Leadership and worker

participation in ISO 45001.

Working together to build an effective health and safety culture.

ISO 45001:2018 is the
first ISO standard for
Occupational Health and
Safety (OH&S); elevating
the importance of OH&S
on the corporate agenda
and bringing benefits to
workers across the world.
While ISO 45001 is a new
international standard,
it builds on the concepts and
requirements in OHSAS 18001:2007.
Organizations currently certified
to OHSAS 18001 have a three-year
period from the publication date,
12 March 2018, to migrate to
ISO 45001 before the old standard
is withdrawn.
One of the many benefits of
ISO 45001 is that it involves
the whole organization in the
Occupational Health & Safety
Management System (OHSMS).
While we all need to take
responsibility for our own health
and safety at work – and for that
of others, top management has
overall responsibility. They need
to take an active role in promoting
the health and safety culture and
demonstrating why it is important.
What’s the difference between
leadership and top management?
It is important to make a distinction between leadership and top
management. Clause 3.12 of ISO 45001 defines top management
as the “person or group of people who directs and controls an
organization at the highest level”, whereas leadership can be
present anywhere and at any level.
2 | Lloyd’s Register
The introduction to ISO 45001
makes this intention clear from
the start.
The implementation
of an OH&S
management system
is a strategic and
operational decision
for an organization.
The success of the
OH&S management
system depends
on leadership,
commitment and
participation from all
levels and functions
of the organization
This sets the scene for the entire
standard and the basis for developing
an effective OHSMS. By recognizing
the potential of the new standard, top
management can tap into a powerful
tool that elevates occupational health
and safety performance and reduces
work-related illness and injury –
leading to better morale among the
workforce and a strong reputation
as a responsible employer and good
corporate citizen.
Why is leadership an important
element within ISO 45001?
While leadership isn’t specifically
defined in ISO 45001, it does have
some broadly accepted traits,
including creating and sharing
a vision and motivating others
to follow it. Leaders provide the
structure, information and resources
that will enable the people in their
organization to achieve that vision.
What leaders say, how they act,
and what they value all influence
whether safety and health are mere
buzzwords in the workplace or if they
are embedded into the processes
and culture. Leadership is important
in ISO 45001 because it has such an
impact on whether the OHSMS will
be effective in driving better health
and safety performance within the
organization.
What is Annex SL?

Annex SL is the High Level Structure and common text for all ISO standards that have been
launched or revised since 2015.

New and revised standards now have the Organizations that use multiple Management
same ten section structure: Systems Standards will find that each of
the ISO standards now speaks a common
0. Introduction language. This will make it easier to integrate
1. Scope them into a common management system,
as the structure is consistent and compatible,
2. Normative references
creating efficiencies and removing the
3. Terms and definitions confusion found when implementing earlier
4. Context of the organization versions of the standards.
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement

