under the direct control of the organization.
f. Other issues, including consideration of, (1) the design of work-areas, processes, installations, machinery, equipment, operating-
procedures, work-organization - including their adaptation to the needs and capabilities of the workers involved; (2) situations occurring
in the vicinity of the workplace under organization’s control, caused by work-related activities; and (3) situations occurring in the
vicinity of the workplace not controlled by organization but can cause injury and ill health to persons in the workplace.
g. Actual or proposed changes in the organization and its operations, processes, activities and OHSMS (8.1.3).
h. Changes in knowledge of, and information about, hazards.
40. Implementation of above established process(es) of hazard identification evident?
41. Maintenance of above implemented process(es) of hazard identification evident?
42. Process(es) established for the following?
a. To assess OH&S risks from the above identified hazards (6.1.2.1), taking into account the effectiveness of existing controls.
b. To determine and assess other risks related to the establishment, implementation, operation, and maintenance of OHSMS.
6 .1 .2 .2

43. Above established process(es) of risks assessment/determination implemented?

44. Above implemented process(es) of risks assessment/determination maintained?
45. Methodology and criteria defined, and documented, - in terms of their scope, nature, and timing - for proactive and
systematic assessment of OH&S risks?
46. Records of assessed OH&S risks through above methodology and criteria available?
47. Process(es) established to assess the following opportunities?
o OH&S opportunities to enhance OH&S performance, taking into account planned changes to the organization and its policies, its
processes, or its activities.
6 .1 .2 .3

o OH&S Opportunities to adapt work, work organization, and work environment, to workers.
o OH&S Opportunities to eliminate hazards, and reduce OH&S risks;
o Other opportunities for improving the OHSMS.
48. Above established process(es) of assessment of opportunities implemented?
49. Above implemented process(es) of assessment of opportunities maintained?
50. Process(es) established for the following?
o To determine legal requirements, and other requirements, that are applicable to organization’s hazards, OH&S risks, and OHSMS.
o To have access to up-to-date legal requirements and other requirements, as determined above.
o To determine how above determined legal requirements and other requirements apply to the organization.
To determine what needs to be communicated about above determined legal requirements and other requirements.
6 .1 .3

o
Other checkpoint against this clause included under 4.4 above, since relevant there .
51. Lists/documents available of above determined legal requirements and other requirements, their applicability to the
organization, and their communication requirements?
52. Records available to show updation of above determined legal requirements & other requirements to reflect any changes?
53. Records available to show that determined communications about legal requirements & other requirements are made?
54. Plans available for the following?
o For actins to address determined/assessed risks (6.1.2.2) and opportunities (6.1.2.3).
6 .1 .4

o For actions to address determined legal requirements and other requirements (6.1.3).
o For actions to prepare for, and respond to, the emergency situations (8.2).
o How to integrate and implement above actions into organization’s OHSMS processes, or other business processes.
o How to evaluate the effectiveness of above actions.

(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 3 of 7
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(ISO 45001:2018)
Clause
Sl
Checkpoint
No

55. Above planning for actions fulfil the following?

 Takes into account, the hierarchy of controls (8.1.2), and outputs from OHSMS.
 Considers organization’s best practices, technological options, financial requirements, operational requirements, and business requirements.
56. OH&S objectives at relevant functions and levels of organization established, and documented?
57. Above established OH&S objectives …
 Are consistent with the OH&S policy (5.2)?
 Are measurable, if practicable, or capable of performance evaluation?
6 .2 .1

 Take into account, (1) applicable requirements, (2) results of assessments of risks (6.1.2.2) and opportunities (6.1.2.3), and (3) results of
communication with workers (5.4) and workers’-representatives.
58. Above established OH&S objectives monitored?
59. Above established OH&S objectives communicated?
60. Above established OH&S objectives appropriately updated?
61. Documented plans for achieving the established OH&S objectives available?
62. Following determined under the above plans for achieving OH&S objectives?
6 .2 .2

a. What will be done, b. What resources will be required, c. Who will be responsible, d. When it will be completed,
e. How the results will be evaluated, f. What will be the indicators for monitoring the achievement, and
g. How actions to achieve OH&S objectives will be integrated into organization’s business processes.
63. Records available to show achievements against OH&S objectives?
64. Resources determined to establish, implement, maintain, and continually improve, the OHSMS?
7 .1

65. Above determined resources provided?

66. Records available for determined workers’ competence that affects, or can affect, organization’s OH&S performance?
67. Records available to demonstrate that workers are competent (including their ability to identify hazards) on the basis
7 .2

of appropriate education, training, or experience?

