ISO 45001 It’s Here. Are you Ready?” Handouts/1B - Amy Timmerman - ISO 4500… · Rise in Standards - ISO 45001 OHSAS "Standards and Certificates Survey" a rapid rise in the rate

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“ ISO 45001 It’s Here. Are you Ready?”

Amy Timmerman, MS, CSP

Falcon Safety

February 27th, 2019

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Date or Event Slide 2

The value of an international OHSMS

The international community has voted to approve what many

consider is the most significant health and safety standard in

the past 50 years.

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ISO PC 283 Member Nations

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An overdue Advance in OHS Management

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Rise in Standards

◼ OHSAS "Standards and

Certificates Survey"

➢ a rapid rise in the rate of use of

OHSMS in past 10 years

➢ OHSMS standards are now

being used in 127 countries

➢ Over 100,000 certificates

issued~ 100,000

8,39956,251

ISO 9001

ISO 14001

Various OHSMS

Standards

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Rise in Standards - ISO 45001

◼ OHSAS "Standards and

Certificates Survey"

➢ a rapid rise in the rate of use of

OHSMS in past 10 years

➢ OHSMS standards are now

being used in 127 countries

➢ Over 100,000 certificates

issued

Supply

OH&S

Expertise at all

levels

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The most compelling reason for an OHSMS

The global data

Reduce the number of injuries, illnesses and fatalities.

◼ 2.78* million workers fatally injured due to work

(up from 2.2M in 2015)

◼ Largest component is linked to work-related diseases 2.4 million 86.3%

➢ respiratory, circulatory, malignant neoplasms

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OHS and Sustainability

Social responsibility,

reputation, costs,

productivity, organizational

efficiencies & effectiveness

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International Organizational Relationships

Project Committee 28358 Member countries

14 Observing countries

13 Liaison MembersTAG to PC 283

90+ Organizational Members

ISO 45001

Occupational Health &

Safety Management

Systems

Delegates/

”Experts”“Mirror Committees”

U.S.

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ISO 45001 and current OHSMSCore requirements are “generally” there, if you look for it….

ISO 45001

Context of the Org new

Leadership & Worker Part..

Planning

Support

Operation

Performance Evaluation

Improvement

ANSI/AIHA/ASSE Z10 (2012)

Management Ldrs & Emp Participation

Planning

Implementation and Operation

Evaluation and Corrective Action

Management Review

OHSAS 18001 (2007)

OH&S Policy

Planning

Implementation & Operation

Checking

Management Review

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More than any other OHSMS before it

ISO 45001 2018 Structure

1. Scope

2. Normative References (n/a)3. Terms and Definitions4. Context of the Org new5. Leadership & Worker Part..6. Planning7. Support8. Operation9. Performance Evaluation10. ImprovementAnnex

Enhancements

• Context of the organization

• Harmonization with othermanagement systems• Integration with the businessprocesses• Importance of Culture for OHS• Total Worker Involvement &Leadership• Control of the Workplace• Risks and Opportunities• Procurement: Goods, Services:Outsourcing/Contractor

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A non linear PDCA.., interconnected and interrelated

ISO 45001 2018 Structure

1. Scope

2. Normative References (n/a)3. Terms and Definitions4. Context of the Org new5. Leadership & Worker Part..6. Planning7. Support8. Operation9. Performance Evaluation10. ImprovementAnnex

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So what are the major challenges:

It’s a global standard

◼ Major issues related to development and final product

➢ Diversity of input

➢ Need for basic vs. mature OHSMS concepts

➢ Language and translation

➢ There are no “should” statements

◼ Major issues related to requirements

➢ Spectrum of management system thinking

➢ Objective of the OHSMS (compliance vs. conformance)

➢ Speaking small (SMEs) or to what level

➢ Application common management system language

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Annex SL: The effort to harmonize MS

Background

◼ Harmonizing management system standards

◼ Focus on general management system requirements

◼ Presents a challenge with some terms (e.g. risks)

◼ Changes can be requested for technical reasons but is

difficult

Key Points

◼ Annex SL text did not change within ISO 45001

◼ Key benefit for those wanting to integrate or leverage with

other ISO standards

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Fingerprints of Annex SL (the blue text)

Introduction 1. Scope2. Normative references3. Terms and definition4. Context of the organization

4.1 Understanding the organization and its context4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the OH&S management system 4.4 OH&S management system

