ISO 45001 2017 Checklist
Short Description
Lista de Chequeo para ISO 45000 2017....
Description
22/1/2018
ISO 45001:2017 Checklist - iAuditor
4 Context of the organization 4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of workers and other interested parties
Determine relevant interested parties to OH&S management system Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
N/A
Determine relevant relevant needs and expectations of intereste interested d parties Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
N/A
Determine which of these needs and expectations are added to applicable legal and other requirements Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
N/A
4.3 Determining the scope of the environmental management system
The OH&S management system scope considers the following: Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
N/A
Physical boundaries and applicability
External and internal issues relevant to its purpose and objectives
Relevant needs and expectations of intereste interested d parties
Work related activities
OH&S MS scope is documented and available to interested parties Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
N/A
Improvement Opp Opport rtu unity
N/A
4.4 OH&S management system 5 Leadership 5.1 Leadership and commitment
Top management is identied Meets req requirement
Non-conformance
Top management demonstrates leadership and commitment Meets req requirement
Non-conformance
Improvement Opp Opport rtu unity
Taking accountability for OH&S management system effectiveness
N/A
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ISO 45001:2017 Checklist - iAuditor
Ensures work related hazards and opportunities are systematically identied, OH&S risks and opportunities are evaluated and prioritized and action is taken to achieve risk reduction
Ensures OH&S management policy and objectives are established and are compatible with strategic direction and context of organization
Ensures OH&S management is integrated into organization's business processes
Ensures resources are available
Ensures that processes are established for the consultation and active participation of workers (and, as applicable, their representatives) in the establishment, implementation, maintenance and continual improvement of the OH&S MS, identifying and removing obstacles or barriers to participation
Communicates importance of effective OH&S management and of conforming to its requirements
Ensures intended outcomes
Directing and supporting persons to contribute to the effectiveness of the OH&S management system
Promotes continuous improvement
Supports other relevant management roles to demonstrate their leadership as it applies to their areas of respsonsibility
Promotes and leads a positive culture with regard to the OH&S management system
5.2 Policy
Establish, implement and maintain an OH&S management system policy Meets requirement
Non-conformance
Improvement Opportunity
N/A
Appropriate to the purpose and context of the organization, including the nature of its OH&S risk and opportunities.
Provides a framework for setting OH&S objectives
Includes a commitment to satisfy applicable legal and other requirements
Includes a commitment to the control of OH&S risks through hierarchy of control
Includes a commitment to continual improvement of the OH&S management system
Includes a commitment to worker participation and consultation
OH&S Policy shall be maintained as documented information Meets requirement
Non-conformance
Improvement Opportunity
N/A
OH&S Policy shall be communicated within organization Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
OH&S Policy is available to interested parties Meets requirement
Non-conformance
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ISO 45001:2017 Checklist - iAuditor
OH&S Policy shall be reviewed periodically to ensure that it remains relevant and appropriate Meets requirement
Non-conformance
Improvement Opportunity
N/A
5.3 Organizational roles, responsibilities, accountabilities and authorities
Responsibilities and authorities for relevant roles are assigned and communicated within the organization Meets requirement
Non-conformance
Improvement Opportunity
N/A
Assign responsibility and authority to ensure OH&S MS conforms to the ISO 45001:2017 standard Meets requirement
Non-conformance
Improvement Opportunity
N/A
Assign responsibility and authority for reporting to top management the performance of the OH&S Meets requirement
Non-conformance
Improvement Opportunity
N/A
5.4 Participation, consultation and representation
Process has been established to ensure effective participation and consultation by workers at all levels and functions of the organization Meets requirement
Non-conformance
Improvement Opportunity
N/A
With the mechanisms, time and resources to participate in, at a minimum, the processes of the OH&S MS
With the mechanisms, time, training and resources necessary to be consulted in, at a minimum, the process of developing policy
With timely access to clear, understandable and relevant information about the OH&S management system
Identifying and removing obstacles or barriers to participation and minimizing those that cannot be removed
Encouraging timely reporting and response to work-related hazards, OH&S risks, OH&S opportunities, incidents and nonconformities
Ensure that relevant external interested parties are consulted, when appropriate, about matters pertinent to the OH&S management system Meets requirement
Non-conformance
Improvement Opportunity
N/A
6 Planning 6.1 Actions to address risks and opportunities
6.1.1 General
Determine if organization has established, implemented and maintains a process and that its OH&S management system can achieve its intended outcomes, prevent (or reduce) undesired effects and achieve continual improvement Meets requirement
