ISO 45001

the new Safety Management

Systems Guide
Presented by:
Paul Esposito, CIH, CSP
President, STAR Consultants
Paul.esposito@starconsultants.net
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.
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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)

OHSMS Evolution cont.

OHSAS
18001

ISO
31000

ISO MMS
Framework

ISO
22301

ANSI
Z10

ISO
45001

2007

2009

2010

2012

2012

2016??

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

Key Management System

Components

Communication/Feedback loops
Continual Improvement/Learning
Accountability/Responsibility
Leadership
Participation
Concept of Integration

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

10

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 (TCs).
These committees are comprised of members from
stakeholder groups and technical experts.

11

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
ISOs High Level MS Framework.
45001 Elements (as of now).
Prequel of (anticipated) Key Items.
Pivot from existing ISO 14001 and/or
OHSAS 18001.

14

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.

16

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.
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.

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Introduction ................................ ................................ ................................ ...............................

1

Scope ................................ ................................ ................................ ............................

Normative references ................................ ................................ ................................ .

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 ................................ ................................ ................................ ....................
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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 ................................ ................................ ................................ .....................
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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

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