Introduction to ISO

45001 & 14001

(Integrated Management System)
By : Muhamed Khairul Mohd Barsri
Why Are You
Here?

2
What is Your
Expectation
What is Audit

4
 What is
Standards?

5
 Introduction to ISO
45001 & 14001
(Integrated Management System)
By : Muhamed Khairul Mohd Barsri
What is Intergrated
Management System
Standardization of All Clauses Structure

Only Hold One Audits for Multiple Standards

(45001, 14001, 9001 & 27001)

7
History & Development Of OSH MS 8

British management system standards:

• BS 5750 (which led to ISO 9001) – Quality

1980s & • BS 7750 (which led to ISO 14001) – Environment

1990s • Proposal for BS 8750 - OH&S MS — Requirements
standard (rejected in favour of guidance standard)
• BS 8800 OSH MS Guidance Note published in 1996
In UK
 History & Development Of OSH MS 9

Growth of National OH&S MS standards

2001 2005 2007

• LO OSH Guidelines published • United States of America ANSI • OHSAS 18001 revised (aligned

• Australia/New Zealand AS/NZ Z10 with ISO 14001:2004); followed

4801 • BS 8800 again proposed to ISO by 18002 in 2008

• China GB/t28001 as basis for development of ISO

OH&S MS standard. After
consultation with ILO, ISO
concluded in 2007 that proposal
had insufficient support
 History & Development Of OSH MS
2013
• Approx. 90,000 certificate,
across 127 countries were
certified to more than 40 OH&S
MS standard, the OHSAS
Project Group asked BSI to
propose the development of an
ISO OH&S MS standard
10
Up to today ...
2017 2018
• By 2017 a Working draft, 2 • March 2018 –ISO 45001
Committee drafts, 2 Draft published.
International Standard (DIS)
and Final DIS (FDIS) issued
(Nov 2017 in Melaka, Malaysia)
 11

Malaysia Way
Who Can Use This
Standard? Any
Restrictions?
Does This Documents State
Any Specific Criteria Or
Prescribe On What To
Have In Order To Be
Certified?
Can We Follow ONLY
Some of The Standard?
What Is
Interested Parties?
What Happened to PDCA? 16
17
Annex SL Common Structure

1. Scope 6. Planning

2. Normative references 7. Support

3. Terms and definition 8. Operation

4. Context of the organisation 9. Performance evaluation

5. Leadership 10. Improvement

ISO High Level Structure – Annex
SL
What is it ?

• Developed by ISO

• Introduces common clauses, headings and core text

• Increases alignment and makes it easier to implement

multiple management systems
• ISO 9001, ISO 14001 have adopted this structure
OHSAS 18001/ISO 45001:2018
OHSAS18001:2007 ISO45001:2018
1. Scope 1. Scope
2. Reference Publications 2. Normative Reference
3. Terms and definitions 3. Terms and definitions
4.1 OH&S requirements 4. Context of the organisation
4.2 policy 5. Leadership and worker participation
4.3 Planning 6. Planning of OH&S
4.4 Implementation 7. Support
4.5 Checking – performance 8. Operational
monitoring 9. Performance evaluation
4.6 Management Review 10. Improvement
Verbal Words

• “shall” indicates a requirement

• “should” indicates a recommendation

• “may” indicates a permission

• “can” indicates a possibility or capability

• “Note” is guidance/clarification on requirements
• “Note to entry” additional information that
supplements the terminology
Verbal Words

Establish, Implement,
Maintain The Process
Verbal Words

Maintain Document Information

VS
Retain Document Information
Evidence of Compliance

People (Interview)
Paper (Review)
Practice (Observe)
2. Normative Reference

27
Terms & Definitions
Organisation

“persons of group of people that has its own functions with responsibilities,
authorities and relationships to achieve its objectives”

Interested Party or Stakes Holders

“person or organisation that can affected, be affected by, or perceive itself to
be affected by a decision or activity”

Contractor
“external organisation providing services to the organisation at a workplace in
accordance with agreed specifications, terms and conditions ”
Terms & Definitions
Worker
“person performing work- or work-related activities under the control of the
organisation”

