Auditing ISO 45001: Best Practices and Tips

Auditing is a critical component of maintaining compliance with ISO 45001:2018, the international standard for occupational health and safety (OH&S) management systems. Internal audits help organizations identify areas for improvement and ensure that their OH&S management system is effective. Preparing for external audits ensures that organizations are ready to demonstrate compliance to third-party auditors. This guide provides best practices and tips for conducting internal audits and preparing for external audits of ISO 45001.

Importance of Auditing in ISO 45001

Auditing is essential for several reasons:

1. Ensures Compliance: Regular audits verify that the OH&S management system complies with ISO 45001 requirements and relevant legal and regulatory requirements.

2. Identifies Nonconformities: Audits help identify areas where the system is not meeting the standard or internal policies, allowing for corrective actions.

3. Promotes Continuous Improvement: The audit process fosters a culture of continuous improvement by identifying opportunities to enhance the OH&S management system.

4. Prepares for Certification: Internal audits prepare the organization for external audits by identifying and addressing potential issues in advance.

Conducting Internal Audits

Internal audits are conducted by the organization’s own staff or external consultants and are a vital part of maintaining an effective OH&S management system. Here are the best practices for conducting internal audits:

1. Planning the Audit

• Define the Scope: Clearly define the scope of the audit, including the areas, processes, and departments to be audited.

• Establish Objectives: Set clear objectives for the audit, such as verifying compliance, assessing the effectiveness of controls, or identifying improvement opportunities.

• Create an Audit Schedule: Develop an audit schedule that outlines when and where audits will take place. Ensure the schedule covers all relevant areas over a defined period.

2. Preparing for the Audit

• Select the Audit Team: Choose auditors who are competent, objective, and independent of the areas being audited. Provide necessary training on auditing techniques and ISO 45001 requirements.

• Review Documentation: Review relevant documentation, including policies, procedures, risk assessments, and previous audit reports, to understand the context and focus areas.

• Develop an Audit Plan: Create a detailed audit plan that includes the audit scope, objectives, criteria, methods, and schedule. Communicate the plan to all relevant parties.

3. Conducting the Audit

• Opening Meeting: Hold an opening meeting with the auditee to explain the audit’s purpose, scope, and methodology. This helps set expectations and ensures cooperation.

• Collect Evidence: Use various methods to collect evidence, such as interviews, observations, document reviews, and sampling. Ensure the evidence is objective, factual, and sufficient to support audit findings.

• Evaluate Compliance: Assess whether the OH&S management system meets the requirements of ISO 45001 and internal policies. Identify nonconformities and areas for improvement.

4. Reporting Findings

• Prepare an Audit Report: Document the audit findings in a clear and concise audit report. Include details of nonconformities, observations, and opportunities for improvement.

• Conduct a Closing Meeting: Hold a closing meeting with the auditee to present the audit findings. Discuss nonconformities and agree on corrective actions and timelines.

5. Follow-Up

• Monitor Corrective Actions: Ensure that corrective actions are implemented to address identified nonconformities. Verify the effectiveness of these actions through follow-up audits or reviews.

• Continuous Improvement: Use the findings from internal audits to drive continuous improvement in the OH&S management system. Regularly review and update the audit process to enhance its effectiveness.

Preparing for External Audits

External audits are conducted by third-party certification bodies to verify compliance with ISO 45001 and grant certification. Preparing for external audits involves several key steps:

1. Pre-Audit Preparation

• Review Requirements: Familiarize yourself with the requirements of ISO 45001 and the certification body’s specific audit criteria.

• Conduct a Gap Analysis: Perform a gap analysis to identify any areas where the OH&S management system does not fully meet ISO 45001 requirements. Address any gaps identified.

• Internal Audits: Ensure that internal audits are conducted as planned and that all findings are addressed. Use internal audit reports to prepare for external audits.

2. Documentation Review

• Update Documentation: Ensure all documentation, including policies, procedures, risk assessments, and records, are up-to-date and comply with ISO 45001 requirements.

• Document Control: Implement a robust document control system to manage the creation, review, approval, and distribution of documents.

3. Staff Training and Awareness

• Train Employees: Provide training to employees on ISO 45001 requirements, their roles in the OH&S management system, and what to expect during the audit.

• Raise Awareness: Conduct awareness sessions to ensure that employees understand the importance of the OH&S management system and are prepared to interact with auditors.

4. Conducting the External Audit

• Opening Meeting: Participate in the opening meeting with the external auditors to discuss the audit scope, objectives, and methodology.

• Support the Audit: Provide the necessary support to the auditors during the audit. Ensure that relevant personnel are available for interviews and that requested documents are readily accessible.

• Address Findings: Take note of any nonconformities or observations identified by the auditors. Discuss and agree on corrective actions and timelines.

5. Post-Audit Activities

• Implement Corrective Actions: Promptly implement corrective actions to address any nonconformities identified during the audit. Ensure the effectiveness of these actions.

• Review Audit Report: Carefully review the audit report provided by the certification body. Use the findings to improve the OH&S management system.

• Maintain Certification: Once certified, maintain the OH&S management system by conducting regular internal audits, management reviews, and continuous improvement activities. Prepare for surveillance audits as required by the certification body.

Tips for Successful Audits

• Prepare Thoroughly: Comprehensive preparation is key to successful audits. Ensure all documentation is in order, and employees are well-prepared.

• Communicate Effectively: Maintain open and transparent communication with auditors. Address their questions and requests promptly.

• Be Honest and Objective: Provide accurate and objective information during the audit. Acknowledge any shortcomings and demonstrate a commitment to addressing them.

• Focus on Improvement: View audits as opportunities for improvement. Use audit findings to enhance the OH&S management system and drive continuous improvement.

Conclusion

Auditing ISO 45001 involves conducting thorough internal audits and preparing for external audits to ensure compliance and continuous improvement. By following best practices and tips for planning, conducting, and following up on audits, organizations can maintain an effective OH&S management system, reduce risks, and enhance workplace safety. Successful audits not only ensure compliance but also demonstrate a commitment to health and safety, building trust and confidence among stakeholders.