270. ISO 45001 Audit Report Checklist Template.docx

© HSEQ-MF-185 Version: 1.0 Insert Date Page 2 of 40
TABLE OF CONTENTS
1.0. AUDIT GUIDANCE..........................................................................................................................................................................3
2.0. AUDIT SCOPE AND METHOD .......................................................................................................................................................3
3.0. AUDIT RATINGS.............................................................................................................................................................................4
4.0. CONTEXT OF THE ORGANIZATION .............................................................................................................................................9
5.0. LEADERSHIP .................................................................................................................................................................................11
6.0. PLANNING....................................................................................................................................................................................15
7.0. SUPPORT.......................................................................................................................................................................................22
8.0. OPERATION ..................................................................................................................................................................................28
9.0. PERFORMANCE EVALUATION....................................................................................................................................................33
10.0. IMPROVEMENT ............................................................................................................................................................................37

1.0. Audit Guidance
This ISO 45001 audit report template encompasses of the requirements of ISO 45001- Occupational Health and Safety Management Systems,
section 4.0 to section 10.0.
To assist with the auditing process each of the required ISO 45001 criteria is phrased as a question. It is highly recommended the auditor have a
copy of the ISO 45001 - Occupational Health and Safety Management Systems Standard on hand to assist with the audit process.
To ensure a sufficient response to the audit criteria, it is recommended that the audit criteria be cut and pasted into the “Audit Question
Response” section and then a formulated into a detailed audit criteria response, based on the evidence available.
2.0.Audit Scope and Method
The audit’s intention is to provide assurance to senior management that risks to the organization’s objectives are being (or will be) adequately
managed and controlled. The audit findings shall enable any required corrective actions to the ISO 45001 system or processes to be
communicated to the relevant parties.
The audit rating system is graded from ‘conformance’ to ‘non-conformance’ to convey a concise and consistent method for scoring each audit
criteria. There is also a process for the identification of ‘opportunities for improvement’ this shall contribute well to the continual improvement
process of ISO 45001 - Occupational Health and Safety Management Systems, section 4.0 to section 10.0.
At the end of the audit, you can transfer the findings into summary tables and corrective action plans.
The completed audit report shall detail a summary of audit results, documentation sighted, issues observed, subsequently allowing the
monitoring and review of any corrective actions that were raised.
Audit Criteria
This audit report comprises the elements as listed below: delete any element(s) out of your specific audit scope.
 ISO 45001 Section 4. Context of the Organization
 ISO 45001 Section 5. Leadership and Worker Participation
 ISO 45001 Section 6. Planning
 ISO 45001 Section 7. Support
 ISO 45001 Section 8. Operation
 ISO 45001 Section 9. Performance Evaluation

 ISO 45001 Section 10. Improvement
3.0.Audit Ratings
Finding Definition/Impact Action/Mitigation
Conformance: Indicates that the criterion has been met.
Nil action required.
Continue to monitor trends and indicators.
Non-Conformance: indicates that the criterion has not been met.
Investigate root cause(s) and implement corrective actions by
next reporting period or next scheduled audit.
Not able to be verified:
Indicates that procedures are in place but, there have been
no cases to test those procedures.
It is expected that this classification will only be used in
limited circumstances and where applied, the reasons for
the finding will be explained by the auditor.
Not applicable: Indicates that the criterion does not apply.
Opportunity for
improvement:
Conformance has been met however, there is a low-risk
issue that offers an opportunity to improve the current
practice.
Unresolved OFI’s may degrade over time to become non-
compliant.
Review and implement actions to improve the process(s).
Monitor trends and indicators to determine if improvement
was achieved.
Other: Can relate to a random observation or finding.
List of Persons Interviewed

Name Position
Summary of Findings
Outcome Number of Criteria
Conformances
Non-conformances
Not able to be verified
Not applicable
Opportunity for improvement
Other
Non-Conformances
Several non-conformances were identified during the audit. They are:

Criterion Non-conformance
Not Able to be Verified
Several criteria were unable to be verified during the audit. They are:
Criterion Not Able to be Verified
Not Applicable
Several criteria were Not applicable during the audit. They are:

