Leadership

and worker
participation in
ISO 45001:2018.

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,
March 12, 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is withdrawn.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 | Lloyds 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

same ten section structure:

0. Introduction
1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organization
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement

Organizations that use multiple Management

Systems Standards will find that each of
the ISO standards now speaks a common
language. This will make it easier to integrate
them into a common management system,
as the structure is consistent and compatible,
creating efficiencies and removing the
confusion found when implementing earlier
versions of the standards.

Leadership and worker participation in ISO 45001:2018 | 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 is 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 | Lloyds 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 45001:2018 | 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
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 emphasised in
the ISO 45001 requirements relating
to worker participation.
6 | Lloyds 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 45001:2018 | 7
8 | Lloyds Register
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.
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). Emphasising 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.
Leadership and worker participation in ISO 45001:2018 | 9
How can
Lloyd’s Register
help?

LR has in-depth experience of Migration and Certification

working with top management teams
and understanding their relationship
to management systems, addressing
their concerns and understanding
how to articulate the associated
benefits. This can be done in as little
as 90 minutes, in which time, we can
answer your leaders’ most pressing
questions.
As well as explaining the
requirements, it’s important to
reassure top management that the
standards are not a threat to their
authority or autonomy. By easing
concerns about decision-making
power and showing how the scope of
management systems is the choice of
the leadership team, they are more
open to opportunities that it can
provide. By highlighting the benefits
of more a systematic, risk-based
approach, decision-makers can see
the value that management systems
provide across the whole organization
– making the world of work safer and
healthier for us all.
Assessment
Certification is typically a two
stage process and migration a
single 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
We provide practical client
training courses, led by trained
and qualified tutors. Many of our
courses are endorsed by relevant
professional bodies and based
on our experience of assessing
management systems. We offer
both public and on-site training
services including customized
training solutions.
Technical expertise
Our experienced assessors are
industry specialists who are
matched with your business needs,
enabling an effective and robust
audit of your system.

We specialize in management
systems compliance including
gap analysis, assessment and
certification, all underpinned with
expert advice designed to meet the
needs of your industry. We explore
every problem thoroughly with exact,
analytical precision.

10 | Lloyds Register
Leadership and worker participation in ISO 45001:2018 | 11
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