ISO 45001

the new Safety Management

Systems Guide
Presented by:
Paul Esposito, CIH, CSP Process
President, STAR Consultants
Paul.esposito@starconsultants.net
410-218-8451

Presented at:
ASSE
 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

OSHA ISO ISO BS OHSAS ILO ANSI

VPP 9001 14001 8800 18001 OSH/2001 Z10
Program

1979 1987 1996 1996 1999 2001 2005

OSHA's Voluntary
S&H Mgmt Program National Standards
Guidelines 1989,
Australia AS/NZS 4801(2000)
Fed Reg 54FR3904)
Singapore (SS) 506(2004)
1976 International
Safety Rating U.S. ANSI Z10(2005)
System (ISRS)
Frank Bird, et al.

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 OHSMS Evolution cont.

OHSAS ISO ISO MMS

ISO ANSI ISO
18001 31000 Framework 22301 Z10 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
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 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.

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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 – Guide 83
“High level structure, identical core text and common terms and core
definitions for use in Management System Standards.”
December 2011

1. Scope 6. Planning
2. Normative references 7. Support
3. Terms and definitions 8. Operation
4. Context of the 9. Performance
organization evaluation
5. Leadership 10. Improvement

ISO/WD 45001 follows this structure.

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Introduction ................................ ................................ ................................ ...............................
1 Scope ................................ ................................ ................................ ............................
2
Table of Contents
Normative references ................................ ................................ ................................ .
3 Terms and definitions ................................ ................................
Working Draft ................................
12/20/13
4 Context of the organization ................................ ................................ ........................
4.1 Understanding the organization and its context ................................ ......................
4.2 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 ................................ ................................ ................................ ...................
5.1 Leadership and commitment ................................ ................................ .....................
5.2 Policy ................................ ................................ ................................ ............................
5.3 Organizational roles, responsibilities, accountabilities and authorities ..............
6 Planning................................ ................................ ................................ ........................
6.1 Actions to address risks and opportunities ................................ .............................
6.1.1 Hazard identification ................................ ................................ ................................ ..
6.1.2 Determination of compliance obligations ................................ ................................
6.1.3 Risk and opportunity management ................................ ................................ ..........
6.1.4 Planning to take action ................................ ................................ ...............................
6.2 OH&S objectives and planning to achieve them ................................ ......................
7 Support ................................ ................................ ................................ .........................
7.1 Resources ................................ ................................ ................................ ....................
7.2 Competence ................................ ................................ ................................ ................
7.3 Awareness ................................ ................................ ................................ ....................
7.4 Information, Communication, participation and consultation ................................ 21
6.1.3 Risk and opportunity management ................................ ................................ ......
6.1.4 Planning to take action ................................ ................................ ...........................
Working Draft 12/20/13
6.2
Table of Contents
OH&S objectives and planning to achieve them ................................ .................
7 Support ................................ ................................ ................................ .....................
7.1 Resources ................................ ................................ ................................ ...............
7.2 Competence ................................ ................................ ................................ ............
7.3 Awareness ................................ ................................ ................................ ...............
7.4 Information, Communication, participation and consultation ............................
7.4.1 Information and Communication ................................ ................................ ..........
7.4.2 Participation and consultation ................................ ................................ ..............
7.5 Documented information ................................ ................................ ........................
7.5.1 General ................................ ................................ ................................ .....................
7.5.2 Creating and updating ................................ ................................ ............................
7.5.3 Control of documented Information ................................ ................................ .....
8 Operation ................................ ................................ ................................ .................
8.1 Operational planning and control ................................ ................................ .........
8.1.1 General ................................ ................................ ................................ .....................
8.1.2 Hierarchy of control ................................ ................................ ................................
8.2 Management of change................................ ................................ ...........................
8.3 Outsourcing ................................ ................................ ................................ ............
8.3.1 General ................................ ................................ ................................ .....................
8.3.2 Control of external provision of goods and services ................................ .........
8.3.3 Control of contractors................................ ................................ .............................
8.4 Emergency preparedness and response ................................ ..............................
9 Performance evaluation ................................ ................................ ..........................
9.1 Monitoring, measurement, analysis and evaluation ................................ ...........
9.1.1 General ................................ ................................ ................................ .....................
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8.1.2 Hierarchy of control ................................ ................................ ......................
8.2 Management of change................................ ................................ .................
8.3 Outsourcing ................................ ................................ ................................ ...
8.3.1 Table of Contents
General ................................ ................................ ................................ ...........
8.3.2 Control of external provision of goods and services ................................
8.3.3 Control of contractors................................ ................................
Working Draft 12/20/13 ...................
8.4 Emergency preparedness and response ................................ ....................
9 Performance evaluation ................................ ................................ ................
ISO/WD
9.1 45001 measurement, analysis and evaluation ................................ ..
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
© ISO 2013Management review ................................ ................................ ...........
– All rights reserved

10 Improvement ................................ ................................ ......................

10.1 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
Paul.esposito@starconsultants.net
410-218-8451
www.starconsultants.net