About Kevin Lehner

Kevin has been president of ECSI for over 25 years. His practice focuses on environmental and health and safety management systems training, consulting and auditing. He is an active member of the US Technical Advisory Committees to ISO 14001 and ISO 45001. He represents that USA at international meetings of these committees. He is also the lead developer of the CorrectTrack corrective action tracking app.

First ISO 45001 US Technical Advisory Group Meeting In DC

ECSI is currently attending day one of the 2-day ISO 45001 US Technical Advisory Group (TAG) meeting in Washington DC January 15-16, 2014.  We will be reviewing comments on the first working draft of the standard and then breaking into several working groups to revise specific sections of the standard.  One of the key issues  to be discussed will be how much additional discipline specific text should be added to the required High Level Structure (HSL) language.  As a voting member of the US TAG I intend to advocate for a less-is-more approach.  In other words, I believe that most of the discipline specific text (occupational health and safety in this case) should reside in the annex of the standard.

The HLS is designed to facilitate seamless integration of discipline specific management systems into an organizations overall business management system.  In the past ISO standards had significantly different structures which made integration of the standards difficult.  An example is ISO 14001 Environmental Management Systems (EMS) which has only 4 sections and ISO 9001 Quality Management Systems (QMS) which has 8 sections.   The difference in the way the standards were organized lead to considerable confusion among many standard users who wondered why the structure of an EMS needed to be so different than a QMS.

In response to those concerns ISO created the HSL to standardize the way it writes standards which is a really good idea for a standards writing body.  ISO requires that all new and revised standards follow the HLS with little deviation.  My experience with the ongoing revision of ISO 14001 has been that trying to incorporate significant additional discipline specific language into the standard is not always value added and can sometimes diminish the clarity and usability of the standard.  Because of the significant additional language in the ISO 14001 standard it seems overweight or bloated at 19 pages versus 9 pages for ISO 14001:2004.  As we hash over this important issue I hope that both the US TAG and the international project committee PC 283 recognize this potential pitfall and endeavor to limit the amount of additional discipline specific language in the new ISO 45001.

 

Should ISO 45001 Require Multi-Step Hierarchy of Control?

The first face-to-face meeting of the United States Technical Advisory Group (US TAG) will be taking place in Washington DC late next week, January 15-16, 2014.  The purpose of this meeting is to review the recently released first working draft (WD1) of the ISO 45001 Occupational Health and Safety Standard and attempt to find consensus among the members of the US TAG regarding the US position on important technical issues.  One of the important issues to be discussed is what  the ISO 45001 standard should include as requirements and what information should be presented in the Annex A as guidance.

The WD of ISO 45001 currently requires a hierarchy of control in clause 8.1.2 of the standard.  Most occupational health and safety (OH&S) professionals are familiar with this hierarchy of control, which prefers elimination of the hazard as the best choice for controlling an OH&S risk. The hierarchy of control requirement is a good example of what one might consider to be an “overreach” of the standard, in that it prescribes a specific risk control process that may be more appropriate as guidance in the Annex of the standard.  As currently drafted, the WD1 states the following:

When determining prevention and control measures, or considering changes to existing controls, consideration shall be given to reducing the risks according to the following hierarchy:

a) eliminate the hazard;

b) substitution with less hazardous materials, processes, operations or equipment;

c) use engineering controls;

d) signage/warnings;

e) administrative controls;

f) personal protective equipment.

These six steps are almost identical to those listed in the American National Standards Institute, ANSI Z10, clause 5.1.2.  The Occupational Health and Safety Assessment Series standard, OHSAS 18001, clause 4.3.1, has similar requirements, but only lists 5 steps; and  the USA OSHA’s required hierarchy of control lists only 4 steps.

With a quick search of the internet, many other examples of hierarchy of control sequences and steps can be found.  Some national regulatory agencies around the world have other required processes for determining appropriate controls.  Given this apparent lack of national and international consensus for the optimal number and sequence of control steps, is it appropriate for the new ISO 45001 OH&S standard to prescribe either a requirement to use a hierarchy of control process or to specify the number and sequence of the steps in the required process?

