References

This document contains typical activity solutions and additional information referred to during
the course.

Section 1
Table of contents:
Activity 1: Other important terms and definitions ................................................................ 2
Activity 2: Other key components..................................................................................... 3

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Activity 3: Internal and external issues and interested parties ............................................. 8

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Activity 4: Leadership and commitment .......................................................................... 13

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Example: Risks and opportunities to the OH&S MS ......................................................... 15

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Activity 5: Processes needed to address risks and opportunities....................................... 18

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Activity 6: Communication ............................................................................................. 21
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Minimum documented information required .................................................................... 22

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Processes needed (not necessarily documented though)................................................. 23

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Clause 7: Support – Statements ................................................................................... 24

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Activity 7: Outsourcing, procurement and contractors ...................................................... 26

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Activity 8: Leading and lagging performance indicator data .............................................. 28

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 References

Activity 1: Other important terms and definitions

Term Answer Definition

1. Interested party E A. Recurring activity to enhance performance

2. Documented I B. Non-fulfilment of a requirement

information

3. Participation H C. Action to eliminate the cause(s) of a nonconformity or an

incident and to prevent recurrence

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4. Continual A D. Systematic, independent and documented process for obtaining
improvement audit evidence and evaluating it objectively to determine the

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extent to which the audit criteria are fulfilled

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5. Consultation N E. Person or organization that can affect, be affected by, or

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perceive itself to be affected by a decision or activity

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6. Incident M F. Make an arrangement where an external organization performs
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part of an organization’s function or process
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7. Competence P G. External organization providing services to the organization in

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accordance with agreed specifications, terms and conditions

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8. Corrective action C H. Involvement in decision-making

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9. Audit D I. Information required to be controlled and maintained by an

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organization and the medium on which it is contained

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10. Monitoring O J. Performance related to the effectiveness of the prevention of

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injury and ill health to workers and the provision of safe and
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healthy workplaces
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11. Outsource F K. Process to determine a value

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12. Nonconformity B L. Source with a potential to cause injury and ill health

13. Occupational J M. Occurrence arising out of, or in the course of, work that could or
health and safety does result in injury and ill health
performance

14. Measurement K N. Seeking views before making a decision

15. Contractor G. O. Determining the status of a system, a process or an activity

16. Hazard L P. Ability to apply knowledge and skills to achieve intended results

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 References

Activity 2: Other key components

Firstly, here is a summary of the PDCA cycle on which management systems, including
ISO 45001, are founded.
0.4 Plan-Do-Check-Act cycle
Needs and
Internal and expectations of
Context of the organization (4) workers……
external issues
(4.1) (4.2)
Scope of the OH&S management system (4.3/4.4)
P

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Planning

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(6)

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Leadership Support
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A Improvement and worker

Operation D
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(10) participation
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(7, 8)
(5)
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Performance
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evaluation
(9)

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Intended outcomes
Permission to reproduce extracts from ISO 45001 was granted by BSI. British Standards can be
obtained in PDF or hard copy formats from the BSI online shop: www.bsigroup.com/Shop or by
contacting BSI Customer Services for hardcopies only: Tel: +44 (0)20 8996 9001, Email:
cservices@bsigroup.com.

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 References

A second cycle of continual improvement can best be illustrated by taking a paper copy of the
diagram and rolling it into a loose tube with the diagram facing outwards. The resulting tube
shows that while the PDCA cycle carries on (in two dimensions on the surface of the tube) larger
evolutionary cycles are taking place around and through the middle.

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Context of the organization

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Scope of the occupational health and safety management

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Internal and system P

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Needs and
external expectations
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issues
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of workers
etc.
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Planning
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Support
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Improvement and
A Leadership…. D
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Operation

Performance
evaluation

Intended outcomes

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 References

PDCA is clearly identified as the basis of the OH&S MS approach, and requires the other
concepts mentioned. Because it is seen as an iterative process, it therefore embraces the
definition of ‘continual improvement’ covered earlier in Activity 1.

Continual does not mean continuous though, so the activity does not need to take place in all
areas simultaneously.

The guidance in 0.4 clearly shows how the iterative process works, and Figure 1 shows this in
practice against the clauses of the standard.

Don’t forget, enhancing performance relates to the use of the OH&S management system in
order to achieve improvement in overall OH&S performance consistent with the OH&S policy and

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OH&S objectives.

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Notes on Figure 1:

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ISO 45001 utilizes processes for establishing, implementing, maintaining, and continually

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improving an OH&S MS.

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Requirements for occupational health and safety performance will come from its intended
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outcomes. These set the parameters for determining its internal and external issues that are
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relevant to the organization’s purpose, and are important inputs into the system; as is the
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requirements of its workers and other interested parties.

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These inputs, and the work related activities planned or performed, are used to determine its
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scope (boundaries and applicability of its OH&S MS). Using these inputs, management will plan a
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series of actions to deliver improved occupational health and safety performance in line with the
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organization's stated policy.

