How Does an ISO 45001 Audit Work From Start to Finish?
Understand the complete ISO 45001 audit process, from planning and opening meetings to evidence collection, findings, reporting and corrective-action follow-up.
An ISO 45001 audit is a systematic process used to check whether an organisation's Occupational Health and Safety Management System (OHSMS) meets ISO 45001 requirements and is effectively implemented.
The audit normally starts with planning and reviewing relevant information, followed by an opening meeting, collection of audit evidence, evaluation of findings, and a closing meeting. After the audit, the findings are documented and corrective actions may be required.
Understanding each stage can help organisations prepare for an audit and help aspiring auditors understand how an ISO 45001 audit is carried out.
What Is an ISO 45001 Audit?
An ISO 45001 audit is a structured examination of an organisation's Occupational Health and Safety Management System.
During the audit, the auditor collects objective evidence by reviewing documents, observing activities and speaking with employees. This evidence is then compared with the applicable ISO 45001 requirements and the organisation's own OHSMS processes.
The purpose is not simply to check documents. The auditor also evaluates whether the management system is implemented and whether the organisation is managing occupational health and safety risks in a systematic way.
How Does an ISO 45001 Audit Start?
Audit Planning
The first stage is audit planning. Before the audit begins, the audit team determines the audit scope, objectives, criteria, locations and activities to be covered.
The auditor also considers the organisation's processes and the areas that need to be examined. A clear audit plan helps ensure that important OHSMS processes are covered within the available audit time.
For organisations preparing for their first audit, understanding the basics of ISO 45001 can be helpful. Our guide on ISO 45001:2018 OHSMS Training for Beginners explains the standard in a simple way.
Reviewing Documents and Information
Before or during the audit, the auditor reviews relevant documented information.
This may include the organisation's OHSMS information, policies, procedures, risk-related information, objectives, records and other evidence relevant to the audit scope.
The auditor uses this information to understand how the management system has been established and to identify areas that need further examination during the audit.
Conducting the Opening Meeting
The audit normally begins with an opening meeting.
During this meeting, the auditor explains the audit objectives, scope and criteria. The audit approach, communication arrangements and other practical details may also be discussed.
The opening meeting provides an opportunity for the audit team and organisation to confirm their understanding of how the audit will be conducted.
How Is Audit Evidence Collected?
Conducting the Audit
After the opening meeting, the auditor begins collecting objective evidence.
This can involve interviewing employees, observing workplace activities, reviewing records and examining how OHSMS processes are implemented.
For example, an auditor may ask employees how hazards are identified, how risks are assessed, how operational controls are implemented or how incidents are handled.
The auditor does not normally rely on a single source of information. Evidence from interviews, observations and documented information can be considered together to determine whether requirements are being met.
Evaluating Audit Findings
As evidence is collected, the auditor evaluates it against the audit criteria.
The auditor may identify areas of conformity as well as findings where requirements have not been adequately fulfilled. Findings should be supported by objective evidence rather than personal opinions.
Where a nonconformity is identified, the auditor records the relevant requirement and the evidence supporting the finding.
This stage is important because audit conclusions should be based on evidence collected during the audit.
What Happens at the End of an ISO 45001 Audit?
Reviewing the Audit Findings
Before the audit is concluded, the audit team reviews the evidence and findings.
This helps ensure that the audit conclusions are consistent with the evidence collected and that the audit objectives have been addressed.
The audit team may also review whether the planned audit activities have been completed and whether any important areas require further clarification.
Conducting the Closing Meeting
The audit ends with a closing meeting.
During the closing meeting, the auditor presents the audit conclusions and discusses the findings with the organisation.
If nonconformities have been identified, they are explained along with the evidence supporting them. The organisation may also be informed about the next steps for addressing the findings.
The closing meeting allows both sides to have a clear understanding of the audit results.
Preparing the Audit Report
After the audit, the audit results are documented in an audit report.