Criterion Not applicable
Opportunities for Improvement
A few observations were identified during the audit. They are:
Criterion Observation

Corrective Actions Required
Several corrective actions have been raised as a result of the audit. They are:
Criterion Corrective Actions
Other
There were a number of random observations. They are:
Criterion Observation

4.0.Context of the Organization
4.1. Understanding the organization and its context
4.1.
Has the organization determined external and internal issues that are relevant to its purpose and strategic direction and that affect the ability to achieve
the intended outcomes of the OH&S management system?
4.1. How does the organization monitor and review information about these external and internal issues?
Findings:
Conformance Not applicable
Non-conformance Not able to be verified
Opportunity for improvement Other
Document Evidence:
Audit Question Response:
Opportunity for improvement:
Corrective Action Required:
4.2. Understanding the needs and expectations of interested parties
4.2.
Has the organization determined the following:
a) the interested parties in addition to workers that are relevant to the OH&S management system?
b) the needs and expectations of these interested parties that are relevant to the OH&S management system
c) which of these needs and expectations are, or could become legal requirements and other requirements?
4.2 How does the organization monitor and review information about these interested parties and their relevant needs and expectations?
Finding:

Document Evidence:
4.3. Determining the scope of the OH&S management system
4.3. Has the organization determined the boundaries and applicability of the OH&S management system to establish its scope?
4.3.
When determining the scope of the OH&S management system how did the organization consider:
a) the external and internal issues referred to in 4.1?
b) the requirements of relevant interested parties referred to in 4.2?
c) take into account the planned or performed work related activities?
4.3. Is the scope available as documented information?
Finding:
Document Evidence:
4.4. OH&S management system and its processes
4.4.
Has the organization implemented and does it have the system in place to maintain and continually improve the OH&S management system,
including the processes needed and their interactions, in accordance with the requirements of ISO 45001?
Finding: Conformance Not applicable

Document Evidence:
5.0.Leadership
5.1. Leadership and commitment
5.1.
How does top management demonstrate leadership and commitment with respect to the OH&S management
system:
a) 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?
b) ensuring that the OH&S policy and related OH&S objectives are established for the OH&S management system and are compatible with the
strategic direction of the organization?
c) ensuring the integration of the OH&S management system requirements into the organization’s business processes?
d) ensuring that the resources needed for the OH&S management system are available?
e) communicating the importance of effective OH&S management and of conforming to the OH&S management system requirements?
f) ensuring that the OH&S management system achieves its intended outcomes?
g) directing and supporting workers to contribute to the effectiveness of the OH&S management system?
h) ensuring and promoting continual improvement?
i) supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility?
j) developing, leading and promoting a culture in the organization that supports the intended outcomes of the OH&S management system?
k) protecting workers from reprisals when reporting incidents, hazards, risks and opportunities?
l) ensuring the organization establishes and implements a process(es) for consultation and participation of workers?

m)supporting the establishment and functioning of health and safety committee?
Finding:
Document Evidence:
5.2. OH&S Policy
5.2.
Have top management established, implemented and maintained a OH&S policy that:
a) includes a commitment to provide safe and healthy working conditions for the prevention of work-related injury and ill health and is
appropriate to the purpose, size and context of the organization and to the specific nature of its OH&S risks and opportunities?
b) provides a framework for setting OH&S objectives?
c) includes a commitment to fulfil legal requirements and other requirements?
d) Includes a commitment to eliminate hazards and reduce OH&S risks?
e) includes commitment to continual improvement of the OH&S management system?
f) includes a commitment to consultation and participation of workers, and, where they exist workers representative?
5.2.
Is the OH&S policy:
 available as documented information
 communicated within the organization
 available to interested parties
 relevant and appropriate?