Non-conformance
Improvement Opportunity
N/A
Has the organization determined risks related to hazards and opportunities Meets requirement
Non-conformance
Improvement Opportunity
N/A
Has the organization determined risks and opportunities related to applicable legal and other requirements Meets requirement
Non-conformance
Improvement Opportunity
N/A
22/1/2018
ISO 45001:2017 Checklist - iAuditor
Has the organization determined and assessed risk and opportunities related to the operation of the OH&S management system that can affect the achievement of the intended outcomes Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify documented information Meets requirement
Non-conformance
6.1.2 Hazard identication and assessment of OH&S risks
Verify process to determine and assess hazards and opportunities in the workplace and to workers that takes into account Meets requirement
Non-conformance
Improvement Opportunity
N/A
Routine and non-routine activities and situations
Emergency situations
People (workers, contractors and visitors) who have access to or are in the vicinity of the workplace and their activities and for workers who perform work-related activities at a location not under direct control of the organization
Organization's operations and activities including the design of work areas, processes, etc., changes in knowledge of hazards, situations occurring in the vicinity of the workplace or not controlled by the organization
Actual or proposed changes in the organization, its operations, processes, activities and OH&S management system
Past incidents, internal or external to the organization, including emergencies, and their causes
Applicable legal and other requirements
Effectiveness of existing controls
Consideration of the hierarchy of controls
Opportunities to eliminate or reduce OH&S risks and to adapt work to workers
Verify documented information Meets requirement
Non-conformance
Improvement Opportunity
N/A
6.1.3 Determination of legal and other requirements
Verify process to identify and have access to up-to-date legal and other requirements that are applicable to its OH&S risks and management system Meets requirement
Non-conformance
Improvement Opportunity
N/A
Determine how to apply and meet these requirements Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify maintained and retained documented information Meets requirement
Non-conformance
Improvement Opportunity
N/A
Applicable legal and other requirements, ensuring this documented information is updated to reect changes
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ISO 45001:2017 Checklist - iAuditor
To show how compliance with its applicable legal and other requirements is achieved
6.1.5 Planning to take action
Organization shall plan actions to address its risks and opportunities Meets requirement
Non-conformance
Improvement Opportunity
N/A
Organization shall plan actions to address applicable legal and other requirements Meets requirement
Non-conformance
Improvement Opportunity
N/A
Organization shall plan actions to prepare for, and respond to, emergency situations, how to integrate and implement the relevant actions, including the determination and application of controls, into the OH&S management system Meets requirement
Non-conformance
Improvement Opportunity
N/A
Organization shall plan how to evaluate the effectiveness of these actions and respond accordingly Meets requirement
Non-conformance
Improvement Opportunity
N/A
6.2 OH&S objectives and planning to achieve them
6.2.1 OH&S objectives
OH&S objectives determined at appropriate levels and take into account the organization's signicant environmental aspects and associated compliance obligations Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
OH&S objectives shall be: Meets requirement
Non-conformance
Consistent with the OH&S policy
Measurable (if practicable)
Take into account applicable legal and other requirements
Take into account the result of any consultation with workers
Monitored
Communicated
Updated as appropriate
Verify the organization considered best practices, technological options, nancial, operational and business requirements Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify the organization arranged for the participation of workers Meets requirement
Non-conformance
Verify documented information
Improvement Opportunity
N/A
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Meets requirement
ISO 45001:2017 Checklist - iAuditor
Non-conformance
Improvement Opportunity
N/A
6.2.2 Planning actions to achieve OH&S objectives
Organization shall determine: Meets requirement
Non-conformance
Improvement Opportunity
N/A
What will be done
What resources will be required
Who will be responsible
When it will be completed
How the results will be evaluated
How the actions to achieve OH&S objectives will be integrated into the organization's business processes
Verify retained documented information on the OH&S objectives and plans to achieve them Meets requirement
Non-conformance
Improvement Opportunity
N/A
7 Support 7.1 Resources
Organization determined and provide needed resources Meets requirement
Non-conformance
Improvement Opportunity
N/A
7.2 Competence
Organization shall determine necessary competence of person(s) doing work under its control that affects its OH&S performance Meets requirement
Non-conformance
Improvement Opportunity
N/A
Organization shall ensure that person(s) are competent on the basis of education, training, qualication or experience Meets requirement
Non-conformance
Improvement Opportunity
N/A
