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Jeff Almond, Duke Energy
James Margolis, ERM
Michael J. Pardus, Haley & Aldrich, Inc.
Consensus Standards and
Safety Management Systems
Panel
Preparing for ISO 45001:Occupational health and safety
management systems - requirements
Michael J. Pardus, REM, CESCOPractice Leader
Operations Risk & Compliance
28 September 2016
ISO 45001 - a global standard
• ISO/Project Committee 283- 65 participating countries- 13 observer countries- 19 liaison members
• Technical Advisory Group (TAG) provides guidance to the U.S. delegation
• U.S. TAG includes labor, industry, NGOs, and OH&S consultants
3
“First true global consensus standard [for OH&S] developed by
ISO member countries”Vic Toy, Chair U.S. Technical
Advisory Group
Key objectives for ISO 45001
• Reduce fatalities, injuries, and illness across the enterprise
• Improve worker quality of life• Ensure engagement and
consultation with workers and interested parties
• Be flexible enough to support an organization of any size or endeavor
4
ISO 45001 standard
• 4.0 Context of the organization– Needs and expectations of workers and
interested parties– Workers under control of the organization– Scope of the OH&S management system
• 5.0 Leadership and participation– Roles, responsible, accountable across the
enterprise– Worker engagement and consultation
• 6.0 Planning– Proactive risk-based thinking– OH&S risks and risks to the management system– OH&S opportunities
5
ISO 45001 standard
• 7.0 Support– Documented information
• 8.0 Operation– Hierarchy of controls– Management of change– Outsourcing, procurement, contractors
• 9.0 Performance evaluation– Monitoring, measurement, analysis, and evaluation
• 10.0 Improvement– Incident, non-conformity, and corrective action
6
Timeline to final ISO 45001 standard
7
Purpose of ISO 45001 and OHSAS 18001
8
ISO 45001 will “enable an organization to proactively improve its OH&S performance in preventing injury and ill-health”
OHSAS 18001 “to enable an organisation to control its OH&S risks and improveits OH&S performance ”
ISO 45001 vs. OHSAS 18001
9
ISO 45001 OHSAS 18001
Harmonization with ISO Annex SL Not harmonized with other ISO standards
International consensus standard British standard
Alignment with strategic business planning Not addressed
Stronger focus on context of the organization –
emphasizes workers and interested parties and
their needs and expectations
Interested parties and societal needs and
expectations are not addressed
Leadership and worker participation and
consultation
Worker consultation not addressed
Operational controls and emergency
preparedness including outsourced processes,
procurement, and contractors
Hierarchy of controls, management of change,
and outsourced processes, procurement, and
contractors are new requirements
Focus on risks, opportunities, and the effects of
uncertainty – likelihood of occurrence of a
work-related hazardous event or exposure(s)
and the severity of injury and ill health
Focus on hazards – situation, substance,
activity, event, or environment that could
potentially cause injury or ill health
Detailed process requirements for documented
information, institutional knowledge, and
status of compliance
Procedural, document and records
requirements are replaced by documented
information
Challenges
• Substantial changes for companies certified to OHSAS 18001
• Differs significantly from ANSI Z10• Definition of worker and workplace• Interested parties could include
regulators, customers, neighbors, or even competitors
• No formal transition process for migration from OHSAS 18001 to ISO 45001
• Companies with existing systems may not benefit from the new standard
10
Michael J. Pardus, REM, CESCO
Practice LeaderOperations Risk & Compliance
(o) 724-420-5521(c) 412-526-0930
“It will never happen to me” Captain Edward J. Smith - RMS Titanic
Business Vision, Goals and Strategy
D R
I V E
R S
E N
A B
L E
R S
EHS Vision, Goals and Strategy
Programs and Processes
Resources and Organization
WeakStrong
High
Low
Haza
rd
Control
The business of sustainability
Implementing Safety Management Systems
James Margolis
Partner, ERM
13
Systems vs specific safety topics/programs
Through these HSE
business processes
Health and Safety Topics
Co
nfi
ned
Sp
aces
Hazard
ou
s
En
erg
y
Ele
vate
d
Wo
rk
Mach
ine
Gu
ard
ing
etc
.
