ISO 45001 Overview

Global Partner for a safe world

© 2016 DEKRA

Quality, Environmental, Health, and Safety:

> ISO 9001: Quality Management

> ISO 14001: Environmental Management

> ISO 45001: Occupational health & safety

> IATF 16949: Automotive

> AS9100: Aerospace

> ISO 13485: Medical

> TL 9000: Telecom

Energy, Sustainability, and Risk:

> ISO 50001: Energy

> ISO 22301: Business continuity

> ISO 27001: Information security

> ISO 20001: Information technology

> ISO 26000: Corporate social responsibility

> ISO 55000: Asset management

What We Do

© 2016 DEKRA

Certification and assessment services that help our customers: • Meet their stakeholder requirements • Develop new markets • Reduce or mitigate risk • Create a culture of continuous

improvement. .

CERTIFICATION

History of OH&S Standards

OHSAS 18001 first published in 1999.

Updated in July 2007 and more closely aligned with the framework of other management system standards

October 2013 the first working draft of ISO 45001 was created, using OHSAS 18001 as the blueprint.

ISO 45001: 2018 was published in March 2018

There will be 10 sections to the standard to align with Annex SL model (ie, ISO 9001:2015 and ISO 14001:2015 revisions).

A system that addresses and manages OH&S issues through

Awareness and assessment of applicable legal requirements

Identification of hazards and risks and reducing their impact

Assigning responsibility, ensuring awareness, competence and control

Ensuring appropriate controls and monitoring capabilities are in place

Developing and implementing emergency response capability to

limit and control hazards

Benefits to Businesses:

• Proven systematic approach to managing OH&S risks and hazards.

• Proof of proactively addressing issues both existing and potential.

• Risk Reduction - legal liability - accidents

• Competitive edge • Improved company image

OHSAS 18001:2009 Structure

1 . Scope

2. Reference Publications

3. Terms and Definitions

4. Management System Requirements

Section 4: Management System Requirements

• 4.1 General Requirements • 4.2 OH&S Policy • 4.3.1 Hazard Identification, Risk Assessment and Determining Controls • 4.3.2 Legal and Other Requirements • 4.3.3 Objectives and Programs • 4.4.1 Resources, Roles, Responsibility, Accountability and Authority • 4.4.2 Competence, Training and Awareness • 4.4.3 Communication, Participation, and Consultation • 4.4.4 Documentation • 4.4.5 Control of Documents • 4.4.6 Operational Control • 4.4.7 Emergency Preparedness and Response • 4.5.1 Performance Measurement and Monitoring • 4.5.2 Evaluation of Compliance • 4.5.3 Incident Investigation, Nonconformity, Corrective Action, and Preventative Action • 4.5.4 Control of Records • 4.5.5 Internal Audits • 4.6 Management Review

ISO 45001 Structure

8

Plan

4. Context of the organization 5. Leadership

6. Planning

7. Support

1. Scope

2. Normative references 3. Terms and definitions

Do

8. Operation

Check

9. Performance and evaluation

Act

10. Continual Improvement

The OHSMS Cycle 5.2 OH&S Policy

6 Objectives & Plans(s)

9 Performance Evaluation

• Resources • Competence • Communication • Documentation

6.1.2 Hazard Identification

8 Operational Planning and Control

10.3 Continual Improvement

6.1.3 Legal and Other Requirements

5.4 Consultation and Participation of Workers

9.3 Management Review

7 Support

• Eliminating Hazards and Risks • Management of Change • Procurement

• Monitoring and Measurement • Evaluation of Compliance • Internal Audit

• Planning of action • Establishing Objectives

Planning to achieve objectives

Overview: Clause 4 - Context of the Organization

10

• Context • Issues • Interested Parties • Scope

Context of the organization

• Provide a high-level understanding of the issues that can affect, either positively or negatively, the way the organization manages its responsibilities in relation to the OH&S management system for persons working under its control.

• Issues can include conditions, characteristics or changing circumstances that can affect the system

cultural social political

legal financial technological

economic market competition

key drivers and trends

External Issues

governance organizational structure

roles and accountabilities

policies, objectives, and

strategies

resource and knowledge capabilities

products processes

raw materials

new products and equipment

organizational culture

standards and guidelines

Internal Issues

Other Interested Parties

• Requirements/expectations from interested parties become obligatory requirements for an organization if that organization chooses to adopt them.