Organization shall, where applicable, take actions necessary to acquire the necessary competence, and evaluate the effectiveness of the actions taken Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify organization retains appropriate documented information as evidence of competence Meets requirement
Non-conformance
Improvement Opportunity
N/A
7.3 Awareness
People doing work under the organization's control are aware of Meets requirement the OH&S policy
Non-conformance
Improvement Opportunity
N/A
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ISO 45001:2017 Checklist - iAuditor
their contribution to the effectiveness of the OH&S management system, including the benets of improved OH&S performance
the implications of not conforming with the OH&S management system requirements, including the consequences, actual or potential, of their work activities
information and lessons learned concerning relevant incidents
7.4 Information and communication
Verify internal and external communication process (what, when, with whom and how to communicate) Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify how organization denes the intent to be achieved by informing and communicating, and shall evaluate whether the objectives have been met Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify how the organization takes into account diversity (i.e language, culture, literacy, disability), where they exist, when considering its information and communication needs Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify how it receives, maintains documented information on and responds to relevant communications Meets requirement
Non-conformance
Improvement Opportunity
N/A
7.5 Documented information
Verify documented information is identied and described Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify appropriate format (i.e language, software version, graphics) and media (i.e. paper, electronic) Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information is reviewed and approved Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information is available, suitable for use and is adequately protected Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information's distribution, access, retrieval and use Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information's storage and preservation Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify retention and disposition Meets requirement Verify access for workers Verify control of changes
Non-conformance
22/1/2018
Meets requirement
ISO 45001:2017 Checklist - iAuditor
Non-conformance
Improvement Opportunity
N/A
Verify documented information of external origin is identied and controlled Meets requirement
Non-conformance
Improvement Opportunity
N/A
8 Operation 8.1 Operational planning and control
Determine organization has established operating criteria for the process(es) Meets requirement
Non-conformance
Improvement Opportunity
N/A
Determine process controls that have been implemented Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify processes to verify effective implementation of controls Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information about controls to have condence that the processes have been carried out as planned Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify covering situations where the absence of documented information could lead to deviations from the OH&S policy and the OH&S objectives Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify process for achieving reduction in OH&S risk using the following Hierarchy of Controls Meets requirement
Non-conformance
Improvement Opportunity
N/A
Elimination of hazard
Substitute with less hazardous material, process, operations or equipment
Use engineering controls
Use administrative controls including safety signs, markings, warning devices and safe system of work
Use personal protective equipment
8.2 Management of change
Plan and manage temporary or permanent changes to the OH&S management system do not have a negative impact by Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verifying the resolution of incidents and nonconformities
Verifying new products, processes or services at the design stage or re-design stage
Verifying changes in knowledge or information about hazards
Verifying changes to work processes, procedures, equipment, organizational structure, stang, products, services, contractors or suppliers
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ISO 45001:2017 Checklist - iAuditor
Verifying developments in knowledge and technology
Verifying changes to applicable legal and other requirements
Verify process for implementation and control of planned changes. Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify responsibilities and authorities for managing changes and their associated OH&S risks are identied Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify the organization reviews the consequences of unintended changes and takes action to mitigate any adverse effects, if necessary Meets requirement
Non-conformance
Improvement Opportunity
N/A
8.3 Outsourcing
Verify outsourced processes affecting its OH&S management system are controlled Meets requirement
Non-conformance
Improvement Opportunity
N/A
8.4 Procurement
Verify controls for procurement, i.e. products, hazardous materials or substances, raw materials, equipment or services, conform to its OH&S management system Meets requirement
Non-conformance
Improvement Opportunity
N/A
8.5 Contractors
Verify the organization's process to identify and communicate on the hazards, and to evaluate and control the OH&S risks, arising from the: Meets requirement
Non-conformance
Improvement Opportunity
N/A
contractor's activities and operations to the organization's workers
organization's activities and operations to the contractor's workers
