Process
ISO 45001
the new Safety Management
Systems GuidePresented by:
Paul Esposito, CIH, CSP
President, STAR Consultants
410-218-8451
Presented at:
ASSE
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STAR> Overview
STAR has been in business since 1997
Safety Through Accountability and Recognition
STAR specialized is
Culture
Management Systems
Risk Assessments
Leading Metric sand
Strategic Planning
HSE Coaching
Paul Esposito is a CIH and CSP, with over 34 years of
experience.
For 2007-2012, Mr. Esposito had been a VP with ESIS, a global
leader in HSE Consulting worldwide, leading their Management
Systems and Assessments Practice.
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OHSMS Evolution
National Standards
Australia AS/NZS 4801(2000)
Singapore (SS) 506(2004)
U.S. ANSI Z10(2005)
BS
8800
ISO
14001
ISO
9001OHSAS
18001
ANSI
Z10
ILO
OSH/2001
1987 1996 2001 20051996 1999
OSHA
VPPProgram
1979
OSHA's Voluntary
S&H Mgmt Program
Guidelines 1989,
Fed Reg 54FR3904)
1976 International
Safety Rating
System (ISRS)
Frank Bird, et al.
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OHSAS
18001ISO
31000ISO MMS
Framework
ISO
22301ANSI
Z10ISO
45001
2007 2009 20122010 2012 2016??
OHSMS Evolution cont.
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Each company possesses (whether consciously or
not, whether documented or not) an overall
management system
An overall management system is the sum of the
management subsystems .. as well as their
interrelationships
Management Systems
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Key Management System Components
• Communication/Feedback loops
• Continual Improvement/Learning
• Accountability/Responsibility
• Leadership
• Participation
• Concept of Integration
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The Z10 OHSMS Model
Characterized by emphasis on continual improvement and systematic
elimination of underlying or root causes of deficiencies
ACTPLAN
DOCHECK
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Plan:Identify and analyze the problem: aspects, impacts, legal requirements, objectives, metrics
Do:Developing and testing a potential solution: for example changes to organizational structure, processes, procedures, documentation, controls
Check:Measure effectiveness of solution and can it be improved. Assess though monitoring, evaluation, recordkeeping, audits
Act:Implement the improved solution fully
Plan Do Check Act
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ISO: International Organization for
Standardization
A worldwide federation of national standards bodies, based in Geneva, Switzerland.
Approximately 140 member countries.
Adopted or agreed in principal to support the intention of ISO by participating in ISO activities.
Preparing International Standards is carried out through ISO technical committees.
Almost 200 technical committees (TC’s).
These committees are comprised of members from stakeholder groups and technical experts.
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The purpose of the ISO is to equalize
standards
This equalization (often referred to as “harmonization”) minimizes world trade barriers through consensus building and development of standards all can understand, regardless of culture, philosophy, and/or preexisting technical sophistication.
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ISO PHILOSOPHY
All ISO standards follow the philosophy:
Say it
Do it
Document itThis sounds simple, but is such a radical departure from previous theory and practice as to have an impact truly beyond anything anyone expected.
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ISO 45001
Occupational Health & Safety Management
System Overview
• 45001 Background & Timeline.
• Management System Game Changer –ISO’s High Level MS Framework.
• 45001 Elements (as of now).
• Prequel of (anticipated) Key Items.
• Pivot from existing ISO 14001 and/or OHSAS 18001.
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Key Points/Themes
• 20 years of narrowing to OHSAS 18001.
• ISO 45001 not look 18001 in structure; unknown on content.
• Is the debate is over on OHSMS value?
• Trend toward integrated systems ISO MSS.
• ISO 45001 projected to be published in 2016.
• Big shift with ISO MSS – no procedures requirement.
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ISO 45001 Background
June 2013, a New Work Item Proposal to establish an
Occupational Health and Safety Management System
(OHSMS) was approved by ISO creating Project Committee
283 (PC 283).
Prior attempts for passage – 3 prior failed attempts for
an ISO OHSMS standard. First attempt was in 1996.
OHSMS standards are now being used in 127 countries
around the world with over 100,000 certificates issued.
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Who is Involved
43 Participating Countries
and
15 Observing Countries
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Development Steps
• Working Draft (WD) – First draft developed
by the Project Committee and experts (US will
have TAG input).