Document Evidence:
5.3. Organizational roles, responsibilities and authorities
5.3.
Does top management ensure that the responsibilities and authorities for relevant roles within the OH&S management system are assigned,
available as documented information, communicated and understood at all levels within the organization?
5.3. Do workers assume responsibility for those aspects of the OH&S management system for which they have control?
5.3.
Has top management assigned the responsibility and authority for:
a) ensuring that the OH&S management system conforms to the requirements of ISO 45001?
b) reporting on the performance of the OH&S management system to top management?
Finding:
Document Evidence:
5.4. Consultation and of workers

5.4.
Has the organization established, implemented and maintained a process (es) for consultation and participation of workers at all applicable levels
and functions, and where they exist, workers representatives, in the development, performance evaluation and actions for improvement of the
OH&S system?
5.4.
Does the organization:
a) provide mechanisms, time, training and resources necessary for consultation and participation?
b) provide timely access to clear, understandable and relevant information about the OH&S management system?
c) determine and remove obstacles or barriers to participation and minimize those that cannot be removed?
d) emphasize the consultation of non-managerial worker on the following:
1. determining the needs and expectations of interested parties?
2. establishing the OH&S policy?
3. assigning organizational roles, responsibilities and authorities, as applicable?
4. determining how to fulfil legal and other requirements?
5. establish and plan to achieve OH&S objectives?
6. determining applicable controls for outsourcing, procurement and contractors?
7. determining what needs to be monitored, measured and evaluated?
8. planning, establishing, implementing and maintaining an audit programme?
9. ensuring continual improvement?
e) emphasize participation of non-managerial workers in the following:
1. determining the mechanisms for their consultation and participation?
2. identifying hazards and assessing risks and opportunities?
3. determining actions to eliminate hazards and reduce OH&S risks?
4. determining competence requirements, training needs, training and evaluating training?
5. determining what needs to be communicated and how it is to be done?
6. determining control measures and their effective implementation and use?
7. investing incidents and nonconformities and determine corrective action?

Document Evidence:
6.0. Planning
6.1. Actions to address risks and opportunities
6.1.1. General
6.1.1.
When planning for the OH&S management system, has the organization considered the issues referred to in 4.1 and the requirements referred to
in 4.2 and 4.3 and determined the risks and opportunities that need to be addressed to:
a) give assurance that the OH&S management system can achieve its intended outcomes?
b) prevent, or reduce, undesired effects?
c) achieve continual improvement?
6.1.1.
When determining the risks and opportunities for the OH&S management system and its intended outcome has the organization taken into
account:
 hazards?
 OH&S risks and other risks?
 OH&S opportunities and other opportunities?
 legal and other requirements?
6.1.1.
Has the organization in its planning process determined and assessed the risks and opportunities relevant to the intended outcomes of the OH&S
system associated with planned changes permanent or temporary before the change is implemented?
6.1.1. Has the organization maintained documented information on:

 risks and opportunities?
 the process and actions needed to determine and address its risks and opportunities to the extent necessary to have confidence that they
are carried out as planned?
Finding:
Document Evidence:
6.1.2. Hazards identification and assessment of risks and opportunities
6.1.2.1. Hazard identification
6.1.2.1
Has the organization established, implemented and maintained a process(s) for hazard identification that is ongoing and proactive?
Do the processes take into account, but not be limited to:
a) how work is organized, social factors (including workload, work hours, victimization, harassment and bullying) leadership and the culture of
the organization?
b) routine and non-routine activities and situations, including hazards arising from:
1. infrastructure, equipment, materials, substances and the physical conditions of the workplace?
2. product and service design, research, development, testing, production, assembly, construction, service delivery, maintenance and disposal?
3. human factors?
4. how work is performed?
c) past relevant incidents, internal or external to the organization, including emergencies, and there causes?
d) potential emergency situations?
e) people, including consideration off:

1. those with access to the workplace and their 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?
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 and work organization, including their
adaptation to the needs and capabilities of the workers involved?
2. situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organization?
3. situations not controlled by the organization and occurring in the vicinity of the workplace that can cause injury and ill health to persons in
the workplace?
g) actual or proposed changes in organization, operations, processes, activities and the OH&S management system? (see 8.1.3)
h) changes in knowledge of, and information about, hazards?
Finding:
Document Evidence:
6.1.2.2. Assessment of OH&S risks and other risks to the OH&S management system
6.1.2.2
Has the organization established implemented and maintained a process to:
a) assess OH&S risks from the identified hazards, while taking into account the effectiveness of existing controls?
b) determine and assess the other risks related to the establishment, implementation, operation and maintenance of the OH&S management
system?