• Then they become organizational requirements and should be considered when planning and establishing the OH&S management system.

Other Interested parties can include:

Legal and regulatory authorities

Parent organizations

Suppliers and external providers

Owners, shareholders, clients, visitors, & local community

Customers

Scope

An organization has the freedom to define its boundaries.

Implement all or parts of the

organization.

Account for all activities,

products or services within its control that

impact performance

Factual and representative

of the organization’s

operations.

Overview: Clause 5 - Leadership

16

• Leadership • Barriers

Leadership

• Need a representative with authority to: - ensure the establishment, implementation and the maintenance of system - report to the top management on performance and opportunities for

improvement

• Provide resources including, people, finances and infrastructure needed by the organization to establish, implement, maintain and continually improve the system and performance.

• Commitment, responsiveness, active support and feedback from the organization’s top management are critical

• Communication in addressing the “why” for all workers can contribute to better acceptance and implementation.

Top management should

• Create and promote a positive organizational culture

• Provide healthy and safe working conditions for workers

• Encourage the participation of workers in the development, implementation and maintenance of the system • including suggestions for

improvement • and feel safe from threat of reprisals.

Leadership

Barriers to worker participation

Lack of:

Information on objectives

Training

Time and resources

Mechanisms for cooperation

(mgmt and non)

Unawareness of:

Hazards and risks due to lack of competency.

Objectives (communication)

Culture:

Fear of reprisals

Does not promote or

support OH&S.

Overview: Clause 6 - Planning

20

• Planning • Hazard Identification • Risk Assessment • Legal / Regulatory • Objectives / Targets

•

Planning

The purpose of planning in the OH&S management system is to prevent undesired effects Done by anticipating hazardous events (likelihood and consequences) Also identify opportunities that can improve performance

Planning is not a single event but an on-going process, anticipating changing circumstances and continually identifying risks and opportunities.

Hazard Identification, Risk Assessment, and Determination of Controls

What are your hazards?

How do you rate their risks and

significance?

What controls are

in place?

Sources

powered machinery

toxic substances

radiation

workload and task control

aggressive behavior or harassment

Situations

working at heights

working in confined spaces

working alone

worker fatigue

Examples of Hazards

Hazards can be categorized in many ways

including: • Physical • Chemical • Biological • Psychosocial • Physiological • Mechanical and electrical

• An organization may use different methods to assess risk

• Each method should be appropriate to the type of risk being considered.

• The complexity of assessment does not depend on the size of the organization but on the hazards associated with activities of the organization. • The assessment(s) determines the levels of risk and enables the organization to identify appropriate controls and actions.

Risk Assessment

The purpose of the system should be to achieve safe and healthy working conditions with a level of residual risk which is as low as

reasonably practicable. (Residual risk is the risk remaining after appropriate preventive and protective measures have been taken.)

Awareness and assessment of applicable legal requirements

How are those requirements linked to your hazards?

What are your the legal requirements?

How are the legal requirements identified?

Other requirements can include: • company requirements • contractual conditions • agreements with employees; • agreements with health

authorities • non-regulatory standards,

consensus standards and guidelines

• voluntary principles, codes of practice, technical specifications, charters;

• public commitments of the organization

Legal and Other Requirements

Legal requirements may include: • legislation - including statutes,

regulations and codes of practice

• decrees and directives • orders issued by regulators • permits, licenses or other forms

of authorization • judgments of courts or

administrative tribunals • treaties, conventions, protocols,

collective bargaining agreements.

Establishing Objectives and Targets

What programs

are in place?

Who is responsible

? What is the timeframe?

• Can be set to improve the overall performance of the management system

• For example improving the health and safety culture of the organization

Strategic

• Can be set at project or process level • For example noise elimination to prevent

hearing loss Tactical

• Set at the activity level • For example minimizing chemical inventory

stored in the workplace. Operational

Objectives

Objectives are set to achieve the intended outcomes of the OH&S management system and fall into 3 areas:

The organization can plan to achieve objectives individually or collectively.

The organization might need to develop more formal project plans for complex objectives with multiple tasks.

The organization should examine the resources required (financial, human, equipment infrastructure) for the tasks to be performed.

The organization should assign responsibility and completion dates for tasks to ensure that the objective can be accomplished within the overall timeframe.