Leadership and worker participation in ISO 45001 | 3

How is leadership incorporated
into the requirements of
ISO 45001?
While Section 5 outlines This is important because it aligns
the management system with
the role of leadership, the overall business strategy and
the basis for leadership’s practices, making it relevant across
the entire organization.
importance comes in
Section 4. Section 5 is divided into four
sub-clauses:
Here, the context of the 5.1 – Leadership and commitment
organization, stakeholder 5.2 – OH&S policy
analysis and the scope 5.3 – Organizational roles,
responsibilities and
and purpose of the authorities
management system are
5.4 – Consultation and
addressed. participation of workers
ISO 45001 introduces requirements
that embed the OHSMS into
routine business operations,
rather than it operating as an
independent system. For this
to happen, top management
needs to take ownership of the
management system in the same
way that they take ownership of
other elements of their business
system.
4 | Lloyd’s Register
For organizations where top
management play an active role
in driving OH&S performance, the
changes will be a formalization of
what is happening now. However,
where top management have
effectively devolved responsibility for
their OHSMS, the impact of the new
standard will be greater.
There is no requirement for a
Management Representative, though
the duties currently assigned to
the Management Representative
in OHSAS 18001:2007 must still be
undertaken.
Organizations may choose to keep
or even establish this role, however,
some of the duties traditionally
assigned to the Management
Representative will, in future, need
to be undertaken directly by top
management.
5.1 Leadership and commitment
ISO 45001 requires top
management to be much
more hands on with their
OHSMS.
Where the word “ensuring”
is used in sub-clause 5.1,
top management may still
assign this task to others for
completion. Where the words
“promoting”, “taking”, or
“supporting” appear, these
activities cannot be delegated
and must be undertaken by
top management themselves.
For organizations that are
migrating from OHSAS
18001 to ISO 45001, it
will be important for top
management to understand
which OH&S management
activities they can delegate
and which they cannot.
Where ISO 45001 says “top
management shall ensure”,
management system auditors
will want to evaluate evidence
that demonstrates how top
management are doing this.
For example, how are top
management ensuring the
integration of the OHSMS
requirements into business
processes? It is likely that top
management will be called
upon to play a greater part in
management system audits.
5.2 OH&S policy
ISO 45001 requires top
management to be much
more hands on with their
OHSMS. Where the word
“ensuring” is used in sub-
clause 5.1, top management
may still assign this task to
others for completion.
Where the words “promoting”,
“taking”, or “supporting”
appear, these activities cannot
be delegated and must be
undertaken by top management
themselves.
For organizations that are
migrating from OHSAS 18001 to
ISO 45001, it will be important for
top management to understand
which OH&S management
activities they can delegate and
which they cannot.
Where ISO 45001 says “top
management shall ensure”,
management system auditors
will want to evaluate evidence
that demonstrates how top
management are doing this.
For example, how are top
management ensuring the
integration of the OHSMS
requirements into business
processes? It is likely that top
management will be called
upon to play a greater part in
management system audits.
5.3 Organizational roles,
responsibilities and authorities
Top management must
ensure that the necessary
responsibilities and authorities
are assigned to individuals to
carry out OH&S-related activities.
There is a requirement for top
management to assign the
responsibility and authority
for ensuring that the OHSMS
conforms to the requirements
of ISO 45001 and for reporting on
its performance.
This serves to protect OH&S and
facilitate continual improvement
by making sure that enough
people are made available and
that it is clear who is responsible
for doing what.
Leadership and worker participation in ISO 45001 | 5
5.4 Consultation and
participation of workers
The consultation and
participation of workers,
and, where they exist,
workers’ representatives, is
critical to the effectiveness
and success of the OHSMS.
As this is a key feature of
ISO 45001, we will go into
more detail on this below.
9.3 Management review
Clause 9.3 requires top
management to review the
OHSMS to ascertain whether
the system is effective in
helping the organization
to manage and improve its
OH&S performance.
The clause lists minimum
requirements for the
types of information
that must be considered
by the management
review process, as well
as mandatory outputs.
Documented information
must be produced to
demonstrate that each
review considers the
required information and
to capture outcomes or
decisions made.
Reviews can take the form
of focused meetings where
the sole objective is to carry
out the review itself or they
may be more fragmented
than this by incorporating
specific topics into other
management meetings,
so that a full review is
completed over a period or
series of meetings.
How will these requirements
drive a culture of safety and
health in the organization?
Organizational change
is never easy. It requires
great drive to keep teams
motivated to achieve the
organization’s goals.
A management system that is
aligned with the organization’s
strategy fosters greater
transparency with the company’s
aspirations and progress.
This provides employees and
stakeholders with more clarity.
Leadership drives performance by
allowing everyone to understand
their role and impact on the
company. Connecting employee
actions and contributions to the
larger vision is key to a performance
culture and this is emphasized in
the ISO 45001 requirements relating
to worker participation.
6 | Lloyd’s Register
What are the requirements around
worker participation?
ISO 45001 requires organizations to
ensure the participation and
consultation of workers, and where
they exist, workers’ representatives,
in all parts of the application of the
OHSMS and work-related activities.
There is a requirement for provision
of time, training and resources
necessary to allow for consultation
and participation of workers.
Understandable and relevant
information must also be provided to
enable worker consultation and
participation.
Further emphasis is placed on the