6.1.2.2
Has the organization’s methodologies and criteria for the assessment of OH&S risks been defined with respect to the scope, nature and timing to
ensure they are proactive rather than reactive and are used in a systematic way?
6.1.2.2 Does the organization maintain and retain documented information on the methodologies and criteria?
Finding:
Document Evidence:
6.1.2.3. Assessment of OH&S opportunities and other opportunities for the OH&S
management system
6.1.2.3
Has the organization established, implemented and maintained processes to assess:
a) OH&S opportunities to enhance OH&S performance, while taking into account planned changes to the organization, its policies, its
processes and its activities and:
1. opportunities to adapt work, work organization and work environment to workers?
2. opportunities to eliminate hazards and reduce OH&S risks?
b) other opportunities for improving the OH&S system?
Finding:
Document Evidence:

6.1.3. Determination of legal requirements and other requirements
6.1.3.
Has the organization established, implemented and maintained processes to:
a) determine and have access to up to date legal requirements and other requirements that are applicable to the hazards, OH&S risks and
OH&S management system?
b) determine how these legal requirements and other requirements apply to the organization and what needs to be communicated?
c) take legal and other requirements into account when establishing implementing, maintaining and continually improving its OH&S
management system?
6.1.3. Does the organization maintain and retain information on its legal and other requirements?
6.1.3. How does the organization ensure its legal requirements are up to date and reflect any changes?
Finding:
Document Evidence:
6.1.4. Planning action
6.1.4.
a) plan actions to:
1. to address risks and opportunities? (see 6.1.2.2 and 6.1.2.3);

2. to address legal and other requirements? (see 6.1.3);
3. prepare for and respond to emergency situations? (see 8.2);
b) How to:
1. integrate and implement the actions into its OH&S management system processes or other business processes?
2. evaluate the effectiveness of these actions.
6.1.4.
Has the organization taken into account the hierarchy of controls and outputs and outputs from OH&S management system when planning to take
action?
6.1.4.
Does the organization take into account best practice, technological options and financial, operational and business requirements when planning
its actions?
Finding:
Document Evidence:
6.2. OH&S objectives and planning to achieve them
6.2.1. OH&S objectives
6.2.1.
Has the organization established OH&S objectives at relevant functions, levels that are needed to maintain and continually improve the OH&S
management system?
6.2.1.
Are the OH&S objectives:
a) consistent with the OH&S policy?
b) measurable or capable of performance evaluation?
c) take into account:

1. applicable requirements?
2. the results of the assessment of risks and opportunities?
3. the results of consultation with worker and workers representatives?
d) monitored?
e) communicated?
f) updated, as appropriate?
Finding:
Document Evidence:
6.2.2. Planning to achieve OH&S objectives
6.2.2.
When planning how to achieve OH&S objectives, has the organization determined:
a) what will be done?
b) what resources will be required?
c) who will be responsible?
d) it will be completed?
e) how the results will be evaluated including indicators for monitoring?
f) the actions to achieve OH&S objectives will be integrated into the organizations business processes?
6.2.2. Does the organization maintain and retain documented information on the OH&S objectives and plans to achieve them?
Finding:

Document Evidence:
7.0. Support
7.1 Resources
7.1.
Has the organization determined and provided the resources needed for the establishment, implementation, maintenance and continual
improvement of the OH&S management system?
Finding:
Document Evidence:
7.2. Competence
7.2.
Has the organization:
a) determined the necessary competence of workers that affects the performance and effectiveness of the OH&S management system?
b) ensured that these workers are competent (including the ability to identify hazards) on the basis of appropriate education, training, or
experience?