68. Records available for taken applicable actions to acquire, and to maintain, the necessary competence of workers?
69. Records available for evaluation of effectiveness of the above taken applicable actions?
70. Workers aware of the following?
1. The OH&S policy (5.2);
2. The OH&S objectives (6.2.1);
3. Their contributions to the effectiveness of the OHSMS;
4. The benefits of their improved OH&S performance;
5. The implications of not conforming with the requirements of OHSMS;
7 .3

6. The potential consequences of not conforming with the requirements of OHSMS;

7. Incidents that are relevant to them (10.2);
8. Outcome of investigations of above incidents (10.2);
9. Their relevant hazards (6.1.1), OH&S risks (6.1.2.2), and determined actions (6.1.4);
10. Their ability (eg, the permission to them) to remove themselves from work situations that they consider having an imminent and serious
danger to their own life and health;
11. Organization’s arrangements to protect them from undue consequences, if they remove themselves from dangerous work situations.
71. Process(es) established for internal communications relevant to OHSMS?
72. Process(es) established for external communications relevant to OHSMS?
73. Above established communication process(es) fulfil the following?
o Include: a. On what, b. When, c. With whom [ie, 1. internally among levels and functions of organization, 2. among
contractors and visitors to workplace, and 3. among other interested parties (ref 4.2)], and d. How … to communicate;
7 .4 .1

o Take into account - diversity aspects (eg, gender, language, culture, literacy, disability),
- legal requirements (ref 6.1.3), and - other requirements (ref 6.1.3); and
o Consider views of external interested parties.
o Ensure that OH&S information to be communicated is consistent with the information generated within the OHSMS, and is it reliable?
74. Appropriate records available to show implementation of above established internal/external communication process(es)?
75. Appropriate records available to show maintenance of above implemented internal/external communication process(es)?
76. Appropriate records available to show that communications received on organization’s OHSMS are responded?
77. Above internal communication process(es) enable workers to contribute to continual improvement?
7 .4 .2

78. Appropriate internal communications (among various levels and functions of organization) done about following?
- Information relevant to the OHSMS, and - Information on changes to the OHSMS.
79. External communications done, as follows?
7 .4 .3

- About the information relevant to OHSMS? - Done as per established process(es) (7.4.1)?
- Take into account legal requirements and other requirements (6.1.3)?
80. Documents and records (both of internal origin and external origin), which are necessary for effectiveness of OHSMS,
7 .5 .1

determined?
Other checkpoint against this clause included under 4.4 above, since relevant there .
81. Creation and updating of all OHSMS documents and records, ensure following for them?
Appropriate identification & description (eg, a title, date, author, or reference number);
7 .5 .2

-
- Appropriate format (eg, language, software version, graphics);
- Appropriate media (eg, paper, electronic);
- Appropriate review for suitability and adequacy;
- Appropriate approval for suitability and adequacy.

(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 4 of 7
 © Akhil K Garg . Audit Che c k list - ISO 45001:2018 OHSMS Page 5 of 7

(ISO 45001:2018)
Clause
Sl
Checkpoint
No

82. Control of all OHSMS documents and records ensure that these are ..
a. Available, and suitable for use, where and when needed?
b. Adequately protected (eg, from loss of confidentiality, improper use, or loss of integrity)?
83. Above control of documents and records address the following activities?
7 .5 .3

- distribution, - access, - retrieval, - use, - storage, - preservation, including of legibility,