contractor's activities and operations to other interested parties in the workplace
Verify process where the requirements of the OH&S management system, or at least the equivalent, are met by the contractors and their workers (including criteria for selection of contractors) Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify process for coordinating relevant portions of the OH&S management system with other organizations for multi-employer workplaces Meets requirement
Non-conformance
Improvement Opportunity
N/A
8.6 Emergency preparedness and response
Verify the organization has established, implemented and maintained a process(es) for potential emergency situations Meets requirement Verify the organization
Non-conformance
Improvement Opportunity
N/A
22/1/2018
Meets requirement
ISO 45001:2017 Checklist - iAuditor
Non-conformance
Improvement Opportunity
N/A
identies and plans for potential emergency situations
the preparation of a planned response to emergency situations
periodic testing and exercise of emergency response capability
periodically reviews and revises the process(es) and planned response actions, in particular after the occurrence of an emergency situation or test
provision of relevant information to all members of the organization, at all levels, on their duties and responsibilities
provision of training for emergency prevention, preparedness and response
communication of information to contractors, visitors, relevant emergency response services, government authorities and the local community
Organization shall take into account at all stages of the process the needs and capabilities of relevant interested parties and ensure their involvement Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify documented information Meets requirement
Non-conformance
9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation
Verify organization is monitoring and measuring its operations with identied hazards and OH&S risks and opportunities, operational controls and progress towards meeting OH&S objectives Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify that calibrated or veried monitoring and measurement equipment is used and maintained, as appropriate Meets requirement
Non-conformance
Improvement Opportunity
N/A
Determine what criteria against which the organization evaluates its OH&S performance Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify how the organization analyzes, evaluates and communicates results Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify when the monitoring and measuring shall be performed Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify workers participate in these activities Meets requirement
Non-conformance
Verify organization evaluates OH&S performance, determines the effectiveness of the OH&S management system and uses information during its evaluations Meets requirement
Non-conformance
Improvement Opportunity
N/A
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ISO 45001:2017 Checklist - iAuditor
the extent to which OH&S policy and objectives have been met
information on the organization's OH&S performance, including trends in
incidents, nonconformities, continual improvement and corrective actions
worker participation and consultation
monitoring and measurement results
audit results
results of evaluation of compliance
OH&S risks, risks and opportunities
relevant communication(s) from interested parties
opportunities for continual improvement
adequacy of resources
Outputs of management review shall include:
conclusions on the continuing suitability, adequacy and effectiveness of the OH&S management system
decisions related to continual improvement opportunities
decisions related to any need for changes to the OH&S management system, including resources needs
actions, if needed, when OH&S objectives have not been achieved
any implications for the strategic direction of the organization
Verify outputs of management review are communicated to its workers Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify retained documented information Meets requirement
Non-conformance
10 Improvement 10.1 Incident, nonconformity and corrective action
Verify how organization reacts to and incident or nonconformity by evaluating actions taken to control and correct it and how the organization deals with the consequences Meets requirement
Non-conformance
Improvement Opportunity
N/A
Determine what actions are taken to prevent nonconformity from recurring Meets requirement
Non-conformance
Improvement Opportunity
N/A
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ISO 45001:2017 Checklist - iAuditor
Verify participation of workers in the determination of root causes Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify implemented actions and their effectiveness Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify retained documented information that provides evidence of the nature of the nonconformity and any subsequent actions taken and the results of any corrective actions Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify documented information communicated to relevant workers and relevant interested parties Meets requirement
Non-conformance
Improvement Opportunity
N/A
10.2 Continual improvement
Verify process of how the organization continually improves Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify workers are consulted in continual improvement process Meets requirement
Non-conformance
Improvement Opportunity
N/A
Verify results of continual improvement is communicated to its workers Meets requirement
Non-conformance
Improvement Opportunity
N/A
Improvement Opportunity
N/A
Verify retained documented information Meets requirement
Non-conformance
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