consultation of non-managerial
workers in requirements such as (but
not limited to) determining the needs
and expectations of interested parties
(4.2); establishing the OH&S policy
(5.2); assigning organizational roles,
responsibilities and authorities as
applicable (5.3); determining how to
fulfil legal requirements and other
requirements (6.1.3); establishing
OH&S objectives and planning to
achieve them (6.2); determining
applicable controls for outsourcing,
procurement and contractors (8.1.4);
determining what needs to be
monitored, measured and evaluated
(9.1); planning, establishing,
implementing and maintaining an
audit program(s) (9.2.2) and ensuring
continual improvement (10.3).
Similar emphasis has been placed on
ensuring the participation of workers
in areas such as determining the
mechanisms for their consultation
and participation; identifying hazards
and assessing risks and opportunities
(6.1.1, and 6.1.2); determining actions
to eliminate hazards and reduce
OH&S risks (6.1.4); determining
competence requirements, training
needs, training and evaluating
training (7.2); determining what
needs to be communicated and how
this will be done (7.4); determining
control measures and their effective
implementation and use (8.1, 8.1.3,
and 8.2); investigating incidents and
nonconformities and determining
corrective actions (10.2).
ISO 45001 requires organizations to
determine and remove obstacles or
barriers to participation, such as a
failure to respond to suggestions,
language or literacy issues, or any
practices that discourage or penalize
participation. Where a barrier or
obstacle can’t be removed, its impact
should be minimized.
The participation of workers and,
where they exist, their representatives
is a key factor in the success of the
OHSMS, the mechanisms used to
achieve this will vary depending on
the size of your organization and the
nature of your business.
It is in everyone’s interest to work in a
safe and healthy environment, where
people are encouraged to report
hazards or concerns so that
preventive action can be taken and
where people buy-in to the OHSMS
because they, or their colleagues or
representatives, have been involved
at every key step of the decision-
making process.
What does it all mean for my
organization?
Leadership revolves around a shared
vision, values and relationships.
Emphasising leadership in the context
of business benefits creates a clear
direction and the tools for governance
across the entire business. Proper
alignment of the management system
with the organization’s objectives
allows leadership to make the right
decisions on complex topics.
If you are an OH&S Manager looking To do this, it is important to assess
to gain certification to ISO 45001, the attitudes and perceptions of top
you know that engaging leadership management towards the standard.
and top management is essential to If top management has not been
having an effective OHSMS. deeply engaged with the
Whether your organization is big or implementation and certification
small, it can be a challenge to get process before, there is likely work
your leaders to embrace the to be done.
potential of the OHSMS to improve
safety and health for your workers
and other stakeholders.
A first step is to estimate the degree
of change necessary. The new
requirements within ISO 45001
need a clearer link to the business
strategy and overall operations of a
business, which is why the role of
top management is outlined in the
common high-level structure of
Annex SL. Engaging top
management is fundamental to
implementing an effective OHSMS
and achieving certification.
Leadership and worker participation in ISO 45001 | 7
How can I engage top
management in my
organization?
Engaging top
management can be
a challenge. Besides
the obstacle of placing
what seems like more
responsibility on to their
plate, there are other
factors to consider.
Often, the organizational context and
complete analysis of stakeholders
found in section 4 of ISO 45001,
go beyond the scope of the OH&S
Manager’s role. This can make it
difficult to build a strong connection
between the OHSMS and the overall
business strategy and objectives.
This can be compounded by complex
communication. Board rooms
and executives often use different
terminology and protocols that can
make it difficult for those charged
with the OHSMS to articulate needs
in a concise and specific manner.
There is also the challenge of
organizational structure, which can
make it difficult to influence and
guide leaders in positions two or
three reporting line levels above.
8 | Lloyd’s Register
ISO 45001 does require top Greater clarity in connecting
management to take greater strategies to results and balancing
responsibility for the OHSMS. needs across the business to make
In some organizations, top sure gains in one area are not at the
management is already deeply expense of another are advantages
engaged, but in many cases, the of the common High Level Structure
role has been delegated to an (Annex SL). Emphasizing what is
OH&S Manager. Top management to be gained is the way to deepen
engagement goes beyond satisfying top management involvement with
the requirements; it benefits your management systems.
organization, your workers, and all
other stakeholders. Getting the buy-in of leadership
could take the form of a meeting
When top management makes a and presentation of the benefits
commitment to OH&S through their of an OHSMS and the PDCA (Plan,
words and actions, it sends a strong Do, Check, Act) process. With
signal to workers, subcontractors the demands on the time of top
and other stakeholders that they are management, introducing ISO 45001
valued and important. When aligned and presenting the opportunities
with a quality management system for improved OH&S performance
and environmental management requires a clear, concise and specific
system, whose primary stakeholders discussion to illustrate the benefits.
are customers and the wider society
respectively, top management can
demonstrate to all key interested
parties that they are committed to
fulfilling their strategic objectives in
a safe and sustainable way.
Given the connection between
management systems data and how
this can be used to communicate
strategic insight and influence the
corporate decision-making process,
the value of the management
systems professional has never
been stronger.
How can Lloyd’s Register help?
Whether you’re migrating to ISO 45001 or implementing it from scratch, Lloyd’s
Register provides a wide range of services to support your journey to compliance.

