SHE Audit Development
Update
Tuesday 20 February 2015
Thistle Aberdeen Altens Hotel
Welcome and introductions
Dave Parr
Head of Technical Services, British Safety Council
Donna Hutchison
QuEnSH Specialists Ltd
2
Agenda: SHE Audit and Legislative
Update
Welcome and introductions
Business benefits of SHE auditing
Auditing and the Supply Chain
ISO 45001 Update: Beyond OHSAS 18001
ISO 14001 Environmental Standard Update
Best Practice SHE Auditing: Five Star Model
Lunch and Networking
3
British Safety Council
An overview of British Safety
Council’s policy and engagement
work
The vision and work of the British Safety Council
• We are a charity with public benefit at the heart of everything we do
• We have been in existence for fifty six years
• We have over 6,000 corporate members in UK, India and Middle East
• Construction, manufacturing, energy generation and supply, transport are some of
the areas where we have a strong membership presence
• Our services include health, safety and environmental audit, advisory, training and
qualifications
• Our awards including the Sword of Honour, Globe of Honour and ISA
• We use the knowledge, expertise and views of our members to influence and
shape health, safety and environmental management policy and law.
5
British Safety Council’s manifesto
6
Our Manifesto – 5 steps
1
2
3
4
5
7
Promote the importance of H&S
Build understanding and capability
Commit to leadership and worker engagement
Share knowledge and experience
Campaign for sensible legislation, regulation and
application
The Löfstedt review
https://www.britsafe.org/policy-and-opinion/lofstedt-reform-updates
8
Our regulatory framework for health and
safety in Great Britain
Health and Safety at Work Act 1974
(primary legislation)
Health and safety regulations
(secondary legislation) – 200 sets of
regulations
Approved codes of practice (special legal
status - what you need to do to comply
with law) – 55 codes of practice
Guidance in support of legislation –
1000+ sets of guidance
9
Key legal and regulatory changes
1
2
3
4
5
10
Löftstedt update
Fee for intervention
Temple review of HSE and commercialisation
Sentencing proposals for health and safety
offences
CDM2015
Follow us
@britsafe
Like us
Facebook.com/britishsafetycouncil
Watch us
Youtube.com/user/britishsafetycouncil
Business benefits of SHE auditing
What is an audit?
Final stages in the heath and safety
management control cycle:
Audit and performance review
The structured process of collecting
independent information on the
efficiency, effectiveness and reliability
of the total health and safety
management system (including
establishing corrective action plans)
Health and Safety Executive
17
Business benefits of auditing
• Identification of areas for improvement / strengths / trends within the safety
management system
• Enables informed targeting of resources
• Provides factual information for the continual improvement of risk control and
reduction of loss (potential or actual) within the organisation
• Provides validation (accreditation if external) of effectiveness of SMS
arrangements
• Pro active method of demonstrating self regulation
• Monitors legislative (and sector standard) compliance
• Improves management understanding of safety management systems
• Enhance workplace environment and employee wellbeing
• Maintenance of a positive corporate image
• Influence supply chain standards.
18
Internal and external auditing
Internal
External
• Operational knowledge
• Objective and independent
verification
•
Focus on key areas of risk
•
Input factor into future planning
•
Monitors legislative compliance
•
Participative factor
•
Mitigating factor (civil / statute).
• Certification / accreditation
• Source of best practice benchmarking
• Continual improvement
• Validation of progress and
organisational practice
• Mitigating factor (civil / statute)
• Enhanced reputational confidence.