Based on our experience on the US TAG working on revision to ISO 14001, we believe that, when making additions to the ISO Annex SL High Level Structure (HLS) required text (see related post), adding less in the requirements sections helps to maintain the integrity of the HLS.  ECSI believes that the elegant simplicity of the HLS is diminished when significant amounts of discipline-specific text (OH&S in the case of ISO 45001) are added to the standard itself.  We believe that most of the additional discipline-specific text in the WD1, especially in clauses 6, 7 and 8, should be moved to the Annex A and treated as guidance.  By doing so, the ISO 45001 Project Committee (PC) will be able to avoid protracted discussions and negotiations over the content of the requirement section of the standard, which in turn will help the PC meet the tight deadlines (3 years) for publication of the standard.

Scope Change for ISO 45001 Set for Vote by ISO TBM

When the idea to create an ISO standard for Occupational Health and Safety Management Systems (OHSMS) was recently resurrected the scope of the project was limited to preparing requirements only.  Guidance on use of the new standard was excluded from the scoped of the project.

At its inaugural meeting in October 2013 ISO/PC 283 reviewed its scope and the PC agreed that it was essential to provide guidelines on the use of the OH&S requirements that it is mandated to develop.  The form of the guidelines is expected to be an annex to the requirements standard similar to what was done with ISO 14001.

This scope change needs to be 652px-Logo-ISO[1]approved by something called the ISO TBM (Technical Management Board).  A ballot is being circulated with the TBM to modify the title of ISO/PC 238 by eliminating the word “requirements”.  The voting period will close on December 28, 2013.  The TBM will also be voting on whether to change the scope of PC 283 to the following:

Development of a standard on occupational health and safety management systems “Requirements with guidance for use”.

Although this may seem like a subtle change the impact on the OH&S standard development will be large and will improve the value of the standard for users.  My guess is that the greatest area of impact in the guidance portion of the standard will be in the front end work to set up a conforming OHSMS.  Specifically the part of the standard the addressed hazard identification and risk assessment.

I am interested in this groups opinion of what other areas of the new standard will benefit from guidance such as, employee participation or value/supply chain management , and how explicit should that guidance be?  Please don’t be afraid to post a comment here  or at the linked In at the  ISO 45001 group with you opinion or comment.

OHSAS 18001 and ISO 45001 – ISO Health and Safety Management Systems

In late October 2013 ISO (International Organization for Standardization) decided to move forward with the development of an ISO standard that will replace OHSAS 18001 Occupational health and safety management systems – Requirements (British Standard Institute) within the next three years.  The ISO Occupational Health and Safety Management System Standard (OHSMS) is expected to be issued under the number ISO 45001.   The exact title is still up in the air but will be similar to something like Occupational health and safety management systems – Requirements with guidance for use.   The first Working Draft of the new OHSMS standard is expected to be circulated to the US Technical Advisory Group (U.S. TAG) members within the next few weeks. 

Important issues that will be discussed early in the standard development process are:

Defining the term “persons under the control of the organization”. 

There will be discussion about how much flexibility organizations will have when defining the scope of its OHSMS under the ISO 45001 requirements.  This issue will have a significant impact on organizations who have chosen to shift OH&S risks to onsite contractors’ through contracts that require the contractors to assume some or all responsibly for their employees health and safety and for compliance with all regulatory requirements.   The questions will likely boil down to will the standard allow a complicated scope statement that excludes substantial portions of the facility’s physical location thereby excluding many contractors from the scope of the OHSMS,  or will the standard discourage this type of scoping in favor of a more inclusive approach to the scope of the OHSMS. 

Questions about acceptable levels of risk shifting or sharing will need to be discussed  and answered.

Hazard Identification, Risk Assessment and Risk Control

This will be an important topic of discussion and deliberation with the U.S. TAG to reach consensus on what the standard will require of organizations to develop, implement and maintain a process for performing hazard identification and risk assessment.   There are many approaches to risk assessment and it will be interesting to see how detailed the requirements will be regarding this important area of an OHSMS.  Appendix F of ANSI Z10 will be a starting point for the U.S. TAG for developing the guidance on this important OHSMS topic.

