Module 1: Overview and Fundamentals of ISO 45001:2018 – Understanding the Standard, Scope, and OH&S Principles #

ISO 45001:2018 is the first international standard for Occupational Health and Safety Management Systems (OHSMS), developed to help organizations proactively improve employee safety, reduce workplace risks, and create better, safer working conditions. It replaces the earlier OHSAS 18001 standard and aligns with other ISO management system standards like ISO 9001 and ISO 14001 through the Annex SL framework.

What Is ISO 45001:2018? #

Published in March 2018, ISO 45001:2018 provides a structured approach for organizations to manage occupational health and safety risks and opportunities. It emphasizes a proactive approach to hazard identification and risk assessment, integrating safety into the organization’s overall management processes

Key Features of ISO 45001:2018 #

• High-Level Structure (Annex SL): Facilitates integration with other ISO management system standards.
• Leadership and Worker Participation: Emphasizes top management’s active role and promotes employee involvement in the OHSMS .
• Risk-Based Thinking: Encourages organizations to identify and address potential hazards before they cause harm.
• Continuous Improvement: Utilizes the Plan-Do-Check-Act (PDCA) cycle to foster ongoing enhancement of the OHSMS.

ISO 45001:2018 Lead Auditor Training Course Overview #

The ISO 45001:2018 Lead Auditor Training Course is designed to equip professionals with the knowledge and skills necessary to conduct first, second, and third-party audits of Occupational Health and Safety Management Systems. The course typically covers:

• Understanding ISO 45001:2018 Requirements: In-depth study of the standard’s clauses and their application.
• Audit Principles and Practices: Training on audit planning, execution, reporting, and follow-up in accordance with ISO 19011 guidelines.
• Leadership and Communication Skills: Developing competencies to lead audit teams and effectively communicate findings.
• Practical Exercises: Engaging in role-plays and case studies to apply auditing techniques in real-world scenarios.
• Certification Examination: Assessing participants’ understanding and ability to apply audit principles and ISO 45001 requirements.

Successful completion of the course and examination can lead to certification as an ISO 45001 Lead Auditor, demonstrating proficiency in auditing OHSMS.

Why Pursue ISO 45001:2018 Lead Auditor Training? #

• Enhance Professional Competence: Gain a comprehensive understanding of OHSMS auditing processes and ISO 45001 requirements.
• Career Advancement: Certification as a Lead Auditor can open opportunities for roles in compliance, consultancy, and auditing.
• Organizational Benefit: Apply auditing skills to help organizations improve their health and safety performance and achieve ISO 45001 certification.

Embarking on the ISO 45001:2018 Lead Auditor Training Course is a strategic step for professionals aiming to contribute to safer workplace environments and advance their careers in occupational health and safety management.

Introduction to ISO 45001:2018 – Occupational Health and Safety Management Systems #

ISO 45001:2018 is an internationally recognized standard that establishes the requirements for an Occupational Health and Safety Management System (OHSMS). Its primary purpose is to enable organizations—regardless of size, type, or sector—to provide safe and healthy workplaces by preventing work-related injuries and ill health, and by proactively improving OH&S performance.

This standard represents a shift from reactive to preventive management of risks. It offers a framework that integrates OH&S into the core of business operations and strategic direction, ensuring that safety is not treated as an isolated function, but as a central element of organizational success.

Key Objectives of ISO 45001:2018: #

• Prevent Injury and Ill Health: By identifying and controlling workplace hazards before they cause harm.
• Eliminate Hazards and Minimize OH&S Risks: Through systematic processes and continuous evaluation.
• Exploit OH&S Opportunities: Such as adopting new technologies, improving processes, or enhancing worker well-being.
• Address Nonconformities and Improve Systematically: Promptly addressing issues and taking actions that lead to sustained improvement.

Universal Applicability: #

ISO 45001:2018 is designed to be applicable to all organizations, regardless of their activities, scale, or geographical location. It is adaptable to diverse cultural, legal, and regulatory environments. The standard is not prescriptive in terms of specific safety performance criteria; instead, it focuses on establishing a systematic approach that is flexible and responsive to the organization’s context.

Alignment with Compliance and Legal Obligations: #

The standard supports organizations in achieving compliance with national and international legal requirements and other obligations related to occupational health and safety. It guides them in:

• Understanding applicable OH&S regulations
• Integrating compliance into operational planning
• Demonstrating conformity to stakeholders and authorities

Worker-Centric Approach: #

A central feature of ISO 45001 is the emphasis on worker participation and consultation. Workers are not only the recipients of the system’s outcomes but are also active contributors to its development and improvement. This participatory approach increases ownership, encourages reporting of hazards, and enhances overall safety culture.