When practicable, each objective should be associated with an indicator which can be strategic, tactical and operational

Objectives (Continued)

Overview: Clause 7 - Support

30

• Resources • Competence • Awareness • Communication • Documented

•

Five main areas within Section 7 - Support

• Human resources, natural resources, infrastructure, technology and financial resources required for the system to comply

Resources

• All people need to be competent to take into the hazards and risks of their work Competence

• Emergency process, consequences of actions relative to risks, the benefit of improved performance, need to comply with procedures and policies, etc

Awareness

• Information must be communicated through out the organization and where appropriate to external parties Communication

• Documented information on the actions by the organization to achieve compliance must be kept Documented

Overview: Clause 8 - Operation

32

• Planning & Controls • Emergency Response • Outsourcing & Procurement

•

Operational Planning and Controls

Established and implemented as necessary to eliminate hazards or, manage risks to an acceptable level.

Priority should be given to control options with higher reliability in preventing injury or ill health

Procedures for work Ensuring competency of

operators

Establishing preventive / predictive maintenance

and inspection programs

Compliance to preventive regulations and

manufacturer's instructions

Methods

Developing and implementing emergency response plans

• What are potential types and scale of emergency situations?

• What is the most appropriate response method?

• What actions are required to minimize damage?

Outsourcing & Procurement An outsourced process is one which: • the function or process is integral to the organization’s functioning, • needed for the management system to achieve its intended outcome, • liability for the conforming to requirements is retained by the organization, and • the organization and the external provider have an integral relationship

Procurement controls should ensure that laws, regulations, and the organization's requirements are identified prior to the procurement of goods and services. • the equipment is delivered according to the specifications and it is tested to work

as intended • installations commissioned to function as designed • materials that are deliver according to the specifications and requirements.

Overview: Clause 9 – Performance and Evaluation

36

• Monitoring & Measuring • Frequency • Internal Audits • Management Review

•

Performance and Evaluation

• What will be measured? • How? Where? When? • What areas will provide the most useful

information?

Controls and monitoring

capabilities are in place

• Benchmark against other organizations • Standards and codes • Organizations own objectives

Criteria

• Monitoring • Measurement • Analysis • Evaluation

Methods

Performance and Evaluation

• Appropriate to the size and nature of the organization and risk factors Frequency

• All areas reviewed at least once per year Internal Audits

• Suitability – Right for the organizations goals? • Adequacy –Sufficient to meet requirements? • Effectiveness – Are the planned activities

realized and results achieved?

Management Review

Overview: Clause 10 - Improvement

39

• Incidents • Non-conformities • Corrective Actions • Continual Improvement

•

Incident, nonconformity, and corrective action

Separate processes may exist for incident investigations and non-conformities dependent on organizational requirements. Examples include by not limited to:

Incidents

• Occupational related near-miss events, injuries, ill health, exposures to health hazards, vehicle accidents, property and equipment damage where it can lead to OH&S risk

Non-conformities

• Protective equipment not functioning properly, non-compliance to legal requirements, or prescribed procedures not being followed

Corrective actions

• Elimination of hazards, substitution to safe materials, design or modification to equipment or tools, development of procedures, training to affected workers, changes in frequency of use, or use of personal protective equipment.

Continual Improvement

Continual improvement is meant to be a step by step approach over time and is focused on future OH&S performance.

Issues to be reviewed to identify opportunities include:

New technology

Good practices of other organizations

Suggestions from interested parties

Knowledge and understanding of health

and safety related issues

New or improved materials

Changes in workforce capabilities or competence

Transition Tips

• Appoint Staff • Who’s responsible for the transition?

• Train Staff • www.aqsperformance.com

• Lead Auditor • June 11-15 Minneapolis, MN • August 20-24 Santa Ana, CA • October 22-26 Tampa, FL

• Internal Auditor • The Path Forward • Understanding and Implementing

Transition Tips

Identify Deltas Context of the Organization

Risk-based Approach

PDCA Model

Management

Process Management

Interested Parties

Transition Tips

Timeframe, people involved, & actions required Create action

plan

Once staff trained and deltas analyzed, use to update system processes and procedures

Update the existing system

Organization determines requirements Train internal

auditors

Internal audit ensuring requirements have been evaluated

Internally assess effectiveness

Work with your current CB Determine

transition date

Questions?

www.dekra-certification.us

Chris Carson DEKRA Certification, Inc Cell: 651-829-1908 christopher.carson@dekra.com