ISO45001

ISO 45001, fully titled "Occupational Health and Safety Management Systems - Requirements with Guidance for Use," is the first globally unified international standard for occupational health and safety (OH&S) management systems. It aims to help organizations prevent occupational injuries and health impairments, improve employee safety and health levels, while meeting compliance requirements and achieving continuous improvement.

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I. Introduction to Core Content of ISO 45001

ISO 45001 is based on the "Plan-Do-Check-Act" (PDCA) cycle framework, with "risk-based thinking" and "worker participation" at its core. It emphasizes the integration of the system with organizational operations. The core content can be divided into the following 6 dimensions:

1. Standard Positioning and Scope of Application

• Core Objective: To identify, control, and eliminate occupational health and safety risks through the establishment of a structured management system, reducing accidents, injuries, and health impairments, and safeguarding the safety and health rights of employees (and related parties, such as visitors and contractors).

• Scope of Application: Applicable to organizations of all industries and sizes (enterprises, institutions, non-profit organizations, etc.), regardless of their occupational health and safety risk level; can be implemented by the organization itself or used for third-party certification.

• Relationship with Other Standards: Uses the same High-Level Structure (HLS) as ISO 9001 (Quality Management) and ISO 14001 (Environmental Management), facilitating the integration of multiple management systems and reducing operational costs.

2. Core Principles

ISO 45001 audits are divided into "internal audits" (conducted by the organization itself) and "external audits" (conducted by third-party certification bodies). The core is to verify whether the system "is established, is implemented, and is effective." The following points require special attention:

1. Precautions Before the Audit

• Document Completeness Check: Ensure that the system documents cover all requirements of the standard, avoiding omission of key content. Essential documents: Occupational health and safety policy, objectives, risk list and control measures, list of compliance obligations, internal audit procedure, emergency preparedness and response procedure, incident investigation procedure.

• Common Issues: Disconnect between documents and actual operations (e.g., "procedure requires wearing safety helmets, but not implemented on site"), objectives without measurement methods (e.g., only stating "improve safety level" without clear indicators).

• Data and Record Organization: Prepare key records from the past 12 months in advance to ensure traceability. Essential records: Employee safety training records (training content, assessment results), equipment maintenance and calibration records (e.g., cranes, safety helmet inspections), accident/near-miss records (investigation reports, corrective actions), compliance inspection records (e.g., fire inspections, occupational health examinations).

• Personnel Communication Preparation: Ensure personnel at all levels (especially top management, workshop supervisors, frontline employees) understand their responsibilities, avoiding situations where "only the safety department is aware, other departments are not" (e.g., asking a production supervisor "what are your safety responsibilities?" should yield a clear answer).

II. Key Focus Areas During On-site Audit

(1) Leadership and Worker Participation (High-frequency audit point)

• Audit Focus: Whether top management participates in safety management (e.g., chairing management reviews, approving safety budgets, conducting on-site safety inspections), not just "signing documents."

• Whether Workers Truly Participate: Review records of worker participation in risk identification (e.g., safety suggestions from employees), operation of consultation mechanisms (e.g., safety committee meeting minutes).

• Common Issues: Employees report "never participated in safety discussions," "suggestions are ignored," or top management is unaware of safety objectives and risk situations.

(2) Risk and Opportunity Management (Core audit point)

• Audit Focus: Whether risk identification is comprehensive: Covers all activities (e.g., production, maintenance, office work, business trips), all personnel (e.g., temporary workers, contractors, visitors), all scenarios (e.g., normal operations, equipment failure, emergencies).

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  Whether risk control measures are effective: e.g., if "mechanical injury risk" is identified, check if there are protective devices (e.g., guards), if employees are trained, if there are regular inspection records.

(3) Fulfillment of Compliance Obligations (Mandatory check item)

• Audit Focus: Whether the compliance list is complete: Includes local laws and regulations (e.g., "Three Simultaneities" requirement in the Work Safety Law), industry standards (e.g., explosion-proof standards for chemical companies), customer requirements (e.g., customer safety audit requirements for suppliers).

• Whether compliance is regularly assessed: e.g., whether checks are conducted every six months/year for "compliance with fire acceptance standards," "whether employee occupational health examinations are conducted as required by regulations," with assessment records retained.

• Common Issues: Compliance list not updated (e.g., not adjusted after regulation revisions), no compliance assessment records ("don't know if compliant with regulations").

(4) Emergency Preparedness and Response (Practical audit)

• Audit Focus: Whether emergency plans cover key scenarios (e.g., fire, electric shock, chemical leakage, work injury first aid), whether content is specific (e.g., evacuation routes, responsible persons, contact information, location of emergency supplies).

• Whether drills are conducted regularly: Review drill records (time, participants, effectiveness, improvement measures), on-site inspection of emergency supplies (e.g., whether fire extinguishers are within validity period, whether first aid kits are complete).

• Common Issues: Emergency plans are "generic" (not targeted), never conducted drills, or no improvements after drills (e.g., drill identified blocked evacuation routes but not rectified).

III. Post-Audit Improvement Considerations

• Correcting Non-conformities: For non-conformities found during the audit (e.g., "risk control measures not implemented," "training without assessment"), develop "actionable, verifiable" correction plans, avoiding "superficial corrections" (e.g., only补records without solving the actual problem).

• Continuous System Optimization: Update risk lists, compliance obligations, objectives, etc., based on audit results. For example, if the audit reveals "lack of contractor safety management," add a "Contractor Safety Management System."

• Follow-up on Employee Feedback: Incorporate safety suggestions collected from employees during the audit into the improvement plan to enhance employee participation (e.g., if employees suggest "adding safety warning signs," implement and feedback on progress).