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NOTE: Although PDCA is mentioned in the Introduction (0.4) and features in Figure 1, it is not
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directly referred to as part of the requirements. This is an acknowledgement that whilst PDCA is
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still relevant and applicable, there are also other methods of achieving continual improvement.
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5.1 Leadership and commitment

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There are now clearly defined leadership and commitment requirements in Clause 5.1, for top
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management (see definition). These cannot be simply delegated to the OH&S Manager; as many
(if not all) of the specific requirements in Clause 5.1 have a direct impact on the concepts below.
Commitment, awareness, responsiveness, active support and feedback from the organization’s
top management are critical for the success of the OH&S management system, and therefore
they have specific responsibilities for which they need to be personally involved or which they
need to direct.
To achieve improved acceptance and implementation of OH&S management system processes,
leadership includes communicating the requirements of "what" needs to be done and "why" it
should be done. It is also important to ensure that the intended outcomes are achieved.
Cooperation between management, workers and workers’ representatives is an essential
element of workplace-related prevention measures. Clauses: 5.1 k-m) will greatly assist in this
regard.
This leads nicely into the next concept.

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 References

A.5.4 Consultation and participation of workers

Please note top management’s responsibilities here (5.1 Leadership and commitment).

Participation - involvement in decision-making;

Consultation - seeking views before making a decision.

As an example, all the process(es) below (taken together) could comprise how an organization’s
arrives at a decision (related to OH&S or any other decision). However, only one of these
processes may be where consultation actually takes place.

Consul- Final
tation decision

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Alternatively, there may be only one process comprising participation, and consultation takes
place at the same time to reach a decision (e.g. a meeting around a table with the workers where

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the decision is reached).

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From (A.5.4):

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‘Consultation implies a two-way communication involving dialogue and exchanges. Consultation
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involves the timely provision of the information necessary for workers……to give informed feed-
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back to be considered by the organization before making a decision.

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Participation enables workers to contribute to decision-making processes on OH&S performance

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measures and proposed changes.’

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References to consultation and participation are not confined to this clause alone. Indeed, there
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are multiple references to participation, for example, within a number of clauses highlighted by
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this activity. We will revisit this later in the course.

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A.5.1, 5.1 j), 10.3 b) Culture

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The last two concepts will have a direct bearing on this. Culture though is not actually defined in
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ISO 45001 but is a particular responsibility of top management in 5.1j), however 10.3 b) is an
organizational requirement.
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There is also a clear emphasis on encouraging worker consultation and participation and
avoiding barriers so as to create and maintain a culture that supports the OH&S Management
System. This links back to top management leadership and commitment requirements: To
develop, lead and promote a culture in the organization that supports the intended outcomes of
the OH&S management system (Clause 5.1 j); also its continual improvement in Clause 10.3 in
that: The organization shall continually improve the suitability, adequacy and effectiveness of the
OH&S management system by enhancing OH&S performance, and promoting a culture that
supports an OH&S MS.

Top management will therefore need to develop, lead, and promote their organization’s culture
that supports their OH&S management system and encourages workers and, where they exist,
workers’ representatives including interested parties to actively participate in the OH&S
management system. This is a key factor in the establishment and implementation of an effective
OH&S management system and OH&S culture and will be facilitated by clauses 5.1 k) to m)).

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An organization’s OH&S culture is largely determined by top management and is the product of
individual and group values, attitudes, perceptions, competencies and patterns of activities that
determine the commitment to, and the style and proficiency of its OH&S management system.
An organization’s OH&S culture that supports an OH&S management system is characterized by
communications founded on mutual trust, by shared perceptions of the importance of the OH&S
management system and by confidence in the effectiveness of preventive measures.
An organization with such a culture is sometimes denoted as a learning organization. In the
context of OH&S, learning organizations encourage a culture where people at all levels of the
organization continually expand their capacity to understand how work activities and the
organization impact OH&S performance.

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 References

Activity 3: Internal and external issues and interested parties

Your tutor will provide feedback to delegates attempting their own organization.
3. External issues [relevant to 2.]
The intent here is to provide a high level, conceptual understanding of the important issues that
can affect, either positively or negatively, the way an organization manages its OH&S
responsibilities to achieve intended outcome(s) of its OH&S management system.

(Topic areas below derive from Annex A.4.1)

 Cultural – risk taking might be considered as part of the culture, and seen as normal practice

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in the Philippines. Expansion into China will require research into culture affecting OH&S. (All

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the below topic areas could apply to our expansion into China)

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 Social – social custom is for workers to provide their own PPE, and be solely responsible for

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their OH&S, not the organization employing them. Also the willingness to be involved in

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consultation and participation in a work setting is traditionally very poor

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 Political – permits to operate businesses are now being affected by past OH&S performance,

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especially those incidents which are in the public domain
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 Legal – laws are sometimes not clear and not enforced and subject to bribes. Expansion into
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China will require research into legal frameworks for OH&S
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 Financial – there are fixed fines for death relating to incidents at work, although these are not
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currently high, the general view is that these will rise significantly over the coming years. Also
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negligence claims are likely to rise in the future

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 Technological – new safe systems of work through technology are emerging

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 Economic – the economy of the Philippines is getting much better, more taxes are being paid
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and consequently more attention is paid to those organizations contributing to the economy.
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This will include environmental and OH&S performance to align with global standards; as the
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country is always seeking inward investment

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 Natural surroundings – many operating sites are very poorly controlled with the public having
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access, and building waste scattered everywhere during the development, this provides
additional risks and opportunities to be managed
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 Market competition – is increasing; new organization’s starting up and expanding all the time
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to meet the demands of users. Prices are starting to be lowered, affecting worker numbers on
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sites and operating practices

