SMS A Comparison - ISEM · OHSMS Evolution ISO 9001 OSHA VPP Program 14001 BS 8800 OHSAS 18001 ILO...
Transcript of SMS A Comparison - ISEM · OHSMS Evolution ISO 9001 OSHA VPP Program 14001 BS 8800 OHSAS 18001 ILO...
Safety Management Systems (SMS): a Comparison
Tim Neubauer, CSPPresident
Evolution Safety [email protected]
919-650-9172
Objectives
• Review the historical perspective
• Explore the common elements and contrast
their differences
• Identify the best SMS for your employer
• Discuss ways to implement an SMS
OHSMS Evolution
ISO
9001
OSHA
VPP
Program
ISO
14001
BS
8800
OHSAS
18001
ILO
OSH/2001ANSI
Z10
1979 1987 1996 1996 1999 2001 2005
1976 International
Safety Rating System
(ISRS) Frank Bird, et
al.
OSHA’s Voluntary
S&H Mgmt Program
Guidelines 1989
Occupational health
and safety
management
systems-Guide
National Standards
U.S. ANSI Z10
(2005)
OHSMS Evolution
ISO
31000
OHSAS
18001ISO MMSFramework
ISO
22301ANSIZ10
ISO
45001
2007 2009 2010 2012 2012 2016
Risk Management
Standard
Aligns 9000 & 14000
framework
Business community
Mgmt. System
OSHA SHPMG draft
• Reduce risk
• Reduce in incidents, downtime and associated costs
• Better management of S&H risks, now and in the future
• Gain competitive advantage Increased access to customers, business partners
• Demonstrate S&H commitment to stakeholders
• Conform to regulatory compliance
• Improve overall organizational performance
• Accentuate commitment to an innovative and forward thinking approach (CIP)
Why Have an SMS?
Examples of SMS’s
• OSHA Voluntary Protection
Program ( VPP)
• Injury and Illness Prevention
Plans (I2P2)
• OSHA Safety and Health
Program Management
Guidelines (SHPMG) draft
• ANSI/AIHA/ASSE Z10
• OHSAS 18001
• ISO 45001 draft
• MIL-STD-882E 2012 (DoD)
• ACC – Responsible Care
• SOCMA - ChemStewards
• National Safety Council – 9
Elements
• Well developed internal system
Turn and Talk
• Do you have a Safety Management System?
– If yes….
• Which one?
• What benefits have you seen?
– If no…• Are you considering a Safety Management System?
• Why?
OSHA SHPMG
• Management Leadership
• Worker Participation
• Hazard Identification and Assessment
• Hazard Prevention and Control
• Education and Training
• Program Evaluation and Improvement
• Coordination and Communication on Multiemployer Worksites**
+ tools & appendices
OSHA SHPMG
Management Leadership
1. Communicate your commitment to a S&H program
2. Define program goals & expectations
3. Allocate resources
4. Expect performance
OSHA SHPMG
Worker Participation
1. Encourage workers to report S&H concerns
2. Encourage workers to participate in the programs
3. Involve workers in all aspects of the program
4. Give workers access to S&H info
5. Remove barriers to participation
OSHA SHPMG
Hazard Identification & Assessment
1. Collect existing info about workplace hazards
2. Inspect the workplace
3. Conduct incident investigations
4. Identify hazards associated w/ emergency & non-routine situations
5. Characterize the nature of identified hazards, determine controls to be implemented, prioritize hazards for control
OSHA SHPMGHazard Prevention & Control
1. Identify control options
2. Select controls
3. Develop & update a hazard control program
4. Select controls to protect workers during non-routine operations & emergencies
5. Implement selected controls in the workplace
6. Follow up to confirm controls are effective
OSHA SHPMG
Education & Training
1. Provide program awareness training
2. Train workers on their specific roles & responsibilities in the S&H program
3. Train workers on hazard identification & controls
OSHA SHPMG
Program Evaluation & Improvement
1. Monitor performance & progress
