FO8 Audit Report - 45001 - v2.0

MSECB Certification - ISO 45001:2018
Management System Audit Report

of Company ABC
06100-FO8-Audit Report_45001 Approver: SBOD
Owner: CM Approval date: 2022-02-01
Classification:Confidential | ACL: MSECB Staff Version: 2.0
Status: Released Page 2 of 17
DISTRIBUTION
The content of this report must not be disclosed to a third party without the agreement of the
MSECB Client.
DISCLAIMER
This report has been prepared by MSECB in respect of a Client's application for assessment
by MSECB. The purpose of the report is to verify the Client's conformance with the
management system standard(s) or other criteria specified. The content of this report
applies only to matters, which were evident to MSECB at the time of the audit within the
audit scope. MSECB does not warrant or otherwise comment upon the suitability of the
contents of the report or the certificate for any particular purpose or use. MSECB accepts no
liability whatsoever for consequences to, or actions taken by, third parties as a result of or in
reliance upon information contained in this report or certificate.
This audit is based on a sampling process of the available information and the auditors nor
MSECB can guarantee that all, if any, non-conformities have been discovered.
1. Audit information 5
1.1. Organization information 5
1.2. Audit information 5
1.3. Audit Scope 6
2. Audit preparation and methodology 6
2.1. Audit objectives 6
2.2. Audit criteria 6
2.3. Audit methodology 7
2.4. Previous audit results 7
2.5. Audit planning 7
2.6. Key people interviewed 8
2.7. MSECB complaint and appeal process 8
3. Significant audit trails followed 9
4. Audit findings 13
4.1. Audit finding definition 13
4.2. Major nonconformities (see also Annex A) 14
4.3. Minor nonconformities (see also Annex A) 14
4.4. Observations 14
4.5. Opportunities for improvement 14
4.6. Agreed follow-up activities 14
4.7. Uncertainty / obstacles that could affect the reliability of audit conclusions 14
4.8. Unresolved diverging opinions between the audit team & auditee 14
5. Audit conclusions and audit recommendation 15
5.1. System management conformance and capability 15
5.2. Audit conclusions 15
5.3. Recommendation 15
6. Annex A: Nonconformity report 16
6.1. Nonconformity Report 16
7. Annex B: Certification Information 19
8. Annex C: Surveillance Plan 20
Place, and Date

To Mr. John Smith (example)
Organization Name
I have audited the Management System (MS) of Company ABC (Organization Name) from
May 12th to May 15th 2017. The main objective of this audit was to assess if the MS has
been successfully implemented and effective, as well as to evaluate the conformance of the
organization to the ISO 45001:2018 requirements. Based on these assessments and
evaluations, a decision has been made whether or not to recommend your organization for
certification against ISO 45001:2018.
The audit team has conducted the audit based on the organization’s defined processes in
correspondence with the audit plan. The audit conducted by a professional team was a
process-based audit with a focus on the significant aspects, risks and objectives. The audit
was conducted in accordance with the ISO 19011 and ISO/IEC 17021 standards, which are
accepted worldwide. Those standards require our audit team to plan and perform the audit in
order to acquire reasonable assurance whether your company’s management system is
effective and all requirements of ISO 45001 have been met.
During the course of the audit process, the management system has proven overall
conformity with the requirements of the standard. The audit team has concluded that your
organization has established and preserved its management system according to the
requirements of the standard and proved the ability of the system to consistently achieve the
approved requirements for the services within the scope of your organization and also on
your organization’s policy and objectives.
The conformance level with the standard can still be improved despite the fact that no
nonconformities or only one nonconformity has been found during the audit. This was a
sample based audit. Nonconformities and other opportunities for improvement can still be
found in the audited and non-audited areas.
Referring to the results of the audit process and the demonstration of the organization’s
development and maturity, the audit team recommends that your organization’s
management system should be certified to ISO 45001.
Name Surname
Audit Team Leader
1. Audit information
1.1. Organization information
Company name:
Contract number:
Phone number:
Website:
Total number of employees:
Total number of employees within the
scope:
Please provide justification for the employees that are not

included in the certification scope.
Contact name:
Contact email:
Contact phone:
Sites:
# of
State,
Employees
Site # Street Address City Province, Zip Code
within the
Country
scope
1
(main)
2
3
4
1.2. Audit information
Audit standard(s):
☐ Initial Audit ☐ Surveillance 1
Audit type: ☐ Recertification ☐ Surveillance 2
☐ Other:
Date(s) of audit(s):
Duration:
Audit team leader:
Additional team member(s):
Additional attendees and roles:
Site # Sites Audited