Note 1: persons perform work- or work-related activities under various

arrangements- paid/unpaid

Note 2: workers include top management, managerial and non-managerial

Note 3: the work or work-related activities, performed by workers employed

by another organisation – insourced activities (refer clause pages 2)
Terms & Definitions
Participation
“involvement of workers in decision-making”

Consultation
“seeking views in making a decision” - include workers

Workplace
“place under the control of the organisation where a person needs
to be or go by reason of work”
Note 1: the organisation responsibilities depends on the degree of
control
Terms & Definitions
Risk
“effect of uncertainty”

OH&S Risk
“combination of the likelihood of occurrence of a work-related hazardous
event and exposure(s) and severity of injury and ill-health that can be caused
by the event or exposure(s)

Injury & ill-health

“adverse effect on the physical, mental or cognitive condition of a person”
Note 1 – adverse effects includes occupational disease, illness and death
“PLAN-DO-CHECK-ACT” 32

4 5 6
LEADERSHIP &
CONTEXT OF
WORKER PLANNING
ORGANISATION
PARTICIPATION
 Clause 4
Context Of The Organisation

33
4. Context of the organisation
Clause 4.1

Understanding the organisation

Clause 4.2

Understanding the needs and expectations of workers and

other interested parties

Clause 4.3

Determining the scope of OH&S

Clause 4.4 ISO 45001
OH&S management system
4. Context
New requirement
• Understand issues both positive and negative
that needs consideration in establishing OH&S
4.1 Understanding the • Opportunity to identify external and internal
Organisation and its
context factors and interested parties that effect
intended outcomes of OH&S
• External context – cultural, social, political, key
trends in industry
• Internal context- governance, policies,
ISO 45001
objectives, culture, trends
ISO 14001

4.1 Understanding the organization and its context

Objective Evidence:
Strategic Plan /Business Plan
GAP Analysis/SWOT Analysis/Brainstorming workshops/PESTLE
Environmental impact assessments
SEIA (social, environmental impact) assessments

Unique ISO 45001 Requirements: Nil

4.2 Needs and Expectations

• Needs of external interested parties

determined by organisation relevant to
4.2 Understanding the OH&S
needs and expectations of • Needs and expectations of managerial and
workers and other
interested parties non-managerial workers
• Other interested parties – legal and
regulatory authorities, includes workers,
customers and clients
• Applicable legal requirements
ISO 45001
ISO 14001
4.2 Understanding the needs and expectations of interested
parties.
Intent:
To gain a high-level understanding of expectations of stakeholders
(interested parties)
Objective Evidence:
Interested parties identified (government, shareholders,
regulatory authorities, community etc).
Needs statements/Strategic plans.
Stakeholder register/stakeholder engagement exercises (e.g. Corporate Social
Responsibility initiatives).
Stakeholder meetings (NGO's, community, employees etc)
Unique ISO 45001 Requirements:Nil
4.3 Scope of OH&S
• Intended to clarify the boundaries of
OH&S
• Consider external and internal factors
• Requirements of interested parties
4.3 Determining scope of
OH&S management • Work related activities performed
system • Scope should address hazards and
potential risk

ISO 45001
ISO 14001
4.3 Determining the scope of the Environmental
Management Systems

Intent:
To clarify the physical and organisational boundaries to which the
EMS applies

Objective Evidence:
Statement of scope
EMS Manual (scope definition)
Website

Unique ISO 45001 Requirements:

Nil
4.4 OH&S Management System

• Establish, implement, maintain and

continually improve OH&S
4.4 OH&S • Process needed and interactions –
Management system
integrate requirements into various
business operations e.g. design &
development and procurement

ISO 45001
ISO 14001
4.4 Environmental management system

Intent:

To develop the EMS to fulfil all requirements of ISO 14001

Objective Evidence:
Process flowcharts
EMS documentation (could include manual,
procedures/instructions/standards/registers etc), records.

