ISO 45001 Clause 9: Performance Evaluation
Clause 9 covers how your organisation monitors and measures OH&S performance, evaluates compliance with legal requirements, conducts internal audits, and carries out management reviews.
Monitoring and Measurement
Clause 9.1.1 requires the organisation to establish, implement, and maintain processes for monitoring, measurement, analysis, and performance evaluation. The organisation must determine what needs to be monitored and measured including the extent to which legal requirements are fulfilled, activities and operations related to identified hazards and risks, progress towards OH&S objectives, and effectiveness of operational and other controls.
The organisation must also determine the methods for monitoring, measurement, analysis, and evaluation, the criteria against which performance will be evaluated, and when monitoring and measuring shall be performed and when results shall be analysed and evaluated.
Compliance Evaluation
Clause 9.1.2 requires the organisation to establish, implement, and maintain processes for evaluating compliance with legal requirements and other requirements. The organisation must determine the frequency and methods for compliance evaluation, evaluate compliance and take action if needed, and maintain knowledge and understanding of its compliance status. Results of compliance evaluation must be retained as documented information.
Internal Audit
Clause 9.2 requires the organisation to conduct internal audits at planned intervals to determine whether the OH&S management system conforms to the organisation's own requirements and the requirements of ISO 45001, and whether it is effectively implemented and maintained. The organisation must plan, establish, implement, and maintain an audit programme including frequency, methods, responsibilities, and reporting. Auditors must be objective and impartial.
Management Review
Clause 9.3 requires top management to review the OH&S management system at planned intervals to ensure its continuing suitability, adequacy, and effectiveness. The review must consider the status of actions from previous reviews, changes in external and internal issues, OH&S performance including incidents and nonconformities, audit results, consultation and participation of workers, risks and opportunities, and the adequacy of resources. Outputs must include decisions on continual improvement opportunities and any needs for change.
Key Audit Questions
- What OH&S performance indicators are monitored, and how are the results analysed and used to drive improvement?
- How does the organisation evaluate compliance with legal and other requirements, and how frequently is this done?
- Is the internal audit programme planned and implemented to cover all areas of the OH&S management system with objective auditors?
- Does management review address all required inputs including incidents, audit results, worker consultation feedback, and risk changes?
- What documented evidence exists of monitoring results, compliance evaluations, audit findings, and management review outputs?
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