1 ☐
(main)
2 ☐
3 ☐
4 ☐
1.3. Audit Scope
Certification audit scope:
Date and version of scope statement:

Has scope changed since last audit?
All scope exclusions are appropriate and
justified:
Important Note* Excluded clauses in the audited
Management System shall be put in the certificate
2. Audit preparation and methodology

2.1. Audit objectives
The main purpose of this audit is to evaluate the implementation and effectiveness of the
Occupational Health and Safety Management Systems (OHSMS) including evaluation of conformity
to the requirements of ISO 45001:2018.

The specific objectives of this audit are to confirm that:
 The organization has determined the boundaries and applicability of the MS in
scope;
 The management system conforms with all the requirements of the audit standards
(Clause 4 to 10 of ISO 45001:2018);
 The management system conforms with all applicable legal and regulatory
requirements;
 The management system is capable of achieving the objectives of the
organization`s policies;
 The organization has established, implemented, maintained and continually
improved its MS, including the processes needed and their interactions, in
accordance with the requirements of the ISO 45001:2018.
2.2. Audit criteria
The audit criteria (the set of requirements) for this audit are all normative clauses of ISO 45001:2018.
 Clause 4 – Context of the organization

 Clause 5 – Leadership
 Clause 6 – Planning
 Clause 7 – Support
 Clause 8 – Operation
 Clause 9 – Performance evaluation
 Clause 10 – Improvement
 Additional requirements
o Use of logo and trademarks
o Documentation and processes defined in the management system developed
by the client
2.3. Audit methodology
[Please explain the methodology used by the audit team to perform this audit, similar to the sample
below]
The audit team has conducted a process-based audit focusing on the significant aspects, risks and
objectives. The auditors have used audit procedures to collect evidence in sufficient quantity and
quality to validate the conformity of the management system of the organization. The use of audit
procedures in a systematic way reduces the audit risk and reinforces the objectivity of the audit
conclusions.
The audit team has used a combination of evidence collection procedures to create their audit test
plan. The audit methods used consisted of interviews, observations of activities, review of
documentation and records, technical tests and analysis of sampling.
The analysis procedure allows the audit team to draw conclusions concerning a whole by examining a
part. It allows the auditor to estimate characteristics of a population by directly observing a part of the
whole population. The sampling method used during this audit was a systematic sampling (or interval
sampling) technique with a margin error of 3 to 5 %.
Technical tests, including testing of the effectiveness of a process or control have not been performed
by the auditors themselves. The operations have always been performed by the personnel of the
auditee.
2.4. Previous audit results
The results of the last audit of this system have been reviewed, in preparation for this audit in
particular to assure appropriate correction and corrective action have been implemented to address
any nonconformity identified. This review has concluded that:
☐ any nonconformity identified during previous audits has been corrected and the corrective action
continues to be effective
☐ any nonconformity identified during previous audits hasn’t been addressed adequately and the
specific issue has been re-defined in the nonconformity section of this report
☐ N/A (no previous audits or no nonconformities during the previous audit)
2.5. Audit planning
[Please describe how the audit was planned by the audit team. Please check the example below]
The team leader of the audit has established an initial contact with the auditee to make arrangement
for this audit, including scheduling the dates. The team leader has validated the feasibility of the
audit, the audit objectives, the audit scope, the location and the audit criteria.
The audit plan was sent to the auditee and it was confirmed before the opening meeting between the
audit team and the auditee.
The onsite audit was started with an opening meeting which has been attended by the general
manager and the OHSMS responsible. The MSECB profile, audit purpose, methodology, reporting
system, appeal process and confidentiality were briefly presented to the client during the opening
meeting.
2.6. Key people interviewed
Opening Closing
Meeting Meeting Date of
Name Title Department / Process
(Yes or (Yes or interviewing
No) No)
2.7. MSECB complaint and appeal process
Any client may appeal any decision made by the audit team. Appeals must be in writing and are
addressed using MSECB’ procedure for handling appeals and disputes. If MSECB fails to resolve the
appeal to the organization’s satisfaction, the appeal can be escalated to MSECB Advisory Board.
MSECB Complaint and Appeal Procedure: https://MSECB-ms.com/en/complaintAndAppealProcedure

