30/10/2017

HOW TO BENEFIT FROM

INTEGRATED MANAGEMENT
SYSTEMS
Nigel Leehane
Technical Director

Presentation content
• Integrated management systems in ISO standards
– Annex SL requirements
– Discipline standards requirements
• Understanding context to guide you on the extent of
integration
• Addressing risk in integrated systems
• Integrated auditing
• Summary of the benefits

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Annex SL and integration

And the requirements in specific discipline standards

But first, what’s new about integration?

• Management systems standards have been evolving and harmonising
through a number of revisions, and the benefits of integration have been
acknowledged for many years
• BSI developed PAS 99 – Specification of common management system
requirements as a framework for integration, published in 2006
• PAS 99 was revised in 2012 and embraced the new Annex SL structure,
and provided some interpretation of its requirements
• However, PAS 99 2012 does not reflect the interpretations of ISO 9001, ISO
14001, ISO 45001 DIS, etc.
• Some of the new requirements of these revised (and new) management
systems standards present challenges for integration

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Annex SL Aim of Annex SL.

The aim of Annex SL is to enhance the consistency and
alignment of ISO management system standards by
providing a unifying and agreed high level structure,
identical core text and common terms and core definitions.
This will help organizations that choose to operate a single
(sometimes called “integrated”) management system.

5.1 Leadership and commitment.

Ensuring the integration of the XXX management system
requirements into the organization’s business processes

Introduction.
ISO 14001
Organisations can benefit by integrating environmental
management into their “business processes, strategic
direction and decision making, aligning them with other
business priorities, and incorporating environmental
governance into its overall management system”.

ISO 45001 DIS Introduction

1. The effectiveness of the OH&S management system depends
on its integration into the organization's business processes
2. The OH&S management system or its elements can be
aligned or integrated with other disciplines

6.1.4 Planning action.

Plan how to integrate and implement the actions into its OH&S
management system processes or other business processes

6.2.2 Planning to achieve OH&S objectives.

Determine how the actions to achieve OH&S objectives will be
integrated into the organization´s business processes

9.3 Management review.

Outputs shall include opportunities to improve integration of the
OHS management system with other business processes

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Annex A 4.4 OH&S management system

ISO 45001 DIS
The organisation determines how to integrate requirements of
the OH&S management system into its various business
processes, such as design & development, procurement, human
resources, sales and marketing, etc.

Annex 6.2.1 OH&S Objectives

OH&S objectives can be integrated with other business objectives

Annex A 8.1.2 Eliminating hazards and reducing OH&S risks.

Integrate health and safety including ergonomics when planning
new workplace

ISO 9001 Nothing additional

And comparably fewer references to integration than ISO 14001
and ISO 45001 DIS

Implications
• From the standards:
– Encouragement for integration of management system
disciplines
– Encouragement for integration into business processes
– Both can deliver benefits, efficiencies, etc.
– Both present challenges

• A question (or two)

– What are the challenges for management systems – the barriers to
success?
– Can integration in some form break them down?

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Understanding context
to guide you on the extent of integration

Context and interested parties in standards

• Annex SL - Context
– “The organization shall determine external and internal issues
relevant to its purpose and that affect its ability to achieve the
intended outcomes of its XXX management system. “
• This is used in ISO 45001 DIS and ISO 14001, and with a small variation
in ISO 9001
• ISO 45001 DIS and ISO 14001 also include detailed guidance and
examples of internal and external issues in their Annexes.
• Annex SL – Needs and expectations of interested parties
– “The organization shall determine:
• the interested parties that are relevant to the XXX management
system, and
• the requirements of these interested parties.”

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External
drivers Context Mission
Values
Establish
Strategy
Management
management
review
Management Governance
system

system
structure, Policy
Leadership &
Commitment
governance and
sustainability Corrective
action

Performance Risks &

evaluation Opportunities
Operational
management Planning and
operational
performance
Operational
Objectives
control

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Context, and needs and expectations of

interested parties, implications for integration
• Customer requirements
– May not be for an integrated system
– But for certification to ISO 9001, ISO 14001, OHSAS 18001/ ISO 45001
• Lenders and investors
– Their standards for EHS
– Their desire to control risk
– Again, may encourage implementation of an integrated system
• Organisational characteristics
– What is our business culture?
– What competences do we have?
– What sort of business systems and processes?

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Examples
• Power company supplying equipment for remote locations
– Determination of context led to extending the EMS to field
operations (previously assumed to be under client control) and
to suppliers
– Well-understood OH&S processes expanded to address
environment – Zero Harm, walks and talks, incident reporting
• Waste company operating a treatment facility for municipal
waste
– Authority required certified systems for quality and
environment
– Waste company wanted certification for OH&S
– Decided to implement an IMS for certification to all three
standards

Degrees of integration

Single organisational management system,

incorporating HSEQ

Integrated HSEQ management system

aligned with other business processes

Separate OH&S, E and Q management systems, with

some shared tools, e.g. non-conformance processes

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Benefits of determining context

• The wording of the clause on context is important - it requires
consideration of issues:
– Relevant to the organisation’s purpose (its reason for being, its
vision, mission and values), i.e. things of supreme importance to
senior management
– That affect its ability to achieve the intended outcomes of its
management system
• This is extremely powerful, as it shows to senior management
how important its management system can be, in relation to
its purpose
– It helps to align E, H&S, Q strategy with business goals
– This should result in senior management support for the
management system, including for an IMS, if that is more
efficient or meets customer expectations

Integrated approach to risks & opportunities

How can this work?

