ISO 45001:2018 Checklist - AS/NZ
4.1 Understanding The Organization And Its Context
4.2 Understanding The Needs And Expectations Of Workers And Other Interested Parties
4.3 Determining The Scope Of The OH&S Management System
4.4 OH&S Management System
5.1 Leadership And Commitment
1. 5.1a Has top management demonstrated leadership and commitment with respect to the OH&S management system by 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?
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5.2 OH&S Policy
1. 5.2a Has top management established, implemented, and maintained an OH&S policy that 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 OH&S opportunities?
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5.3 Organizational Roles, Responsibilities, And Authorities
5.4 Consultation And Participation Of Workers
1. 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, planning, implementation, performance evaluation, and actions for improvement of the OH&S management system?
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5. 5.4d Has the organization emphasized the consultation of non-managerial workers on the following aspects? • Determining the needs and expectations of interested parties (see 4.2); • Establishing the OH&S policy (see 5.2); • Assigning organizational roles, responsibilities, and authorities, as applicable (see 5.3); • Determining how to fulfill legal requirements and other requirements (see 6.1.3); • Establishing OH&S objectives and planning to achieve them (see 6.2); • Determining applicable controls for outsourcing, procurement, and contractors (see 8.1.4); • Determining what needs to be monitored, measured, and evaluated (see 9.1); • Planning, establishing, implementing, and maintaining an audit programme(s) (see 9.2.2); • Ensuring continual improvement (see 10.3);
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6. 5.4e Has the organization emphasized the participation of non-managerial workers in the following? • Determining the mechanisms for their consultation and participation; • Identifying hazards and assessing risks and opportunities (see 6.1.1 and 6.1.2); • Determining actions to eliminate hazards and reduce OH&S risks (see 6.1.4); • Determining competence requirements, training needs, training, and evaluating training (see 7.2); • Determining what needs to be communicated and how this will be done (see 7.4); • Determining control measures and their effective implementation and use (see 8.1, 8.1.3, and 8.2); • Investigating incidents and nonconformities and determining corrective actions (see 10.2)?
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6.1 Actions To Address Risks And Opportunities - 6.1.1 General
3. When determining the risks and opportunities for the OH&S management system, does the organization take into account: — hazards (see 6.1.2.1)? — OH&S risks and other risks (see 6.1.2.2)? — OH&S opportunities and other opportunities (see 6.1.2.3)? — legal requirements and other requirements (see 6.1.3)?
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6.1.2 Hazard Identification And Assessment Of Risks And Opportunities - 6.1.2.1 Hazard Identification
3. Does the process(es) take into account, but not limited to: routine and non-routine activities and situations, including hazards arising from: infrastructure, equipment, materials, substances, and physical conditions of the workplace? product and service design, research, development, testing, production, assembly, construction, service delivery, maintenance, and disposal? human factors? how the work is performed? c) past relevant incidents, internal or external to the organization, including emergencies, and their causes? d) potential emergency situations? e) people, including consideration of: those with access to the workplace and their activities, including workers, contractors, visitors, and other persons? those in the vicinity of the workplace who can be affected by the activities of the organization? workers at a location not under the direct control of the organization? f) other issues, including consideration of: 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? situations occurring in the vicinity of the workplace caused by work-related activities under the control of the organization? 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?
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6.1.2.2 Assessment Of OH&S Risks And Other Risks To The OH&S Management System
6.1.2.3 Assessment Of OH&S Opportunities And Other Opportunities For The OH&S Management System
1. Has the organization established, implemented, and maintained a process(es) to assess: a) OH&S opportunities to enhance OH&S performance, while taking into account planned changes to the organization, its policies, its processes, or its activities, including: 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 management system?
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6.1.3 Determination Of Legal Requirements And Other Requirements
1. Has the organization established, implemented, and maintained a process(es) to: a) determine and have access to up-to-date legal requirements and other requirements that are applicable to its 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 these legal requirements and other requirements into account when establishing, implementing, maintaining, and continually improving its OH&S management system?
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6.1.4 Planning Action
1. Has the organization planned: a) actions to: 1.address these risks and opportunities (see 6.1.2.2 and 6.1.2.3)? 2.address legal requirements and other requirements (see 6.1.3)? 3.prepare for and respond to emergency situations (see 8.2)? b) how to: 4. integrate and implement the actions into its OH&S management system processes or other business processes? 5. evaluate the effectiveness of these actions?