Classification: Confidential | ACL: MSECB Staff Version: 2.0
3. Significant audit trails followed

Notes on usage by the auditor:
Under the column “Status”, please use the following key to record your assessment result for each clause:
A = Acceptable
N/A = Not Applicable (Out of Scope)
MaNC = Major Nonconformity
MiNC = Minor Nonconformity
OBS = Observation
OFI = Opportunity for improvement
*nonconformities are explained in “Section 4: Audit Findings”.
Evidence should be provided also for ‘Acceptable’ clauses.
If nonconformity is identified (Minor or Major), please include the number of the nonconformity in the column “No. of NC”. Detailed description
of the nonconformity should be provided in Annex A – Nonconformity Report.
If OBS or OFI is identified, please explain in details the finding(s) in section 4.4 and 4.5.
No.
Clause
Status Audit Evidence of
Requirement
NC
Findings/justification of findings/specifics/notes
4 Context of the organization
4.1 Understanding the organization and its context
Understanding the needs and expectations of interested
4.2
parties
Determining the scope of the quality, environmental and
4.3
OH&S management system
4.4 OH&S management system
5 Leadership
5.1 Leadership and commitment
5.2 OH&S policy
5.3 Organizational roles, responsibilities and authorities
5.4 Consultation and participation of workers

6 Planning
6.1 Actions to address risks and opportunities
6.2 OH&S objectives and planning to achieve them
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
Owner: MSECB Approval date: 2022-02-01
No.
Clause
Status Audit Evidence of
Requirement
NC
7.5 Documented information
8 Operation
8.1 Operational planning and control
8.2 Emergency preparedness and response
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.3 Management review

10 Improvement
10.1 General
10.2 Incident, nonconformity and corrective action
10.3 Continual improvement
Additional requirement
Use of logo and trademark
List of documents included in the audited MS

4. Audit findings
The audit findings were communicated to the senior management of the organization during
the closing meeting. The final conclusion of the audit results and recommendation by the
audit team was also communicated to the management during the meeting.
4.1. Audit finding definition
The evaluation of the audit findings is based on the following definitions:
Major Nonconformities (MaNC)
The absence or total failure of a system to meet a requirement. It may be either:

 A number of minor nonconformities against one requirement can represent a total failure
of the system and thus be considered a major nonconformance; or
 Any nonconformance that would result in the probable shipment of a nonconforming
product. A condition that may result in the failure or materially reduce the usability of the
products or services for their intended purpose; or
 A nonconformance that judgment and experience indicate is likely either to result in the
failure of the OHSMS or to materially reduce its ability to assure controlled processes
and products.
Minor Nonconformities (MiNC)
A nonconformance that judgment and experience indicate is not likely to result in the
failure of the quality, environment and health & safety system or reduce its ability to assure
controlled processes or products. It may be either:
 A failure in some part of the supplier's documented OHSMS relative to a requirement; or
 A single observed lapse in following one item of a company’s OHSMS.
Observations (OBS)
Any issues which are likely to become a NC if not treated until the next audit are marked as
observations (OBS). No response is required.
Opportunities for Improvement (OFI)
If certain aspects which generally comply with the requirements of the standard should be
improved, then they are marked as opportunities for improvement (OFI). These OFIs help to
improve the management system as a whole or named processes. No response is required.
4.2. Major nonconformities (see also Annex A)
Please explain if there are major non-conformities found during the audit.
4.3. Minor nonconformities (see also Annex A)
Please explain if there are minor non-conformities found during the audit.
4.4. Observations
Please list any noted observations or issues that can possibly turn to non-conformities.
4.5. Opportunities for improvement
Please list any noted opportunities for improvement without any specific recommendations for
correction.
4.6. Agreed follow-up activities
Nonconformities detailed here need to be addressed through the organization’s corrective action
process, in accordance with the relevant corrective action requirements of the audit standard,
including actions to analyze the cause of the nonconformity, prevent recurrence, and complete the
maintained records.
Corrective actions to address the identified major nonconformities, shall be carried out immediately
and MSECB shall be notified of the actions taken within 30 days. To confirm the actions taken,
evaluate their effectiveness, and determine whether certification can be granted or continued, a
MSECB auditor will perform a follow up visit within 90 days.
Corrective actions to address the identified minor nonconformities shall be documented on an action
plan and be sent for review by the client to the auditor within 30 days. If the actions are deemed to be
satisfactory, they will be followed up during the next scheduled visit.
Nonconformities shall be addressed through the client’s corrective action process, including:
 Actions taken to determine the extent of and contain the specific nonconformance.
 Root Cause (results of an investigation to determine the most basic cause(s) of the
nonconformance.).
 Actions taken to correct the nonconformance and, in response to the root cause, to
eliminate recurrence of the nonconformance.
 Corrective action response shall be submitted to the MSECB Lead Auditor.
 Client must maintain corrective action records, including objective evidence, for at
least three (3) years.
4.7. Uncertainty / obstacles that could affect the reliability of audit conclusions
Please specify.
4.8. Unresolved diverging opinions between the audit team & auditee
Please specify.
5. Audit conclusions and audit recommendation

5.1. System management conformance and capability
[Please describe if the management system has proven conformity with the requirements of
the audit standard and provided adequate structure to support implementation and
maintenance of the management system
i.e:
 demonstration of effective implementation and maintenance of MS
 demonstration of established and tracking of proper key performance objectives
and targets
 implementation of internal audit programme etc. ]
5.2. Audit conclusions
Has there been any serious deviation from the audit plan? (If yes, please Yes ☐ No ☐
specify)
Are there any significant issues impacting the audit program? (If yes, Yes ☐ No ☐
please specify)
Are there any significant changes affecting the management system since Yes ☐ No ☐ N/A ☐
last audit took place? (If yes, please list the significant changes)
Are there any unresolved issues affecting the management system since Yes ☐ No ☐ N/A ☐
last audit took place? (If yes, please list the unresolved issues)
The verification of the effectiveness of the corrective action taken regarding Yes ☐ No ☐ N/A ☐
previously identified nonconformities has been performed and is
satisfactory (please list any comments if needed)
The management system is designed to achieve the organization’s policy Yes ☐ No ☐

objectives
The management system is designed to meet statutory, regulatory and Yes ☐ No ☐

contractual requirements
The internal audit and management review processes are in place and Yes ☐ No ☐
adequate
The audit was successful in meeting the stated objectives Yes ☐ No ☐
5.3. Recommendation
Lead Auditor Recommendation:
[Please recommend whether the management system of the organization being audited,
should be certified or not certified)
6. Annex A: Nonconformity report

6.1. Nonconformity Report
Note: If more than one nonconformity identified, please add additional nonconformity reports
NON CONFORMITY REPORT

DATE ORGANIZATION NC ID
STANDARD: ISO 45001:2018

TO BE COMPLETED BY AUDITOR
NON CONFORMITY OBSERVED IN PROCESS/

AREA
REQUIREMENT OF THE STANDARD: CLAUSE:
NON CONFORMITY – DESCRIPTION OF OBJECTIVE EVIDENCE
BUSINESS
GRADE (Major/ Minor) LEAD AUDITOR AUDITOR PROCESS
REP.
TO BE COMPLETED BEFORE
ROOT CAUSE ANALYSIS (What failed in the system to allow this NC to occur ?)
TO BE COMPLETED BY THE
CORRECTION & CORRECTIVE ACTION (What is done to solve this problem and to prevent
recurrence)
ORGANIZATION
CORRECTION:
CORRECTIVE ACTION:
DATE OF
VERIFICATION OF CORRECTIVE COMPLETION
ACTIONS ORGANIZATION
REPRESENTATIVE
STATU
DATE LEAD AUDITOR
TO BE COMPLETED
VERIFICATION OF CORRECTIONS / S
CORRECTIVE ACTIONS
BY AUDITOR
AUDITOR COMMENTS (including

evidences verified to accept the
corrections/ correcive actions)
7. Annex B: Certification Information