2. Verify program is implemented & operating
3. Correct program deficiencies & identify opportunities to improve
OSHA SHPMG
Coordination & Communication of Multiemployer Worksites
1. Management leadership
2. Worker participation
3. Hazard identification & assessment
4. Hazard prevention & control
5. Education & training
6. Program evaluation & improvement
Coordination & Communication on Multiemployer Worksites
• Ers occasionally have other employers’ workers present in their workplace: janitorial staff, temporary clerical support, specialized workers – electricians, mechanics
• These workers (like those you employ) can be exposed to safety/health hazards present in your workplace
• E.g.: maintenance contractors enter mechanical rooms where asbestos-containing material is present; access roofs where skylights can pose fall hazard
• Contractor Ers might create hazards in your facility due to work they perform: welding fire hazard; wet-mopping floors slip/fall hazard
Z10 Elements
1. Scope, Purpose and Application
2. Definitions
3. Management Leadership and Employee
Participation
4. Planning
5. Implementation and Operation
6. Evaluation and Corrective Action
7. Management Review
8. Appendices
ANSI/AIHA/ASSE Z10 – 2012
3.0 Management Leadership and
Employee Participation
4.0 Planning
ANSI/AIHA/ASSE Z10 – 2012
5.0 Implementation and Operation5.1 OHSMS Operation Elements
5.1.1 Hierarchy of Controls5.1.2 Design Review and Management of Change5.1.3 Procurement5.1.4 Contractors5.1.5 Emergency Preparedness
5.2 Education, Training and Awareness5.3 Communication5.4 Documentation and Record Control Process
ANSI/AIHA Z10 – 2012
6.0 Evaluation and Corrective Action
7.0 Management Review
OHSAS18001Clause OHSAS 18001
1 Scope
2 Reference publications
3 Terms and definitions
4 OH&S management system elements
4.1 General requirements
4.2 OH&S policy
4.3 Planning
4.3.1 Planning for hazard identification, risk assessment and risk
control
4.3.2 Legal and other requirements
4.3.3 Objectives
4.3.4 OH&S management programme(s)
4.4 Implementation and operation
4.4.1 Structure and responsibility
4.4.2 Training, awareness and competence
4.4.3 Consultation and communication
4.4.4 Documentation
4.4.5 Document and data control
4.4.6 Operational control
4.4.7 Emergency preparedness and response
4.5 Checking and corrective action
4.5.1 Performance measurement and monitoring
4.5.2 Accidents, incidents, non-conformances and corrective and
preventive action
4.5.3 Records and record management
4.5.4 Audit
4.6 Management review
Annex A Correspondence to ISO 14001, ISO 9001
Bibliography
BS OHSAS 18001 – 2007
4.0 OH&S management system elements
4.1 General requirements
4.2 OH&S policy
4.3 Planning
4.3.1 Hazard identification, risk assessment &
determining controls
4.3.2 Legal and other requirements
4.3.3 Objectives and programs
BS OHSAS 18001 – 2007
4.4 Implementation and operation4.4.1 Resources, roles, responsibility,
accountability and authority4.4.2 Competency, training and awareness4.4.3 Communication, participation and
consultation4.4.4 Documentation4.4.5 Control of documents4.4.6 Operational controls4.4.7 Emergency preparedness and response
BS OHSAS 18001 – 2007
4.5 Checking4.5.1 Performance measurement and monitoring4.5.2 Evaluation of compliance4.5.3 Incident investigation, nonconformity,
corrective action and preventative action4.5.3.1 Incident investigation4.5.3.2 Nonconformity, corrective and
preventative action4.5.4 Control of records4.5.5 Internal audit4.6 Management review
ISO 45001Clause ISO 45001
0 Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Context of 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 OH&S Management system