 Contractors – difficult to secure good contractors who are respectful of the OH&S needs of
themselves and to other workers. Also, contractors tend to work completely independently to
the organization employing them with their own standards for OH&S
 New technologies – new cable splicing technologies for fibre cables, this increases costs and
productivity but the competence required to operate the technology without adverse effect on
OH&S is also higher
 New OH&S laws – constantly changing and resources are stretched to identify/action them
 Emergence of new occupations – contractors are becoming more multi-skilled and useful, but
OH&S awareness is poor
 Key drivers and trends relevant to the industry or sector having an impact on the organization
– the increasing demand for high speed internet services in a domestic setting which
increases new OH&S risks and opportunities
 Relationships with, and perceptions and values of, its external interested parties – OH&S is
becoming more important in the areas we operate in, but traditionally has been very poor

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4. Internal issues [relevant to 2.]

(Topic areas below derive from Annex A.4.1)
 Governance – we have no formal governance framework, especially relating to OH&S
 Organizational structure – very flat, with most of the workers being either contractors, or the
work outsourced. This introduces issues around OH&S control
 Roles and accountabilities – are loosely defined due to the flat structure
 Policies and objectives and the strategies that are in place to achieve them – policies and
objectives are defined (from an OH&S perspective) but no formal plans to realize them
 Resource capabilities - knowledge and competence, relating to OH&S, is still very poor with
only superficial training provided, and only general competence in OH&S within the

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organization to do so

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 Information systems, information flows and decision-making processes – relating to OH&S
only paperwork (not in an electronic form). This poses challenges relating to OH&S monitoring,

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analysis and evaluation

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 Introduction of new products, services, new tools, new software, new premises and equipment

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- new premises being considered, OH&S not currently a factor in its construction or

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operation/maintenance. New equipment for working at height available to purchase with
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budget allocated
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 Relationships with, and perceptions and values of workers – Command and control, work
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comes first, OH&S is the responsibility of the worker, worker perception is that OH&S
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becomes a luxury when time allows

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 The culture in the organization – results based, little focus still on OH&S performance and
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worker consultation and participation

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 Standards, guidelines and models adopted by the organization – none relating to OH&S
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 The form and extent of contractual relationships, including for example outsourced activities –
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hourly rates, or package price based on a defined output. No contractual arrangements in

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place relating to OH&S

 Working time arrangements – generally work till the job is completed, or for as much time as
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you are willing to pay me for, this puts enormous stress on the workers, tiredness, and
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mistakes relating to OH&S are common

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Note: Internal and external issues are specific to an organization and will determine the risks and
opportunities that need to be addressed.

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5. Interested parties [relevant to 2.]

Legal and Emergency

Staff
regulatory services/ Contractors/suppliers
dependents
authorities doctors/nurses
Workers’ (labour)
Customers Media Banks representatives
(external)
External:
Local
community/
Visitors Citizens

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neighbors/
general public

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Pressure Business

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Insurers
groups/NGOs partners

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Owners,
Workers, Workers’
shareholders,

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including (labour)
Internal: executive
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management representatives
board, parent
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(internal)
organization
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6. Needs/expectations of interested parties [relevant to 5.]

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(An organization is expected to gain a general (i.e., high level, not detailed) understanding of the
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expressed needs and expectations of workers and other interested parties that are OH&S
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relevant)
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The workers, and other interested parties, with expectations relevant to the OH&S have been
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determined below, with their individual needs and expectations (requirements).

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These have been determined through a mixture of contract/tender requirements, disclosed

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voluntarily, phone contact, electronic surveys, operational meeting and top management focus.
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External parties Example needs/expectations

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1) Identification of applicable statutory and regulatory

requirements for the OH&S activities under our
Legal and regulatory control/influence, understanding of the requirements,
authorities application within our OH&S, update/maintenance of them,
compliance to them, prompt responses to investigations
and enquiries, prompt reporting of applicable incidents
2) Demonstrable ISO 45001 conformance/legal compliance
3) Value for money (especially for higher –ve risk activities)
Customers 4) Maintained levels of contract installation times (especially
for greater –ve risk activities requiring extensive controls)
5) Socially and ethically responsible
6) Information with regard to emergencies
Visitors 7) Safe environment to visit with adequate PPE and controls
for visitors

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External parties Example needs/expectations

8) Legal compliance
9) Absence of OH&S incidents
Citizens
10) Meeting policy commitments
11) Socially and ethically responsible
12) Prompt reporting incidents/changes in circumstances
13) Demonstrable ISO 45001 conformance
Insurers
14) Evidence of non-financial (i.e. OH&S) risk management
15) Low incident rate involving compensation claims

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16) Timely call out and information relating to site OH&S issues
17) Accurate inventory of hazardous materials

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Emergency services/

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doctors/nurses 18) Regulatory compliance

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19) Regular drills for emergencies/site evacuation/first aid

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20) Fast, accurate information concerning OH&S related

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Media impacts/incidents to the local/national press
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21) Openness/transparency to everyone
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22) Reputational and socially responsible

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23) OH&S legal, regulatory, and best practice compliance

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Staff dependents 24) Healthy, safe workplace

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25) Workers are not mentally/physically adversely affected by

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their work activities

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26) Meeting repayment terms

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27) Compliance with loan conditions

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Banks 28) Good risk management

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29) Legal compliance

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30) Absence of OH&S incidents/legal costs/public liabilities