Unique ISO 45001 Requirements:

Nil
 Clause 5
Leadership & Worker
Participation

43
5. Leadership and worker participation

Clause 5.1
Leadership and commitment

Clause 5.2
OH&S policy

Clause 5.3
Organisational roles, responsibilities and authorities

Clause 5.4 ISO 45001

Consultation and participation of workers
5.1 Leadership and worker participation

• More focus to demonstrate leadership and commitment

• Take overall responsibility and accountability for protection
of workers
• Ensuring active participation of workers, worker
5.1 Leadership
representation using consultation
and commitment
• Consider need to establish H&S committees
• Identification and removal of barriers to participation
• Continual improvement of OH&S
• Developing, leading and promoting a culture supporting
OH&S
ISO 45001
ISO 14001
5.1 Leadership and commitment

Intent:
To demonstrate leadership and commitment through
involvement

Objective Evidence:
Policy statement signed
Strategic business Plans/ Action plans
Attendance at meetings
Budget approvals
Bulletins/campaigns
Visible leadership - interactions
ISO 14001
5.1 Leadership and commitment

Unique ISO 45001 Requirements:

5.1(j), (k), (I) and (m)

Objective Evidence:
OH&S culture initiatives
Whistleblower policy
Approval of communication plan
Chairing H&S committee
5.2 OH&S Policy
• OH&S policy set of principles and overall sense of direction
• H&S policy on consultation with workers at all levels and
communicated
• Commitment to provide safe and healthy working
5.2 OH&S Policy conditions
• Prevention of injury and ill-health
• Policy appropriate to size and context of organisation
• Specific nature of it OH&S risk and OH&S opportunities
• Communication of policy

ISO 45001
ISO 14001
5.2 Policy
Intent:
To provide direction and demonstrate commitment
Objective Evidence:
Policy statement
Evidence of policy distribution (noticeboards, newsletters etc)
Available to interested parties on intranet/internet
Contains three mandatory commitments
Induction records
Revisions to policy
Minutes of management review

Unique ISO 45001 Requirements:

5.2 (d) and 5.2(f) ie two additional commitments in OHS Policy
5.3 Organisational roles, responsibilities, accountabilities
and authorities
• Assigned to relevant roles with
OH&S
• Communicated at all levels within
5.3 Organisational roles,
organisation
responsibilities,
accountabilities and • Maintained as documented
authorities information
• Workers at each level assume
responsibility which they have
control

ISO 45001
ISO 14001
5.3 Organizational roles, responsibilities and
authorities
Intent:
To define roles of key personnel including traditional MR role
Objective Evidence:
Organisation chart(s)
Job descriptions
Terms of reference for committees
Traditional MR responsibilities assigned
Monthly or quarterly environmental reports

Unique ISO 45001 Requirements:

a) MDI on requirements b)workers must assume responsibility
5.4 Consultation and participation of workers–
new clause (1)
• Establish, implement, maintain process(es) for
consultation and participation in developing,
planning, evaluation and actions for
improvement in OH&S
5.4 Consultation and
• Provide mechanisms, time, training and
participation
resources necessary for participation
• Provide timely access to clear, understandable
and relevant information on OH&S

ISO 45001
5.4 Consultation and participation– new clause
(2)
• Identify and remove obstacles or barriers to
participation and minimize those that cannot
be removed

5.4 Consultation and • Additional emphasis to the participation of

participation non-managerial workers in OH&S
• Additional emphasis to the inclusion of non-
managerial workers in consultation
• Note 4: provision of training at no extra cost to
workers and provision of training during
working hours were possible
ISO 45001
ISO 14001
5.4 Consultation & participation of workers

Intent:
To seek views of workers and promote involvement of
workers in decision making

Objective Evidence:
Health & safety committee meeting minutes
Safety Officers and Representatives
Safety interactions
Pre-start meetings and toolbox talks
Worker attendance at HIRARC/SWMS/JSA reviews
Worker involvement in incident investigations
Clause 6
Planning

55
When competence is lower, we tend to have more
confidence. He says:

"Decisions made by less skilled people can

have serious consequences, simply because
they do not properly understand that their
knowledge and experience is incomplete."
57
6. Planning