The report generally records information such as the audit scope, audit criteria, audit activities, findings and conclusions.
The report provides a formal record of what was examined and what was identified during the audit.
What Happens After an ISO 45001 Audit?
Corrective Action and Follow-Up
If nonconformities are identified, the organisation needs to address them through appropriate corrective action.
The organisation may need to determine the cause of the problem, implement corrective action and provide evidence showing that the issue has been addressed.
Depending on the type of audit and the applicable certification process, follow-up activities may be required to verify that corrective actions have been effectively implemented.
An audit therefore does not always end when the auditor leaves the organisation. The findings and subsequent corrective actions can form an important part of the overall audit process.
ISO 45001 Audit Process at a Glance
What Does an ISO 45001 Auditor Look for?
An ISO 45001 auditor looks at how the organisation has established and implemented its Occupational Health and Safety Management System.
The auditor may examine areas such as hazard identification, OH&S risk assessment, operational controls, worker participation, competence, awareness, emergency preparedness, incident management, monitoring and continual improvement.
The exact areas examined depend on the audit scope, organisation and processes being audited.
The auditor's focus is on obtaining sufficient objective evidence to determine whether the relevant requirements are being fulfilled.
How Long Does an ISO 45001 Audit Take?
The duration of an ISO 45001 audit can vary depending on several factors.
The size and complexity of the organisation, number of employees, number of locations, scope of the OHSMS, processes involved and type of audit can all affect the audit duration.
Is an ISO 45001 Audit the Same as an Internal Audit?
Not necessarily.
An internal audit is conducted by or on behalf of the organisation to evaluate its own management system. It can help identify areas for improvement before an external certification or surveillance audit.
An external certification audit is conducted by an independent certification body as part of the certification process.
The basic auditing principles may be similar, but the purpose, responsibilities and context of the audit can be different.
If you want to understand the difference between auditor roles, read our article ISO 45001 Internal Auditor vs Lead Auditor: What Is the Difference?
Why Is Understanding the ISO 45001 Audit Process Important?
Understanding the audit process helps organisations know what to expect before, during and after an audit.
It also helps employees understand why auditors ask questions, review records and observe workplace activities.
For professionals planning to develop a career in auditing, understanding the complete audit sequence is equally important. Lead Auditor training can provide structured learning about audit principles, planning, conducting audits, reporting findings and following up on audit results.
FAQs About the ISO 45001 Audit Process
What is the first step in an ISO 45001 audit?
The first step is generally audit planning. The auditor determines the audit objectives, scope, criteria and approach before conducting the audit.
What happens during an ISO 45001 audit?
The auditor reviews relevant information, interviews employees, observes activities and collects objective evidence. The evidence is then evaluated against the applicable audit criteria.
What happens after an ISO 45001 audit?
The audit results are documented in a report. If nonconformities are identified, the organisation may need to implement corrective actions and provide evidence for follow-up.
Does an ISO 45001 audit only check documents?
No. An audit can involve reviewing documented information, interviewing employees, observing workplace activities and examining records and processes.
Can an internal auditor conduct an ISO 45001 audit?
Yes. An organisation can use competent internal auditors to conduct internal audits of its OHSMS. The auditor should have appropriate knowledge and competence for the audit activities assigned to them.
Is ISO 45001 Lead Auditor training useful for understanding the audit process?
Yes. Lead Auditor training covers the structured approach to planning, conducting, reporting and following up on management system audits. It can be relevant for professionals who want to develop auditing knowledge and skills.
Conclusion
An ISO 45001 audit follows a structured process that generally includes planning, information review, opening meeting, evidence collection, evaluation of findings, closing meeting, reporting and corrective-action follow-up.
Understanding this sequence helps organisations prepare more effectively and helps auditors approach audits in a consistent and evidence-based manner.
For professionals interested in developing their auditing skills, understanding the complete ISO 45001 audit process is an important foundation for further auditor training and practical audit experience.
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