Iso 45001-4
Iso 45001-4
Standard
ISO 45004
Occupational health and safety First edition
management — Guidelines on 2024-03
performance evaluation
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Management de la santé et de la sécurité au travail — Lignes
directrices relative à l'évaluation des performances
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ISO 45004:2024
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ISO 45004:2024(en) © ISO 2024
ISO 45004:2024(en)
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ISO 45004:2024(en)
Contents Page
Foreword..................................................................................................................................................................................................................................................... iv
Introduction.............................................................................................................................................................................................................................................. v
1 Scope.............................................................................................................................................................................................................................................. 1
2 Normative references.................................................................................................................................................................................................. 1
3 Terms and definitions................................................................................................................................................................................................. 1
4 Performance evaluation........................................................................................................................................................................................... 2
4.1 General.........................................................................................................................................................................................................................2
4.2 Why performance evaluation is important................................................................................................................................ 2
5 Performance evaluation process..................................................................................................................................................................... 2
5.1 General.........................................................................................................................................................................................................................2
5.2 Elements of a performance evaluation process...................................................................................................................... 3
5.3 Performance evaluation sources of information and tools...........................................................................................3
5.3.1 General......................................................................................................................................................................................................3
5.3.2 Inspections............................................................................................................................................................................................3
5.3.3 Pre-activity and post-activity reviews......................................................................................................................... 4
5.3.4 Exposure assessments and occupational health surveillance................................................................4
5.3.5 Health and safety meetings....................................................................................................................................................5
5.3.6 Focus groups........................................................................................................................................................................................5
5.3.7 Surveys......................................................................................................................................................................................................5
5.3.8 Interviews.............................................................................................................................................................................................. 5
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5.3.9 Injury and ill health tracking................................................................................................................................................ 6
5.3.10 Incident investigations................................................................................................................................................................6
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5.3.11 Audits.........................................................................................................................................................................................................7
5.3.12 Management review......................................................................................................................................................................7
6 Performance indicators
6.1 General
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............................................................................................................................................................................................ 7
......................................................................................................................................................................................................................... 7
6.2 Selection of performance indicators.................................................................................................................................................7
6.3 Key characteristics of indicators ISO 45004:2024
.......................................................................................................................................................... 8
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6.4 Life cycle of indicators ...................................................................................................................................................................................
6.5 Types of indicators.........................................................................................................................................................................................10
6.5.1 General...................................................................................................................................................................................................10
6.5.2 Leading and lagging indicators........................................................................................................................................11
6.5.3 Quantitative and qualitative...............................................................................................................................................11
6.5.4 Potential unintended consequences........................................................................................................................... 12
6.5.5 Value and limitations of benchmarking................................................................................................................... 13
7 Integration of OH&S performance evaluation into business processes............................................................. 13
8 Monitor, measure, analyse and evaluate.............................................................................................................................................. 14
8.1 General...................................................................................................................................................................................................................... 14
8.2 Uncertainty.......................................................................................................................................................................................................... 15
8.3 Monitor and measure................................................................................................................................................................................. 15
8.4 Analyse.................................................................................................................................................................................................................... 15
8.5 Evaluate...................................................................................................................................................................................................................16
9 Communication............................................................................................................................................................................................................... 16
10 Act on results..................................................................................................................................................................................................................... 17
11 Review performance evaluation processes...................................................................................................................................... 17
Annex A (informative) Performance evaluation examples.................................................................................................................. 19
Bibliography.......................................................................................................................................................................................................................................... 30
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ISO 45004:2024(en)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out through
ISO technical committees. Each member body interested in a subject for which a technical committee
has been established has the right to be represented on that committee. International organizations,
governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely
with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types
of ISO document should be noted. This document was drafted in accordance with the editorial rules of the
ISO/IEC Directives, Part 2 (see www.iso.org/directives).
ISO draws attention to the possibility that the implementation of this document may involve the use of
(a) patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent
rights in respect thereof. As of the date of publication of this document, ISO had not received notice of
(a) patent(s) which may be required to implement this document. However, implementers are cautioned that
this may not represent the latest information, which may be obtained from the patent database available at
www.iso.org/patents. ISO shall not be held responsible for identifying any or all such patent rights.
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and expressions
related to conformity assessment, as well as information about ISO’s adherence to the World Trade
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This document was prepared by Technical Committee ISO/TC 283, Occupational health and safety
management.