- control of changes (eg, version control), - retention; and - disposition.
84. Documents and records of external origin, determined for the following?
- for the planning of OHSMS, and - for the operation of planned OHSMS.
85. Above determined external documents and records appropriately identified?
86. Above identified external documents and records appropriately controlled?
87. Processes planned, and documented, for the following?
o To meet the requirements of OHSMS.
o To implement the actions determined for the following:
(1) To address risks and opportunities (6.1.4), (2) To address legal requirements and other requirements (6.1.3)
(3) To prepare for, and respond to, emergency situations (8.2), and . (4) To achieve OH&S objectives (6.2.2).
88. Criteria for all the above processes established?
8 .1 .1

89. All the above established processes controlled, according to above established criteria?
90. Records available to demonstrate implementation of all the above processes?
91. Records available to demonstrate the control of all the above processes?
92. Records available to demonstrate the maintenance of all the above controlled processes?
93. Work adapted to workers?
94. At multi-employer workplaces, relevant parts of OHSMS coordinated with other organizations?
95. Process(es) established for the following?
- To eliminate the hazards (6.1.2.1), and - To reduce the OH&S risks (6.1.2.2)
96. Above established process(es) use the following hierarchy of controls?
a. Eliminate the hazard;
8 .1 .2

b. Substitute with less hazardous processes, operations, materials or equipment;

c. Use engineering controls and reorganization of work;
d. Use administrative controls, including training;
e. Use adequate personal protective equipment.
97. Above established process(es) implemented?
98. Above implemented process(es) maintained?
99. Process(es) established for the following planned (= intended) changes that impact OH&S performance?
- Implementation of planned temporary changes, - Control of planned temporary changed,
- Implementation of planned permanent changes, and - Control of planned permanent changes.
100. Following included under the above established process(es)?
a. New products/services/processes; or changes to existing products/services/processes, including:
8 .1 .3

— workplace locations, — workplace surroundings, — work organization,

— working conditions, — equipment, — work force;
b. Changes to legal requirements, and other requirements (6.1.3);
c. Changes in knowledge or information about - hazards (6.1.2.1), and - OH&S risks (6.1.2.2);
d. Developments in - knowledge, and - technology.
101. Unintended changes taking place? If yes, their OH&S consequences reviewed?
102. Actions taken to mitigate any adverse OH&S effects of unintended changes?
103. Process(es) established to control procurement of - products, and - services … to ensure their conformity to OHSMS?
8 .1 .4 .1

104. Implementation of above established procurement process(es) evident?

105. Maintenance of above implemented procurement process(es) evident?
106. Procurement process(es) coordinated with contractors to ensure the following?
- To identify hazards, - To assess OH&S risks, and - To control OH&S risks .. arising from following:
a. Contractors’ activities and operations that impact the organization;
8 .1 .4 .2

b. Organization’s activities and operations that impact the contractors’ workers; and
c. Contractors’ activities and operations that impact other interested parties in workplace.
107. Is it ensured that contractors and their workers meet organization’s OHSMS requirements?
108. OH&S criteria defined in organization’s procurement process(es) for the selection of contractors?
109. Above defined OH&S criteria applied for the selection of contractors?
110. Are outsourced functions and processes of the organization controlled?
111. For outsourced functions and processes, following defined within OHSMS?
8 .1 .4 .3

- The type of required control, and - The degree of required control.

112. Above defined controls applied on outsourced functions and processes?
113. Is it ensured that organization’s outsourcing arrangements are consistent with the following?
- With legal requirements, - With other requirements, and - With achieving the intended outcomes of OHSMS.
114. Process(es) established, and documented, - to prepare for, and - respond to …
8 .2

… potential emergency situations as identified in 6.1.2.1?