• Committee Draft (CD) –First public draft for
circulation to public for comments.
• Draft International Standard (DIS).
• Final Draft International Standard (FDIS).
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Projected Timeline
02/28/14: Comments due on WD1
03/31/14: PC Meeting drafts “Committee Draft 1 (CD1)”
06 /2014: CD1 released for comment/ballot
11 /2014: PC Meeting drafts “Draft International Standard (DIS)”
01 /2015: DIS released for translation
06 /2015: DIS Ballot
11 /2015: PC Meeting drafts “Final DIS (FDIS)”
01 /2016: Final draft of FDIS ISO processing
07 /2016: FDIS Balloting
09 /2016: Publication of ISO 45001
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“High level structure, identical core text and common terms and core definitions for use in Management System Standards.”December 2011
High Level Structure – Guide 83
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
ISO/WD 45001 follows this structure.
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Table of Contents
ISO/WD 45001
© ISO 2013 – All rights reserved iii
Contents Page
Foreword ................................ ................................ ................................ ................................ ............................. v
Introduction ................................ ................................ ................................ ................................ ........................ vi
1 Scope ................................ ................................ ................................ ................................ ...................... 1
2 Normative references ................................ ................................ ................................ ............................ 1
3 Terms and definitions ................................ ................................ ................................ ........................... 1
4 Context of the organization ................................ ................................ ................................ .................. 8 4.1 Understanding the organization and its context ................................ ................................ ................ 8 4.2 Understanding the needs and expectations of interested parties ................................ ................... 8 4.3 Determining the scope of the OH&S management system ................................ ............................... 8 4.4 OH&S management system................................ ................................ ................................ .................. 8
5 Leadership ................................ ................................ ................................ ................................ ............. 9 5.1 Leadership and commitment ................................ ................................ ................................ ............... 9 5.2 Policy ................................ ................................ ................................ ................................ ...................... 9 5.3 Organizational roles, responsibilities, accountabilities and authorities ................................ ....... 10
6 Planning................................ ................................ ................................ ................................ ................ 10 6.1 Actions to address risks and opportunities ................................ ................................ ..................... 10 6.1.1 Hazard identification ................................ ................................ ................................ ........................... 10 6.1.2 Determination of compliance obligations ................................ ................................ ......................... 11 6.1.3 Risk and opportunity management ................................ ................................ ................................ ... 11 6.1.4 Planning to take action ................................ ................................ ................................ ....................... 11 6.2 OH&S objectives and planning to achieve them ................................ ................................ .............. 12
7 Support ................................ ................................ ................................ ................................ ................. 12 7.1 Resources ................................ ................................ ................................ ................................ ............ 12 7.2 Competence ................................ ................................ ................................ ................................ ......... 12 7.3 Awareness ................................ ................................ ................................ ................................ ............ 13 7.4 Information, Communication, participation and consultation ................................ ........................ 13 7.4.1 Information and Communication ................................ ................................ ................................ ....... 13 7.4.2 Participation and consultation ................................ ................................ ................................ ........... 14 7.5 Documented information ................................ ................................ ................................ .................... 14 7.5.1 General ................................ ................................ ................................ ................................ ................. 14 7.5.2 Creating and updating ................................ ................................ ................................ ........................ 14 7.5.3 Control of documented Information ................................ ................................ ................................ .. 15
8 Operation ................................ ................................ ................................ ................................ .............. 15 8.1 Operational planning and control ................................ ................................ ................................ ...... 15 8.1.1 General ................................ ................................ ................................ ................................ ................. 15 8.1.2 Hierarchy of control ................................ ................................ ................................ ............................ 15 8.2 Management of change ................................ ................................ ................................ ....................... 16 8.3 Outsourcing ................................ ................................ ................................ ................................ ......... 16 8.3.1 General ................................ ................................ ................................ ................................ ................. 16 8.3.2 Control of external provision of goods and services ................................ ................................ ...... 16 8.3.3 Control of contractors ................................ ................................ ................................ ......................... 16 8.4 Emergency preparedness and response ................................ ................................ .......................... 16
9 Performance evaluation ................................ ................................ ................................ ...................... 17 9.1 Monitoring, measurement, analysis and evaluation ................................ ................................ ........ 17 9.1.1 General ................................ ................................ ................................ ................................ ................. 17 9.1.2 Evaluation of Compliance................................ ................................ ................................ ................... 17 9.2 Internal audit ................................ ................................ ................................ ................................ ........ 17
