DIY ISO 45001 Checklist

C– Compliant, no actions are needed for compliance

OFI – Opportunities for improvement. Minor improvement actions are needed for compliance
NC – Non-conformance. Major corrective actions are needed for compliance
 Context of the organisation
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Context of the Organisation

Have you determined the internal and

external factors relevant to the purpose
of your WHS management system which
impact your ability to achieve your
intended outcomes?

Have you identified which other interested

parties, apart from your workers, are relevant
to your WHS management system?

Have you determined the relevant

expectations and needs of your workers
and other interested parties?

Have you established which of the above

needs and expectations are applicable,
or could become applicable requirements,
legal or otherwise?

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 Context of the organisation
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Determining the Scope of the WHS Management System

Have you established the scope of the WHS

management system in terms of applicability
and boundaries?

Have you taken into account any internal or

external issues and considered any related
requirements?

Have you considered any work-related

activities, both actual and planned?

Is the scope documented and made readily

available?

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 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Leadership and worker participation

Does top management demonstrate

commitment and leadership in regards
to the WHS management system?

Has top management established WHS policy

and objectives, ensuring they’re compatible
with the organisation’s strategic direction?

Has top management ensured the WHS

requirements have been integrated into
the organisation’s business processes?

Has top management communicated

the importance of conforming to WHS
management system requirements and
effective WHS management?

Has top management ensured that the

WHS management system will achieve
its intended outcomes?
Does top management support and
direct employees to contribute to the
WHS management system’s effectiveness?

Does top management ensure and

promote continual improvement of
the WHS management system?
Does top management provide support
for other management roles, where relevant,
to show leadership as it pertains to their areas
of responsibility?

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 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Does top management promote, develop

and lead a culture of support for the WHS
management system in the organisation?

Does top management protect employees

from reprisals when reporting hazards,
incidents, risks and opportunities?

Has top management implemented a

process or processes to allow consultation
with and participation of employees?

WHS Policy

Has top management established,

implemented and maintained a WHS policy
that includes a commitment to providing a
healthy and safe working environment to
prevent work-related illness and injury?
Does the WHS policy contain a
commitment to eliminating/reducing
WHS risks and hazards?
Does the WHS policy contain a
commitment to consultation with
and participation of employees and,
where suitable, their representatives?

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 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Organisational roles, responsibilities, accountabilities and authorities

Does top management ensure

accountabilities, responsibilities and
authorities for all pertinent roles within
the WHS management system are both
assigned and communicated to every
level of the organisation and documented?
Does top management assign authorities
and responsibilities ensuring the WHS
management system conforms to ISO
45001 requirements?
Does top management report on WHS
management system performance?

Worker consultation and participation

Does your organisation establish,

maintain and implement worker and
worker representative consultation and
participation processes at all pertinent levels
and functions in the planning, development,
implementation, evaluation and improvement
actions of the WHS management system?
Does your organisation provide
time, education, training, mechanisms
and resources required for employee
participation?
Does your organisation provide access to
clear, easily understandable and pertinent
information and resources required for
worker participation in a timely manner?

6
 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Does your organisation establish and remove

barriers and obstacles to worker participation
and minimise those that can’t be removed?

Does your organisation facilitate

and emphasise consultation with
non-management employees in determining
the expectations of interested parties?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing the WHS policy?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
assigning organisational roles,
responsibilities, accountabilities
and authorities wherever applicable?
Does your organisation facilitate
and emphasise consultation with
non-management employees in establishing
ways to fulfill legal and other requirements?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
determining WHS objectives and
planning to achieve them?
Does your organisation facilitate
and emphasise consultation with
non-management employees in establishing
appropriate controls for procurement,
outsourcing and contractors?

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 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing what needs to be
measured, monitored and evaluated?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
planning, establishing, implementing
and maintaining an audit program?
Does your organisation facilitate
and emphasise consultation with
non-management employees in ensuring
continual improvement to the WHS
management system?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing mechanisms for their
participation and consultation?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
hazard identification and assessment
of risks and opportunities?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing actions to eliminate
hazards and reduce WHS risks?

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 Leadership
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing appropriate controls for
procurement, outsourcing and contractors?
Does your organisation facilitate
and emphasise consultation with
non-management employees in the
identification of training needs,
competency requirements, training
and training evaluation?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing communication needs
and methods?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
establishing control measures along
with their effective use and implementation?
Does your organisation facilitate
and emphasise consultation with
non-management employees in
investigating incidents and nonconformities
and determining corrective actions?

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 Planning
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Planning for the WHS Management System

Does your organisation take into

account its context, scope of the WHS
management system and interested
parties and establish all risks and
opportunities which must be addressed
to give assurance that the WHS management
system can achieve its intended outcome(s)?
Does your organisation take into
account its context, scope of the
WHS management system and
interested parties and establish all
risks and opportunities which must
be addressed to prevent, or minimise
negative outcomes?
Does your organisation take into account
its context, scope of the WHS management
system and interested parties and establish
all risks and opportunities which must be
addressed to ensure continual improvement?
Does your organisation have planned actions
that will address risks and opportunities?

Does your organisation have planned

actions that will address applicable legal
requirements and other requirements?

Does your organisation have

planned actions that will ensure
preparedness and appropriate
responses to emergency situations?

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 Planning
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Does your organisation have a plan for how to

integrate and implement actions into its WHS
and other business processes?

Does your organisation have a plan for how to

evaluate the effectiveness of these actions?