4.4 OH&S management system
5 Leadership
5.1 Leadership and commitment
5.2 OH&S Policy
5.3 Organization roles, responsibilities and authorities
6 Planning
6.1 Action to address risks and opportunities
6.2 OH&S Objectives and planning to address these
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documentation
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of updated information
8 Operation
8.1 Operational planning and control
9 Performance Evaluation
9.1 Monitoring, measuring, analysis and evaluation.
9.2 Internal audit
9.3 Management Review
10 Improvement
10.1 Non Conformity and corrective actions
10.2 Continuous improvement
Annex A Normative reference control objectives and controls
4 Context of the organization 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations
workers and other interested parties4.3 Determining the scope of OH&S management
system4.4 OH&S management system
5 Leadership, worker participation and consultation5.1 Leadership and commitment 5.2 OH&S Policy5.3 Organizational roles, responsibilities and
authorities5.4 Participation and consultation
ISO 45001 draft
6 Planning
6.1 Actions to address risks and opportunities
6.2 OH&S objectives and planning to achieve them
7 Support 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Information and communication 7.5 Documented information
7.5.1 General7.5.2 Creating and updating7.5.3 Control of documented information
ISO 45001 draft
8 Operation 8.1 Operational planning and control
8.1.1 General8.1.2 Hierarchy of controls
8.2 Management of change8.3 Outsourcing8.4 Procurement8.5 Contractors8.6 Emergency preparedness and response
ISO 45001 draft
9 Performance evaluation
9.1Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Evaluation of compliance with legal requirements and other requirements
9.2Internal audit
9.2.1 Internal audit objectives
9.2.2 Internal audit process
9.3Management review
ISO 45001 draft
10 Improvement
10.1 Incident, non-conformity and corrective action
10.2 Continual improvement
10.2.1 Continual improvement objectives
10.2.2 Continual improvement process
ISO 45001 draft
ISO 45001 draft
• Heavily derived from OHSAS 18001
• Integrate better with other ISO
Management System Standards, e.g., ISO
9001, ISO 14001
• Promote the management of risk, and the
required risk management processes
• “Context” of organization: consider
contractors, stakeholders, customers
ISO 45001 draft
• The basis of the OH&S management system
approach applied is founded on the concept of
“Plan, Do, Check and Act” (PDCA)
ISO 45001 draft
• Risk, identification of risks, and actions to
address the identified risks
• Greater emphasis on assessing the
opportunities, especially the use of safe design -
this allows management systems to be more
flexible, but could be more difficult to audit
• Firm commitments on health and safety
performance, and social responsibility
Challenges
• Accident vs. Incident vs. Non-conformance
• Risk and risk matrix
• Corrective actions and preventative actions
• “Continual improvement” vs. continuous improvement
• Hierarchy of controls
ISO 45001 Project Committee (PC) No. 283
• ISO/PC 283 is responsible for the development of ISO 45001
• ISO/PC 283’s membership currently includes:
– 65 participating countries, (increase of 6 since Sept 2015)
– 13 observer countries (decrease of 2)
– 19 liaison members
Result of Ballot ISO 45001
• The ballot closed on 12th May 2016
• 71% voted in favor but this was insufficient to secure the necessary vote to proceed to FDIS
• There were nearly 3000 comments
3000 Comments!
• The “fulfillment of” or “compliance with”, etc., legal requirements
• Editing Notes to avoid the inclusion of requirements
• Editing of the term “consultation” due to its definition
• Alignment with ISO 14001 and deviation from Annex SL
• The term “worker” and its definition
• Clause 5.4 on Participation and Consultation
• Structure of Clause 6 • Training versus competence • The definition of “hazard” • A bullet in 7.3 to add
requirement for workers to be allowed to remove themselves from imminent danger
Timetable ISO- 45001 proposed
2013
Working
Draft
Draft Int
StandardCommittee
Draft
Final
Draft Int
Standard
Final
Standard
2014 2015 2016
Summer OctoberDecember2017
Expected
Transition
2 – 3 years
Summer Spring
Timetable ISO- 45001 actual
2013
Working
Draft
Draft Int
StandardCommittee
Draft
Final
Draft Int
Standard
Final
Standard2014 2015 2016 2018
Expected
Transition
2 – 3 years
2017
Draft Int
Standard 2
Common Elements
• S&H policy statement• Management leadership• Worker participation• Responsibility and
accountability• Planning, objectives• Measurement• Management review• Management of change (MOC)• Hazard recognition, evaluation
and control• Risk assessment
• Control of contracted activities• Incident investigation• Competency and training• Communication, promotion• Audits• Compliance• Corrective, preventative action• Documentation, control of records• Continuous improvement• Definitions, glossary
HOW DO WE MOVE
FORWARD?
Common SMS Mistake
Many safety professionals fail to speak
in terms of the benefits to the listener.
Sell Benefits to Stakeholders
• Benefits to company or location/site/plant?
• Benefits to management/leadership?
• Benefits to supervisor?
• Benefits to employee?
Reactive vs. Proactive
• TRADITIONAL PROGRAM
Random
Compliance focus
Program of the month
Minimum performance level
Task oriented
Safety person dependent
Tied to incentives
Continually reinventing
Managed by a dept.
• SAFETY MGNT SYSTEM
Systematic
Focus on significant risk
Sustaining process
Best practices
Continuous improvement
System reliant
Repeatable & measurable
Knowledge capture
Entire organization involved
Common SMS Mistake
Many safety professionals fail to guide leadership on the selection of a safety
management system.