Fundamental Concepts and Scope of ISO 45001 #

1. Key Terminologies and Verbal Forms in ISO 45001 #

• The terms “Occupational Health and Safety (OH&S)” and “Occupational Safety and Health” (OSH)” have the same meaning.
• The term “worker” includes top management, and covers both managerial and non-managerial persons (Clause 3.3 & Note 2).
• ISO 45001 uses specific verbal forms:
  • “Shall” = a requirement
  • “Should” = a recommendation
  • “May” = a permission
  • “Can” = a possibility or capability

2. Scope and Use of ISO 45001 #

• ISO 45001 does not include requirements for other management areas (e.g., quality, environment, finance), though it can align with them.
• The document provides requirements for implementing and assessing an OH&S management system.
• Organizations can demonstrate conformity through:
  • Self-determination and self-declaration
  • External confirmation from interested parties
  • Third-party verification
  • Certification/registration by an external body

3. Definition and Inclusion of Workers #

• A worker is any person performing work or work-related activities under the organization’s control.
• This includes employees, contractors, agency workers, and others (paid or unpaid, temporary or permanent).
• Top management is also considered a worker, highlighting their responsibility in OH&S.

What ISO 45001 Is Not: Scope Limitations and Clarifications #

1. ISO 45001 does not prescribe specific criteria for OH&S performance or dictate the design of an OH&S management system.
   Instead, the standard emphasizes that each organization must tailor its OH&S management system to its unique context and needs in preventing work-related injuries and ill-health. For example, a small business with low risks may require only a simple system, whereas a large organization facing high-risk activities may need a more complex approach. The key requirement is that the system must be appropriate to the organization and effective in practice.
2. ISO 45001 does not cover areas such as product safety, property damage, or environmental impacts unless they pose a risk to worker health and safety.
   These issues fall outside the scope of ISO 45001 unless they directly impact the occupational health and safety of the organization’s workforce. The focus of the standard remains strictly on risks and opportunities related to worker health and safety.
3. ISO 45001 is not a legally binding regulation, but a voluntary management standard.
   It is designed as a practical tool to help organizations—ranging from small and medium-sized enterprises (SMEs) to large corporations—proactively manage occupational health and safety risks. The goal is to eliminate or minimize the potential for harm, but adoption and implementation remain voluntary unless mandated by legal or contractual obligations.

What will be the benefits of using ISO 45001? #

An ISO 45001 based OH&S management system will enable an organization to improve its OH&S performance by:

• developing and implementing an OH&S policy and OH&S objectives
• establishing systematic processes which consider its “context” and which take into account its risks and opportunities, and its legal and other requirements
• determining the hazards and OH&S risks associated with its activities; seeking to eliminate them, or putting in controls to minimize their potential effects
• establishing operational controls to manage its OH&S risks and its legal and other requirements
• increasing awareness of its OH&S risks
• evaluating its OH&S performance and seeking to improve it, through taking appropriate actions
• ensuring workers take an active role in OH&S matters

In combination these measures will ensure that an organization’s reputation as a safe place to work will be promoted, and can have more direct benefits, such as:

• improving its ability to respond to regulatory compliance issues
• reducing the overall costs of incidents
• reducing downtime and the costs of disruption to operations
• reducing the cost of insurance premiums
• reducing absenteeism and employee turnover rates
• recognition for having achieved an international benchmark (which may in turn influence customers who are concerned about their social responsibilities)

Key Areas of ISO 45001:2018 #

1. Structure of International Standard (High Level Structure) #

• Foreword
• Introduction
  • Background
  • Aim of OH&S Management System
  • Success Factors
• Requirements
  • Scope
  • Normative References
  • Terms & Definitions
  • Context of the Organization
  • Leadership & Worker Participation
  • Planning
  • Support
  • Operation
  • Performance Evaluation
  • Improvement
• Annex A: Guidance on use of this International Standard
• Bibliography
• Alphabetical Index of Terms

2. Organizational Context (Clause 4) #

Understanding the organization and its context is essential to establish, implement, maintain, and continually improve an OH&S management system. The context review should be used to:

• Understand and determine internal and external issues (positive or negative) that may impact the OH&S management system’s ability to achieve its intended outcomes.
• Determine risks and opportunities that need to be addressed.
• Support the development or enhancement of the OH&S Policy and objectives.
• Achieve a high-level understanding of the needs and expectations of workers and other interested parties (including differences between managerial and non-managerial workers).
• Consider factors such as:
  • Cultural, social, political, legal, financial, technological, economic, and environmental conditions
  • Changes in legal and regulatory requirements
  • Workplace conditions, labor practices, or supply chain issues
  • Strategic direction and organizational goals
  • Industry trends and sector-specific factors

Note:

• These contextual issues can originate from Internal Context (e.g. values, governance, resource capabilities) and External Context (e.g. market dynamics, legislation, socio-political climate).
• They can lead to new risks and opportunities for the OH&S management system.

3. Understanding Needs of Interested Parties (Clause 4) #

• Needs & Expectations of both managerial & non-managerial workers & workers representatives (where they exist)
• Affect OH&S management system or which perceive themselves to be affected by OH&S system (A.4.2)
• Worker & as appropriate workers’ representatives
• Legal & Regulatory authorities
• Parent Organization
• Suppliers, co-contractors & subcontractors
• Workers’ organizations (trade unions) and employers’ organizations
• Owners, shareholders, clients, visitors, local community, neighbors, general public
• Occupational health & safety organizations; occupational safety and health-care professionals (e.g., doctors, nurses)

4. Leadership (Clause 5) #

Leadership has been enhanced to ensure commitment & active support from top management

• Taking overall responsibility & accountability for protection of workers’ work-related health & safety
• Ensuring OH&S policy & objectives established
• OH&S compatible with organizations strategic direction
• Integrating OH&S into organizational business process
• Allocating necessary resources OH&S (establish, implement, maintain & improve)
• Ensure Active participation of workers & workers’ representatives (consultation & removing obstacles)
• Internal/External Communications supporting OH&S
• Ensuring OH&S management systems achieve intended outcome(s)
• Directing & supporting persons to contribute to effectiveness of OH&S
• Ensuring Continual Improvement of OH&S
• Supporting relevant management roles to demonstrate their leadership as it applies to their areas of responsibility

5. Worker Participation (Clause 5) #

Non-Managerial Worker Participation

Give additional emphasis to determine:

• Mechanism for participation & consultation
• Hazard identification & assessment of risk
• Actions to control hazard & risk
• Identification of needs of competence, training & evaluation of training
• Information (what & how) to be communicated
• Investigating incidents, non-conformities, & involved in corrective actions
• Needs & expectations of interested parties
• Establishing policy
• Assigning organizational roles, responsibilities, accountabilities & authorities

6. Hazard Identification/Assessment of Risk (Clause 6) #

Hazard identification should proactively identify any sources or situation arising from organizations activities, with potential for work-related injury & ill health.

Sources: hazardous substances, radiation, temperature, pressure, dust, noise & vibration
Situations: working at heights, working in confined space, working alone, worker fatigue, aggressive behavior or harassment, workload and task control
Hazards can be categorized in many ways, including: physical, chemical, biological psychosocial, physiological; or mechanical and electrical; or based on movement and energy.

Organization shall establish, implement and maintain a process for on-going proactive identification of hazards arising, taking into account, but not limited to:

• Routine and non-routine activities and situations,
• Emergency situations
• People – workers, contractors, visitors and other persons, those can be affected by organizations activities & workers at location not under direct control of organization
• Actual or proposed changes in organization, operations, processes activities & OH&S management systems
• Changes in knowledge of or information about hazards
• Past incidents, internal/external to the organization including emergencies and their causes
• How work is organized, and social factors, including workload, work hours, leadership and culture of organization

7. Planning (Clause 6) #

When planning for OH&S management system, organization shall

• Consider issues referred to in “organizational context” (4.1)
• Requirements referred to in “interested parties” (4.2)
• Scope of its OH&S management system (4.3)
• Determine risks and opportunities that need to be addressed

When planning how to achieve OH&S objectives, the organization shall determine:

1. What will be done
2. What resources will be required
3. Who will be responsible
4. When it will be completed
5. How it will be measured through indicators (if practicable) & monitored
6. How results will be evaluated
7. How the actions to achieve OH&S objectives will be integrated into the organizations business process

8. Need to Prevent Ill-Health/Injuries (Clause 6) #

ILO ILS recommend that where workers identify circumstances of danger or a hazardous environmental which can cause injury and ill health, they should be able to remove themselves & inform the organization of the circumstances without risk of penalization.