Clause 6.1
Actions to address risks and opportunities

Clause 6.2
OH&S Objectives and planning to achieve them

ISO 45001
6.1 Actions to address risk and opportunities

6.1.1 General

6.1.2 Hazard identification and

6.1 Actions to address assessment of risks and opportunities
risk and opportunities
6.1.3 Determination of applicable
legal requirements and other
requirements

6.1.4 Planning action

ISO 45001
6.2 OH&S objectives and planning to achieve
them

6.2.1 OH&S objectives

6.2 OH&S objectives
and planning to achieve 6.2.2 planning to achieve OH&S
them objectives

ISO 45001
6.1 Actions to address risk and opportunities

• Context (4.1)
• Interested parties (4.2)
• Scope (4.3)
• Prevent, reduce undesired effects
6.1.1 General
• Risk and opportunities (6.1.2.3) to intended
outcome
• Planned change (8.1.3) assessment of risk
• Maintain documented information – risks,
opportunities and processes needed to have
confidence in risk management
ISO 45001
ISO 14001
6.1.1 General
Intent:
To ensure the organisation prevents undesired effects and
achieves continual improvement

Objective Evidence:
Risk management process
Risk register
Opportunities listing
Risk controls/Risk treatment plans

Unique ISO 45001 Requirements:

6.1.2 Hazard identification and assessment of risk
and opportunities

6.1.2.1 hazard identification

6.1.2.2 assessment of OH&S risk and other risks

6.1.2 Hazard identification
and assessment of risks and to OH&S management system
opportunities

6.1.2.3 assessment of OH&S opportunities and

other opportunities

ISO 45001
ISO 14001
6.1.2 Environmental aspects
Intent:
To identify significant environmental aspects/risks
Objective Evidence:
Risk register
EIA
LCA studies
Risk assessment methodology
Real time risk assessments

Unique ISO 45001 Requirements:

6. 1.2.1 more prescriptive. RDI on risk assessment
methodology and criteria
What is The RDI in
Clause 6.1.2.1?

65
6.1.2 Hazard Identification and assessment of risk
and opportunities
• Ongoing proactive identification of hazards
• Past incidents, emerging trends
• Routine & non-routine activities and situations
•
6.1.2.1 Hazard Emergency situations

identification • Human factors

• Other issues – design, situations in the vicinity of workplace, situations not
controlled by organisations
• Changes or proposed changes
• Change in knowledge
• How work is organised, social factors, workload, work hours, leadership and
culture
ISO 45001
6.1.2 Hazard Identification and assessment of
OH&S risks

• Assess OH&S risks from hazards identified

• Take account of issues from context 4.1 & needs

6.1.2.2 Assessment of and expectations of interested parties 4.2
OH&S risks and other risk
to the OH&S management • Define methodology and criteria
system • Methodologies and criteria be maintained and
retained as documented information

ISO 45001
6.1.2 Hazard Identification and assessment of
OH&S risks

• Opportunities to enhance OH&S performance taking into

6.1.2.3 account:
Identification of OH&S
• Planned changes
opportunities and other
opportunities • Opportunities to eliminate or reduce risk
• Opportunities to adapt work, work organisation and
work environment to workers
• Opportunities for improving OH&S management system

ISO 45001
6.1.3 Determination of applicable legal requirements
and other requirements
6.1.3
Determination of applicable
legal requirements and other
requirements
• Determine and have access to up-to-date legal
requirements
• Determine how these apply and will be
communicated
• Take into account when establishing, implementing
• Maintain and retain documented information
ISO 45001
ISO 14001
6.1.3 Compliance obligations
Intent:
To ensure all compliance obligations are understood

Objective Evidence:
Legal register
Written approvals/written notifications & permits
Subscription service (eg CLJIaw, Lawnet, Envirolaw)
Copies of legislation

Unique ISO 45001 Requirements:

RDI on legal and other requirements
6.1.4 Planning action

• Address risk and opportunities (6.1.2.2 & 6.1.2.3)