Identify hazards
Identify applicable regulations
Set internal standards
Train personnel
Monitor/report performance
Manage these topics
14
Generic SMS Process
Implement actions, (training, procedures, etc.), monitor and troubleshoot
Identify the priority safety risks: both today and those anticipated in the future
Compare existing programs and practices to the management systems requirements; consider effectiveness of systems in light of performance trends and emerging issues and risks
Develop plan to close gaps over time (what, who, when, effort)
Understand the business context to align SMS process and design with core business realities and emerging needs
Business Context
Risk Assessment
Gap Analysis
Action Planning
Gap Closure
Design System
Define specific requirements of the management system in light of risks and business context (ISO 45001, ANSI Z10, OHSASI 18001, VPP or develop a customized design)
Continuous Improvement
Periodically verify and assess system effectiveness in light of performance and business context; modify/improve over time as needed
15
Generic SMS Process
Implement actions, (training, procedures, etc.), monitor and troubleshoot
Compare existing programs and practices to the management systems requirements; consider effectiveness of systems in light of performance trends and emerging issues and risks
Develop plan to close gaps over time (what, who, when, effort)
Business Context
Risk Assessment
Gap Analysis
Action Planning
Gap Closure
Design System
Continuous Improvement
Key Success Factors■ Align with the business
■ Consider activities inside and outside the fenceline, as well as across the value chain
■ Minimize bureaucracy and balance governance considerations with field flexibility
■ Integrate in with core business processes
■ Engage key managers and affected personnel
■ Leverage information technology
■ Enable implementation and verify effectiveness
Duke Energy Fast Facts
• Fortune 125 company (NYSE)– Market capitalization: $52B; 2015 revenues: $24B
• U.S. regulated utility operations– 7.4 million electric retail customers (IN, OH, KY, NC,
SC, FL)
– 525,000 gas customers (OH/KY)
– 53 MW generation
• Other operations– Renewables: Wind and solar in 12 states (2,500
MW)
– International: Latin America generation (4,300 MW)
– Piedmont Natural Gas acquisition (1 million gas customers)
• 30,000 employees. 17
Duke Energy’s EHS Management System
18
Similarities and Differences
Elements viewed differently
• Roles, Responsibilities and Accountabilities
• Contractors
• Communications and Engagement
Elements viewed similarly
• Leadership commitment
• Aspects and Hazards
19
Health & Safety vs Environmental Perspective
QUESTIONS ?
20
Preparing for ISO 45001:Occupational Health and
Safety Management Systems - Requirements
Michael J. Pardus, REM, CESCOPractice Leader
Operations Risk & Compliance
28 September 2016
21
ISO 45001 - A Global Standard
• ISO/Project Committee 283- 65 participating countries- 13 observer countries- 19 liaison members
• Technical Advisory Group provides guidance to the U.S. delegation
• U.S. TAG includes labor, industry, NGOs,
22
“First true global consensus standard [for OH&S] developed by
ISO member countries”Vic Toy, Chair U.S. Technical
Advisory Group
Key Objectives for ISO 45001
• Reduce fatalities, injuries and illness across the enterprise
• Improve worker quality of life
• Ensure engagement and consultation with workers and interested parties
• Be flexible enough to support an organization of any size or endeavor
23
ISO 45001 Standard
• 4.0 Context of the organization– Needs and expectations of workers
and interested parties– Worker under control of the
organization– Scope of the OH&S management
system
• 5.0 Leadership and participation– Roles, responsible, accountable
across the enterprise– Worker engagement and consultation
• 6.0 Planning– Proactive risk-based thinking– OH&S risks and risks to the
management system
24
ISO 45001 Standard
• 7.0 Support– Documented information
• 8.0 Operation– Hierarchy of controls
– Management of change
– Outsourcing, procurement, contractors
• 9.0 Performance evaluation– Monitoring, measurement, analysis,
and evaluation
• 10.0 Improvement– Incident, non-conformity, and
corrective action
25
Timeline to Final ISO 45001 Standard
26
Purpose of ISO 45001 and OHSAS 18001
27
ISO 45001“enable an organization to proactively improve its OH&S performance in preventing injury and ill-health”
OHSAS 18001“to enable an organisation to control its OH&S risks and improveits OH&S performance ”
ISO 45001 vs. OHSAS 18001
28
ISO 45001 OHS 18001
Harmonization with ISO Annex SL Not harmonized with other ISO standards
International consensus standard British standard
Alignment with strategic business planning Not addressed
Stronger focus on context of the organization –
emphasizes workers and interested parties and
their needs and expectations
Interested parties and societal needs and
expectations are not addressed
Leadership and worker participation and
consultation
Worker consultation not addressed
Operational controls and emergency
preparedness including outsourced processes,
procurement, and contractors
Hierarchy of controls, management of change,
and outsourced processes, procurement, and
contractors are new requirements
Focus on risks, opportunities, and the effects of
uncertainty – likelihood of occurrence of a
work-related hazardous event or exposure(s)
and the severity of injury and ill health
Focus on hazards – situation, substance,
activity, event, or environment that could
potentially cause injury or ill health
Detailed process requirements for documented
information, institutional knowledge, and
status of compliance
Procedural, document and records
requirements are replaced by documented
information
Challenges
• Substantial changes for companies certified to OHSAS 18001
• Differs significantly from ANSI Z10
• Definition of worker and work place
• Interested parties could include regulators, customers, neighbors or evencompetitors
• No formal transition process for migration from OHSAS 18001 to ISO 45001
• Companies with existing systems may not benefit from
29
Michael J. Pardus, REM, CESCO
Practice LeaderOperations Risk &
Compliance(o) 724-420-5521(c) 412-526-0930
“It will never happen to me” Captain Edward J. Smith - RMS Titanic
