Draft ISO 45001:2016 OH&S Management System #2

Draft ISO 45001:2016 - Occupational Safety And Health

1 Scope

This International Standard specifies requirements for an occupational health and safety (OH&S) management system, with guidance for its use, to enable an organization to provide safe and healthy working conditions for the prevention of injury and ill-health and to proactively improve its OH&S performance.

This International Standard is applicable to any organization that wishes to:

a)        establish, implement and maintain an OH&S management system to improve occupational
health and safety, eliminate or minimize OH&S risks and address OH&S management
system nonconformities associated with its activities.

b)        continually improve its OH&S performance and the fulfilment of its OH&S objectives;

c)         demonstrate conformity with the requirements of this International Standard.

This International Standard is intended to be applicable to any organization regardless of its size, type and activity and applies to the OH&S risks that the organization determines it can manage, taking into account factors such as the context in which the organization operates and the needs and expectations of its workers and other interested parties.

This International Standard does not state specific criteria for OH&S performance, nor is it prescriptive about the design of an OH&S management system.

This International Standard enables an organization, through its OH&S management system, to integrate other aspects of health and safety, such as worker wellness/ wellbeing. The organization can also be required by applicable legal requirements to address such issues.

This International Standard does not address issues such as product safety, property damage or environmental impacts, beyond the risks they provide to workers.

2              Normative references

There are no normative references.

3              Terms and definitions

For the purposes of this document, the following terms and definitions apply.

3.1          organization

person or group of people that has its own functions with responsibilities, authorities and relationships to achieve its objectives (3.16)

Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, public or private.

3.2          interested party

person or organization (3.1) that can affect, be affected by, or perceive itself to be affected by a decision or activity related to the OH&S management system (3.11)

Note 1 to entry: This International Standard sets out requirements (3.7) with respect to workers (3.3) beyond their status as interested parties.

Note 2 to entry: For examples of potential interested parties see A.4.2.

3.3          worker

person performing work or work-related activities, under the control of the organization (3.1)

Note 1 to entry: Persons perform work or work-related activities under various arrangements, paid or unpaid such as regularly or temporarily, intermittently or seasonally, casually or on a part-time basis.

Note 2 to entry: Workers include managerial and non-managerial persons.

Note 3 to entry: Control can include work relationships beyond recognized employment relationships, e.g. workers from external providers, and situations where the organization has some degree of control over the workers such as agency workers.

3.4          workplace

place where a person needs to be or to go by reason of work and which is under the control of the organization (3.1)

Note 1 to entry: The organization's responsibilities under the OH&S management system (3.11) for the workplace depends on the degree of control over the workplace.

3.5          contractor

external person(s) providing services to an organization (3.1) at a workplace (3.4) in accordance with agreed specifications terms and conditions

Note 1 to entry: External person(s) can include one person, a group of persons, an organization or a group of organizations.

3.6          representative

person(s) elected or appointed in accordance with national laws, regulations and practice to represent workers' (3.3) interests as they relate to the OH&S management system (3.11)

3.7          requirement

need or expectation that is stated, generally implied or obligatory

Note 1 to entry: "Generally implied" means that it is custom or common practice for the organization (3.1) and interested parties (3.2) that the need or expectation under consideration is implied.

Note 2 to entry: A specified requirement is one that is stated, for example in documented information (3.22).

3.8          legal requirement

requirement (3.7), established by law that is applicable to the organization (3.1)

3.9          legal and other requirement

legal requirements (3.8) and other legally-binding obligations and other requirements (3.7) to which the organization (3.1) subscribes that are relevant to the OH&S management system (3.11)

Note 1 to entry: Legally-binding obligations can include the provisions in collective agreements that relate to the health and safety of workers (3.3).

3.10        management system

set of interrelated or interacting elements of an organization (3.1) to establish policies (3.14) and objectives (3.16) and processes (3.23) to achieve those objectives

Note 1 to entry: A management system can address a single discipline or several disciplines.

Note 2 to entry: The system elements include the organization's structure, roles and responsibilities, planning and operation.