• Address applicable legal requirements (6.1.3)
• Emergency preparedness emergency situation (8.2)
6.1.4 Planning action
• Integrate actions to other business process(s) – Business
Continuity, Financial or HR
• Eliminating hazards and reducing OH&S risk (HoC)
(8.1.2)
• Best practice

ISO 45001
ISO 14001
6.1.4 Planning action
Intent:
To determine actions needed to address risks, opportunities and
compliance obligations

Objective Evidence:
Risk control measures (engineered, administrative)
Risk treatment plans
EMS procedures
Execution plans
Monitoring reports
Unique ISO 45001 Requirements: Nil
6.2 OH&S objectives

• Maintain and improve OH&S management system

and OH&S performance
• Take into account results of assessment of OH&S
6.2 OH&S risk and opportunities and other risks and
objectives opportunities
• Take into account outputs of consultation with
workers and workers representative
• Be measurable or capable of evaluation
• Clearly communicated

ISO 45001
ISO 14001

6.2 Environmental objectives and planning to achieve them

Intent:
To improve overall environmental performance

Objective Evidence:
SMART objectives
KPI's
Action plans,
Environmental improvement plan (EIP)
Progress reports/score cards
ISO 14001
6.2 Environmental objectives and planning to achieve
them

Unique ISO 45001 Requirements:

6.2.1 (c)
RDI on OHS objectives and plans

Objective Evidence:
Link between OHS objectives and risks, opportunities and
worker consultation results
6.2.2. Planning to achieve OH&S objectives

• What will be done

• What resources

• Who will be responsible

6.2.2. Planning to achieve • When completed
OH&S objectives
• How measured through indicators if practicable, monitored
and frequency
• How actions will be integrated into overall business processes
• Maintain and retain documented information

ISO 45001
“PLAN-DO-CHECK-ACT” 77

7 8

SUPPORT OPERATIONS
Clause 7
Support

78
7. Support

Clause 7.1 Resources

Clause 7.2 Competence

Clause 7.3 Awareness

Clause 7.4 Information and communication

Clause 7.5 Documented information

ISO 45001
7.1 Resources

• Determine resources and provide

resources needed for OH&S

7.1 Resources • Resources can include HR, natural

resources, infrastructure and technology
• Human resources includes -
diversity, skills and knowledge

ISO 45001
ISO 14001
7.1 Resources

Intent:
To provide sufficient resources for effective implementation of the
EMS

Objective Evidence:
Resource needs analysis
Budget
Capex

Unique ISO 45001 Requirements: Nil

7.2 Competence

• Workers' competence that impact on OH&S

performance
• Competence – appropriate education, training
and experience
7.2 Competence
• Criteria for each role
• Workers evaluated periodically to ensure
continued competence for their roles
• Retain appropriate documented information as
evidence of competence

ISO 45001
ISO 14001
7.2 Competence

Intent:
To ensure personnel are competent in their roles

Objective Evidence:
Skills matrix/Competency matrix
Competency assessments
Plant familiarisations
TNA's
Training records, qualifications, licences, certificates etc

Unique ISO 45001 Requirements:

Nil
7.3 Awareness

• Made aware of OH&S policy

• Implication of not conforming with OH&S

requirements
7.3 Awareness • Information and outcomes of investigations of
relevant incidents
• OH&S hazards and risk relevant for them

• Workers right to remove them self when in the

danger situation

ISO 45001
ISO 14001
7.3 Awareness

Intent:
To ensure personnel know of the policy, risks, controls and
compliance obligations associated with their work

Objective Evidence:
Induction records
Training plan
Awareness training
Toolbox talks/ pre -start meetings
Newsletters/Notice board /Intranet
ISO 14001

7.3 Awareness

Unique ISO 45001 Requirements

7.3 (d) and (f)

Objective Evidence:
Event notifications (H&S alerts)
Stop work policy
7.4 Communication

• Determine the need for internal or external information and

communication relevant to OH&S
• What , when, who and when it will inform and communicate

7.4 Communication • Who – internally, externally with interested parties,

contractors or visitors to the workplace
• how it will receive, maintain documented information and
respond to relevant communications