(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 5 of 7
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(ISO 45001:2018)
Clause
Sl
Checkpoint
No

115. Above established emergency handling process(es) fulfil the following?

o They include the following:
a. An established planned response to emergency situations, including provision of first aid;
b. Providing training for the planned response;
c. Periodically testing and exercising the planned response capability;
d. Evaluating performance, and undertaking necessary revision in planned response, including after testing, and in particular, after the
occurrence of emergency situations;
e. Communicating and providing relevant information to all workers on their duties and responsibilities; and
f. Communicating relevant information to contractors, visitors, emergency response services, government authorities and, as approp riate,
the local community.
o They take into account the following:
- Needs and capabilities of all relevant interested parties, and - Ensuring their appropriate involvement in planning the response.
116. Records available to provide evidence of implementation of above established emergency handling process(es)?
117. Records available to provide evidence of maintenance of above implemented emergency handling process(es)?
118. Process(es) established for needed monitoring, measurement, analysis, and performance evaluation under OHSMS?
119. Following determined, eg, under above process(es)?
o What needs to be - monitored, and - measured, ….. and this includes the following:
1. The extent to which legal requirements and other requirements (6.1.3) are fulfilled,
2. Activities and operations related to identified hazards (6.1.2.1), risks (6.1.2.2) and opportunities (6.1.2.3),
3. Progress towards achievement of OH&S objectives (6.2), and
4. Effectiveness of operational and other controls (8.1.1 to 8.1.4);
o The applicable methods for - monitoring, - measurement, - analysis, and - performance evaluation … to ensure valid results;
9 .1 .1

o The criteria against which organization’s OH&S performance will be evaluated;

o When to perform monitoring and measurement; and
o When to - analyse, - evaluate, and - communicate … the results from above performed monitoring and measurement.
120. Records available to demonstrate implementation of above established process(es)?
121. Records available to demonstrate maintenance of above implemented process(es)?
122. Based on above, OH&S performance of the organization evaluated?
123. Based on above evaluation, the effectiveness of organization’s OHSMS determined?
124. Monitoring and measuring equipment, used for above, controlled as follows?
- Calibrated or verified, as applicable, - Appropriately used, and - Appropriately maintained.
125. Records of maintenance, calibration or verification of measuring and monitoring equipment available?
126. Process(es) established for evaluating organization’s compliance with legal requirements and other requirements (6.1.3)?
127. Frequency and method(s) for evaluation of compliance with legal/other requirements, determined, eg, under above
process(es)?
128. Implementation of above established process(es) evident?
9 .1 .2

129. Maintenance of above implemented process(es) evident?

130. Based on the above, status of the compliance with legal/other requirements evaluated?
131. Results of above evaluation of compliance with legal/other requirements recorded?
132. On the findings of above evaluation, needed actions taken as per 10.2?
133. About organization’s compliance status with legal/other requirements, the knowledge and understanding maintained?
134. To provide following information, suitable interval for conducting internal audits planned?
a. Whether the OHSMS conforms to: (1) organization’s own requirements for its OHSMS, OH&S policy and OH&S objectives, and
9 .2 .1

(2) the requirements of standard ISO 45001:2018;

b. Whether the OHSMS is effectively implemented and maintained.
135. Internal audits conducted at above planned intervals?
136. An internal audit programme(s) planned and established?
137. Above planned and established audit programme(s) fulfils the following?
o It includes: - frequency, - methods, - responsibilities, - consultation, - planning requirements, and - reporting methods;
o It considers: - importance of the concerned processes, and - the results of previous audits.
138. Records available to demonstrate implementation of above established audit programme(s)?
139. Records available to demonstrate maintenance of above implemented audit programme(s)?
140. Following ensured for each audit?
9 .2 .2

o The audit criteria, and the scope of audit defined?

o Selected auditor(s) can ensure objectivity and impartiality of the audit process?
o Auditor(s) conducted audits to ensure objectivity and impartiality of the audit process?
o Records available to show audit results?
o Audit results reported to relevant management?
o Relevant audit results reported to workers and workers’ representatives, if exist?
o Relevant audit results reported to other relevant interested parties?
o Actions taken to address reported nonconformities (10.2)?
o Actions taken to improve organization’s OH&S performance?
141. To ensure the following, suitable interval planned for top-management’s review of OHSMS?
9 .3

- Continuing suitability of the OHSMS, - Continuing adequacy of the OHSMS, and - Continuing effectiveness of the OHSMS.
142. Top management conducts reviews of OHSMS at above planned intervals?

