PSJ ASKS
ISO 45001 SAFETY
MANAGEMENT SYSTEMS
Q&A With Elbert Sorrell
By consistently working to identify and mitigate risks, and participating in an ISO 45001
certification process that validates those efforts, businesses can better protect workers
and improve their bottom line. Elbert Sorrell, an ISO 45001 auditor, discusses how OSH
professionals and leaders can decide whether the standard is right for their organizations.
Elbert Sorrell PSJ: What would you like people to know about
Elbert Sorrell, Ed.D., yourself and how you approach your work?
CSP, is a professor of Elbert: I consider myself a low-key individual, a
risk control and envi- team player. Some people in our profession aspire to
ronmental health and or hold leadership roles, and that’s important. But
safety at University of
you also need individuals who are able to support
Wisconsin-Stout, as
that leadership. I feel like that is one of my strong
well as principal en-
vironmental, health, suits: Providing support to people who are working
safety and risk control to move their ideas from concept to reality.
consultant at Risk In part because I’m retired, I also prefer to only
Control and Safety work on projects I’m passionate about. In 2006, I
Consulting Services developed an interest in safety management systems
LLC. He holds an Ed.D. and auditing because I was intrigued by the system-
in Vocational-Tech- atic approach to protecting people and assets. I be-
nical Education from gan traveling to Singapore, Peru and Germany, and
University of Minneso-
ta-Twin Cities and an
gaining experience with safety management that
solidified my interest in effective structures.
M.S. in Occupational
Safety from University
of Wisconsin-Stout. PSJ: Let’s talk about voluntary consensus
Sorrell is a profession- standards. Why do they matter and how are
al member of ASSP’s they developed?
Northwest Chapter Elbert: When I think of voluntary consensus
and a member of the standards, I think of safety and health standards
Society’s Standards that are developed by people from all walks of
Development Com- life. They are useful because they provide re-
mittee. search-based, data-driven information that keeps
businesses from having to continually reinvent
the wheel on issues that affect individuals across
many industries.
Because there are people from different organi-
zations and disciplines participating on standards
development committees, a lot of compromise
takes place leading up to a consensus vote. The
compromise makes for an interesting and dynam-
ic process. It also results in standards that give
organizations an informed starting point for pro-
grams such as safety management, lockout/tagout
and fall protection.
PSJ: What is ISO 45001 and how is it different
from other safety management system
standards?
Elbert: First and foremost, ISO 45001 is an interna-
tional standard. People across the globe came to-
gether to reach consensus, which I think is quite an
accomplishment. We worked on it for a long time,
and I was honored to participate with the U.S. Tech-
nical Advisory Group.
ISO 45001 focuses on OSH management systems
and provides guidelines for their use. It also pro-
14 PSJ PROFESSIONAL SAFETY NOVEMBER 2020 assp.org
vides a process for identifying hazards and risks
and reducing their impact with effective controls.
It assigns responsibility and accountability to in-
dividuals who are closest to that process, with an
emphasis on ensuring that competent people are in
a position to fully understand and correctly imple-
ment the standard.
PSJ: Which types of companies can benefit most
from the ISO 45001 framework?
Elbert: That’s an interesting question because all
organizations have safety concerns and can benefit
from the systems outlined in ISO 45001. Obvious-
ly, we have to acknowledge that while some small
organizations may have a safety management sys-
tem in place, they don’t have the same resources
that larger organizations have, so the scale and
scope are different.
General industry, such as manufacturing and
transportation, is what people tend to imagine
benefitting from a standard like this. Due to the
rise of e-commerce and the challenges it brings,
safety management systems have become unique-
ly important for some of those businesses. But I
also think about healthcare, government and ser-
vice-based industries.
I have audited government entities that do an
excellent job implementing safety management
systems. I have performed audits on military instal-
lations, and I continue to be amazed by the level of
commitment and detail they put into everything, as
well as the quality of their safety leadership.
PSJ: Before adopting ISO 45001, organizations
must assess the systems they already have in
place. What questions should OSH professionals
be asking throughout the assessment process?
Elbert: First, organizations need to ask themselves
whether they are willing to commit the resources
necessary to implement ISO 45001 and get cer-
ALOTOFPEOPLE/ISTOCK/GETTY IMAGES PLUS
tified by a third-party certification body. The
answer to that question will establish a mindset
among senior leaders.
Then, there’s the question of organizational cul-
ture: Do we want to move from a system where it is
me responsible for safety to a system where it is we
who are responsible for safety? ISO 45001 makes
safety and health a shared responsibility. Safety, op-
erations, human resources and other professionals
have to work together.