5. Leadership, Worker Participation and Consultation5.1 Leadership and commitment5.2 Policy 5.3 Organization roles, responsibilities, accountabilities and authorities 5.4 Participation, consultation and representation

6. Planning6.1 Actions to address risks and opportunities

6.1.1 General 6.1.2 Hazard Identification and assessment of OH&S risks 6.1.3 Determination of legal and other requirements 6.1.4 Other risks and opportunities to the OH&S management system 6.1.5 Planning to take action

6.2 OH&S objectives and planning to achieve them 6.1.2 OH&S Objectives 6.2.2 Planning to achieve OH&S objectives

7. Support7.1 Resources7.2 Competence 7.3 Awareness 7.4 Information and communication 7.5 Documented information

7.5.1 General 7.5.2 Creating and updating 7.5.3 Control of documented information

8. Operation8.1 Operational planning and control

8.1.1 General 8.1.2 Hierarchy of controls

8.2 Management of change 8.3 Outsourcing 8.4 Procurement 8.5 Contractors 8.6 Emergency preparedness and response

9. Performance evaluation9.1 Monitoring, measurement, analysis and evaluation

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 process

9.3 Management review 10. Improvement

10.1 Incident, nonconformity and corrective action10.2 Continual improvement

10.2.1 Continual improvement objectives 10.2.2 Continual improvement process

Annex A Guidance on the use of this International Standard

Annex SL ~ 50%

of 45001 Requirements

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Scope for the Standard

The International Standard is intended to provide

◼ help for org to achieve OH&S and economic objectives

◼ elements of an effective OHSMS

◼ alignment with the revisions of ISO 9001 and ISO 14001

◼ requirements that can be incorporated into any OH&S

management system.

It’s a Tool

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What’s inside the standard

Plan

CheckAct

Do

1. Scope

2. Normative References

3. Terms & Definitions

4. Context of the Organization

5. Leadership

6. Planning

7. Support

8. Operations

9. Performance Evaluation

10. Improvement

11. Annex A

Scope of the management system

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Scope

What does this standard cover?

Plan

CheckAct

Do


Continual

Improvements

Covers OHSMS requirements, with

guidance for its use

▪ organization may choose other

aspects of health and safety

▪ does not address product safety,

property damage or

environmental

▪ Applicable to any organization

that wishes to demonstrate

conformity

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Clause 3: Definitions

◼ Tendency to overlook.

◼ Notes normative: part of the definition.

◼ Annex

◼ Default: Oxford dictionary

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Defining the first step:

Understand the context of the organization

Policies, strategies,

organizational

capabilities,

resources,

Services, Standards,

guidelines, products,

organization's culture

Issues that can impact the Mgmt System

financial, economic

environmental

characteristics

cultural,

social, political

legal

regulatory

technological

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Clause 4 Context of the Org

What you might expect

▪ Understanding your internal issues

▪ Determining the boundaries and scope of the OHSMS

▪ Implementing the OHSMS with continual improvement

What might be different:

▪ Expansion of external issues

▪ Determination of relevant interested parties and their requirements

▪ A management system tied to OHS performance

Blue Text: Concepts or terms used in Annex SL (not exact text)

interested party: person or organization that can affect, be affected by, or

perceive itself to be affected by a decision or activity related to the OH&S

management system

Note: An interested party can be internal or external to the organization.

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What’s inside standard

Plan

CheckAct

Do


5. Leadership, Worker Participation

and Consultation

5.1 Leadership and commitment

5.2 Policy

5.3 Organization roles, responsibilities,

accountabilities and authorities

5.4 Participation, consultation and

representation

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Clause 5 Leadership (Top Mgmt)


▪ Top management responsibilities for processes that ensure

▪ knowledge of the organization’s context and OHS risks

▪ hazard identification, assessment and actions and opportunities

▪ Promoting and leading OHSMS culture

▪ Worker participation and consultation

For the system to work, management must drive the OHSMS. The value of an

OHSMS is essential to buy in. All of this spells “commitment”.

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▪ Use of the term “worker” as

oppose to “employee”

Worker: person performing work or work-related activities under the control of

the organization

Note 1: Persons perform work or work-related activities under various arrangements, paid or unpaid,

such as regularly or temporarily, intermittently or seasonally, casually or on a part-time basis.

Note 2: The work or work-related activities performed under the control of the organization may be

preformed by workers employed by the organization, workers of external providers, contractors,

individuals, agency workers, and by other persons to the extent the organization shares control over

their work or work-related activities, according to the context of the organization.