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(ISO 45001:2018)
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143. Records available to show that following considerations (= agenda) are included for every management review?
a. The status of actions from previous management reviews;
b. Changes in external issues and internal issues (4.1) that are relevant to OHSMS, including
1. - Needs, and - expectations …. of interested parties (4.2),
2. - legal requirements, and - other requirements … (6.1.3),
3. - Risks (6.1.2.2), and - opportunities (6.1.2.3);
c. Extent to which - OH&S policy (5.2), - OH&S objectives (6.2) … have been met;
d. Information on the organization’s OH&S performance (9.1.1), including trends in:
1. - Incidents, - nonconformities, - corrective actions (10.2), and - continual improvement (10.3),
2. Monitoring and measuring results (9.1.1),
3. Results of evaluation of compliance with: - legal requirements, and - other requirements (9.1.2),
4. Audit results (9.2),
5. Consultation and participation of workers (5.4),
6. - Risks (6.1.2.2), and - opportunities (6.1.2.3);
e. Adequacy of resources for maintaining an effective OHSMS (7.1);
f. Relevant communication(s) with interested parties (7.4.1);
g. Opportunities for continual improvement (10.3).
144. Records available to show that decisions related to the following are included under outputs (= decisions) of every
management review?
- Continuing - suitability, - adequacy, and - effectiveness … of OHSMS in achieving its intended outcomes;
- Continual improvement opportunities for the OHSMS;
- Any need for changes to the OHSMS;
- Resources needed for the OHSMS;
- Actions, if needed, for the OHSMS;
- Opportunities to improve integration of the OHSMS with other business processes; and
- Any implications of the OHSMS for the strategic direction of the organization.
145. Top management communicates relevant outputs (= decisions) of conducted management reviews to workers and workers’
representatives, if exist?
146. Opportunities determined for improvements in intended outcome of the OHSMS, through use of ‘performance
1 0 .1

evaluation’ (9.1, 9.2, 9.3)?

147. Necessary actions implemented to achieve the intended outcome of OHSMS?
148. Process(es) established to determine, and manage, incidents, and nonconformities?
149. Following included under the above established process(es)?
• the methods for, - reporting, - investigating, and - taking action … on the – incidents, and - nonconformities.
150. Implementation of above established process(es) evident?

151. Maintenance of above implemented process(es) evident?

152. Following undertaken when an incident, or a nonconformity, occurs?
a. Reacting to it in a timely manner, and:
1. Taking action, as applicable, - to control it, and - to correct it, and 2. Dealing with its consequences, as applicable;
b. Evaluating [with the participation of workers (5.4), and involvement of other relevant interested parties] the need for corrective action
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 causes of the incident or nonconformity;
3. determining, - if similar incidents have occurred, - if nonconformities exist, or - if they could potentially occur;
1 0 .2

c. Reviewing existing assessments of OH&S risks and other risks (6.1.2.2), as appropriate;
d. – Determining, and - implementing … any action needed (including corrective action), in accordance with:
- hierarchy of controls (8.1.2), and - management of change (8.1.3);
e. Assessing OH&S risks that relate to new or changed hazards, prior to taking above action;
f. Reviewing the effectiveness of any above taken action, including corrective action; and
g. Making changes to the OHSMS, if necessary.
153. Undertaken corrective actions appropriate to the effects, or potential effects, of the encountered incidents or
nonconformities?
154. Records of the following maintained?
o Nature of incidents or nonconformities.
o Subsequent actions taken on incidents and nonconformities.
o Results of any action and corrective action, including their effectiveness.
155. Above records communicated to the following?
- To workers and workers’ representatives, if exist; and - To other relevant interested parties.
156. Enhancement in organization’s OH&S performance evident?
157. Promotion of a culture evident in the organization to supports its OHSMS?
158. Promotion of the participation of workers evident in organization in implementing actions for the continual improvement
1 0 .3

of the OHSMS?
159. Records available to provide evidence of continual improvement of OHSMS?
160. Relevant results of continual improvement communicated to workers and workers’ representatives, if exist?
161. Methods to pursue continual improvement of OHSMS documented?

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(April 2019) by Akhil K Garg, Management Systems Expert, Sen Mem ASQ, and CB Auditor Published on: www.academia.edu Page 7 of 7