Safety Management Systems

(SMS): a Comparison
Tim Neubauer, CSP
President
Evolution Safety Resources
t.neubauer@evolutionsafetyresources.com
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

OSHA
ISO ISO BS OHSAS ILO ANSI
VPP
Program 9001 14001 8800 18001 OSH/2001 Z10

1979 1987 1996 1996 1999 2001 2005

OSHA’s Voluntary National Standards

S&H Mgmt Program U.S. ANSI Z10
Guidelines 1989 (2005)
Occupational health
1976 International and safety
Safety Rating System management
(ISRS) Frank Bird, et systems-Guide
al.
 OHSMS Evolution

OHSAS ISO ISO ANSI ISO

ISO MMS
18001 22301 Z10
31000 Framework 45001

2007 2009 2010 2012 2012 2016

Business community
Mgmt. System

Aligns 9000 & 14000

framework OSHA SHPMG draft
Risk Management
Standard
 Why Have an SMS?
• 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)
 Examples of SMS’s
• OSHA Voluntary Protection • ISO 45001 draft
Program ( VPP) • MIL-STD-882E 2012 (DoD)
• Injury and Illness Prevention • ACC – Responsible Care
Plans (I2P2) • SOCMA - ChemStewards
• OSHA Safety and Health
• National Safety Council – 9
Program Management
Elements
Guidelines (SHPMG) draft
• Well developed internal system
• ANSI/AIHA/ASSE Z10
• OHSAS 18001
 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 SHPMG
Hazard 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 Operation
5.1 OHSMS Operation Elements
5.1.1 Hierarchy of Controls
5.1.2 Design Review and Management of Change
5.1.3 Procurement
5.1.4 Contractors
5.1.5 Emergency Preparedness
5.2 Education, Training and Awareness
5.3 Communication
5.4 Documentation and Record Control Process
 ANSI/AIHA Z10 – 2012

6.0 Evaluation and Corrective Action

7.0 Management Review

 OHSAS18001
Clause 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 operation
4.4.1 Resources, roles, responsibility,
accountability and authority
4.4.2 Competency, training and awareness
4.4.3 Communication, participation and
consultation
4.4.4 Documentation
4.4.5 Control of documents
4.4.6 Operational controls
4.4.7 Emergency preparedness and response
 BS OHSAS 18001 – 2007
4.5 Checking
4.5.1 Performance measurement and monitoring
4.5.2 Evaluation of compliance
4.5.3 Incident investigation, nonconformity,
corrective action and preventative action
4.5.3.1 Incident investigation
4.5.3.2 Nonconformity, corrective and
preventative action
4.5.4 Control of records
4.5.5 Internal audit
4.6 Management review
 ISO 45001
Clause 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
 ISO 45001 draft
4 Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations
workers and other interested parties
4.3 Determining the scope of OH&S management
system
4.4 OH&S management system
5 Leadership, worker participation and consultation
5.1 Leadership and commitment
5.2 OH&S Policy
5.3 Organizational roles, responsibilities and
authorities
5.4 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 General
7.5.2 Creating and updating
7.5.3 Control of documented information
 ISO 45001 draft

8 Operation
8.1 Operational planning and control
8.1.1 General
8.1.2 Hierarchy of controls
8.2 Management of change
8.3 Outsourcing
8.4 Procurement
8.5 Contractors
8.6 Emergency preparedness and response
 ISO 45001 draft
9 Performance evaluation
9.1 Monitoring, measurement, analysis and
evaluation
9.1.1 General
9.1.2 Evaluation of compliance with legal
requirements and other requirements
9.2 Internal audit
9.2.1 Internal audit objectives
9.2.2 Internal audit process
9.3 Management 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

• 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 • Clause 5.4 on Participation
“compliance with”, etc., and Consultation
legal requirements • Structure of Clause 6
• Editing Notes to avoid the • Training versus competence
inclusion of requirements • The definition of “hazard”
• Editing of the term • A bullet in 7.3 to add
“consultation” due to its requirement for workers to
definition be allowed to remove
• Alignment with ISO 14001 themselves from imminent
and deviation from Annex danger
SL
• The term “worker” and its
definition
 Timetable ISO- 45001 proposed
Final Expected
Working Committee Draft Int Final
Draft Int Transition
Draft Draft Standard Standard
Standard 2 – 3 years

December Summer Spring Summer October

2015 2016 2017
2013 2014
 Timetable ISO- 45001 actual
Final Expected
Working Draft Int
Draft Int Transition
Draft Committee Standard Draft Int Standard 2 – 3 years
Draft Standard 2

2013 2014 2015 2016 2017 Final 2018

Standard
 Common Elements
• S&H policy statement • Control of contracted activities
• Management leadership • Incident investigation
• Worker participation • Competency and training
• Responsibility and • Communication, promotion
accountability • Audits
• Planning, objectives • Compliance
• Measurement • Corrective, preventative action
• Management review • Documentation, control of records
• Management of change (MOC) • Continuous improvement
• Hazard recognition, evaluation • Definitions, glossary
and control
• Risk assessment
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 • SAFETY MGNT SYSTEM
Random Systematic
Compliance focus Focus on significant risk
Program of the month Sustaining process
Minimum performance level Best practices
Task oriented Continuous improvement
Safety person dependent System reliant
Tied to incentives Repeatable & measurable
Continually reinventing Knowledge capture
Managed by a dept. 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 • Con’s
– Specific – Auditing criteria
– Customized – Develop metric(s) to
determine implementation
– Cost effective
progress
– Self-certify
– 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 5
Task 4
Identify & Organize
Determine Compliance Status
Task 6 Existing EH&S Documentation
Gap Assessment

Task 7
Establish Implementation Plan

Task 8
Aspect and Hazards Identification
& Risk Assessment
Task 10 Task 9
Refine EHSMS Objectives Task 11 Develop Documentation
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.
 Journey to Safety Excellence
Phase 1 Phase 2 Phase 3 Phase 4 Phase 5 Phase 6
What is Don’t shut Incidents Safety Safety Safety
I safety? us down cost too excellence excellence excellence
much is a top is a value is
N priority instinctive
J
U Culture Focus

R
Y
Self Assessment–Data Focus
R
A
T
E Discipline/Compliance Focus
S

TIME
 Common SMS Mistake

Many safety professionals fail to

develop appropriate proactive leading
metrics.
Continual Improvement
 Leading vs. Lagging Indicator
• Leading Indicators • Lagging Indicators
– JSA’s – Near misses
– Observation program – Property damage
– Safety contact program – TRIR
– Inspections – DART
– Safety meetings – LWDC
– Safety training – Fatalities
– Corrective actions – Workers’ Compensation
– Scored assessments/audits costs
– Perception surveys – 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
t.Neubauer@evolutionsafetyresources.com
919-650-9172
 NSC 9 Elements of a SMS
Administrative and • Management leadership and commitment
Management • Organizational communications and system
documentation
• Assessments, audits, evaluations, and continuous
improvement

Operational and • Hazard recognition, evaluation, and control

Technical • Facility design and engineering
• Operational safety programs

Cultural and • Employee involvement

Behavioral • Motivation, behavior, and attitude
• Training and orientation