Introducing our
ISO 45001 Self-
Assessment Tool
Our ISO 45001 Self-Assessment Tool
has been designed to help you get
a deeper understanding of your
organization’s level of compliance.
Developed by our occupational
health and safety (OH&S) experts,
it is a simple, easy-to-use tool that
will enable you to make an informed
decision around the level of support
you require to achieve ISO 45001
certification.
Get the services Click here for ISO 45001
Self-Assessment Tool
and support you
need
We understand that every client’s
situation and requirements are
unique. By utilizing our ISO 45001
Self-Assessment Tool we can work
closely with you to provide the
solutions you need to address
any areas where improvement
is required.

Define your
readiness in
21 questions
Featuring 21 questions, across
six separate sections, you could
define your ISO 45001 readiness
in as little as 30 minutes.

Once you’ve completed the self-

assessment you’ll be provided
with a report including a total
score, readiness level and
insights around all
six sections.

Leadership and worker participation in ISO 45001 | 9

 Discover our ISO 45001 Packages
Featuring a range of gap analysis, training and certification services,
as well as flexible options to suit your situation, our ISO 45001 Packages
have been developed to help your organization recognize the true
benefits of ISO 45001 certification in the most efficient way.

Essential Plus Premium

Defining your readiness

Online self-assessment

On-site gap analysis

Training

Updating to ISO 45001

customers
Migration

ISO 45001 Auditor Migration

Implementation

Introduction to ISO 45001

customers

ISO 45001 Internal Auditor

Assessment

Migration or Certification
Assessment

Follow-up†

Optional services

Additional training

Transfer to LR (remote)

Premium exclusive services

Select your Fast track certificate Premium printed Certificate presentation

assessor and dates issue certificate ceremony

† Applies to 4 nonconformities, for more than 4 nonconformities an additional fee will be applied.

10 | Lloyds Register
Assessment and training services
Through our extensive range of public and on-site training courses,
our client specific assessment tools and our informative and
educational online services, LR offers organizations a tailored path
to successful ISO 45001 certification.