Working Draft 12/20/13
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ISO/WD 45001
© ISO 2013 – All rights reserved iii
Contents Page
Foreword ................................ ................................ ................................ ................................ ............................. v
Introduction ................................ ................................ ................................ ................................ ........................ vi
1 Scope ................................ ................................ ................................ ................................ ...................... 1
2 Normative references ................................ ................................ ................................ ............................ 1
3 Terms and definitions ................................ ................................ ................................ ........................... 1
4 Context of the organization ................................ ................................ ................................ .................. 8 4.1 Understanding the organization and its context ................................ ................................ ................ 8 4.2 Understanding the needs and expectations of interested parties ................................ ................... 8 4.3 Determining the scope of the OH&S management system ................................ ............................... 8 4.4 OH&S management system................................ ................................ ................................ .................. 8
5 Leadership ................................ ................................ ................................ ................................ ............. 9 5.1 Leadership and commitment ................................ ................................ ................................ ............... 9 5.2 Policy ................................ ................................ ................................ ................................ ...................... 9 5.3 Organizational roles, responsibilities, accountabilities and authorities ................................ ....... 10
6 Planning................................ ................................ ................................ ................................ ................ 10 6.1 Actions to address risks and opportunities ................................ ................................ ..................... 10 6.1.1 Hazard identification ................................ ................................ ................................ ........................... 10 6.1.2 Determination of compliance obligations ................................ ................................ ......................... 11 6.1.3 Risk and opportunity management ................................ ................................ ................................ ... 11 6.1.4 Planning to take action ................................ ................................ ................................ ....................... 11 6.2 OH&S objectives and planning to achieve them ................................ ................................ .............. 12
7 Support ................................ ................................ ................................ ................................ ................. 12 7.1 Resources ................................ ................................ ................................ ................................ ............ 12 7.2 Competence ................................ ................................ ................................ ................................ ......... 12 7.3 Awareness ................................ ................................ ................................ ................................ ............ 13 7.4 Information, Communication, participation and consultation ................................ ........................ 13 7.4.1 Information and Communication ................................ ................................ ................................ ....... 13 7.4.2 Participation and consultation ................................ ................................ ................................ ........... 14 7.5 Documented information ................................ ................................ ................................ .................... 14 7.5.1 General ................................ ................................ ................................ ................................ ................. 14 7.5.2 Creating and updating ................................ ................................ ................................ ........................ 14 7.5.3 Control of documented Information ................................ ................................ ................................ .. 15
8 Operation ................................ ................................ ................................ ................................ .............. 15 8.1 Operational planning and control ................................ ................................ ................................ ...... 15 8.1.1 General ................................ ................................ ................................ ................................ ................. 15 8.1.2 Hierarchy of control ................................ ................................ ................................ ............................ 15 8.2 Management of change ................................ ................................ ................................ ....................... 16 8.3 Outsourcing ................................ ................................ ................................ ................................ ......... 16 8.3.1 General ................................ ................................ ................................ ................................ ................. 16 8.3.2 Control of external provision of goods and services ................................ ................................ ...... 16 8.3.3 Control of contractors ................................ ................................ ................................ ......................... 16 8.4 Emergency preparedness and response ................................ ................................ .......................... 16
9 Performance evaluation ................................ ................................ ................................ ...................... 17 9.1 Monitoring, measurement, analysis and evaluation ................................ ................................ ........ 17 9.1.1 General ................................ ................................ ................................ ................................ ................. 17 9.1.2 Evaluation of Compliance................................ ................................ ................................ ................... 17 9.2 Internal audit ................................ ................................ ................................ ................................ ........ 17
Table of ContentsWorking Draft 12/20/13
23
ISO/WD 45001
© ISO 2013 – All rights reserved iii
Contents Page
Foreword ................................ ................................ ................................ ................................ ............................. v
Introduction ................................ ................................ ................................ ................................ ........................ vi
1 Scope ................................ ................................ ................................ ................................ ...................... 1