Any feedback or questions on this Document
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directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
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ISO 45004:2024(en)
Introduction
This document is intended to help organizations to effectively monitor, measure, analyse and evaluate
occupational health and safety (OH&S) performance.
OH&S performance evaluation includes the processes that the organization uses to assess the adequacy of
activities that are expected to achieve intended results. OH&S performance is normally evaluated by using
a combination of processes and sources of information such as incident investigations, inspections, audits,
qualitative and quantitative indicators, culture surveys and interviews.
This document gives guidance on performance evaluation processes, including:
— selection and use of performance processes including indicators;
— monitoring and measuring to obtain data;
— analysing the data to allow performance of evaluation;
— unintended consequences;
— limitations, such as under- and over-reporting, and data distortion.
This document can be used by organizations of all types, regardless of whether they have implemented a
formal OH&S management system (see ISO 45001 and ISO 45002).
This document provides examples which demonstrate how to evaluate performance to drive continual
improvement and support the organization in achieving its intended results.
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This document recommends a balanced approach based on selection of performance evaluation processes
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and indicators, with emphasis on proactive (leading) OH&S performance indicators. It recognizes that over-
emphasis on past performance (lagging) indicators, such as incidence and frequency rates, can undermine
efforts to improve OH&S performance.
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As every organization is unique, and intended results vary, there is not a standardized set of performance
evaluation processes or set of indicators that fulfil the needs of all organizations. Therefore, every
organization has to identify performance evaluation processes and indicators to suit its needs.
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Effective performance evaluation can help the organization to demonstrate continual improvement, and
therefore may need to be adjusted when the organization’s performance changes. Effectiveness is the
result of selecting the appropriate performance evaluation processes and properly implementing them.
When performance evaluation processes are used inappropriately (e.g. in a way that is perceived to blame
individuals for system deficiencies), they can produce unintended consequences. The most common of these
consequences are discussed in this document.
This document is designed to complement ISO 45001 by providing performance evaluation approaches that
align with requirements of that standard. This document can be used independently, by any organization, to
improve OH&S performance.
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International Standard ISO 45004:2024(en)
1 Scope
This document gives guidance regarding how organizations can establish monitoring, measurement,
analysis and evaluation processes, including the development of relevant indicators for the assessment
of occupational health and safety (OH&S) performance. It enables organizations to determine if intended
results are being achieved, including continual improvement of OH&S performance.
This document is applicable to all organizations regardless of type, industry sector, level of risk, size or
location. It can be used independently or as part of OH&S management systems, including those based on
ISO 45001:2018, or other standards or guidelines.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content constitutes
requirements of this document. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.
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ISO 45001:2018, Occupational health and safety management systems — Requirements with guidance for use
Note 3 to entry: Leading indicators relate to factors that can influence future performance.
Note 4 to entry: Some organizations use the term “metric” instead of “indicator”.
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ISO 45004:2024(en)
Note 5 to entry: Significant indicators used to direct decision-making by top management are sometimes referred to
as “key performance indicators (KPIs)”.
4 Performance evaluation
4.1 General
Performance evaluation is a process or set of processes that compares performance achieved by an
organization against intended results. The organization’s intended results can include continual
improvement of OH&S performance, achievement of OH&S objectives, and fulfilment of legal requirements
and other requirements.
The organization should take into account that there are many sources of information that can provide
input to performance evaluation (see 5.3). The organization should consider using a variety of sources of
information as inputs to achieve a more comprehensive assessment, as a single source used in isolation can
lead to an incomplete or inaccurate assessment.
Clause A.3 provides examples of processes that can help achieve intended results.
5.1 General
When implementing the performance evaluation process, the organization should take into account:
a) its processes (e.g. purchasing, planning, manufacturing, service provision, logistics, training) relevant
to its context and activities (e.g. working at height, permit to work, exposure assessment);
b) the effectiveness of OH&S management, including worker participation, hazard identification,
assessment of risk and risk controls;
c) its conscious or unconscious assumptions about OH&S that influence organizational behaviour;
EXAMPLE It is a common erroneous assumption that incidents are always caused by unsafe behaviour by
workers. Similarly, it is often erroneously assumed that a low incident rate always means the workplace is safe.
d) organizational culture that influences behaviours that affect OH&S (e.g. reporting OH&S incidents or
issues is encouraged and supported, without fear of reprisal);
e) interdependencies within the system (e.g. the effectiveness of inspections can depend on the time
available, training of inspectors and the willingness of workers to report issues to inspectors);
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ISO 45004:2024(en)
5.3.2 Inspections
Inspections can provide organizations with relatively quick, efficient means for reviewing the status of
OH&S risk control implementation, progress toward and achievement of objectives, and fulfilment of legal
requirements and other requirements.