c) where applicable, taken actions to acquire and maintain the necessary competence, and evaluated the effectiveness of the actions taken?
d) retained appropriate documented information as evidence of competence?
Finding:
Document Evidence:
7.3. Awareness
7.3.
How does the organization ensure that workers are aware of:
a) the OH&S and objectives policy?
b) contributions to the effectiveness of the OH&S system including the benefits of improved OH&S performance?
c) the implications of not conforming to the OH&S management system requirements?
d) incidents and the outcomes of investigations that are relevant to them?
e) hazards, OH&S risks and actions determined that are relevant to them?
f) the ability to remove themselves from work situations that they consider present an imminent and serious danger to their life or health, as
well as the arrangements for protecting them from undue consequences for doing so?
Finding:
Document Evidence:

7.4. Communication
7.4.1. General
7.4.1.
How has the organization determined the internal and external communications relevant to the OH&S management system, including:
a) on what it will communicate?
b) when to communicate?
c) with whom to communicate:
1. internally among the various levels and functions of the organization?
2. among contractors and visitors to the workplace?
3. among other interested parties?
d) How to communicate?
7.4.1.
How does the organization take into account diversity (Gender, language, culture, literacy, disability) aspects when considering communication
needs?
7.4.1. How are the views of interested parties considered in establishing communication processes?
7.4.1.
In establishing communication processes has:
 legal and other requirements been taken into account?
 information been consistent with other information generated from the system and reliable?
7.4.1. Who responds and how is relevant communications answered with regard to the OH&S management system?
7.4.1. In what form is documented information retained as evidence of communications?
Finding:

Document Evidence:
7.4.2. Internal communication
7.4.2.
How has the organization ensured that:
a) internally communicated information is relevant to the OH&S management system among various levels and functions of the organization.
Does it include changes to the OH&S management system?
b) workers are able to contribute to continual improvement?
Finding:
Document Evidence:
7.4.3. External communication
7.4.3. Has the company got an external communication process?
7.4.3. How does external communication of OH&S information take into account legal and other requirements?
Finding:

Document Evidence:
7.5. Documented information
7.5.1. General
7.5.1.
Does the organization’s OH&S management system include:
a) documented information required by ISO 45001?
b) documented information determined by the organization as being necessary for the effectiveness of the OH&S management system?
Finding:
Document Evidence:
7.5.2. Creating and updating
7.5.2.
When creating and updating documented information, how does the organization ensure appropriate:
a) identification and description (e.g. a title, date, author, or reference number)?
a) format (e.g. language, software version, graphics) and media (e.g. paper, electronic)?
b) review and approval for suitability and adequacy?

Document Evidence:
7.5.3. Control of documented information
7.5.3.
How does the organization ensure documented information required by the OH&S management system and by ISO 45001 is controlled to ensure:
a) it is available and suitable for use, where and when it is needed?
b) is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity)?
7.5.3.
For the control of documented information, how does the organization 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?
7.5.3. How does the organization ensure documented information of external origin is identified and controlled?
Finding:
Document Evidence:

8.0.Operation
8.1. Operational planning and control
8.1.1. General
8.1.1.
Does the organization plan, implement and control the processes needed to meet the requirements of the OH&S 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 criteria?
c) maintaining and keeping documented information to the extent necessary to have confidence that processes are being carried out as
planned?
d) adapting to workers?
8.1.1. How does the organization coordinate the relevant parts of OH&S management system with other organizations in multi-employer situations?
Finding:
Document Evidence:
8.1.2. Eliminating hazards and reducing OH&S risks
8.1.2.
Has the organization established, implemented and maintained processes for the elimination of hazards and reduction of OH&S risks using the
following hierarchy of controls:
a) eliminate the hazard?

b) substitute with less hazardous process, operations, materials or equipment?
c) use engineering controls and reorganization of work?
d) use administration controls, including training?
e) use adequate personal protective equipment?
Finding:
Document Evidence:
8.1.3. Management of change
8.1.3.
Has the organization established processes for the implementation and control of planned temporary and permanent changes that impact
performance including:
a) new products, services and processes, or changes to existing products, services and processes, including:
 workplace locations and surroundings?
 working organization?
 working conditions?
 equipment?
 work force?
b) changes to legal requirements and other requirements?
c) changes to knowledge or information about hazards and OH&S risks?
d) in knowledge and technology?
8.1.3. Does the organization review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary?