Gap Analysis
For organizations looking to evaluate
their current OHSMS against
ISO 45001, LR’s Gap Analysis service
offers you an overview of your OHSMS
certification readiness. You will receive
a report, analyzing your understanding
of ISO 45001, including the areas that
will require the most attention to
achieve compliance and certification
to the new standard.
ISO 45001 Update Workshop
Acquire an understanding of the
extent and nature of the changes
introduced by ISO 45001, which will
supersede OHSAS 18001:2007. You
will learn about Annex SL and its
influence in shaping the future of all
management systems standards.
Preparing for Migration to
ISO 45001 from OHSAS 18001
CQI and IRCA Certified
ISO 45001:2018 Auditor/Lead
Auditor course
This five-day course is designed for
people completing their CQI and
IRCA OH&S Management System
Lead Auditor registration for the first
time. It will support your professional
development by enabling you to
conduct audits against ISO 45001
(OH&S) requirements.

Certification
This is typically a two-stage process,
consisting of a system appraisal and
an initial assessment, the duration of
which is dependent on the size and
nature of your organization.
Training
Our ISO 45001 training courses will
prepare and upskill your management
system team and auditors – providing
the skills needed to implement and
maintain your system to meet the
requirements of the new standard.
Our OH&S tutors are chosen for their
sector-specific knowledge and
expertise, so you know that whatever
industry you are in, they’ll understand
the health and safety risks and hazards
you’re likely to face, as well as the
opportunities that you can build on.
This course will support CQI and IRCA Certified Lead Auditor
organizations in addressing the Migration course
new standard requirements and
will explain the concepts and This two-day course enables
requirements defined in ISO 45001 existing Lead Auditors to update
as well as how they differ from their knowledge and skills based on
OHSAS 18001:2007. It will also look the new standard and develop an
at what may need to be revised in understanding of how it compares
your current OH&S management to OHSAS 18001:2007.
system.
ISO 45001 for Internal Auditors
Add to your existing audit
experience and learn how to adapt
internal health and safety auditing
skills for ISO 45001. You will learn
the key changes introduced in
ISO 45001 and the requirements
concerning process thinking, the
importance of ‘Context of the
Organization’, and how to measure
and monitor risk.

Leadership and worker participation in ISO 45001 | 11

About Lloyd’s Register:
We started out in 1760 as a marine
classification society. Today, we’re one of
the world’s leading providers of professional
services for engineering and technology –
improving safety and increasing the
performance of critical infrastructures for
clients in over 75 countries worldwide. The
profits we generate fund the Lloyd’s Register
Foundation, a charity which supports
science and engineering-related research,
education and public engagement around
everything we do. All of this helps us stand by
the purpose that drives us every single day:
Working together for a safer world.

In a world of increasing complexity –

overloaded with data and opinion – we know
that our clients need more than technology
to succeed. They need an experienced hand.
A partner to listen, cut through the noise
and focus on what really matters to them
and their customers. Our engineers and
technical experts are dedicated to assurance.
That means a commitment to embracing
new technology, and a deep rooted desire
to drive better performance. So we consider
our customers’ needs with diligence and
empathy, then use our expertise and over
250 years’ experience to deliver the smart
solution for everyone.

After all, there are some things

technology can’t replace.

Get in touch
Please visit www.lr.org/us for more information
or email inquiries-usa@lr.org

Lloyd’s Register
1330 Enclave Parkway, Suite 200
Houston, TX 77077
United States

Care is taken to ensure that all information provided is accurate and up to

date. However, Lloyd’s Register accepts no responsibility for inaccuracies
in, or changes to, information.
Lloyd’s Register and variants of it are trading names of Lloyd’s Register
Group Limited, its subsidiaries and affiliates. Lloyd’s Register Quality
Assurance, Inc. is a Delaware USA corporation. Copyright © Lloyd’s Register
Quality Assurance, Inc. 2020. A member of the Lloyd’s Register group.