How do We Choose?
• Already ISO 9000 and/or 14000 18001/45001
• Dealt w/ OSHA in the past OSHA S&H Mgmt. Guidelines
• Global organization 18001/45001
• US oriented ANSI/AIHA Z10, OSHA SHMPG
• Just like it! Makes sense Z10, 45001, create your own
Creating a Proprietary SMS
• Pro’s
– Specific
– Customized
– Cost effective
– Self-certify
• Con’s
– Auditing criteria
– Develop metric(s) to determine implementation progress
– Consistency
– No third party certification or registration
Common SMS Mistake
Many safety professionals fail to
conduct a baseline assessment to
determine current status of safety
management system.
Task 1
Establish MS Objectives
Task 2
Define Scope and Structure
Task 3
Allocate Resources
(including roles and responsibilities)
Task 4
Determine Compliance Status
Task 5
Identify & Organize
Existing EH&S DocumentationTask 6
Gap Assessment
Task 7
Establish Implementation Plan
Task 8
Aspect and Hazards Identification
& Risk Assessment
Task 10
Refine EHSMS ObjectivesTask 9
Develop DocumentationTask 11
Training and Communication
Task 12
EHSMS Implementation
Task 13
Internal Audit
Task 14
Management Review
Baseline Assessment
• Helps prioritize needs
• Allows for budgeting and integration of safety
improvements into general operating plan
• Better defines S&H accountability for leadership and
front line supervision
• Gives management a method of judging program
effectiveness other than injury/illness rates
Common SMS Mistake
Many safety professionals fail to
develop an improvement plan(s) for the
following year(s).
Improvement Plans
• “Given all that needs to be accomplished, with
limited resources , what can we achieve?”
• Stops unrealistic expectations or projects
• S&H “plans” like other parts of the organization
• Keeps everyone motivated
• Allows for accountability
Common SMS Mistake
Many safety professionals fail to educate leadership on the length of time required to
change an existing safety culture.
Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Phase 6
I
N
J
U
R
Y
R
A
T
E
S
What is
safety?
Don’t shut
us down
Incidents
cost too
much
Safety
excellence
is a top
priority
Safety
excellence
is a value
Safety
excellence
is
instinctive
Culture Focus
Self Assessment–Data Focus
Discipline/Compliance Focus
TIME
Journey to Safety Excellence
Common SMS Mistake
Many safety professionals fail to
develop appropriate proactive leading
metrics.
Continual Improvement
Leading vs. Lagging Indicators
• Leading Indicators– JSA’s
– Observation program
– Safety contact program
– Inspections
– Safety meetings
– Safety training
– Corrective actions
– Scored assessments/audits
– Perception surveys
• Lagging Indicators– Near misses
– Property damage
– TRIR
– DART
– LWDC
– Fatalities
– Workers’ Compensation costs
– Liability/litigation costs
– Regulatory citations & penalties
Other Considerations
• In sync with Quality Management System
• Continued leadership commitment
• Compliance must be a given
• Implementation: stealth vs. competition find element champions
• Patience w/ sense of urgency
• Stay the course – it’s a long term strategy
• Develop, deploy, stabilize, then optimize
• Factor in human response to CHANGE
• Registration vs. Self Certification
Resources
• OHSAS 18001
– http://www.bsigroup.com/en-GB/ohsas-18001-occupational-health-and-safety/
• ISO 45001
• http://www.iso.org/iso/iso45001
Resources
• ANSI Z10
– http://www.asse.org/ansiaihaasse-z10-2012-occupational-health-safety-management-systems/ansi/aiha/asse-z10-2012-occupational-health-and-safety-management-systems/
• OSHA S&H Mgmt. Guidelines
– https://www.osha.gov/shpmguidelines/SHPM_
guidelines.pdf
Questions ??????Comments ??????
Concerns ?????
Tim Neubauer, CSP
President
Evolution Safety Resources
919-650-9172
NSC 9 Elements of a SMS
Administrative and Management
• Management leadership and commitment
• Organizational communications and system documentation
• Assessments, audits, evaluations, and continuous improvement
Operational and Technical
• Hazard recognition, evaluation, and control
• Facility design and engineering
• Operational safety programs
Cultural and Behavioral
• Employee involvement
• Motivation, behavior, and attitude
• Training and orientation