Finding:
Document Evidence:
8.1.4. Procurement
8.1.4.1. General
8.1.4.1
Has the organization established, implemented and maintained processes to control the procurement of products and services in order to ensure
their conformity to its OH&S management system?
Finding:
Document Evidence:
8.1.4.2. Contractors
8.1.4.2
Does the organization coordinate its procurement processes with its contractors, in order to identify hazards and assess and control the OH&S risks
arising from:
a) the contractors’ activities and operations that impact the organization.

b) the organization’s activities and operations that impact the contractors workers?
c) the contractors’ activities and operations that impact other interested parties in the workplace?
8.1.4.2 How does the organization ensure that the requirements of its OH&S management system are met by contractors and their workers?
8.1.4.2 Does the organizations procurement processes define and apply occupational health and safety criteria for the selection of contractors?
Finding:
Document Evidence:
8.1.4.3. Outsourcing
8.1.4.3 How does the organization ensure outsourced functions and processes are controlled?
8.1.4.3
Does the organization ensure that its outsourcing arrangements are consistent with legal requirements and other requirements and with achieving
the intended outcomes of the OH&S management system?
8.1.4.3 Has the type and degree of control to be applied to these functions and processes been defined within the OH&S management system?
Finding:
Document Evidence:

8.2. Emergency preparedness and response
8.2.
Has the organization established, implemented and maintained the processes needed to prepare for and respond to potential emergency
situations identified in 6.1.2.1 and do they include:
a) establishing a 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 as necessary, revising the planned response, including after testing and in particular after the occurrence of an
emergency situation?
e) communicating and providing relevant information to all workers on their duties and responsibilities?
f) communicating relevant information to contractors, visitors, emergency response services, government authorities, and as appropriate local
community?
g) taking into account the needs and capabilities of all relevant interested parties and ensuring their involvement, as appropriate, in the
development of the planned response?
8.2. Has the organization maintained documented information on the process and on the plans for responding to potential emergency situations?
Finding:
Document Evidence:

9.0.Performance evaluation
9.1 Monitoring, measurement, analysis and performance evaluation
9.1.1 General
9.1.1.
The organization shall establish, implement and maintain processes for monitoring, measurement analysis and performance evaluation. How does
the organization determine:
a) What needs to be monitored and measured:
1. the extent to which legal requirements and other requirements are met?
2. its activities and operations related to identified hazards, risks, and opportunities?
3. progress towards achieving OH&S objective?
4. effectiveness of operational and other controls?
b) ) the methods for monitoring, measurement, analysis and performance evaluation needed to ensure valid results?
c) the criteria against which the organization will evaluate its OH&S performance?
d) when the monitoring and measuring shall be performed?
e) when the results from monitoring and measurement shall be analyzed and evaluated and communicated?
9.1.1. How does the organization evaluate the performance and the effectiveness of the OH&S management system?
9.1.1.
How does the organization ensure that monitoring and measuring equipment is calibrated or verified as applicable, and used and maintained as
appropriate?
9.1.1.
In what form does the organization retain appropriate documented information as evidence of the monitoring, measurement, analysis and
performance evaluation and maintenance, calibration or verification of measuring equipment?
Finding:
Document Evidence:

9.1.2. Evaluation of compliance
9.1.2. How does the organization establish implement and maintain processes for evaluating compliance with legal and other requirements?
9.1.2.
Does the evaluation include:
a) determining the frequency and method(s) for the evaluation of compliance?
b) evaluate compliance and take action if needed? Yes/No
c) maintaining knowledge and understanding of its compliance status with legal requirements and other requirements?
d) retaining documented information of the compliance evaluation results?
Finding:
Document Evidence:
9.2. Internal audit
9.2.1. General
9.2.1.
Does the organization conduct internal audits at planned intervals to provide information on whether the OH&S management system:
a) conforms to:
1. the organization’s own requirements for its OH&S management system, including policy and objectives?