2 Normative references ................................ ................................ ................................ ............................ 1
3 Terms and definitions ................................ ................................ ................................ ........................... 1
4 Context of the organization ................................ ................................ ................................ .................. 8 4.1 Understanding the organization and its context ................................ ................................ ................ 8 4.2 Understanding the needs and expectations of interested parties ................................ ................... 8 4.3 Determining the scope of the OH&S management system ................................ ............................... 8 4.4 OH&S management system................................ ................................ ................................ .................. 8
5 Leadership ................................ ................................ ................................ ................................ ............. 9 5.1 Leadership and commitment ................................ ................................ ................................ ............... 9 5.2 Policy ................................ ................................ ................................ ................................ ...................... 9 5.3 Organizational roles, responsibilities, accountabilities and authorities ................................ ....... 10
6 Planning................................ ................................ ................................ ................................ ................ 10 6.1 Actions to address risks and opportunities ................................ ................................ ..................... 10 6.1.1 Hazard identification ................................ ................................ ................................ ........................... 10 6.1.2 Determination of compliance obligations ................................ ................................ ......................... 11 6.1.3 Risk and opportunity management ................................ ................................ ................................ ... 11 6.1.4 Planning to take action ................................ ................................ ................................ ....................... 11 6.2 OH&S objectives and planning to achieve them ................................ ................................ .............. 12
7 Support ................................ ................................ ................................ ................................ ................. 12 7.1 Resources ................................ ................................ ................................ ................................ ............ 12 7.2 Competence ................................ ................................ ................................ ................................ ......... 12 7.3 Awareness ................................ ................................ ................................ ................................ ............ 13 7.4 Information, Communication, participation and consultation ................................ ........................ 13 7.4.1 Information and Communication ................................ ................................ ................................ ....... 13 7.4.2 Participation and consultation ................................ ................................ ................................ ........... 14 7.5 Documented information ................................ ................................ ................................ .................... 14 7.5.1 General ................................ ................................ ................................ ................................ ................. 14 7.5.2 Creating and updating ................................ ................................ ................................ ........................ 14 7.5.3 Control of documented Information ................................ ................................ ................................ .. 15
8 Operation ................................ ................................ ................................ ................................ .............. 15 8.1 Operational planning and control ................................ ................................ ................................ ...... 15 8.1.1 General ................................ ................................ ................................ ................................ ................. 15 8.1.2 Hierarchy of control ................................ ................................ ................................ ............................ 15 8.2 Management of change ................................ ................................ ................................ ....................... 16 8.3 Outsourcing ................................ ................................ ................................ ................................ ......... 16 8.3.1 General ................................ ................................ ................................ ................................ ................. 16 8.3.2 Control of external provision of goods and services ................................ ................................ ...... 16 8.3.3 Control of contractors ................................ ................................ ................................ ......................... 16 8.4 Emergency preparedness and response ................................ ................................ .......................... 16
9 Performance evaluation ................................ ................................ ................................ ...................... 17 9.1 Monitoring, measurement, analysis and evaluation ................................ ................................ ........ 17 9.1.1 General ................................ ................................ ................................ ................................ ................. 17 9.1.2 Evaluation of Compliance................................ ................................ ................................ ................... 17 9.2 Internal audit ................................ ................................ ................................ ................................ ........ 17
ISO/WD 45001
iv © ISO 2013 – All rights reserved
9.2.1 Internal Audit Objectives ................................ ................................ ................................ ................... 17 9.2.2 Internal Audit Implementation ................................ ................................ ................................ ........... 18 9.3 Management review ................................ ................................ ................................ ............................ 18
10 Improvement ................................ ................................ ................................ ................................ ....... 18 10.1 Incident, nonconformity and corrective action ................................ ................................ ............... 18
Annex A (informative)................................ ................................ ................................ ................................ ...... 20
Table of Contents
Working Draft 12/20/13
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Key Items/Changes
Context of the organization
Hazard v. risk
Procedures & Records, where did they go?
Leadership & commitment (5.1) – “ensure”
Questions and Comments?
Thanks!
Paul Esposito, CIH, CSPPresident, STAR ConsultantsPaul.esposito@starconsultants.net410-218-8451www.starconsultants.net