ISO 45001 OHSMS Annual Maintenance & Surveillance Audit Prep

Example Conversation

You: We need to prepare for our Year 1 surveillance audit for SafeBuild Construction. We were certified 10 months ago. We have 200 employees across 3 construction sites, and we’ve had some changes since certification. The surveillance audit is in 6 weeks.

Agent: I’ll start by scanning your workspace for OHSMS document freshness. Running document_freshness_scanner_ohs to identify which documents are current, approaching review deadlines, or overdue.

Agent: The freshness scan found 14 OHSMS documents. Results: 8 GREEN (current), 4 AMBER (6-12 months old – review recommended), and 2 RED (overdue). The RED documents are your Emergency Preparedness Plan (last modified 13 months ago) and your Contractor OH&S Management procedure (15 months ago). The AMBER documents include your Risk Register, Legal Compliance Register, OH&S Policy, and Training Matrix. What organizational changes have occurred since certification?

You: We opened a new site (Site D, a commercial fit-out project), hired 30 new workers, replaced our Site B supervisor, and started using a new concrete cutting machine that requires confined space entry.

Agent: Running organizational_change_classifier_ohs to assess the OH&S impact of each change.

Agent: Impact classification complete. Two HIGH impact changes: the new concrete cutting machine with confined space entry (new hazards introduced – requires hazard register and risk assessment updates) and opening Site D (new work environment). Two MEDIUM impact changes: the 30 new hires (training and competence records needed) and the Site B supervisor replacement (safety-critical role change). Now I’ll reconcile your CAPAs. Running capa_reconciliation_engine_ohs.

Agent: CAPA reconciliation found 6 CAPAs total: 3 closed with effectiveness verified, 1 closed without effectiveness review (CAPA-004 from the internal audit – fire extinguisher inspection schedule), 1 open and on track (CAPA-005 – tool training program), and 1 overdue (CAPA-003 – emergency drill frequency, target date was 2025-12-31). Closure rate is 67%. The overdue CAPA and the one missing effectiveness verification need attention before the surveillance audit. Running surveillance_readiness_scorer_ohs for the overall assessment.

Agent: Surveillance readiness score: 62/100 – CONDITIONALLY READY. Three dimensions scored below 70%: Documentation Currency (45/100 – 2 RED documents), CAPA Status (50/100 – 1 overdue, 1 missing effectiveness review), and Worker Consultation Evidence (40/100 – no recent safety committee minutes found). I’ll compile the full reports now with remediation actions for each low-scoring dimension.

You: Generate the reports with specific actions and owners so we can assign them in our next safety meeting.

Agent: Done. I’ve written output/OHSMS-Surveillance-Readiness-Report.md with the 8-dimension scorecard and remediation actions, and output/OHSMS-Annual-Health-Report.md with year-over-year metrics, document freshness summary, change impact assessment, and CAPA reconciliation. Each remediation action has an owner and target date based on your 6-week timeline.

Output Excerpt

Surveillance Readiness Report (excerpt):

Readiness Scorecard

Overall Readiness: 62/100 – CONDITIONALLY READY

Remediation Actions

What the Tools Validate

document_freshness_scanner_ohs scans for stale OHSMS documents:

• Document detection – Walks the workspace and matches files against 20 OHSMS document patterns (OH&S policy, hazard register, risk assessment, emergency plan, incident reports, training records, etc.).
• Freshness grading – GREEN (modified less than 6 months ago), AMBER (6-12 months ago), RED (more than 12 months ago or unable to determine).
• Category grouping – Groups documents by OHSMS category (Context, Leadership, Planning, Operation, Performance, Improvement, Support).
• Input: Workspace root path.
• Output: Table of all OHSMS documents with freshness status, last-modified date, and category. Summary with percentage of documents current within the review cycle.

organizational_change_classifier_ohs classifies changes by OH&S impact:

• High impact – New hazards, high-risk processes, major facility changes, new chemicals or machinery, confined space or height work introduced. Requires hazard register and risk assessment updates.
• Medium impact – Personnel changes in safety-critical roles, new contractors, location changes, new shift patterns. Requires training records and competence matrix updates.
• Low impact – Administrative changes with minimal OH&S impact. Requires document control updates only.
• Input: Array of change description strings.
• Output: Per-change classification with impact level, reason, and list of affected OHSMS documents to update.

capa_reconciliation_engine_ohs reconciles corrective actions:

• CAPA extraction – Reads the CAPA register for entries with identifiable IDs (CAPA-NNN, NC-NNN, CA-NNN, INC-NNN).
• Status detection – Classifies each CAPA as open, closed, overdue, or unknown based on status keywords and target dates.
• Effectiveness review – Flags CAPAs that are closed but lack documented effectiveness verification (required by Clause 10.2).
• Source breakdown – Categorizes CAPAs by source (internal audit, incident investigation, surveillance audit, workplace inspection, worker complaint).
• Input: Path to the CAPA register file.
• Output: Summary table with counts, closure rate, overdue items requiring escalation, and items missing effectiveness reviews.

surveillance_readiness_scorer_ohs produces an overall readiness score:

• 8 dimensions – Documentation currency, incident closure, CAPA status, legal compliance, management review, OH&S objectives progress, audit findings closure, and worker consultation evidence.
• Scoring – Each dimension scored 0-100 based on file existence (30 points), content quality via keyword matching (40 points), and freshness (30 points). Dimensions are weighted to produce an overall score.
• Readiness rating – READY (80+), CONDITIONALLY READY (50-79), NOT READY (below 50).
• Input: Workspace root path.
• Output: Dimension scorecard with RAG status, remediation recommendations for dimensions below 70%, and overall readiness rating.

Getting Started

1. Create a new project and install the OHSMS Annual Maintenance skill.
2. Upload your existing OHSMS documents to the workspace – the more complete your document set, the more accurate the freshness scan and readiness score. Include your CAPA register, incident logs, audit reports, management review minutes, and any updated policies or procedures.
3. Tell the agent your certification timeline (Year 1, Year 2, or recertification), how many weeks until the surveillance audit, and any organizational changes since the last audit or certification.
4. The agent will run all four tools in sequence: freshness scan, change classification, CAPA reconciliation, and readiness scoring. It then compiles the Surveillance Readiness Report and Annual Health Report with specific remediation actions.
5. All deliverables are written to the output/ directory.