2. the requirements of this International Standard?
b) is effectively implemented and maintained?
Finding:
Document Evidence:
9.2.2. Internal audit programme
9.2.2.
a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning 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 management; ensure results of internal audits are reported to workers and
where they exist, workers representatives, and other relevant interested parties?
e) action to address nonconformity and continually improve its OH&S audit programme and the audit results?
f) retain documented information as evidence of the implementation of the audit programme and the audit results?
Finding:
Document Evidence:

9.3. Management review
9.3.
ISO 45001 requires top management to review the organization’s OH&S management system, at planned intervals, to ensure its continuing
suitability, adequacy, effectiveness”. What format does this review(s) take?
9.3.
Is the organization’s management review planned and carried out taking into consideration:
a) The status of actions from previous management reviews?
b) Changes in external and internal issues that are relevant to the OH&S management system including:
1. needs and expectations of interested parties?
2. legal requirements and other requirements?
3. risks and opportunities?
c) the extent to which OH&S policy and objectives have been met?
d) information on the OH&S performance, including:
1. incidents nonconformities and corrective actions and continual improvement?
2. monitoring and measurement results?
3. results of evaluation of compliance with legal requirements 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 system?
f) relevant communication with interested parties?
g) opportunities for continual improvement?
9.3.
Do the outputs of the management review include decisions and actions related to:
 the continuing suitability, adequacy, and effectiveness in achieving the intended outcomes?

 continual improvement opportunities?
 any need for changes to the OH&S management system?
 resource needs?
 actions needed?
 opportunities to improve integration of the OH&S system with other business processes
 implications for the strategic direction of the organization?
9.3. How are the relevant outputs from management review communicated to workers and where they exist workers representatives?
9.3. In what form does the organization retain documented information as evidence of the results of management reviews?
Finding:
Document Evidence:
10.0.Improvement
10.1. General
10.1.
How does the organization determine and select opportunities for improvement and implement any necessary actions to achieve intended outcomes
of the OH&S management system?
Finding:

Document Evidence:
10.2. Incident, nonconformity and corrective action
10.2.
When an incident or nonconformity occurs, how does the organization:
a) react in a timely manner to the incident or nonconformity and, as applicable:
1. take action to control and correct it?
2. deal with the consequences?
b) evaluate, with the participation of workers and the 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 could potentially occur?
c) review existing assessments of OH&S risks and other risks, as appropriate?
d) determine and implement any action needed, including corrective action, in accordance with the hierarchy of controls and the management
of change?
e) assess OH&S risks and that relate to new or changed hazards, prior to taking action?
f) review the effectiveness of any action taken, including corrective action?
g) make changes to the OH&S management system, if necessary?
10.2. Does the organization take corrective actions appropriate to the effects or potential effects of the incidents or nonconformities encountered?
10.2.
In what form does the organization retain documented information evidence of:
 the nature of the incidents or nonconformities and any subsequent actions taken?
 the results of any action and corrective action including their effectiveness?

10.2. How is this information communicated to relevant workers, and, where applicable, workers representatives, and other interested parties?
Finding:
Document Evidence:
10.3. Continual improvement
10.3. How does the organization continually improve the suitability, adequacy and effectiveness of the OH&S management system?
10.3.
How does the organization:
a) enhance OH&S performance?
b) promote a culture that supports the OH&S management system?
c) promote the participation of workers in implementing actions for continual improvement of the OH&S management system?
d) communicating the results of continual improvement workers and if appropriate workers representatives?
e) maintain and retain documented information as evidence of continual improvement?
Finding:
Document Evidence:

Acknowledgment
The OH&S Management Team wishes to acknowledge the cooperation and assistance provided by the management and staff of insert
company and thank them for their contribution to the audit process.
Disclaimer: The content of this report applies only to matters, which were made evident to the auditor at the time of the audit, and with
consideration to the auditee’s planning and the preparation undertaken.

270. ISO 45001 Audit Report Checklist Template.docx

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