19
Benefits of Health and Safety Auditing
Corporate Manslaughter and Corporate Homicide Act 2007
(and other Health and Safety Regulations)
Areas for dispute (so essential to have demonstrable evidence)
Grossness of breach will be determined by (among other factors)
Compliance with law / standards / guidance (best practice)
Safety Management System (effectiveness, suitability, etc)
Organisational safety culture
Role of Senior Management (leadership and commitment)
20
Auditing the Supply Chain
Donna Hutchinson
QUENSH Ltd
ISO 45001: Beyond OHSAS 18001
A new international standard for
OH&S management systems
ISO 45001
• Natural progression from BS OHSAS 18001:2007
• Lobbying from various sources for an international SMS standard
• Need to harmonise various OH&S standards (allowing for local regulatory
requirements) and share good practice
•
ILO key player in the development of ISO 45001
• Standardised global approach to benchmarking / improving health and safety
• Provide a framework for local regulatory compliance
• ISO PC283 (development committee) established October 2013
• 50 countries represented by 83 delegates
• BSC represented on HS/1 committee review group
• Closely aligned to ISO 9001 and ISO 14001
23
ISO 45001
• A new international standard for OH&S management systems
• Standard will be reflective of Annex SL (management system standard for ISO
standards)
• “New” concepts will be included as individual clauses; context of organisation,
leadership, information management
• Preventive action clause within OHSAS 18001 will be dropped as considered
integral to risk management requirements within ISO 45001
• Committee draft (CD 45001) - responses informed to PC 238 and CD 45001 was
rejected. Re-draft in progress
• Final Draft International Standard (DIS) Q3 2015 / ISO 45001 Oct 2016
• BSC represented on HS/1 committee review group.
24
Main changes
A new High Level Structure (HLS) for all future ISO standards
Annex SL (MSS) requirements
• Scope
• Normative references
• Terms and definitions
• Context of the organisation
• Leadership
• Planning
• Support
• Operation
• Performance evaluation
• Improvement
25
Clause 5: Leadership
There are likely to be more areas where Top Management need to demonstrate their
involvement and engagement with the safety management system (Draft clause 5.1)
such as:
•
Ensuring integration of SMS requirements into the
organisation’s business processes
•
Promoting awareness
•
Assuring the SMS achieves its intended results
•
Supporting other relevant management roles to
demonstrate their leadership
Top Management : “Person or group of persons who direct(s) and control(s)
an organisation at the highest level”
26
ISO 45001
Latest Developments
• PC 283 (WG1) meeting held in January
• UK response to survey of key issues to feed into meeting (via OHSAS PG/HS1)
• Inclusion of “OH&S risk” as a defined term (risks and opportunities)
• Inclusion of the word “acts” in the definition of “hazard”
• Should ISO 45001 include the term “incident” as a defined term?
• Should ISO 45001 include the term “compliance obligations”?
• Should the term “workplace” be used as a defined term?
27
ISO 14001: Environmental Standard
Update
ISO 14001: 2015 - Key changes
BSC Webinar : February 25th
Howard Dawes
Senior Environmental Consultant, British Safety Council
Where are we now?
Worldwide certification – ISO Survey
• 2011 267,457
• 2012 284,654
• 2013 301,647 +17,000 (up 5%)
Certification across 158 countries globally
UK 6th in top 10 countries for growth up 996 certificates between 2012/13
UK 4th (behind Italy, China and Japan) for number certificates
30
New structure ISO14001
1
Scope
2
Normative references
3
Terms & definitions
4
Context of the Organisation
•
•
•
•
•
4.1 Understanding the organisation & its context
4.2 Understanding the needs & expectations of interested
parties
4.3 Determining the scope of the EMS
4.4 Environmental management system
5 Leadership
• 5.1 Leadership & commitment
• 5.2 Environmental Policy
• 5.3 Organizational roles, responsibilities and authorities
31
New structure ISO14001
6
Planning
• 6.1 Actions to address risks associated with threats and opportunities
-
6.1.1 General
6.1.2 Significant Environmental Aspects
6.1.3 Compliance Obligations
6.1.4 Risks Associated with threats and opportunities
6.1.5 Planning to take action
• 6.2 Environmental objectives & planning to achieve them
- 6.2.1 Environmental objectives
- 6.2.2 Planning actions to achieve environmental objectives
32
New structure ISO14001
7
Support
• 7.1 Resources
• 7.2 Competence
• 7.3 Awareness
• 7.4 Communication
- 7.4.1 General
- 7.4.2 Internal Communication
- 7.4.3 External Communication
• 7.5 Documented information
- 7.5.1 General
- 7.5.2 Creating & updating
- 7.5.3 Control of documented information
33
New structure ISO 14001
8 Operation
• 8.1 Operational planning & control
• 8.2 Emergency preparedness and response
9
Performance evaluation
• 9.1 Monitoring, measurement, analysis & evaluation
- 9.1.1 General
- 9.1.2 Evaluation of compliance
• 9.2 Internal audit
• 9.3 Management review
10
Improvement
• 10.1 Nonconformity & corrective action
• 10.2 Continual improvement
34
The next steps
2014
July: The Draft International Standard (DIS) is now available for public
comment
2015
February: The Final Draft
International Standard (FDIS).