Workplace: place where a person needs to be or to go by reason of work and

which is under the control of the organization

Clause 5 Leadership (Top Mgmt)

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Clause 5 Leadership (Policy, etc)


▪ An OH&S Policy appropriate to the OH&S risks, satisfying requirements,

continual improvements, available, and communicated: (the framework)

▪ Roles, responsibilities and employee engagement in the OHSMS

What might be different :

▪ Policy Elements

▪ Appropriate to the nature of the org’s OH&S risks & “opportunities”

▪ Commitment eliminate hazards and reduce OH&S risks.

▪ Commitment to compliance with legal and other requirements

▪ Commitment to worker/rep* participation & consultation

▪ Prescriptive responsibilities for effective worker engagement

▪ Involvement in all aspects, including policy development


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Plan

CheckAct

Do

Scope of the management system6. Planning

6.1 Actions to address risks and

opportunities

6.1.1 General

6.1.2 Hazard Identification and

assessment of OH&S risks

6.1.3 Determination of legal and other

requirements

6.1.4 Other risks and opportunities to

the OH&S MS

6.1.5 Planning to take action

6.2 OH&S objectives and planning to

achieve them

6.1.2 OH&S Objectives

6.2.2 Planning to achieve OH&S

objectives

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Clause 6 Planning


▪ Process for identifying hazards, legal and other requirements, changes to

the organization

▪ Determination of risks and opportunities to meet desired outcomes of the

OHSMS and address undesired effects and continual improvements

▪ Plans for actions to address risks and opportunities

▪ Development of “objectives” and plans for achieving them

Risk: effect of uncertainty

OH&S risk: combination of the likelihood of an occurrence of a work-

related hazardous event or exposure(s), and the severity of injury or ill

health that can be caused by the event or exposures


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Clause 6 Planning


▪ Consideration of issues referred to in context of the org & requirements of

interested parties

▪ Definition of risk as the “effect of uncertainty” vs. traditional OH&S

definitions

▪ Determination of objectives at all levels to maintain & improve the OHSMS


Objective: result to be achieved

Note 1 to entry: An objective can be strategic, tactical, or operational.

3.08A

OH&S objective: objective set by the org. consistent with the OH&S policy

Risk: effect of uncertainty

OH&S risk: combination of the likelihood of an occurrence of a work-related

hazardous event or exposure(s), and the severity of injury or ill health that can

be caused by the event or exposures

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Plan

CheckAct

Do

Scope of the management system7. Support

7.1 Resources

7.2 Competence

7.3 Awareness

7.4 Information and communication

7.5 Documented information

7.5.1 General

7.5.2 Creating and updating

7.5.3 Control of documented

information

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Clause 7 Support


▪ Support that provides resources and ensures competent persons,

awareness of the policy

▪ Determination of internal and external information and communications

▪ Documented information required by this standard and the org with

appropriate creation and updates and controls that include availability

and protection from loss and improper use.

▪ Worker access to relevant records and control of personal information


▪ Determining the “knowledge” required for OHSMS operation

▪ Define communication objectives and include contractors, visitors,

external and internal parties


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The organization determines what documented information it needs beyond that

which is required by the MSS that includes:

▪ Scope of the OHSMS

▪ Policy

▪ Objective

▪ Evidence of competence

▪ Management reviews

▪ nonconformities and actions taken

▪ Corrective action results

▪ Records of process completion

▪ Documented information of external origin

▪ Monitoring, measurement, analysis and evaluation results

▪ Internal audit program implementation and results

Documentation Requirements


▪ Roles/responsibilities

▪ Planning process results

▪ Legal & other rqmts

▪ Plans

▪ Controls

▪ Emergency response process/plans

▪ Compliance evaluations

▪ Continual improvement results

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Plan

CheckAct

Do

Scope of the management system8. Operation

8.1 Operational planning and control

8.1.1 General

8.1.2 Hierarchy of controls

8.1.3 Management of change

8.1.4 Procurement

- Contractors

- Outsourcing

8.2 Emergency Preparedness &

response

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Clause 8 Operations


▪ A process to verify the implementation of controls

▪ Risk reduction using the hierarchy of control

▪ Plan for management of changes (temporary or planned) including resolution of

incidents, non conformities, new products, equipment, org structures, processes,

materials, knowledge, requirements, etc.