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ISO 45004:2024(en)
Pre-activity reviews (sometimes referred to as “pre-job reviews”, “pre-task reviews” or “dynamic risk
assessments”) and post-activity reviews (sometimes called “post-job debriefs” or “after-action reviews”) can
be a rich source of performance evaluation information. The organization should consider the use of pre-
and post-activity reviews, to acquire information on aspects such as:
a)
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resource issues, including the need for more workers or workers with different skills, equipment repair,
availability and condition of safety-critical items such as ventilation systems, air quality monitoring and
b)
machine guards;
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competence gaps and the potential need for training;
c) gaps in the fulfilment of legalDocument
requirements and otherPreview
requirements;
d) current working conditions compared with those anticipated when the job was planned;
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effectiveness of hazard identification and assessment of risks, and identification of opportunities;
f) effectiveness of existing controls, procedures and processes;
g) the protection of privacy and personal data as reported.
The organization should ensure that workers involved in the task participate in pre- and post-activity
reviews, and determine the necessary actions to be taken to ensure information is comprehensive and
accurate.
The organization should use information from exposure assessment monitoring and health surveillance
programmes to help evaluate the effectiveness of processes and controls (e.g. ventilation, hearing protection)
and determine the level of exposure before harm to workers occurs.
The organization should compare exposures against established OH&S criteria and determine if levels are
exceeded.
The organization should use health surveillance programmes to identify signs or symptoms of ill health.
To understand OH&S performance, the organization should measure and monitor exposure to health
hazards, such as:
— chemical (e.g. liquids, gases, other airborne contaminants);
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ISO 45004:2024(en)
If appropriate to its size and the number of workers, the organization can implement health and safety
meetings at different levels of the organization (e.g. corporate, facility, department, work team). The
organization should consider using the results of safety meetings as part of the performance evaluation
process, to analyse information from other activities and sources, such as injury and ill health rates, incident
investigations, exposure assessment data, results of surveys or findings from inspections. The organization
should take into account the objectives of meetings to determine their frequency and who participates.
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The organization should consider the use of temporary focus groups to gain insight and improve
understanding of specific concerns and topics of interest. A focus group can consist of a small number of
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people more closely related to the issue of concern or with knowledge of the subject, and the organization
should consider this mechanism when it needs to acquire a deeper understanding of a particular issue.
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The organization can use short-term Preview
focus groups for activities such as identifying opportunities to improve
OH&S performance, how a task is performed, or to explore the underlying causes of process failures, such
as why workers are reluctant to report an incident. The organization should ensure the focus group is
ISO 45004:2024
facilitated in an unbiased way and that the workers involved feel comfortable to share information.
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EXAMPLE Focus groups can be used when an organization does not understand the results of a culture survey
and wants to learn why workers responded in a certain way.
5.3.7 Surveys
The organization should consider using surveys to acquire insight on aspects such as organizational culture,
evaluation of OH&S performance related to internal and external issues, needs of interested parties, work
environment, health and well-being, or perception of effectiveness of processes and controls.
Surveys can be integrated into existing employee surveys and performed at different levels of the
organization and with relevant interested parties, depending on the subject of the survey. The organization
should consider the use of anonymous surveys, when appropriate (e.g. for potentially sensitive issues such
as the work environment, psychological health and safety, psychosocial factors, effective leadership or
potentially unsafe working practices).
NOTE Surveys can be helpful to quantify issues or clarify if concerns are limited to a small number of workers
or more general. They can also provide qualitative indicators or information if they include open questions where
responders can provide their insights.
5.3.8 Interviews
The organization should consider the use of formal and informal interviews with workers at all levels to
gather information on hazards, the effectiveness of controls, performance of the management system or
business processes, adverse health symptoms, recent experiences, how workers are feeling, their concerns
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