Q3 – The International Standard is
due to be published
2015 - 2018
The expected transition period is 3 years
35
The next steps
•
Get a copy of the DIS / revised standard and understand the impact it has upon
your organisation and its environmental management system
•
Contact your certification body and discuss whether they can help you transition
to the requirements of the new standard
•
Develop a transition plan with your certification body which will involve a GAP
analysis to allow identification of the training / system development requirements
to benefit your organisation for successful certification by the 2018 date.
36
British Safety Council SHE auditing
Five Star Audit Model
Health and Safety / Environmental / Integrated
Five Star (best practice) audit process
Features/benefits:
• Comprehensive, independent and objective assessment of SMS
• Quantifiable evaluation against best practice technique
• Internationally recognised audit
• Clarifies strengths and identifies areas for improvement
• Detailed recommendations and action planning
• Supports continual improvement
• Can be used as supportive evidence during tender submissions
• Genuine examination of maturity of SMS arrangements
• Generates structured route toward excellence
• Pre-requisite for prestigious Sword of Honour award
38
Five Star audit specification
Development factors
• Mapping against recognised SMS models (HSG65 revised, ILO 2001, OHSAS
18001,18002,18004, OSHA, etc.)
• Based upon PLAN – DO – CHECK – ACT management model
• Five domain sections which include core elements and specific sub elements
• Number of elements (66) with emphasis on certain subject areas and key aspects
of safety management
• Leadership and Continual Improvement a common theme throughout audit:
Safety Management Indicators (SMI)
• SMI carry cumulative scoring which can lead to extra%.
39
Five Star Audit Specification 2013
Safety management indicators
Leadership
Running throughout
five sections via
elements or
question sets
Cumulative scoring
may increase overall
grading by 0.5% 2%
Continual
Improvement
40
Five Star Audit: Specification Model
41
Five Star Audit Specification Model
Sectional headings
Section 5
Section 1
Evaluation and
Review
Policy and
Organisation
500 points
750 points
Section 4
Section 2
Performance Measurement
Strategy and Planning
1125 points
1125 points
Section 3
Implementation
and Operation
1500 points
42
Five Star Audits
Scoring and grading
The Five Star Audit is an audit conducted using the British Safety Council’s
numerical safety grading system.​
The overall audit grading is as follows:
43
Five Star Audit Specification Model
Section 1: Policy and organisation
• 1.01 Safety policy statement
• 1.02 SMS scope, nature and scale (control arrangements)
• 1.03 Leadership and commitment
• 1.04 Roles and responsibilities
• 1.05 Document management
• 1.06 Consultation and communication
• 1.07 Competence and capability
• 1.08 Occupational health and wellbeing
• 1.09 Change management
44
Five Star Audit Specification Model
Section 2: Strategy and planning
• 2.01 Occupational health and safety objectives
• 2.02 Occupational Health and safety plan
• 2.03 Benchmarking and initial review
• 2.04 Provision of resources
• 2.05 Occupational health and wellbeing
• 2.06 Consultation and communication
• 2.07 Leadership and commitment
• 2.08 Risk management and control
• 2.09 Risk profiling
• 2.10 Change management
45
Five Star Audit Specification Model
Section 2: Strategy and planning
• 2.11 Legislative compliance
• 2.12 Emergency incident planning
• 2.13 Procurement and design (including contractor approval)
• 2.14 Competence and capability
• 2.15 Sustainable health and safety attitudes and behavior
46
Five Star Audit Specification Model
Section 3: Implementation and operation
• 3.01 Risk management and assessment
• 3.02 SMS controls (general)
• 3.03 Work equipment
• 3.04 Personal protective equipment
• 3.05 Manual handling
• 3.06 Workstation (DSE) ergonomics
• 3.07 Housekeeping, storage and welfare facilities
• 3.08 Traffic management
• 3.09 SMS controls (specific)
• 3.10 Permit to work systems
47
Five Star Audit Specification Model
Section 3: Implementation and operation
• 3.11 Safe isolation
• 3.12 Working at height
• 3.13 Lifting equipment
• 3.14 Pressure systems
• 3.15 Hazardous substances
• 3.16 Electrical safety
• 3.17 Management of noise
• 3.18 Management of vibration
• 3.19 Safe working/operating procedures
• 3.20 Competence and capability
48
Five Star Audit Specification Model
Section 3: Implementation and operation
• 3.21 Sustaining occupational health and safety attitudes and behaviors
• 3.22 Emergency incident management
• 3.23 Fire safety management
• 3.24 Management of other potential emergency occurrences/incidents.
