Introduction:
ISO 45001 is an international standard for Occupational Health and Safety (OHS) management systems. It provides a framework for organizations to ensure the safety, health, and well-being of their employees and other stakeholders. An ISO 45001 audit helps organizations assess how well their health and safety management system is performing, identify areas for improvement, and ensure compliance with both internal and external requirements.
In this blog post, we will explore the significance of ISO 45001 audits, provide a detailed checklist to guide the audit process, and explain best practices to help organizations achieve and maintain ISO 45001 certification.
ISO 45001 is the global standard for occupational health and safety management systems. It helps organizations reduce workplace risks, improve employee well-being, and create a culture of safety. This standard ensures that health and safety are systematically integrated into every aspect of an organization’s operations.
The main goal of ISO 45001 is to prevent work-related injuries, illnesses, and fatalities. It promotes a proactive approach to safety by emphasizing the importance of identifying hazards, assessing risks, and implementing appropriate control measures.
Why Conduct an ISO 45001 Audit?
ISO 45001 audits help an organization to:
Boost Employee Engagement: A safe and healthy workplace leads to improved morale and productivity among employees.
Assess Compliance: Ensure that the organization is complying with the ISO 45001 standard and legal OHS requirements.
Identify Gaps: Pinpoint any deficiencies or gaps in the health and safety management system.
Improve Safety Performance: Identify opportunities for improving health and safety practices, reducing risks, and preventing accidents.
Maintain Certification: Help organizations maintain their ISO 45001 certification by ensuring continuous improvement.
The ISO 45001 Audit Process
ISO 45001 audits typically follow a structured process, which includes several key stages to evaluate the organization’s OHS management system. Here’s an overview of the typical steps in an ISO 45001 audit:
- Pre-Audit Preparation:
- Define the audit scope, objectives, and criteria.
- Gather relevant documents, such as the OHS policy, risk assessments, safety procedures, and previous audit reports.
- Stage 1 Audit (Documentation Review):
- The auditor reviews the organization’s OHS management system documentation, including policies, procedures, and processes, to ensure that they align with ISO 45001 requirements.
- The goal is to assess whether the organization has implemented the necessary procedures and controls to meet ISO 45001.
- Stage 2 Audit (On-Site Assessment):
- The auditor conducts an on-site visit to verify that the documented procedures are being implemented effectively.
- This involves interviews with staff, inspections of the workplace, and reviewing records of incidents, safety performance, and corrective actions.
- Audit Findings:
- The auditor identifies non-conformities, opportunities for improvement, and good practices observed during the audit process.
- A report is prepared, detailing the audit findings and providing recommendations.
- Follow-Up:
- Any non-conformities found in the audit must be addressed. A corrective action plan is developed, and the organization must implement corrective actions.
- A follow-up audit may be scheduled to verify the implementation of corrective actions.
ISO 45001 Audit Checklist
An effective ISO 45001 audit checklist ensures that the audit process is thorough and comprehensive. Below is a detailed checklist designed to guide you through an ISO 45001 audit.
1. Context of the Organization
- Has the organization identified external and internal issues that affect its OHS performance?
- Are stakeholders’ needs and expectations considered in the OHS management system?
- Is there a documented OHS policy that aligns with the organization’s context and objectives?
2. Leadership and Worker Participation
- Is there visible commitment from top management to the health and safety management system?
- Are roles, responsibilities, and authorities clearly defined for OHS within the organization?
- Does the organization promote active worker participation in OHS decision-making and actions?
- Are workers consulted and encouraged to contribute to the development of health and safety procedures?
3. Risk and Opportunity Management
- Has the organization identified and assessed risks to health and safety (including hazards from work activities)?
- Are these risks evaluated based on their likelihood and impact?
- Are appropriate actions planned and implemented to manage these risks?
- Are opportunities for improving OHS performance actively sought and integrated into the management system?
4. OHS Objectives and Planning
- Are clear, measurable OHS objectives established at relevant levels within the organization?
- Is there a plan in place to achieve these objectives, including resource allocation and timelines?
- Are the objectives regularly reviewed and updated as necessary?
5. Support and Resources
- Are necessary resources (personnel, infrastructure, equipment) available to implement the OHS management system?
- Is there a defined process for ensuring competence, training, and awareness of OHS matters for all employees?
- Is the OHS management system effectively communicated to employees and other stakeholders?
6. Operational Control
- Are processes in place to control the risks associated with routine and non-routine work activities?
- Are OHS procedures and controls reviewed regularly to ensure their effectiveness?
- Is there an emergency response plan, and are workers trained to handle potential emergencies?
7. Performance Evaluation and Monitoring
- Are OHS performance metrics established, monitored, and evaluated on a regular basis?
- Are regular inspections and audits conducted to evaluate the effectiveness of safety measures?
- Is there a system in place to report and investigate incidents, accidents, and near misses?
- Are corrective and preventive actions taken to address identified issues?
8. Continuous Improvement
- Does the organization have a formal process for identifying non-conformities and corrective actions?
- Are the results of audits, inspections, and incident investigations used to drive improvements in OHS management?
- Is there evidence of continual improvement in the organization’s OHS performance?
Best Practices for ISO 45001 Audits
- Prepare Thoroughly: Review all documentation, safety records, and relevant data before the audit. Ensure all employees are aware of the audit and their roles in the process.
- Ensure Worker Participation: Engage employees during the audit process. Their feedback is crucial in identifying safety hazards and improvement opportunities.
- Use a Systematic Approach: Follow the ISO 45001 standard’s clauses and ensure every area of the OHS management system is reviewed.
- Take Action on Findings: Address any non-conformities or improvement opportunities identified during the audit. Develop a corrective action plan and implement necessary changes.
- Engage Leadership: Ensure that top management is committed to addressing audit findings and allocating resources for OHS improvements.
Conclusion
ISO 45001 audits are a vital tool in assessing and improving the effectiveness of an organization’s health and safety management system. Regular audits help to ensure compliance, identify areas for improvement, and demonstrate a commitment to a safe and healthy workplace.
By following the audit checklist, organizations can systematically evaluate their OHS performance, address any deficiencies, and continually improve their safety practices. Achieving and maintaining ISO 45001 certification is an ongoing process that fosters a culture of safety, benefits employees, and ultimately enhances the organization’s overall performance.
Stay Safe and Compliant!