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31) Minimization of OH&S incidents

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Local community/ 32) Good employer who is responsible regarding workers

neighbors/general health and safety arrangements
public 33) Employers who take responsibility for their work activities
affecting their workers and visitors
Pressure groups/NGOs 34) Adherence to best practice and contractual agreements
35) Clear statement of OH&S requirements in tenders/contracts
36) Consistent approach to contract variations involving OH&S
practices
Contractors/suppliers
37) Adherence to agreements
38) Level playing field for all OH&S requirements
39) Reasonably practical OH&S demands
40) Adherence to agreements
Business partners
41) Good OH&S risk management

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External parties Example needs/expectations

Workers’ (labour) 42) Terms and conditions for workers – OH&S related
representatives 43) Employee OH&S consultation/participation on work related
(external) changes

Internal parties Example needs/expectations

44) Good OH&S reputational image
45) Wider focus than just profit
46) Formal externally recognized training for all workers

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47) Occupationally safe and healthy working conditions

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48) Continuity of employment

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Workers, including 49) Opportunities for dialogue/improvement/changes

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management 50) Effective consultation and participation arrangements

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51) Workers also taking ownership for their own OH&S, as well

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as others who could be affected by their actions
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52) Workers who are reasonable in their requests relating to
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OH&S and what they can/can’t do
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53) Workers who pro-actively report deficiencies in OH&S

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arrangements and offer up improvements

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54) Terms and conditions for workers – OH&S related

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Workers’ (labour) 55) Employee OH&S consultation/participation on work related

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representatives changes
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(internal) 56) Suitable and sufficient training for their role, and other
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workers whom they represent

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Owners, shareholders, 57) Financial benefit, legal compliance/avoidance of fines,

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executive board, parent reputational gain – corporate social responsibility (CSR),

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organization enhanced corporate governance (CG)

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7. Which become legal requirements and other requirements [relevant to 6.]

All the above will become legal requirements and other requirements with the exceptions of:
 External parties – Media (20,21) – This will be re-visited once the OH&S MS is operational and
effective (as determined by top management/executive board)
 Workers (42, 54, and 46, 48) - Treat as a HR requirement, and we cannot guarantee, depends
on budget/profit etc. Contractors/Suppliers (38) - We cannot guarantee at the present
 Banks (30) and Citizens (9) - We cannot guarantee at the present but will minimize
 Banks (26,27) – Treat as an Accounts requirement not OH&S. Customers (3,4) – Treat as an
ISO 9001 requirement

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Activity 4: Leadership and commitment

The statements listed in italics have been taken from Clauses 5.1 to 5.3. Those underlined and in
bold have not.

Leadership/commitment behavior: Leadership/commitment behavior:

Ensuring that responsibilities and authorities for Consider only technological OH&S controls
relevant roles are assigned and communicated when Return on Investment (ROI) is less than 1
within the organization year

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Assign the responsibility and authority for ensuring
Keep technical OH&S consultancy costs low

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that the OH&S management system conforms to

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by only using internal resources
the requirements of this International Standard

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Keeping operating costs low by using cheaper
Keeping shareholders happy by spending

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older equipment no longer supported by the
less and achieving more

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manufacturer or supplier
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Ensuring the OH&S policy and related OH&S
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Provide a framework for setting OH&S
objectives are compatible with the organization’s
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objectives within its OH&S policy

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strategic direction
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To say the right things when Regulators are Delegating occupational health and safety
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around so we don’t get into trouble management reviews

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Promoting a culture that supports the intended Taking overall responsibility and accountability for
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outcomes of the OH&S management system the protection of workers’ OH&S

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Ensuring the integration of the OH&S

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Hiding records if they are incriminating when an

management system requirements into the
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OH&S incident is being investigated

organization’s business processes
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Trying to keep OHS fines/insurance claims

Actively promote the organization’s OH&S
lower by promoting a ‘protect the company’
compliance to potential clients
culture

Include a commitment to consultation and

Ensuring the OH&S management system achieves
participation of workers in the OH&S
its intended outcome(s)
management system policy

Release OH&S information to employees on a

Ensuring OH&S documentation is destroyed
‘need to know’ basis, and only information
after 3 years
relevant to their specific role

Supporting the establishment and functioning of

Signing off corrective action plans
health and safety committees

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Ensure the organization’s OH&S policy is held

Ensure that the resources needed for the
as private information and protected against
OH&S management system are available
anyone external viewing it

Communicating the importance of effective

Keep up to date with all new OH&S external
OH&S management and of conforming to the
initiatives/conferences/training
OH&S management system requirements

Remaining independent to the organizations Support other relevant management roles to

OH&S management system to ensure top demonstrate their leadership as it applies to their
management impartiality area of responsibility

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Protecting workers from reprisals when
Directing and supporting persons to contribute to
reporting incidents, hazards, risks and

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the effectiveness of the OH&S management system
opportunities

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Example: Risks and opportunities to the OH&S MS

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Organization: Business telecommunications installer of IT cabling and IT cabinets in the Philippines

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(Sample of issues and requirements from Activity 3: Internal and external issues and interested parties)

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Risks (-ve) Opportunities (+ve)
# Issues (internal) Expected result Uncertainty
(effect) (effect)

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8.1.2 e) Use of PPE

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Social custom is for Opportunity to be known in
Social customs around workers to provide their the sector as a caring and