ISO 45001
ISO 14001
7.4 Communication
Intent:
To ensure environmental messages (internal and external) are
understood
Objective Evidence:
Communication plans/communications matrix
Meetings, emails, toolbox talks, intranet, whatsapp etc
External communication (letters, complaint registers, public
reports, community meetings etc)
Unique ISO 45001 Requirements:
Diversity aspects (ie translations, attention spans (millenials) etc)
Views of external interested parties considered (ie mandatory reporting
using regulator processes)
7.5 Documented information

• Replaces documented “documentation”,

7.5 Documented information “documented procedure” and “records”
7.5.1 General • Extent and nature of documented

7.5.2 Creating and updating information dependant on complexity of

organisation
7.5.3 Control of documented
• Access by workers of documented
information
information
• Confidentiality of personal information of
workers

ISO 45001
7.5 Documented information
Intent:
To ensure information remains current (MDI)
To ensure records can be located in a timely manner (RDI)

7.5.1 General (Documented Information)

Required by standard (see MDI /RDI)
Where required- eg manuals, SOP's, instructions, guidelines etc
7.5.2 Creating and updating
Version numbers, approval signatures, password control, read only
versions

7.5.3 Control of documented Information

Master register, master list, master copy
Distribution register, records matrix , retention periods

Unique ISO 45001 Requirements:

Ni
l
Documented information

Clause where reference to documented

information
• 4.3, 5.2, 5.3, 6.1.1, 6.1.2.2,6.1.3, 6.2.2,
7.2, 7.4, 7.5.1. 7.5.3, 8.1.1., 8.2, 9.1.1,
9.1.2, 9.2.2, 9.3, 10.1 & 10.2

ISO 45001
Clause 8
Operation

93
8. Operational planning and control

8.1 Operational planning and control

8.1.1 – General

8.1.2 – Eliminating hazards and reducing OH&S risk (HoC)

8.1.3 Management of change – more explicit

8.1.4 Procurement – NEW takes into account Contractors &
Outsourcing

8.2 Emergency preparedness and response

ISO 45001
8.1 Operational planning and control

• Implement controls in Clause 6

• Establishing criteria for process(s)

• Implementing control defined in criteria

8.1.1 General • Keeping documented information

• Absence of documented information could lead to

deviations
• Adapting work to workers including induction of new
workers (A 8.1.1.g)

ISO 45001
ISO 14001
8.1 Operational planning and control
Intent:
To control all significant environmental risks throughout the life
cycle
Objective Evidence:
Engineered and administrative controls (for significant aspects)
Maintenance records (engineered controls)
Change management /DCN's/ ECN's/MOC's
Contractor management (including outsourced processes) -
inductions -inspections -audits
Purchasing specifications, supplier/material environmental ratings
Design specifications (environmental considerations)
Transportation, product use, product disposal (environmental
considerations)
ISO 14001
8.1 Operational planning and control

Unique ISO 45001 Requirements:

8. .1.1 (d) adapting work to workers
Multi-employer workplaces
8.1.2 (hierarchy of controls)
RDI on processes (to extent necessary)

Objective Evidence:
Ergonomic assessments
Employer forums
Use of hierarchy of controls
8.1 Operational planning and control

• Establish a process and determine controls for

achieving reduction in OH&S risks using
Hierarchy of Controls;
• Eliminate
8.1.2 Eliminating
hazards and reducing • Substitute

OH&S risks • Engineering controls

• Administrative controls
• Provide and ensure safe use of PPE
• Note provision of PPE at not extra cost to
workers ISO 45001
8.1.3 Management of Change
• Establish a process for the implementation and
control of planned changes
• Changes include:

8.1.3 Management of • Work processes

Change • Legalisation
• Knowledge and information about hazards
and related OH&S risk
• Developments in knowledge and technology
• Control changes to mitigate against adverse impact
on OH&S
ISO 45001
ISO 14001
8.1.3 Management of change

Intent:
To enhance OHS performance by minimising the introduction of new
hazards and risks as changes occur

Objective Evidence:
Change management
DCN's/ ECN's
MOC process
HAZOP
8.1.4 Procurement