GENERAL INFORMATION
Number of Certificates (for
hardcopy)
Languages ☐ English ☐ French
Name of the organization (to be
put in the certificate)
Address (to be put in the
certificate)
Certification Scope Statement (to
be put in the certificate)
Important Note*
Certification Statement shall be
precise and include only the
audited sites and processes.
Excluded clauses in the audited
Management System (to be put
in the certificate)
DELIVERY ADDRESS (Note* This shall be the client’s address only)
Title (Mr., Ms.)
First name
Last name
Address
City
Country
Province/State/Region
ZIP/Postal code
Email address
8. Annex C: Surveillance Plan
Surveillance Plan
ISO 45001:2018
1: Initial Audit
Plan
2: Surveillance 1 Audit
3: Surveillance 2 Audit 1 2 3 4
4: Recertification Audit (202X) (202X) (202X) (202X)
4 Context of the organization
4.1 Understanding the organization and its context
Understanding the needs and expectations of interested
4.2
parties
Determining the scope of the quality, environmental and
4.3
OH&S management system
4.4 OH&S management system
5 Leadership
5.1 Leadership and commitment
5.2 OH&S policy
5.3 Organizational roles, responsibilities and authorities
5.4 Consultation and participation of workers
6 Planning
6.1 Actions to address risks and opportunities
6.2 OH&S objectives and planning to achieve them
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
8 Operation
8.1 Operational planning and control
8.2 Emergency preparedness and response
9 Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.3 Management review
10 Improvement
10.1 General
10.2 Incident, nonconformity and corrective action
10.3 Continual improvement
11 Additional requirements
Use of logo
List of documents included in the audited MS
Notes and comments:
For completed visits, mark “X” in the box for each clause/process covered.
For planned visits, mark “O” in the box for each clause/process to be covered.

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MSECB Certification - ISO 45001:2018

Management System Audit Report

Place, and Date

Please provide justification for the employees that are not

1.2. Audit information

Site # Sites Audited

1.3. Audit Scope

Certification audit scope:

Date and version of scope statement:

2. Audit preparation and methodology

2.2. Audit criteria

 Clause 4 – Context of the organization

2.3. Audit methodology

2.4. Previous audit results

2.5. Audit planning

2.6. Key people interviewed

2.7. MSECB complaint and appeal process

MSECB Complaint and Appeal Procedure: https://MSECB-ms.com/en/complaintAndAppealProcedure

3. Significant audit trails followed

Evidence should be provided also for ‘Acceptable’ clauses.

5.4 Consultation and participation of workers

8.2 Emergency preparedness and response

9.2 Internal audit

9.3 Management review

10.2 Incident, nonconformity and corrective action

10.3 Continual improvement

List of documents included in the audited MS

4.1. Audit finding definition

The evaluation of the audit findings is based on the following definitions:

Major Nonconformities (MaNC)

The absence or total failure of a system to meet a requirement. It may be either:

Opportunities for Improvement (OFI)

4.2. Major nonconformities (see also Annex A)

4.3. Minor nonconformities (see also Annex A)

4.5. Opportunities for improvement

4.6. Agreed follow-up activities

5. Audit conclusions and audit recommendation

5.2. Audit conclusions

The management system is designed to achieve the organization’s policy Yes ☐ No ☐

The management system is designed to meet statutory, regulatory and Yes ☐ No ☐

The audit was successful in meeting the stated objectives Yes ☐ No ☐

Lead Auditor Recommendation:

6. Annex A: Nonconformity report

NON CONFORMITY REPORT

STANDARD: ISO 45001:2018

NON CONFORMITY OBSERVED IN PROCESS/

NON CONFORMITY – DESCRIPTION OF OBJECTIVE EVIDENCE

AUDITOR COMMENTS (including

7. Annex B: Certification Information

8. Annex C: Surveillance Plan

Notes and comments:

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