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Audit template in the LeanSuite app

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ISO 45001 internal audit checklist

Internal audit questions organised by ISO 45001 clause. Use it for your internal audit programme.

Use this template in LeanSuitePrintable version (PDF)

The full question list

The 44 questions in the audit

Every question is answered Yes, No or N/A. Each No is flagged and asks for a photo and a comment, so the finding arrives with its evidence.

Hazard identification and risk assessment: Sample: 3 tasks running today, at least one of them non-routine (clearing a jam, a die change, cleaning, a repair), and the newest risk assessment in the area.

  1. 1Watch a task being done, then read its risk assessment: does the assessment describe the job as it is really done, including setting up, clearing and cleaning? Look for: steps and hazards you saw that the assessment leaves out. (6.1.2.1 Hazard identification)
  2. 2Are non-routine jobs assessed, or only normal running? Ask an operator what they do when the machine jams, then find that job in the assessments. Look for: assessments for clearing jams, changeovers, cleaning and breakdown repairs. (6.1.2.1 Hazard identification)
  3. 3Did the people who do the task take part in its assessment, and was the assessment reviewed after the last incident, change or new information on that task? Look for: who took part, the review date, the last incident on the task and what changed in the assessment after it. (6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management system)
  4. 4Is the site's rating method used the same way on every task, and does each rating count only the controls that are really in place? Look for: the method and its criteria, two ratings compared side by side, any rating that relies on a control you found missing. (6.1.2.2 Assessment of OH&S risks and other risks to the OH&S management system)

Hierarchy of controls: Sample: the 3 highest-rated risks in the area and every control listed for them, each control seen in place.

  1. 5For the highest risks, were removing the hazard, substituting it and engineering controls considered before procedures and PPE, with a reason written down where a stronger control was not used? Look for: the options considered, the control chosen and the reason for it. (8.1.2 Eliminating hazards and reducing OH&S risks)
  2. 6Is each control on the assessment in place and working at the station? Ask the operator whether it ever gets bypassed, and when. Look for: the guard fitted, the interlock working, the extraction running, the barrier in place, signs of a workaround. (8.1.2 Eliminating hazards and reducing OH&S risks)
  3. 7When an action was taken on a risk, did someone check afterwards that it worked and rate the risk again? Look for: one completed action, the check made after it (a measurement or an observation), the new rating. (6.1.4 Planning action)

Lockout/tagout and energy control: Sample: 2 machines with written energy control procedures, 1 lockout done this week (or one done for you), and the last periodic inspection of each procedure.

  1. 8Does each machine in the sample have its own energy control procedure that lists every energy source, stored energy included (springs, air, hydraulics, gravity, capacitors)? Look for: the procedure checked against the machine itself and its labelled isolation points. US plants: OSHA 29 CFR 1910.147(c)(4). (8.1 Operational planning and control)
  2. 9Walk through a recent lockout with the person who did it: was every source isolated and locked with their own lock, and was zero energy checked before work started? Look for: personal locks and tags, the try or test step, a group lockout box where a crew worked. (8.1 Operational planning and control)
  3. 10Has each procedure in the sample been inspected in the last 12 months by an authorized person who does not use it, including a talk with the people who do? Look for: the inspection record, who inspected, who was reviewed. US plants: OSHA 29 CFR 1910.147(c)(6) sets at least once a year. (9.1 Monitoring, measurement, analysis and performance evaluation)

Machine guarding: Sample: 4 machines, including the oldest, one changed in the last year and one where operators clear jams.

  1. 11On each machine in the sample, are the point of operation, nip points, rotating parts and flying chips or sparks guarded, with guards fixed in place or interlocked? Look for: each machine walked round while it runs; missing, open or modified guards. US plants: OSHA 29 CFR 1910.212(a). (8.1.2 Eliminating hazards and reducing OH&S risks)
  2. 12Are interlocks, light curtains and emergency stops tested at a set frequency, and does a test you watch agree with the record? Look for: the test record, one test watched with maintenance. (9.1 Monitoring, measurement, analysis and performance evaluation)
  3. 13Ask the operator to show you how they clear a jam or make an adjustment: can it be done without reaching past a guard while the machine can move? Look for: the method against the procedure, the tools provided, tape, ties or magnets on interlocks. (8.1 Operational planning and control)

Emergency preparedness: Sample: the area's emergency plan, the last drill, 3 workers from different shifts and 5 pieces of emergency equipment.