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5.1 a) Top management

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PPE shall take overall own PPE, and be solely forward thinking employer,
Workers ignore the

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responsibility and responsible for their attracting good quality human
Responsibility of OH&S organization’s OH&S
OH&S. Also the resources and inward

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1 accountability for the processes, and

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The willingness to be protection of workers… willingness to be investment from client’s
OH&S performance
involved in consultation

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5.1 k-m) protecting workers, involved in consultation (including oversees client’s)
does not improve
and participation process(es) for re and participation in a concerned with reputational
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consultation/participation, work setting is impacts and good social
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establish OH&S committees traditionally very poor responsibility/governance

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Structure is very flat,

Poor OH&S
1

Is the organizational 8.1.4.3 Outsourced with most of the

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performance
structure capable of processes are controlled workers being either (Not every issue will have an
45

affecting workers
ensuring adequate control 8.1.4.2 Contactor controls contractors, or the work opportunity associated with it.
2 and others OH&S,
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for OH&S, especially when for communicating hazards, outsourced. Uncertainty Please do not mix up risk
reputational
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outsourcing and with the evaluation and OH&S around adequate treatment with an
damage, fines, loss
use of contractors risks…… supervision and OH&S opportunity)
of customers
control
3 Etc. ………………. ………………. ………………. ……………….

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Risks (-ve) Opportunities (+ve)

# Issues (external) Expected result Uncertainty
(effect) (effect)
OH&S MS is not
5.1 j) Top Management

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effective and does
promoting a culture that

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not achieve its

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supports the OH&S MS
intended outcome(s)

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10.3 b) Promoting a culture
Workers continue to

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supporting an OH&S MS
adopt peer pressure

ou
7.3 b) Awareness of Might be considered as norms to get the

C
benefits of improved OH&S part of the culture, and work done

ng
performance and their seen as normal practice

ni
Workers are injured,
Cultural – risk taking contribution in the Philippines.

ai
1 suffer ill health, or
(contractors/outsourcing) Expansion into China

Tr
7.3 c) Aware of the fatal consequences
will require research

ts
implications of not
into culture affecting Investment cost of

en
conforming (Not every issue will have an
OH&S the OH&S MS is lost

m
opportunity associated with it.
8.1.1 b) Implementing
re
control of the processes in
Contracts helped by Please do not mix up risk
ui
having an OH&S MS treatment with an
accordance with the criteria
eq

may be lost due to opportunity)

5.2 a) Commitments in the
R

non-adherence
policy to provide safe and
1

Other MS’s could be

00

healthy workplace
affected e.g. quality
45

Relationships with, and Collaborating in forums which

(Please note/ there
O

perceptions and values of, focus on topics dealing with

may also be –ve risk
IS

2 its external interested health and safety

associated with any
parties – OHS is becoming (Opportunity to improve the
opportunity!)
more important OH&S MS)

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(Relevant) requirements Risks (-ve) Opportunities (+ve)

# Expected result Uncertainty
(workers) (effect) (effect)
Workers are spread all
5.1 k-m) Process(es) for OH&S culture does
over the country and
consultation/participation, not improve

-ID
work in the main on
establish OH&S committees

I
isolated contracts with

BS
5.2 Policy commitment to
Opportunities for dialogue, contractors, or work is
consultation/participation OH&S preformance

e-
1 improvement, and when outsourced (Not every requirement will
is affected

rs
changes occur 5.4 Process(es) for have an opportunity
Time to consult/

ou
consultation and Hazards/risks are associated with it. Please do
participate and

C
participation a)-e) not identified not mix up risk treatment with
logistical arrangements

ng
OH&S loss to an opportunity)
10.3 Ensure participation of Culture in respect to

ni
workers
workers active participation

ai
Tr
2 Etc. ………………. ………………. ………………. ……………….

ts
(Relevant) requirements Risks (-ve) Opportunities (+ve)

en
# Expected result Uncertainty
(other interested parties) (effect) (effect)

m
Improving the OH&S culture
Contractors/suppliers – re OH&S requirements
Poor OH&S by extending competence
ui
8.1.4 Controls for procuring are not clearly defined
eq

Clear statement of OHS performance, and related to OH&S beyond

1 goods/services conform to in our contracts, and
requirements in OH&S loss to requirements (OH&S
R

OH&S MS requirements demoted to a contract

tenders/contracts workers Opportunity to improve
1

annex
00

OH&S)
45

2 Etc. ………………. ………………. ………………. ……………….

O
IS

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Activity 5: Processes needed to address risks and opportunities

Process activities, inputs and outputs, in italics and underlined were the incorrect ones.

