In this article, I’m going to cover ISO 45001 Clause 5.1 Leadership and commitment. I’m going to break this clause down and turn it into something you can all understand. You will then be able to apply this to your own organization's system and understand what the requirements will look like for you. No more guessing! Keep on watching as I can show you just how easy this is!
Ok, let’s get started! Clause 5.1 Leadership and commitment is the first clause under section 5 Leadership and worker participation. There are quite a few different elements to this clause so I will break them down into smaller chunks and explain each part as I go.
Before I do this though, I do want to share with you what it would look like to audit the requirements of this clause. For me personally, I do not sit down and go through these requirements one by one and look for evidence through interviews with Top Management. A lot of the requirements in this clause you will come across throughout the duration of the complete audit. There are areas that you will observe, listen to, and collect evidence on that will all point back to these requirements without you specifically making your way through them one by one. If you are building a system please also be aware of this. There are other clauses you can conform with that will automatically meet these requirements so there is no double up. I’ll explain this to you for each section as I go.
Each separate requirement in this clause starts off with the statement of Top Management shall demonstrate leadership and commitment with respect to the OH&S management system by …
And then it lists the various ways in which this leadership and commitment are to be demonstrated. So that you don’t have to listen to me repeat myself over and over again I’m going to now assume that you know that each section that I cover is referring to HOW leadership and commitment are to be demonstrated with respect to the OH&S management system by top management. And actually, it is probably a good idea right about now to explain to you who on earth top management is. The official definition for top management is … the person or group of people who directs and controls an organization at the highest level. I always say that top management is the decision-maker. Depending on the structure and size of the business, top management could be the owners, shareholders, board of directors, general manager, or even a project manager if the scope of the system is down to a project level only. Great, I’m glad I got that out of the way! We can really get started now.
So …
Point a) states … taking overall responsibility and accountability for the prevention of work-related injury and ill health, as well as the provision of safe and healthy workplaces and activities.
Yep – that’s right, top management is ultimately responsible and accountable for the prevention of work-related injury and ill health by providing a safe and healthy workplace. This means that even though top management can delegate or assign certain responsibilities to others they are still accountable for the OH&S system. The buck stops with them.
Point b) states … ensuring that the OH&S policy and related OH&S objectives are established and are compatible with the strategic direction of the organization.
Easy! OH&S Policy requirements are stated in clause 5.2 and OH&S objective requirements are stated in clause 6.2. Make sure that top management has been involved in the establishment of both the policy and the objectives. And most importantly that they align with the strategic plan of the business. These are not to sit in a corner separate from the strategic direction of the business. If the requirements are met in clauses 5.2 and 6.2 then it’s a nice tick back here too.
Point c) states … ensuring the integration of the OH&S management system requirements into the organization's business processes.
Oooh, I love this one! An OH&S management system isn’t something that is built separately to the business and it sits over in a corner gathering dust. The OH&S management system needs to be integrated into the day-to-day processes so that ‘OH&S’ is just the way you do business. You will know how well this is implemented when you’re interviewing employees and they are showing you the processes that they follow to ensure that they and other workers remain safe and healthy at all times.
Point d) states … ensuring that the resources needed to establish, implement, maintain and improve the OH&S management system are available
That’s right – top management can’t use the excuse that we don’t have enough staff to maintain the OH&S management system. Believe me, it’s a common excuse given for any gaps that might show up. And look, I get it, it could definitely be the case. However, here it is clearly stated that it IS up to top management to ensure that resources are available. It’s right here in black and white. Don’t forget that resources are not just people, they can be plant, equipment, hardware, and software too.
Point e) states … communicating the importance of effective OH&S management and of conforming to the OH&S management system requirements
It appears as though it is up to top management to communicate to everyone information about the OH&S management system, what it means to the business and what it means to workers with regards to following the system. What a great opportunity to engage with workers and really get them involved in the system – not only in understanding the requirements but also in providing feedback and improving the system.
Point f) states … ensuring that the OH&S management system achieves its intended results
And this means that top management should be monitoring what they planned to achieve. They might do this by monitoring objectives set, investigating incidents, or reviewing nonconformances and corrective actions.
Point g) states … directing and supporting persons to contribute to the effectiveness of the OH&S management system
I sort of mentioned this a bit earlier when I was referring to communicating the importance of effective OH&S management and of conforming to the OH&S management system. Any communication and interaction that top management has, they should be demonstrating in a positive manner – (well by leadership really) what the OH&S management system is all about and getting people involved in the process.
Point h) states … ensuring and promoting continual improvement
I like that word – promoting. This is all about actively encouraging the team to keep an eye out for improvements. Building a culture where your workers are not too scared to put their hands up to say that something isn’t working out the best way that it can and putting forward solutions. This attitude and culture really do need to come from the top.
Point i) states … supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility
This is great! What better way to build a positive culture around OH&S than to give other management roles leadership responsibilities to promote the OH&S management system? This really shows that the system is to trickle through all of the relevant functions and levels of the business. Giving people at different levels areas of leadership and engagement.
Point j) states … developing, leading, and promoting a culture in the organization that supports the intended outcomes of the OH&S management system
Essentially it is up to top management to lead the way and set the example when it comes to the OH&S management system and the intended outcomes. It starts from the top. You will identify the OH&S culture of the organization throughout your audit by what you observe and the responses from auditees.
Is the business well-resourced to identify, assess and control OH&S hazards and risks?
Are all workers aware of the OH&S system and related procedures?
How are they involved in the system?
What is their attitude towards OH&S for themselves and their workmates?
While I’ve referred to workers here, I want to make it clear that I’m not saying it’s up to the worker. Not at all – I’m simply demonstrating that you can normally identify the level of leadership and OH&S culture within the organization by observing and interviewing all levels of workers in the business.
Point k) states … protecting workers from reprisals when reporting incidents, hazards, risks, and opportunities
Top management, in their leadership, must ensure that the OH&S culture that they establish supports workers to come forward to report incidents, near misses, hazards, risks, and opportunities for improvement. Workers mustn’t feel like there will be consequences if they do come forward. The culture should be that of open communication, continual learning, and improvement always with the intent of keeping everyone safe.
Point l) states … ensuring the organization establishes and implements a process(es) for consultation and participation of workers
This requirement also relates to clause 5.4 Consultation and participation of workers. If clause 5.4 is being met, then this requirement is being met back here in clause 5.1. Remembering though that it is top management who is to demonstrate their leadership and commitment when it comes to consultation and participation – it’s not something where the responsibility and accountability can be delegated.
Now that I’ve explained all of these requirements, can you see more clearly how you would determine conformance to this clause by the results of your entire audit or review of your system?
There are so many links and parallels to these requirements and not all of them are easily determined in a straight-out interview with top management.
You need to be able to walk around and ask questions of different workers at different levels to truly see how top management is demonstrating their leadership and commitment to the OH&S management system.
Learn even more by completing a qualification in one of our ISO 45001 courses.