  1. 14Ask 3 workers what they would do if the alarm sounded now, or if someone near them was hurt: where they go, who they call, who gives first aid. Look for: answers that agree with the plan; first aiders named for every shift. (8.2 Emergency preparedness and response)
  2. 15Was the response tested by a drill at the interval the site set, on more than one shift, and was something changed after the drill was reviewed? Look for: the drill record, the time to clear and account for everyone, the review and what changed. (8.2 Emergency preparedness and response)
  3. 16Is emergency equipment in place, unblocked and checked: extinguishers, eyewash stations and showers, spill kits, exits? Look for: 5 items against their check tags. US plants: OSHA 29 CFR 1910.157(e) asks for a monthly visual check and annual maintenance of portable extinguishers. (8.2 Emergency preparedness and response)

Contractor control: Sample: every contractor on site on the audit day, and 2 contractor jobs from the last month.

  1. 17Were the contractors on site today selected using safety criteria, and told the site rules and the hazards of the area before they started? Look for: the approval record, a sign-in or induction for each person, the hazards they were told about. (8.1.4.2 Contractors)
  2. 18For high-risk contractor work (at height, hot work, confined space, energy isolation), is there a permit or an agreed plan, and does the work you see match it? Look for: the permit at the job; for lockout, each employer knows the other's procedure (US plants: OSHA 29 CFR 1910.147(f)(2)). (8.1.4.2 Contractors)
  3. 19Does someone from the site check contractor work while it is going on, and do contractor injuries and near misses go into the site's reports? Look for: a check record or a named host, contractor entries in the incident log. (8.1.4.2 Contractors)

Incident reporting and investigation: Sample: the last 3 incidents or near misses in the area, at least one of them an injury, and 2 workers asked how they report.

  1. 20Ask 2 workers how they would report an injury, a near miss or a hazard, and what happened the last time they did. Look for: they know the route, their report is in the system, they heard back. US plants: OSHA 29 CFR 1904.35 requires a reporting procedure that does not discourage reporting. (10.2 Incident, nonconformity and corrective action)
  2. 21Were the 3 investigations started promptly, with the workers involved, and do they find causes in the work and the system instead of stopping at operator error? Look for: dates, who took part, the cause statements, actions that change conditions. (10.2 Incident, nonconformity and corrective action)
  3. 22Were serious incidents reported to the authority within the legal time limits? Look for: the incident log against the reports made. US plants: OSHA 29 CFR 1904.39 sets 8 hours for a death and 24 hours for an in-patient hospitalization, an amputation or the loss of an eye. (6.1.3 Determination of legal requirements and other requirements)

Worker participation and consultation: Sample: at least 5 workers who are not managers or supervisors, from more than one shift, talked to away from their supervisor. Use the worker interview prompts.

  1. 23Can workers give a real example of having a say in a risk assessment, a control or the last change in their area? Look for: examples from at least 3 of the 5 people, worker names on assessments, safety committee minutes with worker members. (5.4 Consultation and participation of workers)
  2. 24What stops people raising a concern or reporting a small injury: no time, language, fear of blame, nothing coming back, a bonus or prize tied to injury-free days? Look for: what workers say, the rules of any incentive scheme, meetings held in paid time, material in the languages people read. (5.4 Consultation and participation of workers)
  3. 25Do workers know they can remove themselves from work they believe puts them in imminent, serious danger, and that they are protected when they do? Look for: workers' own answers, where the rule is written down and trained. (7.3 Awareness)
  4. 26Did the results of the last audit and the last investigations reach the workers they concern? Look for: a briefing record or the area board; ask workers whether they heard and what changed. (9.2.2 Internal audit programme)

Competence and training: Sample: 5 workers, including the newest person in the area and someone recently moved to a new task, and their training records.

  1. 27Is the safety competence each job needs written down, including spotting hazards, and do the 5 people meet it? Look for: the training matrix or job requirements, the 5 records, gaps and how they are covered until closed. (7.2 Competence)
  2. 28Ask the newest person to show you a safety-critical step of their job: does it match the procedure and the training they signed for? Look for: what you watch against the procedure, the trainer's sign-off. (7.2 Competence)
  3. 29Is training checked for effect, not only attendance, and are refreshers in date (forklift, first aid, lockout)? Look for: a test or an observed sign-off, expiry dates against today. US plants: OSHA 29 CFR 1910.178(l)(4)(iii) asks for a forklift operator evaluation at least every 3 years. (7.2 Competence)

Personal protective equipment: Sample: 6 workers at 3 tasks and the PPE assessment for those tasks.

  1. 30Is the PPE for each task set by a written hazard assessment, and is it what the people at the task wear? Look for: the assessment against what you see on 6 workers. US plants: OSHA 29 CFR 1910.132(d) asks for a written, certified hazard assessment. (8.1.2 Eliminating hazards and reducing OH&S risks)
  2. 31Ask workers whether their PPE fits, how they get a worn item replaced on their shift, and when they were shown how to use it. Look for: fit and condition, a replacement route that works on nights and weekends, training records (OSHA 29 CFR 1910.132(f) in US plants). (8.1.2 Eliminating hazards and reducing OH&S risks)

Ergonomics: Sample: 2 tasks with lifting, repetition or awkward posture: the one workers name as the hardest and one with reports of discomfort.

