Curriculum
- 2 Sections
- 36 Lessons
- 26 Weeks
- ISO 4500111
- 1.1Introduction to ISO 45001 and Occupational Health & Safety Management Systems (OH&S)
- 1.2Key Terms and Definitions in ISO 45001
- 1.3Context of the Organization (Clause 4 of ISO 45001)
- 1.4Leadership and Worker Participation (Clause 5 of ISO 45001)
- 1.5Planning (Clause 6 of ISO 45001)
- 1.6Support (Clause 7 of ISO 45001)
- 1.7Operation (Clause 8 of ISO 45001)
- 1.8Performance Evaluation (Clause 9 of ISO 45001)
- 1.9Improvement (Clause 10 of ISO 45001)
- 1.10Integrating ISO 45001 with Other Management Systems
- 1.11Risk-Based Thinking and Continuous Improvement in ISO 45001
- ISO 19011: Guidelines for auditing management systems26
- 2.1Introduction to ISO19011
- 2.2Principles of Auditing
- 2.3Managing an Audit Program
- 2.4Establishing Audit Program Objectives
- 2.5Determining Audit Program Risks and Opportunities
- 2.6Establishing the Audit Program
- 2.7Implementing the Audit Program
- 2.8Monitoring the Audit Program
- 2.9Reviewing and Improving the Audit Program
- 2.10Initiating the Audit
- 2.11Determining Audit Feasibility
- 2.12Preparing Audit Activities
- 2.13Reviewing Documented Information
- 2.14Preparing the Audit Plan
- 2.15Assigning Work to the Audit Team
- 2.16Preparing Working Documents
- 2.17Opening Meeting
- 2.18Communication During the Audit
- 2.19Collecting and Verifying Information
- 2.20Generating Audit Findings
- 2.21Preparing Audit Conclusions
- 2.22Closing Meeting
- 2.23Preparing the Audit Report
- 2.24Completing the Audit
- 2.25Follow-Up Activities
- 2.26ISO45001 Exam120 Minutes40 Questions
Planning (Clause 6 of ISO 45001)
Overview of the Planning Clause
Clause 6 of ISO 45001 focuses on planning, which is a critical step in establishing an effective Occupational Health and Safety Management System (OH&SMS). Planning ensures that the organization identifies potential hazards, assesses associated risks, determines legal and other requirements, and establishes objectives to improve OH&S performance. Without proper planning, the OH&SMS may be reactive rather than proactive, leaving workers exposed to preventable risks.
For a Lead Auditor, evaluating Clause 6 involves reviewing how well the organization anticipates risks and opportunities, integrates legal requirements, and aligns OH&S objectives with operational processes. Auditors must assess both the methodology and implementation to ensure planning is comprehensive, systematic, and effective.
A central element of Clause 6 is the identification of hazards and assessment of risks. Organizations must systematically identify hazards in the workplace, evaluate the associated risks, and prioritize them based on their potential impact on workers’ health and safety. Hazards can be physical, chemical, biological, ergonomic, or psychosocial, and may arise from routine operations, non-routine activities, or emergency situations.
Risk assessment involves analyzing both the likelihood of an incident occurring and the severity of potential consequences. Auditors must verify that organizations have documented procedures for hazard identification and risk assessment and that these procedures are applied consistently across all areas of the organization. For example, a manufacturing facility should have assessments for machinery, chemicals, and repetitive tasks, while an office environment may focus on ergonomics, stress, and slips or trips.
It is important for auditors to confirm that risk assessments are not purely theoretical. They should reflect actual operations and consider input from workers, incident reports, and observations. Organizations that fail to integrate real-world information into risk assessments may overlook critical hazards.
ISO 45001 requires organizations to consider not only risks but also opportunities to improve OH&S performance. Opportunities may include implementing safer equipment, enhancing training programs, redesigning workflows, or introducing new technologies. Lead Auditors should evaluate whether opportunities are identified systematically and whether the organization takes proactive measures to leverage them.
Risk mitigation is the process of implementing controls to reduce or eliminate identified risks. Controls can be hierarchical, starting with elimination or substitution of hazards, engineering controls, administrative controls, and finally personal protective equipment. Auditors should assess whether the organization follows this hierarchy, applies controls appropriately, and regularly reviews their effectiveness.
Legal and Other Requirements
Clause 6 requires organizations to identify applicable legal and regulatory requirements, as well as other requirements such as industry standards, contractual obligations, and internal policies. Understanding these obligations ensures compliance and protects the organization from legal penalties and reputational damage.
Lead Auditors should review how the organization keeps up-to-date with changing legislation and other requirements. This may involve subscriptions to legal databases, consultation with regulatory authorities, or internal audits. Auditors must verify that legal obligations are integrated into operational processes and risk management procedures.
OH&S Objectives and Planning to Achieve Them
Organizations are required to establish measurable OH&S objectives that align with the OH&S policy and reflect the identified risks, opportunities, and legal requirements. Objectives should be realistic, achievable, and documented, with assigned responsibilities and timelines.
Auditors should evaluate how objectives are set, whether they are specific, measurable, achievable, relevant, and time-bound (SMART), and how progress is monitored. Objectives may include reducing workplace injuries, improving worker training, or enhancing emergency preparedness. Evidence of ongoing monitoring, reporting, and corrective action is essential to demonstrate effective planning.
Integration with Organizational Processes
Planning must not occur in isolation. OH&S objectives and risk controls should be integrated into the organization’s operational and strategic processes. For example, new equipment procurement should consider hazard identification and risk control, while project planning should include OH&S assessments. Auditors must verify that planning is linked to real-world operations and not confined to documentation.
Integration also involves linking risk assessment and objective setting with leadership and worker participation. Effective planning ensures that top management provides necessary resources and workers are involved in identifying hazards and evaluating risk control measures.
Clause 6 emphasizes the need to consider changes in the organization that may affect OH&S. Changes can be internal, such as process modifications, new equipment, or organizational restructuring, or external, such as new legal requirements, technological advancements, or market pressures. Auditors should examine whether the organization has a process for assessing risks and opportunities associated with these changes and implementing appropriate controls.
Change management is particularly important because new hazards can arise unexpectedly, and existing controls may become ineffective. A robust OH&SMS will include procedures for reviewing and updating risk assessments, revising objectives, and communicating changes to relevant personnel.
When auditing Clause 6, Lead Auditors should assess the organization’s approach to hazard identification, risk assessment, and opportunity evaluation. Evidence should include documented procedures, risk assessment reports, records of training, and examples of implemented controls. Auditors should also conduct interviews with workers and supervisors to verify that risk assessments are applied in practice.
Common audit findings include incomplete hazard identification, inadequate consideration of legal requirements, poorly defined objectives, and lack of follow-up on identified opportunities. Lead Auditors must ensure that planning is proactive, integrated, and aligned with organizational context and strategic objectives.
Clause 6 forms the bridge between leadership commitment and operational implementation. Effective planning ensures that risks are managed, opportunities are leveraged, and OH&S objectives drive continual improvement across the organization.