Note 3 to entry: The scope of a management system may include the whole of the organization, specific and identified functions of the organization, specific and identified sections of the organization, or one or more functions across a group of organizations.

3.11        occupational health and safety management system

OH&S management system management system (3.10) or part of a management system used to achieve the OH&S policy (3.15).

Note 1 to entry: The overall objective of the OH&S management system is to prevent injury or ill-health to workers (3.3) and to provide safe and healthy workplace(s) (3.4). These are the intended outcomes of the OH&S management system .

Note 2 to entry - The terms "occupational health and safety" (OH&S) and "occupational safety and health" (OSH) have the same meaning.

3.12        top management

person or group of people who directs and controls an organization (3.1) at the highest level

Note 1 to entry: Top management has the power to delegate authority and provide resources within the organization provided ultimate responsibility for the OH&S management system(3.11) is retained.

Note 2 to entry: If the scope of the management system (3.10) covers only part of an organization, then top management refers to those who direct and control that part of the organization.

3.13        effectiveness

extent to which planned activities are realized and planned results achieved

3.14        policy

intentions and direction of an organization (3.1), as formally expressed by its top management (3.12)

3.15        occupational health and safety policy OH&S policy

policy (3.14) to prevent work-related injury and ill-health to worker (s) (3.3) and to provide a safe and healthy workplace(s) (3.4)

3.16        objective

result to be achieved

Note 1 to entry: An objective can be strategic, tactical, or operational.

Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and process (3.23)).

Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an operational criterion, as an OH&S objective (3.17), or by the use of other words with similar meaning (e.g. aim, goal, or target).

Note 1 to entry: In tho context of XXX management systems, XXX objectives arc sot by tho

organization, consistent with the XXX policy, to achieve specific results.

3.17        occupational health and safety objective OH&S objective

objective (3.16) set by the organization (3.1) to achieve specific results consistent with the OH&Spolicy (3.15)

3.18        risk

effect of uncertainty on objectives (3.16)

Note 1 to entry: An effect is a deviation from the expected — positive or negative.

Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or knowledge of, an event, its consequence, or likelihood.

Note 3 to entry: Risk is often characterized by reference to potential "events" (as defined in ISO Guide 73:2009, 3.5.1.3) and "consequences" (as defined in ISO Guide 73:2009, 3.6.1.3), or a combination of these.

Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including changes in circumstances) and the associated "likelihood" (as defined in ISO Guide 73:2009, 3.6.1.1) of occurrence.

3.19        hazard

source or situation with a potential to cause human injury or ill-health

3.20        occupational health and safety risk

OH&S risk combination of the likelihood of an occurrence of a work-related hazardous event or exposure(s), and the severity of injury or ill-health that can be caused by the event or exposures

3.21        competence

ability to apply knowledge and skills to achieve intended results

3.22        documented information

information required to be controlled and maintained by an organization (3.1) and the medium on which it is contained

Note 1 to entry: Documented information can be in any format and media and from any source.

Note 2 to entry: Documented information can refer to:

o    the management system (3.10), including related processes (3.23);

o    information created in order for the organization to operate (documentation);

o    evidence of results achieved (records).

3.23        process

set of interrelated or interacting activities which transforms inputs into outputs

3.24        procedure

specified way to carry out an activity or & process (3.23) Note 1 to entry: Procedures can be documented or not.

3.25        performance

measurable result

Note 1 to entry: Performance can relate either to quantitative or qualitative findings. Note 2 to entry: Performance can relate to the management of activities, processes (3.23), products (including services), systems or organizations (3.1).

3.26        occupational health and safety performance OH&S performance

performance (3.25) related to the effectiveness (3.13) of the prevention of injury and ill-health to workers (3.3) and the provision of safe and healthy workplace(s) (3.4)

3.27        outsource (verb)

make an arrangement where an external organization (3.1) performs part of an organization's function ox process (3.23)

Note 1 to entry: An external organization is outside the scope of the management system (3.10), although the outsourced function or process is within the scope.