The new structure required by ISO (Annex SL) places emphasis on the concept of risk management.   OHSAS 18001 emphasized this aspect of an OHSMS but you can expect more in the way of guidance in ISO 45001 describing appropriate methods for assessing OH&S risks.   The guidance will be in the annex of the ISO 45001 standard with examples of how to perform an OH&S risk assessment and there will likely be a figure that looks something like the figure below where risk is estimated based on multiplying the likelihood value by the consequence value to arrive at the risk score.

 risk score 112113

 

 

 

 

Time Frame for ISO 45001 Development

Here is the current schedule for required 3 year development of the standard that was provide to TAG members on November 15, 2013.

  • Dec 2013 –Working Draft 1 (WD1) circulated Working Group 1 (WG1)
  • Jan 2014 – Submit Comments on WD1
  • Jan 2014 – US TAG Face to Face Meeting (to develop US positions/concerns on WD1) – ECSI will attend this meeting.
  • March 2014 – PC Meeting – Development of Committee Draft 1 (CD1)
  • November 2014 – PC Meeting – Development of Draft International Standard (DIS)
  • November 2015 –PC Meeting – Development of Final Draft International Standard (FDIS)
  • October 2016 – Publish ISO 45001

ECSI is a voting member of the U.S. Technical Advisory Group to ISO 45001 and will be directly involved in developing the US position on the content of this important standard.  We will be publishing updates on the progress of ISO 45001 and are happy to discuss any ideas, issues or concerns you have with the development of this new standard or any other OH&S issues you would like to discuss.  Don’t be shy.  You can either post a comment / question here or contact us directly at 920-648-4134 or email us kalehner@envcompsys.com.

 

ISO 14001Revision and ISO Annex SL – Elegant Simplicity or Redundant Complexity?

Being part of the ISO14001 revision process is fascinating. The technical advisory group (TAG) here in the USA of which I am an active member met in New Orleans late last month and I participated in the ISO 1400:201x revision process. There are likely to be significant changes to the ISO 14001 as it is aligned with something called the High Level Structure (HLS). ISO has decided that all new and revised standards will be organized in accordance with the HLS and ISO 14001 is the first major standard to go through the revision process under the HLS mandate. The revision to the standard is expected to be issued in final form in early 2015.

Under the HLS, ISO 14001 will go from 4 sections to 10. Even with six additional sections there is simplicity to the HLS that I find appealing. The HLS elegantly walks an organization through the steps needed to implement and operate any type of management system whether it’s environmental, health and safety, quality or even food safety.

Some participants in the revision process believe that a major obstacle  is that the International Organizations for Standardization (IOS) has imposed strict limitations prohibiting deletion of any of the HLS text. Text can only add where needed to make the HLS work for environmental management. There are two schools of thought on how to make the HLS work for an EMS. So far the group has used an approach where the old ISO 14001:2004 is dismantled and each section is inserted into a section of the HLS where it seems to be appropriate. The core HSL is only about 9 pages long. The approach currently being used by the TAG, to add text to the HLS from ISO 14001, has resulted in a document that is over double the length (19 pages not including the Annex).

Another emerging “less is more” approach to the ISO 14001 revision leaves the HLS mostly as it is with only subtle changes. EMS specific issues are addressed largely in Annex A. The only requirement imposed by the IOS regarding the content of the Annex is as that:

“The additional text given in this Annex is strictly informative and is intended to prevent misinterpretation of the requirements contained in this International Standard. While this information addresses and is consistent with the requirements, it is not intended to add to, subtract from, or in any way modify these requirements”.

Using this “less is more” approach solves some of the current problems with proposed revisions to the standard. It will reduce the potential problem of increased complexity and redundancy. The US TAG will continue to meet over the next few weeks to determine what the TAG experts will present as recommendations at the next international meeting of the ISO 14001 Technical Committee June 24-28, 2013 in Gaborone, Botswana. If you are interested in learning more Annex SL is where you can find the core HLS text. Look in Appendix A of Annex SL.

 

ISO 50001 Quiz Question from Linkedin Groups

Here is a senario and question that was posted to a Linkedin group that I thought was interesting.  Below are my thoughts.