 The safety professional’s perspective is especially
valuable when it is time to conduct a gap analysis
and answer questions about where an organization
should focus its ideas and attention. If a business
understands its shortcomings, it is better equipped
to improve. The safety professional’s expertise is
also needed for educating others about the require-
ments of the standard.
PSJ: ISO 45001 can prompt changes that affect
many stakeholders across multiple countries.
How can OSH professionals facilitate clear
communication and consensus building?
Elbert: The primary role of safety professionals is
to provide technical support. There are technical
aspects of the standard and managerial aspects of
the standard. Safety professionals work by collecting
information, using evidence-based data and sharing
what they know with people who are in the ultimate
position to make decisions.
For that reason, it is incumbent upon safety
professionals to make sure they have the evidence
they need to show there will be costs associated
with implementing a safety management system,
but there will also be benefits. They have to be
able to say this in the language of business be-
cause senior leaders are accountable for the mon-
ey they spend.
The approach safety professionals take will
depend on their organization’s culture, financial
health and reporting structure. But at the end of
the day, they should be able to interpret the stan-
dard and explain the ways it could impact OSH at
their business.
PSJ: It is key to set business performance
goals associated with implementing a safety
management system. What goals do you see the
most? Which are notably helpful or misguided?
Elbert: The whole concern of performance mea-
surement is critical but often misunderstood.
Organizations tend to focus on lagging indicators,
which are basically consequences. In my opin-
ion, those are simply ways of measuring failures.
Lagging indicators are still useful, but only if
considered in conjunction with activity measures,
or leading indicators, which give management a
better picture of how things are trending and func-
tioning. You don’t want to manage your failures,
you want to manage your activities. You want to
be concerned with the upstream activity that has
downstream implications.
When it comes to goal setting, the first step is to
consider what you are trying to accomplish and how
it aligns with corporate objectives. We cannot afford
to operate in a vacuum, which is a problem OSH
professionals have been encountering for years. ISO
45001 tends to integrate safety and health into regu-
lar business operations.
PSJ: One frequently cited benefit of companies
showing their commitment to safety in this way
is that it creates a competitive advantage. Why is
a safe business likely to be a more successful one?
Elbert: Most people will agree that there are some
standard benefits associated with the implementa-
tion of ISO 45001. Perhaps most importantly, you
will have a systematic approach to managing occu-
pational hazards and risk. You will be able to pro-
actively adjust issues, both existing and potential,
which is likely to improve your public image and
organizational culture.
Potential hires and investors are also noticing
what organizations are doing from a sustainability
standpoint. If people have a choice in where they
work, they tend to choose companies known for pri-
“The aim
oritizing worker safety and health. Hiring top talent, of certifi-
then taking care of the people you hire is good for
business, which is good for shareholders. cation is to
PSJ: What is the process of certifying to a safety give stake-
management system standard like ISO 45001,
and why is that a step worth taking?
holders
Elbert: The aim of certification is to give stakehold- confidence
ers confidence that their safety management system
is meeting requirements of the standard. There is a that their
value associated with that, as we discussed. Leaders
want certification to positively impact public image safety man-
and sustainability metrics. Having an impartial, agement
competent third-party assessor can help build public
confidence and trust. system is
The certification process is cyclical and happens
every 3 years. You start with a preassessment audit, meeting re-
which is performed by the certification body, and quirements
they conduct a document review.
Then we move into what we call a phase one of the stan-
process, where the certification body conducts an
audit of the organization that goes a little deeper dard.”
than the preassessment activities. They could
be looking at the entire organization or just one
of its facilities, so determining the scope of the
audit is important. Finally, during the phase one
process, auditors look at whether a company is
truly ready for phase two.
During the phase two process, we do a complete
review of the management system to determine
conformity to the requirements. That is accom-
plished through observations, the collection of in-
formation and interviews. Finally, auditors do what
we call a management review where we discuss
an organization’s proactive and preventive ac-
tions. The auditor makes a recommendation about
whether the auditee should move toward certifi-
cation, then the certification body or the registrar
makes the decision.
PSJ: Is there anything you’d like to add?
Elbert: I like to share information, particularly
with organizations that are interested in the cer-
tification process, because I honestly believe it’s
Learn more about The
a logical step. If anyone is interested in voluntary ASSP Certification and
consensus standards, ISO 45001 or ASSP’s Certi- Accreditation Insti-
fication and Accreditation Institute, I’d be more tute at https://assp
than happy to discuss. PSJ .us/3mqGrQ2.
assp.org NOVEMBER 2020 PROFESSIONAL SAFETY PSJ 15
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