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6.2 OH&S Objectives And Planning To Achieve Them - 6.2.1 OH&S Objectives
2. Are the OH&S objectives: a) consistent with the OH&S policy? b) measurable (if practicable) or capable of performance evaluation? c) taking into account: 1.applicable requirements? 2.the results of the assessment of risks and opportunities (see 6.1.2.2 and 6.1.2.3)? 3.the results of consultation with workers (see 5.4) and, where they exist, workers’ representatives? d) monitored? e) communicated? f) updated as appropriate?
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6.2 OH&S Objectives And Planning To Achieve Them - 6.2.2 Planning To Achieve OH&S Objectives
1. When planning how to achieve its OH&S objectives, has the organization determined: 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, including indicators for monitoring? f) how the actions to achieve OH&S objectives will be integrated into the organization’s business processes?
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7.1 Resources
7.2 Competence
7.3 Awareness
1. Are workers made aware of: a) the OH&S policy and OH&S objectives? b) their contribution to the effectiveness of the OH&S management system, including the benefits of improved OH&S performance? c) the implications and potential consequences 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) their 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?
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7.4 Communication - 7.4.1 General
1. Has the organization established, implemented, and maintained the process(es) needed for internal and external communications relevant to the OH&S management system, including determining: a) what it will communicate? b) when to communicate? c) with whom to communicate: • internally among the various levels and functions of the organization? • among contractors and visitors to the workplace? • among other interested parties? d) how to communicate?
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7.4 Communication - 7.4.2 Internal Communication
7.4 Communication - 7.4.3 External Communication
7.5 Documented Information - 7.5.1 General
2. Can the extent of documented information for an OH&S management system differ from one organization to another due to: — the size of the organization and its type of activities, processes, products, and services? — the need to demonstrate fulfillment of legal requirements and other requirements? — the complexity of processes and their interactions? — the competence of workers?
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7.5 Documented Information - 7.5.2 Creating And Updating
1. When creating and updating documented information, does the organization ensure appropriate: a) identification and description (e.g., a title, date, author, or reference number)? b) format (e.g., language, software version, graphics) and media (e.g., paper, electronic)? c) review and approval for suitability and adequacy?
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7.5 Documented Information - 7.5.3 Control Of Documented Information
1. Does the organization control documented information required by the OH&S management system and by this document to ensure: a) it is available and suitable for use, where and when it is needed? b) it is adequately protected (e.g., from loss of confidentiality, improper use, or loss of integrity)?
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2. For the control of documented information, 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?
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8.1 Operational Planning And Control - 8.1.1 General
1. Has the organization planned, implemented, controlled, and maintained the processes needed to meet the requirements of the OH&S management system and 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 retaining documented information to the extent necessary to have confidence that the processes have been carried out as planned? d) adapting work to workers?
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8.1 Operational Planning And Control -8.1.2 Eliminating Hazards And Reducing OH&S Risks
1. Has the organization established, implemented, and maintained a process(es) 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 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 (PPE)?
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8.1 Operational Planning And Control -8.1.3 Management Of Change
1. Has the organization established a process(es) for the implementation and control of planned temporary and permanent changes that impact OH&S performance, including: a) new products, services, processes, or changes to existing ones, including workplace locations, work organization, working conditions, equipment, and workforce? b) changes to legal requirements and other requirements? c) changes in knowledge or information about hazards and OH&S risks? d) developments in knowledge and technology?
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8.1 Operational Planning And Control -8.1.4 Procurement - 8.1.4.1 General
8.1 Operational Planning And Control -8.1.4 Procurement - 8.1.4.2 Contractors
1. Has the organization coordinated its procurement process(es) with contractors 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?
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8.1 Operational Planning And Control -8.1.4 Procurement - 8.1.4.3 Outsourcing
8.2 Emergency Preparedness And Response
1. Has the organization established, implemented, and maintained a process(es) needed to prepare for and respond to potential emergency situations, as identified in 6.1.2.1, including: a) establishing a planned response to emergency situations, including the provision of first aid? b) providing training for the planned response? c) periodically testing and exercising the planned response capability? d) evaluating performance and revising the planned response as necessary, particularly after testing and emergency situations? 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, the 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?