  1. 32Have lifting, repetition and posture been assessed for the tasks workers say are hardest, with a stated method (for example the NIOSH lifting equation or an observation checklist)? Look for: the assessment and its method, the worker's own account of the task. (6.1.2.1 Hazard identification)
  2. 33Where a task was assessed as high risk, was the work itself changed (height, reach, weight, lift assist, rotation), not only lifting training given? Look for: the change in place; ask the operator whether it helped. (8.1 Operational planning and control)

Chemical management: Sample: 5 chemicals used in the area, including the newest one bought.

  1. 34Is every chemical in the area on the inventory, with a current safety data sheet that workers can reach on every shift? Look for: 5 containers against the list; ask a worker to find one sheet. US plants: OSHA 29 CFR 1910.1200(e) and (g)(8). (6.1.2.1 Hazard identification)
  2. 35Are containers labelled (secondary containers too), stored away from incompatible chemicals, and used with the controls the safety data sheet calls for? Look for: labels, storage, extraction running, the gloves and eye protection in use. (8.1.2 Eliminating hazards and reducing OH&S risks)
  3. 36Before the newest chemical was bought, did someone check its hazards and set the controls? Look for: the purchase approval, who signed it, the safety data sheet reviewed before first use. (8.1.4 Procurement)

Management of change: Sample: the last 3 changes in the area (equipment, layout, chemical, staffing, shift pattern or procedure), temporary ones too.

  1. 37Was each change reviewed for safety before it was made, with the people affected, and were the risk assessment, procedures and training updated? Look for: the change record, a risk review dated before the change, the updated documents. (8.1.3 Management of change)
  2. 38Are there changes nobody reviewed? Ask workers what has changed in the last 3 months and compare their answers with the change log. Look for: a moved machine, a new supplier's material, overtime or crew changes missing from the log. (8.1.3 Management of change)

Monitoring and measurement: Sample: the area's safety measures for the last 3 months and 3 measuring devices (gas detector, sound level meter, air sampling pump, load tester).

  1. 39Does the area track leading measures (inspections done, actions closed on time, near misses reported) as well as injuries, and act when one moves the wrong way? Look for: the board or report, the last time a measure slipped and what was done. (9.1 Monitoring, measurement, analysis and performance evaluation)
  2. 40Is equipment used to measure exposure or to test safety devices calibrated or bump-tested as required? Look for: records for 3 devices, with dates against today. (9.1 Monitoring, measurement, analysis and performance evaluation)

Legal requirements: Sample: the register of legal and other requirements for the area, the last compliance evaluation, and 3 requirements traced to the floor.

  1. 41Does the site know which legal and other requirements apply to this area (machinery, chemicals, noise, lifting gear, permits, customer rules), and is the list kept up to date? Look for: the register, its last update, one new or changed rule on it. (6.1.3 Determination of legal requirements and other requirements)
  2. 42Has compliance been evaluated at the set frequency, with the gaps closed? Pick 3 requirements and check them on the floor yourself. Look for: the evaluation record; 3 items traced, for example a lifting gear inspection, a noise survey, an extinguisher check. (9.1.2 Evaluation of compliance)

Nonconformity and corrective action: Sample: 3 corrective actions from the area in the last 6 months, including one from the last internal audit.

  1. 43Do corrective actions use the hierarchy of controls and go through the change process, with the new risk checked before the action was put in? Look for: the type of control chosen in each of the 3, a change review where the action changed equipment or method. (10.2 Incident, nonconformity and corrective action)
  2. 44Were the actions checked for effect before they were closed, and are the last audit's findings closed and not seen again today? Look for: the effectiveness check, the last audit's findings against what you see now. (10.2 Incident, nonconformity and corrective action)

When to use it

  • When it is due on your audit programme, or after a change or a problem.
  • An auditor or leader answers each question from what they see, hear and read in the area.

How it is scored

The template is built with points per answer and a pass mark of 80. In this library every audit is set to pass at 80 and every inspection at 90. Each submitted audit shows its score and pass or fail, and every No is flagged with its photo and comment.

Change the points or the pass mark after you clone it. How rules and scoring work.

Read and print

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Use this template in LeanSuite

It is ready in the Template Marketplace inside Lean Creator as “ISO 45001 Internal Audit”. Clone it into your plant, change any question, then schedule it to a person, role or asset with reminders. Auditors complete it on a phone or tablet, with photo evidence where required.

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