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Annex SL approach to risks and opportunities

1. When planning for the XXX management system, consider
context and the needs and expectations of interested parties
and determine the risks and opportunities that need to be
addressed to:
– assure the XXX management system can achieve its intended
outcome(s)
– prevent, or reduce, undesired effects
– achieve continual improvement
2. Plan actions to address the risks and opportunities and
integrate these into its XXX management system

• ISO 45001 DIS and ISO 14001 do this, but with additional steps

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ISO 45001 DIS and Risks & Opportunities

Definitions
• Risk
– effect of uncertainty
– And a note: where the terms risks and opportunities are used together this means
OH&S risks, OH&S opportunities and other risks and opportunities to the management
system
• Occupational health and safety risk
– combination of the likelihood of occurrence of a work-related hazardous event or
exposure(s) and the severity of injury and ill health that can be caused by the event or
exposures
• Occupational health and safety opportunity
– circumstance or set of circumstances that can lead to improvement of OH&S
performance

• ISO 14001 has taken a similar approach – reconciling its traditional treatment of
environmental risk with the Annex SL Risks and Opportunities

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45001 and 14001 processes for Rs&Os

ISO 45001 DIS

Establish a Determine
process to Identify OH&S Assess OH&S legal and
Plan action
determine hazards Rs&Os other
Rs&Os requirements

ISO 14001

Establish a
Identify Assess Determine
process to
environmental significant compliance Plan action
determine
aspects aspects obligations
Rs&Os

Not stated but implied

that this includes
related Rs&Os

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Example of an EMS Aspects, Rs&Os register

• No major differences from a typical OH&S risk register?

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Integrated OH&S and Environmental Rs&Os

process?
• Certainly a possibility, overall approach is similar
• But!
– The nature of the hazards/aspects is not the same (so
a drop-down menu could be very long)
– The risks and opportunities could be different (but
could we come up with identical categories?)
– Would responsibilities for the assessing the OH&S and
environmental risks be the same – could cause
complications for reviewing them if in one tool?
• Perhaps possible to align ranking? Or is that
dangerous?

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Integrated auditing
What are the challenges?

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Integrated auditing – the challenges

• No effective ISO guidance – ISO19011 doesn’t use
the term, instead “combined” audits
– Auditing two systems, e.g. for OH&S and environment
– Auditing an integrated HSE management system
• In reality
– The “audit team” needs competence in all the disciplines
covered by an audit, individuals needn’t all be experts
– How about SMEs or small units within a business?
• Who has the competence?

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Integrated auditing – large company

• Integrated HSEQ management system
– The audit programme covers all elements
– Individual audits may not
1 2 3 4 5 6 7 8
Competence

OH&S risks

processes
Improvement

Procurement

feedback
Customer

preparedness
Emergency

processes
Governance

Distribution

– Mix of management system and business process

specialists, for different audits
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Integrated auditing – SME

• Integrated HSEQ management system
– The audit programme covers all elements
– Individual audits may not
1 2 3 4 5 6 7 8
processes
system
Management

audit
certification
External

compliance
legal
consultant for
External

control
Operational
– A mix of internal and external expertise

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Integrated auditing – Pros and Cons

• Pros • Cons
– Time-saving for auditors – Overly-ambitious
– Reduces the number of – Not enough time in an
audits and audit fatigue audit to cover all the scope
– More efficient – Are the auditors
– Better outcomes due to sufficiently competent to
holistic approach i.e. a cover everything in depth?
finding will address all
discipline issues so should
be practical
– Fewer reports for
managers to review so
they may act on them?

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Integrated auditing – the future

• What will audit programmes tackle?
– Governance processes (and interfaces with
operational management)
– Social issues
– Anti-bribery and corruption
– Modern slavery
– Integration with business processes (Annex SL)
• Will there be a greater role for audit specialists in
large companies – central audit functions?
• Will OH&S, environment and quality auditors still be
needed?
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Overview of the benefits of integration

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Key benefits
• No silos, so holistic approach
• Efficiency – avoids duplication of processes
• Alignment with business goals (at the corporate level and the
functional level)
• Consistency in approach
• Alignment in prioritising the need for action or improvement
• Transparency
• Greater senior management support and ownership

Finally - timings
• ISO 45001 DIS may be published in Spring 2018
• Some companies will be going for re-certification of their IMSs
between now and then so will have to recertify to OHSAS
18001
• It will be possible to modify an IMS to conform to the
requirements of OHSAS 18001, ISO 9001:2015, ISO
14001:2015 and ISO 45001 DIS, so that no significant changes
are needed when certification is eventually sought to ISO
45001:2018
• The expected transition period to ISO 45001:2018 would be
three years, so around Spring 2021, if it is published when
anticipated

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ANY QUESTIONS?

Nigel Leehane
Technical Director – SLR Consulting

+44 (0) 115 964 7280

[email protected]
www.slrconsulting.com

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