49
Five Star Audit Specification Model
Section 4: Performance measurement
• 4.01 Occupational health and safety plan (monitoring)
• 4.02 Occupational health and safety objectives (monitoring)
• 4.03 Active measurement
• 4.04 Inspections and audits
• 4.05 Risk assessment review
• 4.06 Legal and other requirements compliance monitoring
• 4.07 Health surveillance
• 4.08 Contractor and supplier monitoring
• 4.09 Documentation management
• 4.10 Reactive measurement
50
Five Star Audit Specification Model
Section 4: Performance measurement
• 4.11 Accident, incident, near miss reporting and investigation systems
• 4.12 Ill Health and absenteeism monitoring
• 4.13 Loss/damage analysis
51
Five Star Audit Specification Model
Section 5: Evaluation and review
• 5.01 Management review and reporting
• 5.02 Provision of resources
• 5.03 Continual improvement
• 5.04 Legislative compliance and other requirements
• 5.05 Occupational health and safety programmes and planning
52
Audit delivery process
A Review of safety
management
documentation
B Interview with
managers and staff
C Site tour and
inspection
53
Five Star Audits
Audit report
Upon completion of the audit
process, a detailed report is
prepared by the auditor and will be
issued within 28 days.
The report content will include:
• Executive summary (including
graphical performance indicators)
• Overall star grading and sectional
scoring
• Observations
• Recommendations for
Improvement
• Action planning tables.​
54
Five Star Occupational Health
and Safety Audit
A comprehensive audit to benchmark
health and safety management
performance against the latest best
practice.
• Improves safety performance,
workforce morale and wellbeing
• Potentially reduced rates of accidents,
injuries and ill health
• Mitigates litigation costs
• Enhances reputation.
55
We have the British Safety Council as
our external partner for all these years
primarily because of the quality of their
auditors. They are very knowledgeable
guys with a wide range of industrial
experience and they came up with very
good ideas.
Andy McLean
Site Health and Safety Coordinator,
Hargreaves Industrial Services
www.britsafe.org/fsa
Integrated SHE Five Star Audit
An integrated best practice audit evolving from our two existing Five Star products.
It will audit against both OH&S and environmental best practice by looking at the
common areas and also the specifics of each subject.
Why have we developed this model?
• There are many synergies and alignment within the two disciplines
• Many companies now have (or are moving toward) integrated management
systems
• In many organisations, the same person oversees the two disciplines (SHE
Advisor / Manager)
• We are looking to offer a cost effective way of measuring performance against
best practice.
56
Audit progression
When you’re working to do the right thing,
we help you do it the right way.
Document title
Clause 4. Context of the organisation
• Determination of internal and external issues “relevant to its purpose” and which
may influence the effectiveness of the EMS. (Clause 4.1)
• External environmental conditions includes climate change adaptation,
biodiversity and resource depletion, for example.
• Also includes external cultural, social, political, legal, regulatory, technological,
economic, natural and competitive context
• Understanding the needs and expectations of interested parties (Clause 4.2)
• Determining the scope of the EMS. (Clause 4.3)
59
Clause 10: Improvement
Non-conformity and corrective action (10.1) - documented information on corrective
actions, the result of the corrective action and review of the effective of these actions
Continual improvement (10.2) - continually improve the adequacy, suitability and
effectiveness of EMS to enhance environmental performance
60
Clause 5: Leadership
Policy commitment broadened from prevention of pollution to include protection of
the environment (Clause 5.2)
Commitments may address:
• Sustainable resource use / recycling
• Local air and water quality
• Climate change mitigation and adaptation
• Protection of biodiversity and ecosystems
Give consideration of environmental performance in strategic planning
Restriction on delegating authority for setting policy, assigning roles and
responsibility, performance evaluation in management review (Clause 5.3)
61
Clause 8: Operation
8.1 Operation planning and control
• Control of outsourced services and supplied products
need to be considered
• Develop & specify requirements for procurement of
goods and services as appropriate
62