Five basic commitments for OH&S Policy in ISO 45001

• Provide safe & healthy working conditions for the prevention of work-related injury & ill health
• Satisfy applicable legal requirements & other requirements
• Control OH&S risks using the hierarchy of controls (see 8.12)
• Continual Improvement of OH&S management system to enhance OH&S performance
• Participation

9. Documented Information (Clause 7.5) #

Organization will need to maintain & retain documentation information of OH&S objectives & plans to achieve them, keeping complexity to minimum
Aimed at preventing the risk of unintended use of obsolete documentation information
Should not have effect of preventing workers obtaining full & complete picture of hazards/risks of their work.

• Available & suitable for use, where & when needed
• Adequately protected (loss, confidentiality, use, integrity)
• Control:
  • Distribution, access, retrieval, use
  • Storage & preservation
  • Control of changes
  • Retention & disposition
  • Access by workers, & where they exist, workers representatives, to relevant documented information

10. Outsourcing, Procurement & Contractors (Clause 8) #

Outsourcing: Organization shall ensure that outsourced processes affecting OH&S management system are controlled

An outsourced process is one that:

• Is within scope of OH&S management system
• Is integral to organizations functioning
• Is needed for OH&S management system to achieve its intended outcome
• Liability for conforming to requirements is retained by the organization
• Organization & external provider have a relationship where the process is perceived by interested parties as being carried out by the organization

Procurement: Establish controls to ensure that the procurement of goods (for example products, hazardous materials or substances, raw materials, equipment) and services conform to its OH&S management system requirements

Prior to procuring goods & services, the organization should identify procurement controls that:

• Identify & evaluate potential OH&S risks associated with products, materials, equipment, service
• Requirements for products, materials, equipment, services to conform to OH&S objectives
• Need for information, participation & communications
• Before using verify equipment, installations & materials are adequate before being released for use by workers
• Delivered to specifications & are tested to ensure works as intended
• Usage requirements, precautions or other protective measures are communicated & made available

11. OH&S Performance Evaluation (Clause 9) #

Organization shall establish, implement and maintain a process for monitoring, measurement and evaluation. Shall determine what needs to be monitored and measured, including…

• Criteria against which the organization will evaluate OH&S performance
• Methods for monitoring, measurement, analysis, and evaluation, as applicable, to ensure valid results
• When the monitoring and measuring shall be performed
• When the results from monitoring and measurement shall be analyzed, evaluated and communicated

Examples of what could be monitored and measured can include:

• Progress on meeting policy commitments, achieving objectives & continual improvement
• Occupational health complaints, health surveillance of workers & work environment monitoring
• Work related incidents, injuries, ill health, complaints, including trends
• Effectiveness of operational controls & emergency exercises
• Proactive & reactive actions affecting OH&S performance
• Competence

 Aim of an OH&S Management System #

1. Developing and implementing an OH&S policy and OH&S objectives;
   1. Ensuring top management demonstrate leadership and commitment with respect to the OH&S management system;
   1. Establishing systematic processes which consider its context and which take into account its risks and its opportunities;
   1. Determining the hazards and OH&S risks associated with its activities; seeking to eliminate them, or putting in controls to minimize their potential effects;
   1. Establishing operational controls to eliminate or minimize its OH&S risks;
   1. Increasing awareness of its OH&S hazards and risks, and associated operational controls, through information, communication and training;
   1. Evaluating its OH&S performance and seeking to improve it;
   1. Establishing and developing the necessary competencies;
   1. Developing and supporting an occupational health and safety culture in the organization;
   1. Ensuring that workers, and where they exist, workers’ representatives, are informed, consulted and participate.

Success Factors of an OH&S Management System #

1. Top management leadership, commitment, responsibilities and accountability
2. Top management developing, leading and promoting a culture in the organization that supports the intended outcomes of the OH&S management system
3. Consultation and participation of workers, and where they exist, workers’ representatives
4. Processes for communication and consultation
5. Allocation of the necessary resources to maintain the OH&S management system
6. Clear OH&S policies, compatible with the overall strategic objectives and direction of the organization
7. Integration of the OH&S management system into the organization’s business processes
8. The continual performance evaluation and monitoring of the OH&S management system to improve OH&S performance
9. OH&S objectives that align with OH&S policies and reflect the organization’s OH&S hazards and risks and opportunities
10. Awareness and compliance with applicable legal requirements and other requirements
11. Effective processes for identification of OH&S hazards, control of OH&S risks, and taking advantage of OH&S opportunities