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9.1 Monitoring, Measurement, Analysis, And Performance Evaluation - 9.1.1 General
2. Has the organization determined: a) what needs to be monitored and measured, including: • the extent to which legal and other requirements are fulfilled? • its activities and operations related to identified hazards, risks, and opportunities? • progress towards achievement of the organization’s OH&S objectives? • the effectiveness of operational and other controls?
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9.1.2 Evaluation Of Compliance
2. Has the organization determined: a) the frequency and method(s) for the evaluation of compliance? b) whether compliance has been evaluated and taken action if needed (see 10.2)? c) maintained knowledge and understanding of its compliance status with legal and other requirements? d) retained documented information of the compliance evaluation result(s)?
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9.2 Internal Audit - 9.2.1 General
1. Does the organization conduct internal audits at planned intervals to provide information on whether the OH&S management system: a) conforms to: the organization’s own requirements for its OH&S management system, including the OH&S policy and OH&S objectives? the requirements of this document? b) is effectively implemented and maintained?
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9.2 Internal Audit - 9.2.2 Internal Audit Programme
1. Has the organization: a) planned, established, implemented, and maintained an audit programme(s), including the frequency, methods, responsibilities, consultation, planning requirements, and reporting, which take into consideration the importance of the processes concerned and the results of previous audits? b) defined the audit criteria and scope for each audit? c) selected auditors and conducted audits to ensure objectivity and impartiality of the audit process? d) ensured that the results of the audits are reported to relevant managers and, where appropriate, to workers, workers' representatives, and other relevant interested parties? e) taken action to address nonconformities and continually improve its OH&S performance (see Clause 10)? f) retained documented information as evidence of the implementation of the audit programme and audit results?
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9.3 Management Review
2. Does the management review include consideration of: a) the status of actions from previous management reviews? b) changes in external and internal issues relevant to the OH&S management system, including: • the needs and expectations of interested parties? •legal requirements and other requirements? • risks and opportunities? c) the extent to which the OH&S policy and OH&S objectives have been met? d) information on OH&S performance, including trends in: • incidents, nonconformities, corrective actions, and continual improvement? • monitoring and measurement results? •results of the evaluation of compliance with legal requirements and other requirements? audit results? • consultation and participation of workers? • risks and opportunities? e) adequacy of resources for maintaining an effective OH&S management system? f) relevant communications with interested parties? g) opportunities for continual improvement?
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3. Do the outputs of the management review include decisions related to: — the continuing suitability, adequacy, and effectiveness of the OH&S management system in achieving its intended outcomes? — continual improvement opportunities? — any need for changes to the OH&S management system? — resources needed? — actions, if needed? — opportunities to improve integration of the OH&S management system with other business processes? — any implications for the strategic direction of the organization?
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10.1 General
10.2 Incident, Nonconformity, And Corrective Action
2. When an incident or nonconformity occurs, does the organization: a) react in a timely manner and, as applicable: • take action to control and correct it? • deal with the consequences? b) evaluate, with the participation of workers (see 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 to prevent recurrence or spread, by: • investigating the incident or reviewing the nonconformity? • determining the cause(s) of the incident or nonconformity? • determining if similar incidents have occurred, or if nonconformities exist or could potentially occur? c) review existing assessments of OH&S risks and other risks, as appropriate (see 6.1)? d) determine and implement any actions needed, including corrective action, in accordance with the hierarchy of controls (see 8.1.2) and the management of change (see 8.1.3)? e) assess OH&S risks related to new or changed hazards before taking action? f) review the effectiveness of any action taken, including corrective action? g) make changes to the OH&S management system, if necessary?
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10.3 Continual Improvement
1. Does the organization continually improve the suitability, adequacy, and effectiveness of the OH&S management system by: a) enhancing OH&S performance? b) promoting a culture that supports an OH&S management system? c) promoting the participation of workers in implementing actions for continual improvement of the OH&S management system? d) communicating the relevant results of continual improvement to workers, and, where they exist, workers' representatives? e) maintaining and retaining documented information as evidence of continual improvement?
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