I -ID
BS
e-
rs
ou
C
ng
ni
ai
Tr
ts
en
m
re
ui
eq
R
1
00
45
O
IS

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Operational planning
and control
Please note: processes (OP1)
A.1 - A.3 and B.1 - B.6 are supported
by their respective operating

-ID
Pro-active procedures (or further processes)
Scope How to

I
when required for confidence (carried

BS
evaluate
Determine out as planned) effectiveness
methodology(ies)

e-
of actions
Documented and criteria for

rs
methodology(ies) and
assessing

ou
Nature criteria Actions to
address risks,

C
(OP1) opportunities,

ng
legal and
Effective Achieves other, and
Timing

ni
participation continual emergency

ai
of workers improvement situations
A1

Tr
ts
Document information of OH&S

en
Systematic risks, and opportunities that Legal and
other

m
need addressing
Issues Determine requirements
re
risks and (How to apply)
ui
opportunities
eq

Requirements (4.2)
that need
R

Risks and opportunities

addressing to the OH&S MS Planning Emergency
1

Scope (4.3)
00

situations
Action
45

What needs Best

Changes to organization, processes, and OH&S MS communicating Outputs
from the A3 practices,
O

(see B.6) OH&S technological

IS

Intended outcome(s) of the OH&S MS MS options,

financial,
Take account of operational,
Appropriate involvement of other interested parties 6.1.2.1 a) - h) business
requirements

Prevent, reduce undesired effect How to integrate

and implement
actions into OH&S Hierarchy
A2
Assurance of intended outcome(s) (OP1) MS/ business of controls
processes

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Scope
Emphasize participation Documented Methodology(ies) Documented criteria

I -ID
B.1 B.2

BS
Identify OH&S Assess OH&S risks
Take account of

e-
hazards OH&S hazards Documented OH&S risks

rs
6.1.2.1 a) à h)

ou
‘ZZ’ ‘XX’

C
On-going

ng
‘YY’

ni
Effectiveness of existing controls Achieves 6.1.1 a) – c)

ai
Updated

Tr
documented
‘ZZ’
information on

ts
B.3
B.5

en
legal and other OH&S Risks Identify/assess risks and
requirements Access and opportunities to the

m
determine legal and OH&S MS Risks and opportunities

re
other requirements ui Requirements (4.2) to the OH&S MS
eq

Issues (4.1)
R
1

B.6
00

B.4
Determine how to Documented OH&S
45

apply and what Planned changes Identify OH&S opportunities

needs (policies, processes, activities) opportunities
O

communicating
IS

What Opportunities to adapt

Opportunities to work, work
needs eliminate/reduce organization and work
‘XX’ hazards/OH&S risks
communicating ‘YY’ environment

How to apply A.2

Intended outcome(s)
of the OH&S MS (See A.3)

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Activity 6: Communication
ISO 45001 Requirement:
clause:
5.1 e) Communicate the importance of effective OH&S management and of
conforming to the OH&S management system requirements
5.2 OH&S policy shall be communicated within the organization
5.3 Responsibilities and authorities for relevant roles within the OH&S
management system are assigned and communicated
5.4 e) Determining what needs to be communicated and how this will be done

-ID
6.1.3 b) What needs to be communicated (legal requirements and other
requirements)

I
BS
6.2.1 OH&S objectives communicated

e-
rs
7.4.1 Establish process(es) needed for communications including: what, when,

ou
whom, how, and diversity

C
8.2 e) Communicating and providing relevant information to all workers on their
ng
duties and responsibilities (emergency preparedness and response)
ni
ai

8.2 f) Communicating relevant information to contractors, visitors, emergency

Tr

response services, government authorities, and, as appropriate, the local

community
ts
en

9.1.1 e) When the results from monitoring and measurement shall be analysed,
m

evaluated and communicated

re
ui

9.2.2 d) Report audit results to relevant managers; ensure that relevant audit
eq

results are reported to workers, and where they exist, workers’

R

representatives, and other relevant interested parties

1
00

9.3 Top management shall communicate the relevant outputs of

management reviews to its workers, and where they exist, workers’
45

representatives
O
IS

10.2 Communicate the nature of incidents or nonconformities and any

subsequent action taken, and the results of any action and corrective
action including their effectiveness (documented information) to its
relevant workers, and where they exist, workers’ representatives, and
relevant interested parties
10.3 d) Communicate the relevant results of continual improvement to workers,
and where they exist, workers’ representatives

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 References

Minimum documented information required

4.3 (Available) Scope
5.2 (Available) OH&S policy
5.3 (Maintained) Responsibilities and authorities for relevant roles
6.1.1 (Maintain) OH&S risks & other risks, (Maintain) Opportunities, (Maintain) Process(es)
and actions needed to determine and address its risks and opportunities (see 6.1.2 - 6.1.4) to
the extent necessary to have confidence that they are carried out as planned
6.1.2.2 (Maintained and retained) Methodology(ies) and criteria for assessment of OH&S
risks
6.1.3 (Maintain and retain) Legal requirements and other requirements

-ID
6.2.2 (Maintain and retain) OH&S objectives and plans to achieve them

I
BS
7.2 (Retain) Evidence of competence (appropriate)

e-
7.4.1 (Retain) Communications

rs
ou
7.5.1 (Shall include) Required by this document

C
Determined by the organization as being necessary for the effectiveness of the OH&S
ng
management system
ni
ai

7.5.3 (Identified as appropriate, and controlled) Of external origin determined by the

Tr

organization to be necessary for the planning and operation of the OH&S management
ts

system
en

8.1.1 (Maintaining and retaining) To the extent necessary to have confidence that the
m

processes have been carried out as planned

re
ui

8.1.4.3 The type and degree of control to be applied to these functions and processes shall
eq

be defined within the OH&S management system – One could argue this implies within
R

documented information
1
00

8.2 (Maintain and Retain) Process(es) and on the plans for responding to potential
emergency situations
45