Senario – An auditor was performing a site visit to the management offices during an ISO50001 audit in a factory. The time was noon and the weather was hot outside. and he noticed that a large area of the offices from the east side was subject to a direct sunlight. The curtains are already there but they look in a bad status and when he asked staff there it seems never been used to cover windows. He checked then the EnMs records and found that the SEUs are only the cooling and the motors. He checked the operational procedure , nothing is mentioned about use of curtains. The list of ECMs does not mention anything about the use of curtains. Can he consider this as a non-conformity? and according to which clause of ISO50001?

My Reply –

There is no way in heck that a competent auditor should write a NC to ISO 50001 based on the facts provided here.  Much more information is needed to make that call.  I would want to know at least the following:

1.  Has the organization established objectives and targets associated with the cooling SEU?  If not this is a clear NC to 4.4.6.  If they have established objective and targets for this SEU then I want to know…

2.  Have they established action plans for achieving these objectives and targets?  If not, it is also a clear NC to 4.4.6.  If they have established action plans for achieving the objectives and targets then I want to know…..

3.  Have the action plans been sufficiently developed that the curtains should have been considered as an effective operational control?  If the conclusion to this question in “No” the action plans have not been sufficiently developed,  I need to decide if I believe a creditable effort has been put forth by the organization given the timeframe the actions plans have been in place.  If the action plans have been in place for a few years and little progress has been made to identify and implement controls than a NC to 4.4.6 is justifiable.

If on the other hand the organization has recently implemented the EnMS and the objectives and targets have only been in place for a few short months, I cannot expect them to have made great progress on identifying appropriate controls yet.

4. At some point on this audit trail I also want to ask myself the question…Is this a “material issue”.  In other words “does it matter” in the grand scheme of the organizations EnMS if these curtains are in use or not.  This is auditor judgment and why auditors should become certified or otherwise competent to do this important work.  Depending on the circumstances this might be the first questions I would want to ask.

Future Challenges for ISO 14001: ISO Continual Improvement Survey (2013)

As you may already know, the ISO 14001 environmental management systems (EMS) standard is currently being revised, considering future challenges for EMS and continual improvementThe International Organization for Standardization (ISO) recently launched an ISO 14001 continual improvement survey to develop an understanding of the needs of current, past and potential users and other knowledgeable interested parties in relation to EMS standards.  The survey takes into account key topics from the ongoing discussions in the working group that is revising ISO 14001, and the results will be used to inform the ongoing revision.

Your views on these key topics and opportunities for improvement are extremely important, in order that the results truly represent the thinking of the users of the standard and other knowledgeable interested parties, including those in the US.  Please follow the link below to participate in the survey.

ISO 14001 continual improvement survey 2013

The survey will take approximately 20 minutes to complete.   All responses will be confidential, and individual respondents will not be identified.  Overall results will be made available to interested parties upon request, as indicated on the final page of the survey.

If you have questions concerning the distribution of the survey or participation in the standards revision process, please contact the American Society for Quality Standards Group at standards@asq.org.  General questions regarding survey participation or distribution of results may be directed to the ISO Central Secretariat at central@iso.org.

Thank you very much for your assistance.

Sincerely,

Lisa Greenwood and Kevin Lehner

US Technical Advisory Group to ISO TC 207 – Environmental Management

ISO 14001:201X Revisions Underway

The ISO 14001 revision process is in full swing. It has been underway now for almost a year and the US Technical Advisory Group (TAG) is currently working on the third committee draft of this popular international standard. In August 2012 we traveled to Washington DC to attend the semiannual meeting of the US TAG where the US team discussed the new compressive reorganization of the ISO 14001 revision required by something called the High Level Structure or Annex SL.

Both ISO 14001 and ISO 9001 will follow the new outline during their revision process. For ISO 14001 wonks out there who really want to get into the weeds on the reorganization of ISO 14001 here is a link to the Annex SL. The text of the HLS is at the end of the document.