• Establish process to control

procurement of products and
8.1.4.1 Procurement services to ensure conformity with
its OH&S Management System

ISO 45001
ISO 14001
8. 1.4.1 Procurement

Intent:
To assess hazards and risks before the introduction of materials,
equipment etc into the workplace

Objective Evidence:
Purchase orders
Purchasing specifications include OHS criteria
Supplier evaluations and audits
Equipment testing and commissioning records
Incoming inspection records
8.1.4.2 Contractors
• Establish a process to co-ordinate with
contractors for hazard identification and
access controls to OH&S risks from
contractor activities
8.1.4.2 Contractors
• Requirements of OH&S management
system are met by contractors and their
workers
• OH&S criteria for selection of
contractors

ISO 45001
ISO 14001

8. 1.4.2 Contractors

Intent:
To ensure contractor OHS performance is acceptable in the
workplace

Objective Evidence:
Contractor management (contracts, contractor evaluations,
inductions, inspections, audits etc)
Contractor selection processes
8.1.4.3 Outsourcing

• Ensure outsourced functions and

process are controlled
8.1.4.3 • Outsourced arrangements are
Outsourcing consistent with legal requirements
• Integral to the organisation’s ability to
operate

• Controls to achieve intended outcome

of OH&S management system

ISO 45001
ISO 14001

8. 1.4.3 Outsourcing

Intent:
To control outsourced functions and processes to achieve OHS
objectives

Objective Evidence:
Pre-qualification of outsourced entity (audits/reviews)
Inspection and audit records
8.2 Emergency Preparedness and Response
• Identify potential emergency situations
• Assess OH&S risks associated with these
• Preventative controls

8.2 Emergency • Planned response to emergency situations including provision of first aid
Preparedness and • Periodic testing and exercise of emergency response capabilities
Response
• Evaluate and revise plans
• Communicate information relevant to their duties
• Training
• Needs and capabilities of interested parties
• Maintain and retain documented information
ISO 45001
ISO 14001
8.2 Emergency preparedness & response

Intent:
To deal effectively with credible environmental emergencies

Objective Evidence:
Emergency response plan (including ERT training, simulation
exercises/testing, ER equipment, spill kits, site map etc) Rescue
plans
Debriefs (after occurrences and drills)
Maintenance of ER equipment

Unique ISO 45001 Requirements:

RDI on emergency response processes
“PLAN-DO-CHECK-ACT” 109

9
PERFORMANCE
EVALUATION
 Clause 9
Performance Evaluation

110
9. Performance monitoring

Clause 9.1 Monitoring, measurement, analysis and

performance evaluation
Clause 9.2 Internal Audit
Clause 9.3 Management Review

ISO 45001
9.1 Performance monitoring, measurement, analysis and
performance evaluation

• Process for monitoring and measurement and evaluation

• Determine:
• What needs to be monitored and measured

9.1.1 General • Criteria for evaluation of OH&S performance

• Methods deployed
• When monitoring and measuring will be performed
• When results analysed, evaluated and communicated
• Calibration of equipment

ISO 45001
ISO 14001

Intent:
To monitor our environmental performance

Objective Evidence:
Monitoring programs Environmental monitoring procedures and
results (KPI's, trend analysis etc)
Dashboards
Written approvals/written notifications
Calibration records
Monitoring equipment maintenance records
Environmental (workplace) inspections
ISO 14001
9.1.1 General

Unique ISO 45001 Requirements:

9.1.1 (a) 1,2,3 and 4.