9.1.1 (Retain) Evidence of the monitoring, measurement, analysis and performance

O
IS

evaluation results (appropriate), records of maintenance, calibration or verification of

measuring equipment shall be retained
9.1.2 (Retain) Compliance evaluation result(s)
9.2.2 (Maintain) Audit programme
9.2.2 (Retain) Evidence of implementation of the audit programme and audit results
9.3 (Retain) Evidence of the results of management reviews
10.2 (Retain) Evidence of the nature of the incidents or nonconformities and any subsequent
actions taken
(Retain) Evidence of the results of any action and corrective action, including their
effectiveness
10.3 e) (Maintain and retain) Evidence of continual improvement

Annex A (A.3):

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‘’’Documented information” is used to include both documents and records. This document
uses the phrase “retain documented information as evidence of…” to mean records, and
‘shall be maintained as documented information’ to mean documents, including procedures.
The phrase “to retain documented information as evidence of…” is not intended to require
that the information retained will meet legal evidentiary requirements. Instead, it is intended
to define the type of records that need to be retained.’

Processes needed (not necessarily documented though)

4.4 Processes needed and their interactions, in accordance with the requirements of this
document

-ID
5.4 For consultation and participation of workers at all applicable levels and functions

I
6.1.1 Process(es) needed to determine and address risks and opportunities (see 6.1.2 -

BS
6.1.4) to the extent necessary for confidence they are carried out as planned (needs

e-
documenting)

rs
ou
6.1.2.1 For the on-going proactive identification of hazards

C
6.1.2.2 To assess OH&S risks, to determine and assess the other risks related to the
ng
establishment, implementation, operation and maintenance of the OH&S management
ni
system
ai

6.1.2.3 To assess OH&S opportunities to enhance OH&S performance and for improving the
Tr

OH&S management system

ts
en

6.1.3 To determine and have access to up-to-date legal requirements and other
m

requirements that are applicable to its hazards, OH&S risks and OH&S MS, to determine
re

how these apply and what needs to be communicated, to take these (legal & other
ui

requirements) into account when establishing…….etc.

eq

7.4.1 Needed for internal and external communications relevant to the OH&S MS
R
1

8.1.1 Needed to meet requirements of the OH&S management system, and to implement the
00

actions determined in Clause 6

45

8.1.2 For the elimination of hazards and reduction of OH&S risks using the hierarchy of
O

control…..
IS

8.1.3 For the implementation and control of planned temporary and permanent changes that
impact OH&S performance….
8.1.4.1 To control the procurement of products and services in order to ensure their
conformity to its OH&S MS
8.1.4.2 (Contractors) To identify hazards and to evaluate and control the OH&S risks arising,
to define and apply OH&S criteria for the selection of contractors
8.2 To prepare for and respond to potential emergency situations (needs documenting)
9.1.1 For monitoring, measurement analysis and performance evaluation
9.1.2 For evaluating compliance with legal requirements and other requirements
9.2.1 Internal audit process (by definition an audit is a documented process)
10.2 To report, investigate and take action, to determine and manage incidents and NC’s

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Clause 7: Support – Statements

ISO 45001
clause
Number reference Statement T/F

1 7.1 Shall provide the resources for continual improvement of its T

OH&S MS is required
2 7.1 Resources do not include financial F

3 7.2 Evaluate the effectiveness of training is required T

4 7.2 Retain appropriate documented information as evidence of T

-ID
competence

I
BS
5 7.2 Taking action to ensure competence always requires formal F

e-
training

rs
ou
6 7.2 Determine necessary competence for everyone F

C
7 7.2 It is always necessary to maintain the necessary competence T
ng
ni
ai

8 7.3 Workers shall be made aware of relevant incidents and the T

Tr

outcomes of investigation
ts

9 7.3 All interested parties must have read and understood the F
en

organization’s occupational health and safety policy

m
re

10 7.3 Workers shall be made aware of the potential consequences T

ui

of not conforming to the OH&S MS requirements

eq

11 7.4.1 Informing and communicating are essentially the same thing F

R
1
00

12 7.4.1 Organizations need to have a documented communications F

45

process(es)
O

13 7.4.2 Everybody should receive every communication relevant to F

IS

the OH&S MS
14 7.4.3 External communication information is determined by F
external interested parties alone
15 7.5.1 Documented information must be the same for every F
organization implementing ISO 45001
16 7.5.2 Language and graphics of documented information must be T
appropriate
17 7.5.2 Appropriate review, and approval for adequacy, is necessary F
for every document within the organization
18 7.5.3 Documented information required by the OH&S MS needs to T
always be adequately protected from improper use

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ISO 45001
clause
Number reference Statement T/F

19 7.5.3 Access to documents implies a decision regarding the F

permission to review only
20 7.5.3 Not all documented information required by the OH&S MS F
needs to be controlled
21 7.5.3 Documented information required by the OH&S MS must F
always be available to everyone and suitable for use
22 7.5.3 All documented information of external origin shall be F

-ID
identified and controlled

I
BS
e-
rs
ou
C
ng
ni
ai
Tr
ts
en
m
re
ui
eq
R
1
00
45
O
IS

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Activity 7: Outsourcing, procurement and contractors

Item Clause Statement True/false?
1 8.1.4.3 Outsourcing is defined as: Making an arrangement where True
an external organization performs part of the
organization’s function or process
2 8.1.4.3 Outsourced processes do not need to be controlled False
3 8.1.4.3 Outsourced processes require the type and degree of True
control to be applied to be defined within the OH&S MS
4 8.1.4 The standard requires an organization to establish, False
implement and maintain a documented procedure to