Since the August DC meeting a core group of the TAG members has been meeting weekly to prepare comments on the current revision working draft (N_073_ISO_14001_ (E) WD3). The massive reorganization of the standard is the most significant difference people will notice right away when the revised standard in finally issued within the next 12-18 months. Here is a peak at the new high level structure that will be the framework of the ISO 14001:201X revision

Clause 1 – Scope

Clause 2 – Normative references

Clause 3 – Terms and definitions

Clause 4 – Context of the organization

Clause 5 – Leadership

Clause 6 – Planning

Clause 7 – Support

Clause 8 – Operation

Clause 9 – Performance evaluation

Clause 10 – Improvement

Our initial focus was on trying to fit the existing content of ISO 14001:2004 into the new structure. There are areas that fit well and others that don’t. More recently much effort has been invested by the core group discussing revisions to important definitions like “requirement”, “conformity” and “non-conformity”.

One of the additions to the standard we recommended was to include a new definition of the term “Significant Environmental Aspects” (see related post).

Participation on the TAG is rewarding but not without expense. Trips to DC, New Orleans, Sweden, and Botswana to promote the US position are investments in helping make the standard better for everyone. If you or your organizations would like to help support this important work we would welcome your assistance in anyway. You can email us at: ecsi14001tag@envcompsys.com or call me (Kevin Lehner) directly at 920-648-4134.

 

Revision to ISO 14001:2004 – Defining Significant Environmental Aspects/Impacts – Sense and Semantics

Over the last two decades practicing as an ISO 14001 auditor, consultant, and teacher, I have found that many individuals and organizations misunderstand the intent and meaning of the terms “significant environmental aspect” and “significant environmental impact.”  With the revision to ISO 14001:2004 well under way, perhaps now is a good time to attempt introducing language or definitions into ISO 14001:201x that will help individuals and organizations better understand the term “significant”, and the distinction between the terms “aspect,” and “impact.”   Such clarity would enable individuals and organizations to better interpret  what exactly must be done according to the standard. This confusion in meaning is understandable because, at least in the English language, there are several definitions or “senses” or “subsenses (meanings in specific contexts) of the term “significant.”  The senses or subsenses that are applicable within the context of ISO 14001 can be found in the MerriamWebster Collegiate Dictionary (Tenth Addition) as follows:

2   a: having or likely to have influence or effect:  IMPORTANT  <a significant piece of legislation>;    also: of a noticeably or measurably large amount <a significant number of layoffs> <producing significant profits>

In order to fully comprehend this definition, you need to refer to the Explanatory Chart and Explanatory Notes at the beginning of the dictionary, which describe the meaning of the numbers (2), something called a “sense number”; the small letters (a), which are “sense letters”; the colon (:), which is used to separate two or more definitions of a single sense; and the italicized word “also,” which is called a “sense divider” and is used to introduce a meaning that is closely related to but may be considered less important than the preceding sense.  If a capitalized word is used to define a sense of the word, that capitalized word, in this case IMPORTANT, is defined as a synonym of the term being defined.

The sense number 2 definition of the term “significant” has several subsenses with different meanings.  One of these subsenses means “important.”  The other means “a noticeably or measurably large amount.”   What has happened over the years with the interpretation of ISO 14001 is that many individuals and organizations have applied only the second subsense of the term “a noticeably or measurably large amount,” when they are determining which environmental aspects they consider significant.  They ignore the other, and arguably more important, subsense of the term  “IMPORTANT.”

The effect on an organization’s Environmental Management System of only considering the part of the definition of “significant” that means “a noticeably or measurably large amount“ has been that an organization typically excludes from its list of significant environmental aspects those that are “important” to them for  reasons other than their being “a noticeably or measurably large amount”. This typically includes environmental aspects for which the organization has established operational controls (work instructions) to ensure that the environmental impact of the significant environmental aspect is controlled to the level desired by the organization.  

An example might be waste light bulbs, batteries, and other electronic waste.  Although most organizations have procedures for ensuring that these wastes are properly recycled (work instructions or procedures), many do not identify these wastes as significant environmental aspects because they believe the presence of the operational control has reduced the potential impact from these wastes to a point where they do not constitute a  “noticeably large amount.”   They do not apply the other subsense of the word “significant” with the meaning “important.”  Proper management of waste light bulbs is obviously important to the organizations because they have established a procedure (operational control) for ensuring that they are managed in a certain way. 

