Process

ISO 45001

the new Safety Management

Systems GuidePresented by:

Paul Esposito, CIH, CSP

President, STAR Consultants

Paul.esposito@starconsultants.net

410-218-8451

Presented at:

ASSE

mailto:Paul.esposito@starconsultants.net

2

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.

3

4

5

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.

6

OHSAS

18001ISO

31000ISO MMS

Framework

ISO

22301ANSI

Z10ISO

45001

2007 2009 20122010 2012 2016??

OHSMS Evolution cont.

7

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

8

Key Management System Components

Communication/Feedback loops

Continual Improvement/Learning

Accountability/Responsibility

Leadership

Participation

Concept of Integration

9

The Z10 OHSMS Model

Characterized by emphasis on continual improvement and systematic

elimination of underlying or root causes of deficiencies

ACTPLAN

DOCHECK

10

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

11

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 (TCs).

These committees are comprised of members from stakeholder groups and technical experts.

12

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.

13

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.

14

ISO 45001

Occupational Health & Safety Management

System Overview

45001 Background & Timeline.

Management System Game Changer ISOs High Level MS Framework.

45001 Elements (as of now).

Prequel of (anticipated) Key Items.

Pivot from existing ISO 14001 and/or OHSAS 18001.

15

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.

16

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.

17

Who is Involved

43 Participating Countries

and

15 Observing Countries

18

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).

19

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

20

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.

21

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

22

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

24

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

mailto:Paul.esposito@starconsultants.net