-ID
control the procurement of products and services, in order
to ensure their conformity to its OH&S management

I
BS
system

e-
5 8.1.4.2 A contractor in the standard is defined as: an external True

rs
organization providing services to the organization in

ou
accordance with agreed specifications, terms and

C
conditions ng
6 8.1.4.2 The standard requires the organization to coordinate its False
ni
ai

procurement activities with its contractors, only in order to

Tr

prevent contractor activities and their operations from

impacting on the organization
ts
en

7 8.1.4.2 A procedure is required to identify, evaluate and control False

m

OH&S risks arising from the contractor’s activities

re
ui

8 8.1.4.2 The organization shall ensure that OH&S MS True

eq

requirements are met by contractors and their workers

R

9 8.1.4.2 There is no specific requirement for a procurement False

1
00

process(es) to define and apply OH&S criteria for

contractor selection
45

10 8.1.4.2/ A contractor may, or may not, be involved in an True

O
IS

‘outsourced process or function’ – depending upon

8.1.4.3
whether it is actually part of the organization’s ‘function or
process’
11 8.1.4.2/ Outsourcing, and the use of contractors, can take place True
either at the organization’s ‘workplace’ or away from it
8.1.4.3
12 8.1.4 Procurement controls are needed for both products and True
services (affecting outsourcing and contractors)

Additional notes

(A.8.1.4.1):
‘The procurement process(es) should be used to determine, assess and eliminate hazards,
and to reduce OH&S risks associated with, for example, products, hazardous materials or

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substances, raw materials, equipment, or services, before their introduction into the
workplace.’
Contractors – Brings together into its own clause, from requirements in OHSAS 18001, and
makes them more explicit, and clearly defined.
A workplace is defined as a: ‘place under the control of the organization where a person
needs to be or to go for work purposes’.

If we consider a person (sole trader) who provides services (activities): This service (or
activity) could be part of the ‘organization’s function or process’ i.e. a BSI external resource
auditor, in which case it would be considered an outsourced process.’ The BSI external
resource auditor however is still at the organization’s (BSI’s) workplace (but also the client’s
workplace), and hence is still deemed a contractor of the organization (BSI).
3.6 Workplace definition Note 1 to entry - The organization’s responsibilities under the OH&S

-ID
management system for the workplace depend on the degree of control over the workplace.

I
BS
Hence ‘contractors’ may, or may not, be involved in an outsourced process!

e-
Outsourcing – More explicit requirements defined for the control on outsourced functions and

rs
ou
processes, including the type and degree of control to be applied within the OH&S MS.
Outsourcing can include the retention of a third party to perform part of an organization’s

C
function or process at the ‘workplace’.
ng
ni

However, outsourcing may involve activities away from the organization’s ‘workplace’ in
ai
Tr

which case decisions regarding scope, and the type and degree of control to be applied to
these processes, will need to be taken.
ts

(3.29 outsource definition) Note 1 to entry: An external organization is outside the scope of
en

the management system, although the outsourced function or process is within the scope.
m
re

Outsourcing in this context only concerns processes essential for the OH&S management
ui
eq

system, not other business processes in the organization.

R

This has implications depending on the scope of the OH&S MS and its intended outcomes,
1
00

its values, ethical policies, corporate responsibilities, other requirements etc.

45

Typically, an outsourced process could be defined by the following: a) it is within scope of the
O

OH&S MS; b) it is integral to the organization’s functioning; c) it is needed for the OH&S
IS

management system to achieve its intended outcome; d) liability for conforming to

requirements is retained by the organization.

See A.8.1.4.3 for the factors determining the extent of control needed.

In conclusion
1) A contractor may, or may not, be involved in an ‘outsourced function or process’ –
depending upon whether it is actually part of the organization’s ‘function or process’.
2) Outsourcing, and the use of contractors, can take place either at the organization’s
‘workplace’ or away from it.
3) Procurement controls are needed for both goods and services (affecting outsourcing
and contractors).

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Activity 8: Leading and lagging performance indicator data

Leading Lagging
(proactive) (reactive)
Example indicators – put a tick ( ) in the performance performance
relevant box… indicator data indicator data
Worker perceptions of management commitment
to OH&S
Number of top managers’ OH&S inspection tours
Health surveillance reports
Worker absences due to illness (occupationally-

-ID
related)

I
Number of worker suggestions for OH&S

BS
improvements

e-
rs
Time to implement action on OH&S suggestions

ou
Damage only accidents

C
Cases of occupational diseases or conditions, such
ng
as dermatitis, deafness, work-related upper limb
ni
ai

disorders, stress, asbestosis, occupationally-

Tr

induced cancers
ts

Number of personnel trained in OH&S

en

Number of risk assessments completed as a

m
re

proportion of those required

ui

Reportable dangerous occurrences

eq
R

Lost-time accidents, when at least one work shift

1

(or other time period) is lost by a person as a result

00

of an accident injury
45

Workers’ attitudes to risks and risk controls

O
IS

Near-misses
Reportable accidents involving absence from work
for more than three days
House-keeping standards
Workplace exposure levels (e.g. noise and dust,
fumes)
Reportable major injuries
Use of PPE
Fatal accidents
Complaints made by workers
Criticisms made by regulatory staff

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