▪ Control of risks to and from contractor activities

▪ Assess risks & prepare for emergency situations with interested party

considerations


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Clause 8 Operations


▪ Implementation of actions in clause 6, Planning

▪ Implementing and controlling processes including establishing criteria

▪ Control of risks to other interested parties in the workplace

▪ Control of outsourced processes & procurement to conform to OHSMS rqmts


outsource (verb): make an arrangement where an external organization

performs part of an organization’s function or process

Note 1 to entry: An external organization is outside the scope of the

management system (3.04), although the outsourced function or process is within

the scope.

Process: set of interrelated or interacting activities which transforms inputs into

outputs

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Plan

CheckAct

Do

Scope of the management system9. Performance evaluation

9.1 Monitoring, measurement, analysis

and evaluation

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 process

9.3 Management review

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Clause 9 Performance Evaluation


▪ Determination of what needs to be monitored and measured, criteria,

methods, frequencies, schedules

▪ Evaluation & documentation of OH&S performance & OHSMS effectiveness

▪ Use of calibrated and verified equipment

▪ Compliance with requirements and corrective actions as needed

▪ Internal Audits on the OHSMS to ISO 45001 and the Organization’s

requirements with objective auditor selection, appropriate reporting

▪ Top Management review of the OHSMS (suitability, adequacy & effectiveness)


▪ An audit program that includes consultation with workers/reps

▪ Results reported to relevant interested parties

▪ Inclusion of the management review under “performance evaluation”

▪ A rather prescriptive list for a management review

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Plan

CheckAct

Do


10. Improvement

10.1 General

10.2 Incident, nonconformity and

corrective action

10.3 Continual improvement

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Clause 10 Improvement


▪ Actions (review and corrective action) to deal with root causes of

nonconformities & incidents

▪ Improvements to the suitability, adequacy and effectiveness of the

OHSMS


▪ Seemingly odd placement for corrective action of a nonconformity or

incident – is this really an “improvement”?

▪ Incidents that include near misses

▪ Establishment of a continual improvement process rather than as a

part of the planning process.

▪ Worker/rep participation and communication on corrective actions

▪ Promote an OHS culture

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Steps you can take now ….

1. Get management system savvy, it’s the future

2. Take a ISO 45001 course. ASSP offers on-line course and workshops.

3. ASSP: ISO 45001 resource website.

4. Review Annex SL as the baseline for your management system

5. Meet with others in your organization with (14001, 9001) management

system responsibilities on approaches given Annex SL

6. Pick up ANSI Z10, ISO 45001, and implement /leverage concepts that

make sense for your organization – value creation

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Final Thoughts

What keeps me up at night

1. One standard, one way

2. Confusing requirement statements

3. Non-intended outputs of OHSMS including misuse

What gets me up in the morning.

1. One standard, one way

2. One team working on a common goal

3. A path towards perfection, starting with setting the bar

4. Creating a market demand for OHS

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In closing…

◼ The future is tied to systems thinking

◼ Matching the way we manage safety in the same way

business is managed – globally and interconnected

◼ Ultimately, it’s about market presence driving

improvements in OHS whether it’s worker safety or

the promotion of the value and demand for what it is

we do.

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References

◼ ISO 45001:2018, Occupational Health & Safety Management Systems -

requirements with guidance for use

https://www.iso.org/standard/63787.html

◼ The Annex SL (as in the ISO/IEC Directives), High level structure, identical core

text, common terms and core definitions

http://www.iso.org/iso/home/standards_development/resources-for-technical-

work/iso_iec_directives_and_iso_supplement.htm

NOTE – To download and review Annex SL, scroll down on the ISO “Directives

and Policies” page and click on the link to the ISO/IEC Directives Part 1 under the

Official Rules column. Annex SL starts on page 120.

◼ ANSI/AIHA/ASSE Z10 Occupational Health & Safety Management Systems

http://www.asse.org/ansiaihaasse-z10-2012-occupational-health-safety-

management-systems/

https://www.iso.org/standard/63787.html

http://www.iso.org/iso/home/standards_development/resources-for-technical-work/iso_iec_directives_and_iso_supplement.htm

http://www.asse.org/ansiaihaasse-z10-2012-occupational-health-safety-management-systems/

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Thank You!

For More Information:

Amy Timmerman, MS, CSP

Falcon Safety

[email protected]

630-488-6970

mailto:[email protected]

Documents

ISO 45001 It’s Here. Are you Ready?” Handouts/1B - Amy Timmerman - ISO 4500… · Rise in Standards - ISO 45001 OHSAS "Standards and Certificates Survey" a rapid rise in the rate