Objective Evidence:
Monitoring and measuring activities include any compliance
obligations, operations related to hazards/risks/opportunities,
progress towards achievement of OHS objectives and effectiveness
of controls
9.1 Performance monitoring, measurement,
analysis and evaluation

• Determine frequency

• Evaluate compliance

• Take action (10.1)

9.1.2 Evaluation of
compliance • Maintain knowledge and understanding of its status of
compliance
• Retain documented information of results

ISO 45001
ISO 14001
9.1.2 Evaluation of compliance

Intent:
To ensure compliance with all compliance obligations

Objective Evidence:
Legal compliance audits (proactive)
Self assessments
DOE inspection findings

Unique ISO 45001 Requirements:

9.1.2 (a) Method for evaluation of compliance
9.2 Internal Audit

• Conduct audits at planned

intervals
• Effectively implemented and
9.2.1 Internal audit
maintained
general
• Inclusion the OH&S policy and
OH&S objectives

ISO 45001
ISO 14001
9.2.1 Internal audit
Intent:
To ensure the EMS is effective

Objective Evidence:
Audit schedules
Audit plans
Audit checklists and NCR/CAR's
Audit reports etc

Unique ISO 45001 Requirements: 9.2.2 (d) ie audit results

communicated to workers and/or thei representatives
9.2 Internal Audit

• Plan audit programme inclusion of

consultation in process
• Competent auditors
9.2.2 Internal audit
• Relevant findings reported to
programme
relevant workers
• Take appropriate action to addresses
non-conformities and continually
improve its OH&S performance

ISO 45001
ISO 14001
9.2.2 Internal audit

Intent:
To ensure the EMS is effective

Objective Evidence:
Audit schedules
Audit plans
Audit checklists and NCR/CAR's
Audit reports etc

Unique ISO 45001 Requirements: 9.2.2 (d) ie audit results

communicated to workers and/or thei representatives
9.3 Management Review
• Additional requirements
• OH&S performance including trends in:
• Incidents
• Worker participation and outputs of
9.3 Management
consultations
Review
• OH&S risks, risks and OH&S opportunities
• Relevant communication with interested parties
• Adequacy of resources for maintaining effective
OH&S
• Actions needed when objectives not achieved
ISO 45001
ISO 14001
9.3 Management review

Intent:
To ensure top management review the overall effectiveness of the
EMS

Objective Evidence:
Management review agenda
Minutes of management review meetings
Action plans etc

Unique ISO 45001 Requirements:

Additional inputs including 9.3 (d) 5
“PLAN-DO-CHECK-ACT” 123

10

IMPROVEMENT
 Clause 10
Improvement

124
10. Improvement

10.1 General
10.2 Incident, nonconformity and corrective action
10.3 Continual Improvement

ISO 45001
10.2 Incident, nonconformity and corrective
action
• React to incidents in timely manner
• Take direct action to control and correct

10.2 Incident, non- • Evaluate the root cause

conformity and corrective • Determine action based on HoC and MoC
action
• Review of assessment of OH&S risks prior to taking action
(6.1)
• Communicate documented information to relevant workers
• Note: reporting of incidents without delay can assist in
removal of hazard

ISO 45001
ISO 14001

10.2 Nonconformity & corrective action

Intent:
To control nonconformities and take corrective action where
needed

Objective Evidence:
NCR's/CAR's
Environmental incident reports
Root cause analysis
ISO 14001
10.2 Incident, nonconformity & corrective action

Unique ISO 45001 Requirements:

Additional requirements related to incidents
10.2 (c) and (e)

Objective Evidence:
Incident investigations including techniques such as ICAM,
Kelvin TOP-SET, Taproot etc
Involvement of workers/interested parties in investigations and
corrective actions where appropriate
Review of risk register after incidents/nonconformities
Incident/event notifications to workers
10.3 Continual improvement

• Enhance OH&S performance

• Promote a positive OH&S culture

10.3 Continual
improvement • Promoting the participation of workers in
implementing actions
• Communicate results

• Retain documented information

ISO 45001
ISO 14001
10.3 Continual Improvement
Intent:
To continually improve the effectiveness of the EMS

Objective Evidence:
Outcomes of improvement processes lead to improvements to EMS
(Analysis and evaluation, audit findings and management review
results considered in CI initiatives).
Environmental objectives achieved (KPI reporting)

Unique ISO 45001 Requirements: MDI and RDI as

evidence of continual improvement
10.3 (a), (b), (c) and (d)
 Benefits Of
Implementing
ISO 45001
Certification in
Your Projects
Steps to
ISO 45001 & 14001
Certification

132
Pros & Cons
Using IMS

133