3.28        monitoring

determining the status of a system, & process (3.23) or an activity

Note 1 to entry: To determine the status, there may be a need to check, supervise or critically observe.

3.29        measurement

process (3.23) to determine a value

3.30        audit

systematic, independent and documented process (3.23) for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled

Note 1 to entry:—An audit can bo an internal audit (first party) or an external audit (second party or third party), and it can be a combined audit (combining two or more disciplines).

Note 2 to entry: Independence can be demonstrated by freedom from responsibility for the activity being audited and freedom from bias or conflict of interest.

Note 3 to entry: "Audit evidence" is "records, statements of fact and other information which are relevant to the audit criteria and verifiable" and "audit criteria" are "set of policies (3.14),procedures (3.24) or requirements (3.7) used as a reference against which audit evidence is compared", as defined in ISO 19011, Guidelines for auditing management systems.

3.31        conformity

fulfilment of & requirement (3.7)

3.32        nonconformity

non-fulfilment of a requirement (3.7)

Note 1 to entry: Nonconformity relates to requirements in this International Standard and additional OH&S management system (3.11) requirements that an organization (3.1) establishes for itself.

3.33        incident

occurrence(s) arising out of or in the course of work that could or does result in-injury or ill-health

Note 1 to entry: An incident where injury or ill-health occurs is referred to by some as an "accident."

Note 2 to entry: An incident where no injury or ill-health occurs is referred to by some as a "near- miss", "near-hit", "close call", or "dangerous occurrence."

3.34        corrective action

action to eliminate the cause(s) of a nonconformity (3.32) or an incident (3.33) and to prevent recurrence

3.35 continual improvement

recurring activity to enhance performance (3.25)

Note 1 to entry: Enhancing performance relates to the use of the OH&S management system (3.11) in order to achieve improvement in overall OH&S performance (3.26) consistent with the OH&S policy (3.15) and OH&S objectives (3.17).

Note 2 to entry: The activity need not take place in all areas simultaneously.

4 Context of the organization

4.1          Understanding the organization and its context

The organization shall determine external and internal issues that are relevant to its purpose and objectives and that affect its ability to achieve the intended outcome(s) of its OH&S management system.

4.2          Understanding the needs and expectations of workers and other interested parties

The organization shall determine:

a)        the workers and other interested parties that are relevant to the OH&S management system;

b)        the relevant needs and expectations (i.e. requirements) of these interested parties, and which of these are added to applicable legal and other requirements.

4.3          Determining the scope of the OH&S management system

The organization shall determine the boundaries and applicability of the OH&S management system to establish its scope.

When determining this scope, the organization shall consider :

a)        consider the external and internal issues referred to in 4.1;

b)        take into account the requirements referred to in 4.2;

c)         consider the work related activities performed.

The scope shall be available as documented information.

4.4          OH&S management system

The organization shall establish, implement, maintain and continually improve an OH&S management system, including the processes needed and their interactions, in accordance with the requirements of this International Standard to improve its OH&S performance.

5 Leadership, worker participation and consultation

5.1          Leadership and commitment

Top management shall demonstrate leadership and commitment with respect to the OH&S management system by ensuring processes are established for:

a)        taking overall responsibility and accountability for the protection of worker's health and
safety and for the effectiveness of the OH&S management system;

b)        ensuring that knowledge of the organization's context as well as OH&S risks and OH&S
opportunities are considered when establishing the OH&S management system;

c)         ensuring that the OH&S management system nonconformities and opportunities are
identified and action is taken in response to improve OH&S performance;

d)        ensuring that work related hazards are systematically identified, OH&S risks are evaluated
and prioritized, and action is taken to achieve risk reduction to improve OH&S performance;

e)        ensuring that opportunities to enhance health and safety at the workplace are systematically
identified and action is taken in response to improve OH&S performance;

f)         ensuring that the OH&S policy and related OH&S objectives are established and are
compatible with the strategic direction of the organization;

g)        ensuring the integration of the OH&S management system processes and requirements into
the organization's business processes;