The unfortunate consequence of not including waste light bulbs as a significant environmental aspect is that this important environmental aspect  then becomes transparent to the management system.  The organization’s performance toward ensuring that waste light bulbs are managed correctly is not routinely measured or audited during internal or other system audits. 

To correct this problem the US TAG should consider adding the following definitions to ISO 14001:201x:

3.xx significant environmental aspect The cause of a significant environmental impact

3.xx significant environmental impact The potential or actual environmental effect or risk caused by a significant environmental aspect that an organization intends to manage or is managing through operational controls and/or environmental objectives, targets, and programs

The definition of significant environmental impact above includes reference to “risk,” which is meant to address the risk to the organization, including potential regulatory noncompliance.  The result of including the word “risk” in the definition is that organizations controlling  an environmental aspect to manage a potential risk of noncompliance will need to identify that environmental aspect as “significant.” Close attention should also be paid to the way in which the terms “significant environmental aspect” and “significant environmental impact” are used in the standard to avoid confusion between these terms.  The use of the term significant environmental impact” should be limited compared to the use of the term significant environmental aspect.  The term significant environmental impact should be used only in the section of ISO 14001:201x addressing identification of environmental aspects.

Kevin A. Lehner, EMS-LA, CHMM – January 11, 2013

A True Story – Why ISO 14001 Works

Background

It has been over seven years since we first began helping a medium sized automotive equipment manufacturer in the midwest implement a company wide ISO 14001 EMS. They were getting pressure from their customers to prove they were good environmental performers and an ISO 14001 certificate was the best solution. We helped them with environmental aspects, setting up the EMS and identifying regulatory compliance requirements. As we were completing the project we performed a round of internal audits to check that each facility was complying with the applicable  legal requirements.

The Audit Finding

One of the findings of our compliance audit was that at one location, the company was operating unpermitted production painting equipment. The audit team could find no records of correspondence with the State permitting authority about this new equipment. It had been commissioned sometime after an initial Title V permit application had been prepared for the facility. The paint operation was an important part of the manufacturing process and it was not possible to simply shut the process down. Doing so would have resulted in delayed shipment of product and dissatisfied customers.

The Response

Although the discovery of this potential noncompliance was uncomfortable news for the organization, at least they now had a better picture of the potential risks they were facing. They examined the process closely and decided that it was time to upgrade. They worked it out with the state permitting authority to replace the old system with a new more efficient paint system.

Fast Forward

Over the last several years we have continued to perform periodic EH&S compliance, ISO 14001, and OHSAS 18001 internal audits to support their continued certification to these standards.. During a recent compliance audit at one of the facilities we were delighted to see a new process being installed. It means the company continues to grow but, from an auditors perspective, the stack ducting through the roof becomes a great opportunity to check the EMS effectiveness to control noncompliance risk. As we walked by the new process I could see the auditee cracking a half smile as I asked a few questions about the new equipment and construction underway. He knew where this audit was going.

The audit was actually a combined one-day environmental and OSHA compliance audit so we had a lot of ground to cover in 8 hours. When the audit schedule called for review of compliance with state air emission permits, I asked what they knew about the potential emission from the new process. The audtee said “the process had the potential to emit a hazardous air pollutant at levels requiring permitting before installation of the equipment”.  The auditee then produced the construction permit they had been issued by the state?  The EMS had worked to help the organization identify the need to obtain a permit, well in advance of beginning construction on the new process.

Results Matter

Discovery of unpermitted emission sources during internal and compliance audits is not uncommon for us even today. Helping organizations identify and manage risks of noncompliance in the short term provides some satisfaction in our work. But having the opportunity to see the results of an effective EMS that we helped implement and, how that EMS has helped manage risks long term, is particularly gratifying.

Skepticism of the benefits of ISO 14001 will continue to linger especially with the uniformed. However, organizations interested in managing environmental risk and becoming more sustainable need to understand how the audit processes, embedded in ISO 14001, can be used to support an organizations sustainability efforts, promote successful outcomes and provide confidence by other stakeholder that environmentally, things are as they should be.