ISO 45001 the new Safety Management Systems Guide Presented by: Paul Esposito, CIH, CSP President, STAR Consultants
[email protected] 410-218-8451 Presented at: ASSE
Process
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. 2
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OHSMS Evolution OSHA VPP
ISO 9001
ISO 14001
BS 8800
1987
1996
1996
OHSAS ILO 18001 OSH/2001
ANSI Z10
Program
1979
OSHA's Voluntary S&H Mgmt Program Guidelines 1989, Fed Reg 54FR3904) 1976 International Safety Rating System (ISRS) Frank Bird, et al.
1999
2001
2005
National Standards Australia AS/NZS 4801(2000) Singapore (SS) 506(2004) U.S. ANSI Z10(2005)
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OHSMS Evolution cont.
OHSAS 18001
ISO 31000
ISO MMS Framework
ISO 22301
ANSI Z10
ISO 45001
2007
2009
2010
2012
2012
2016??
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Management Systems 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
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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
PLAN ACT
CHECK
DO
Characterized by emphasis on continual improvement and systematic elimination of underlying or root causes of deficiencies 9
Plan Do Check Act 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
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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 it This 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. 15
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).
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Committee Draft (CD) –First public draft for circulation to public for comments.
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Draft International Standard (DIS).
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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 – Guide 83 “High level structure, identical core text and common terms and core definitions for use in Management System Standards.” December 2011
1. 2. 3. 4.
Scope Normative references Terms and definitions Context of the organization 5. Leadership
6. 7. 8. 9.
Planning Support Operation Performance evaluation 10. Improvement
ISO/WD 45001 follows this structure. 20
Introduction ................................ ................................ ................................ ............................... 1
Scope ................................ ................................ ................................ ............................
2
Normative references ................................ ................................ ................................ .
3
Terms and definitions ................................ ................................ ................................ Working Draft 12/20/13
4 4.1 4.2 4.3 4.4
Context of the organization ................................ ................................ ........................ Understanding the organization and its context ................................ ...................... Understanding the needs and expectations of interested parties ......................... Determining the scope of the OH&S management system ................................ .... OH&S management system................................ ................................ ........................
5 5.1 5.2 5.3
Leadership ................................ ................................ ................................ ................... Leadership and commitment ................................ ................................ ..................... Policy ................................ ................................ ................................ ............................ Organizational roles, responsibilities, accountabilities and authorities ..............
6 6.1 6.1.1 6.1.2 6.1.3 6.1.4 6.2
Planning................................ ................................ ................................ ........................ Actions to address risks and opportunities ................................ ............................. Hazard identification ................................ ................................ ................................ .. Determination of compliance obligations ................................ ................................ Risk and opportunity management ................................ ................................ .......... Planning to take action ................................ ................................ ............................... OH&S objectives and planning to achieve them ................................ ......................
7 7.1 7.2 7.3 7.4
Support ................................ ................................ ................................ ......................... Resources ................................ ................................ ................................ .................... Competence ................................ ................................ ................................ ................ Awareness ................................ ................................ ................................ .................... 21 Information, Communication, participation and consultation ................................
Table of Contents
6.1.3 6.1.4 6.2
Risk and opportunity management ................................ ................................ ...... Planning to take action ................................ ................................ ........................... Working Draft 12/20/13 OH&S objectives and planning to achieve them ................................ .................
7 7.1 7.2 7.3 7.4 7.4.1 7.4.2 7.5 7.5.1 7.5.2 7.5.3
Support ................................ ................................ ................................ ..................... Resources ................................ ................................ ................................ ............... Competence ................................ ................................ ................................ ............ Awareness ................................ ................................ ................................ ............... Information, Communication, participation and consultation ............................ Information and Communication ................................ ................................ .......... Participation and consultation ................................ ................................ .............. Documented information ................................ ................................ ........................ General ................................ ................................ ................................ ..................... Creating and updating ................................ ................................ ............................ Control of documented Information ................................ ................................ .....
8 8.1 8.1.1 8.1.2 8.2 8.3 8.3.1 8.3.2 8.3.3 8.4
Operation ................................ ................................ ................................ ................. Operational planning and control ................................ ................................ ......... General ................................ ................................ ................................ ..................... Hierarchy of control ................................ ................................ ................................ Management of change................................ ................................ ........................... Outsourcing ................................ ................................ ................................ ............ General ................................ ................................ ................................ ..................... Control of external provision of goods and services ................................ ......... Control of contractors................................ ................................ ............................. Emergency preparedness and response ................................ ..............................
9 9.1 9.1.1
Performance evaluation ................................ ................................ .......................... Monitoring, measurement, analysis and evaluation ................................ ........... General ................................ ................................ ................................ ..................... 22
Table of Contents
8.1.2 8.2 8.3 8.3.1 8.3.2 8.3.3 8.4
Hierarchy of control ................................ ................................ ...................... Management of change................................ ................................ ................. Outsourcing ................................ ................................ ................................ ... General ................................ ................................ ................................ ........... Control of external provision of goods and services ................................ Control of contractors................................ ................................ ................... Working Draft 12/20/13 Emergency preparedness and response ................................ ....................
Table of Contents
9 Performance evaluation ................................ ................................ ................ ISO/WD 45001 measurement, analysis and evaluation ................................ .. 9.1 Monitoring, 9.1.1 General ................................ ................................ ................................ ........... 9.1.2 Evaluation of Compliance................................ ................................ ............. 9.2 Internal audit ................................ ................................ ................................ ..
9.2.1 Internal Audit Objectives ................................ ................................ .. 9.2.2 Internal Audit Implementation ................................ .......................... 9.3 review ................................ ................................ ........... © ISO 2013Management – All rights reserved 10 10.1
Improvement ................................ ................................ ...................... Incident, nonconformity and corrective action ..............................
Annex A (informative)................................ ................................ .....................
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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”
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Questions and Comments? Thanks! Paul Esposito, CIH, CSP
President, STAR Consultants
[email protected] 410-218-8451 www.starconsultants.net