h)        ensuring that the resources needed fer- to establish, implement, maintain and improve the OH&S management system are available;

i)          ensuring that the organization establishes processes for the consultation and active participation of workers (and, as applicable, their representatives) in the establishment, implementation, maintenance, and continual improvement of the OH&S management system, identifying and removing obstacles or barriers to participation;

j)          communicating the importance of effective OH&S management and of conforming to the OH&S management system requirements;

k)        ensuring that the OH&S management system achieves its intended outcome(s);

l)          directing and supporting persons to contribute to the effectiveness of the OH&S management system for all functions;

m)      promoting continual improvement;

n)        supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility;

o)        promoting and leading a positive culture with regard to the OH&S management system.

NOTE Reference to "business" in this International Standard can be interpreted broadly to mean those activities that are core to the purposes of the organization's existence.

5.2 Policy

Top management shall establish an OH&S policy that:

a)        is appropriate to the purpose and context of the organization and to the nature of its OH&S
risks and OH&S opportunities;

b)        provides a framework for setting the OH&S objectives;

c)         includes a commitment to satisfy applicable legal and other requirements

d)        includes a commitment to the control of OH&S risks through a hierarchy of control;

e)        includes a commitment to continual improvement of the OH&S management system;

f)         includes a commitment to worker (and, as applicable, their representatives) participation and consultation.

The OH&S policy shall:

o    be available as documented information;

o    be communicated to workers within the organization;

o    be available to interested parties, as appropriate;\

o    be reviewed periodically to ensure that it remains relevant and appropriate.

5.3          Organizational roles, responsibilities, accountabilities and authorities

Top management shall ensure that the responsibilities, accountabilities and authorities for rolovant roles relevant within the OH&S management system are assigned and communicated at all levels within the organization and retained as documented information. Workers at each level of the organization shall assume responsibility for those aspects of OH&S management system over which they have control.

Top management shall assign the responsibility and authority for:

a)        ensuring that the OH&S management system conforms to the requirements of this International Standard;

b)        reporting on the performance of the OH&S management system to top management.

5.4          Participation, consultation and representation

The organization shall establish a process to ensure effective participation and consultation in the OH&S management system by workers at all levels and functions of the organization by:

a)        providing workers (and, as applicable, their representatives) at all levels under its direct control
with the mechanisms, time and resources necessary to participate in, at a minimum, the
following processes of the OH&S management system:

1)         Context of the organization (see Clause 4);

2)         Planning (see Clause 6);

3)         Support (see Clause 7);

4)         Operation (see Clause 8);

5)         Performance evaluation (see Clause 9);

6)         Improvement (see Clause 10).

b)        providing workers (and, as applicable, their representatives) at all levels under its direct control
with the mechanisms, time, training and resources necessary to be consulted in, at a minimum
the process of developing the policy (see 5.2);

c)         providing workers (and, as applicable, their representatives) at all levels with timely access to clear, understandable and relevant information about the OH&S management system;

d)        identifying and removing obstacles or barriers to participation and minimizing those that cannot
be removed;

e)        encouraging timely reporting and response to work-related hazards, OH&S risks, OH&S opportunities, incidents and nonconformities.

The organization shall ensure that, when appropriate, relevant external interested parties are consulted about matters pertinent to the OH&S management system.

NOTE 1 The reporting and investigation of incidents without delay can assist in the removal of hazards and in minimizing associated risks.

NOTE 2 Obstacles or barriers include but are not limited to lack of response to worker input or suggestions, language or literacy barriers to clear communication, reprisals (supervisory and co-worker), or any policy, practice or program that penalizes or discourages participation.(see A.7.4.2 f)).

NOTE 3 Effective participation includes, as applicable, engaging health and safety committees and representatives.

NOTE 4 Effective participation of workers (and, as applicable, their representatives) includes consultation which involves an exchange of relevant information and advice as part of the decision making process related to the OH&S management system.

NOTE 5 The provision of personal protective equipment (PPE) at no cost to workers can remove an important barrier to participation in the OH&S management system.