WHS objectives and planning to achieve them

Has your organisation determined

WHS objectives at all pertinent functions
and levels to maintain and improve the
operation and performance of the WHS
management system?
Are the WHS objectives consistent with
your organisation’s WHS policy?

Are the objectives measurable and/or

suitable for performance evaluation?

Are the objectives monitored?

Are the objectives communicated?

Are the objectives updated as appropriate?

Do the objectives take into account all

applicable requirements?

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 Planning
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Do the objectives take into account

the results of the assessment of risks
and opportunities?

Do the objectives take into account

the findings of worker and worker
representative consultations?

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 Support
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Support

Has your organisation put in place measures

to ensure all employees are competent
(including the ability to identify hazards) on
the basis of appropriate education, induction,
training or experience?

Does your organisation make

employees aware of the WHS policy
and WHS objectives?

Does your organisation make employees

aware of their contribution to the WHS
management system’s effectiveness including
the benefits of improved WHS performance?
Does your organisation make employees
aware of their ability to remove themselves
from work situations they consider to present
an immediate danger to their life or health, as
well as the arrangements for protecting them
from undue consequences for doing so?

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 Support
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Information and communication

Has your organisation established,

implemented and maintained the process or
processes required for external and internal
communications pertaining to the WHS
management system?
Relevant to the WHS management
system, has your organisation
established communications
processes on what it will communicate?
Relevant to the WHS management
system, has your organisation established
communications processes on when to
communicate?

Relevant to the WHS management

system, has your organisation
established communications processes
on with whom to communicate?

Relevant to the WHS management

system, has your organisation established
communications processes on how to
communicate?

Has your organisation ensured its

communications processes enable employees
to contribute to the continual improvement
of the WHS management system?

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 Operations
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Operation Planning and Control

Does your organisation determine, plan,

implement, control and maintain processes
in order to meet requirements of the WHS
management system by maintaining and
retaining documented information as
required to ensure the processes have been
carried out as planned?
In multi-employer workplaces, has your
organisation implemented a process for
coordinating the pertinent parts of the
WHS management system with other
organisations?

Change Management

Does your organisation review all

consequences of unintended changes
and take action to minimise any adverse
effects, as required?

Procurement

Have you established, implemented

and maintained a process(es) to control
procurement and services and ensure
their conformity with the WHS
management system?

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 Operations
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Contractors

Has your organisation coordinated

its procurement process(es) with its
contractor(s) to identify hazards and to
assess and control any WHS risks arising
from contractor operations and activities
which impact your organisation?
Has your organisation coordinated
its procurement process(es) with its
contractor(s) to identify hazards and to
assess and control any WHS risks arising
from contractor operations and activities
which impact the contractors?
Has your organisation coordinated
its procurement process(es) with its
contractor(s) to identify hazards and to
assess and control any WHS risks arising
from contractor operations and activities
which impact other interested parties in
the workplace?

Have you ensured that the requirements of

your WHS management system are met by
contractors and their employees?

Do your organisation’s procurement

processes define and apply WHS criteria
for the selection of contractors?

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 Operations
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Outsourcing

Does your organisation ensure that control

measures are in place for all outsourced
functions and processes?

Has your organisation ensured that its

outsourcing arrangements are consistent
with legal and other requirements and other
requirements and with achieving all intended
outcomes of the WHS management system?
Has your organisation clearly defined the
type and degree of control to be applied to
these functions and processes within the
WHS management system?

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 Performance evaluation
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Performance evaluation

Has your organisation established what

needs to be monitored and measured?

Has your organisation established the

measurement, performance evaluation,
analysis and monitoring required to
ensure valid results?

Has your organisation established the criteria

against which WHS performance will be
measured by the organisation?

Has your organisation established a

timeline for the measuring and monitoring
of performance?

Has your organisation established when

and how the results from monitoring and
measurement results should be analysed,
evaluated and communicated?

Do you keep and maintain appropriate

documentation as evidence of
measurement, monitoring and
performance evaluation results?

Does your organisation keep and maintain

appropriate documents pertaining to the
maintenance, verification and calibration of
measuring equipment?

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 Performance evaluation
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Internal Audit

Have you planned, established, implemented

and maintained a WHS management system
internal audit program which considers the
importance of the processes and results of
previous audits?

Have you chosen competent auditors and

performed audits which ensure impartiality
and objectivity during the audit process?

Has your organisation ensure that audit

results are reported to all relevant managers,
workers, workers representatives and other
interested parties?

Management Review

Have changes to internal and external issues

relevant to the WHS management system
been considered by management relevant to
the WHS management system including risks
and opportunities?
Do the management review outputs
include decisions pertaining to
opportunities to improve the integration
of the WHS management system with
other business processes?
Has top management communicated all
relevant management review outputs to
relevant workers and, if applicable, workers
representatives?

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 Improvement
Improvements Needed Corrective Actions
Gap Analysis Question C OFI NC Evidence, documentation and notes
[OFI] Needed [NC]

Improvement

Have you established what to do in the case

of a nonconformity or incident and does your
organisation react to them in a timely manner
either by:
1. Taking action to control and correct the
nonconformity or incident.
2. Deal with the consequences of the
nonconformity or incident.
Does your organisation, with the active
participation of employees and other
pertinent interested parties, evaluate the
need for corrective actions to remove the
causes of nonconformities or incidents
to prevent it from recurring or occurring
elsewhere by:
1. Investigating or reviewing the incident or
nonconformity?
2. Establishing whether similar
nonconformities exist or could occur in the
future?
Does your organisation communicate
all relevant ISO 45001 documentation
to workers, workers representatives (if
applicable) and other interested parties?

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