U S Technical Advisory Group Meeting Recap of

U. S. Technical Advisory Group Meeting Recap of the October London PC 283 Meeting November 15, 2013 1

Agenda I. Opening Remarks Vic Toy II. London Meeting Review a. Overall review of process (Document N 73) (Kathy Seabrook) i. Key points (Document N 67) ii. Time lines (Document N 68) iii. Resolutions (Document N 70) b. Review development of a working draft i. Section 4 context of the organization, 5 Leadership/Participation, Support (Kathy Seabrook) ii. Section 6 Planning 6 (Vic. Toy) iii. Section 8 Operation (Todd Hohn) iv. Section 9 performance evaluation and 10 Improvement (Thea Dunmire) v. Terms and Definitions (Thea Dunmire) III. Next Steps (Vic) a. Mirror TAG working groups b. Remote meetings on development of working draft c. Face to face meeting January 14 -17 th. IV. Administrative items a. TAG organization / working groups (Vic Toy) b. Committee Updates (Kathy Seabrook, Jim Howe) c. OHSAS Ballot (Vic Toy, Tim Fisher) d. ISO Management System Education Module (Vic Toy) Presentation Title Date or Event Slide 2

Meeting Objectives Overall Objective: The purpose of this meeting is to give the U. S. TAG Attendees a recap of the London Meeting and to start planning for review and action on the proposed standard. 1. Review and impressions from the October PC 283 Meeting 2. Enhanced understanding of the process 3. Strategies and plans for moving the work and organization of the TAG Forward Presentation Title Date or Event Slide 3

Principle goals for your delegation n Establish and nurture key relationships Provide positive participation with impactful (U. S. position) input Develop cadence and improve rhythm with the U. S. delegation Presentation Title Date or Event Slide 4

London Meeting Review ISO 45001 OHSMS – Requirements Presented by Kathy A. Seabrook 5

ISO PC 283 /45001 n Presentation Title Date or Event Slide 6

ISO PC 283 – Meeting Participants n n 83 delegates (Experts) 27 Member bodies 5 Liaison members Some participated by webinar Presentation Title Date or Event Slide 7

Goals - Inaugural Meeting n To review the comments: Revised “proof of concept” draft and to Begin to produce a first Working Draft (WD 1) of ISO 45001. Ø Design Specification to develop the final document. (Live Document) Ø n Address agenda items for the Project Committee (PC) Open Forum. Presentation Title Date or Event Slide 8

Goals - US Delegation n Establish Key Relationships – Secretariat, Country n allies & alliances Advocate for US positions based upon Z 10 and US Comments in (most comments were accepted): Ø Ø Ø Proof of Concept Document Design Specification Open Forum (as applicable) Presentation Title Date or Event Slide 9

Key points - Takeaways n n Developed good relationships with the Secretariat, Chair - Working Draft 1 (WD 1), various key countries US Comments on Po. C and Design Specification were accepted for the most part Presentation Title Date or Event Slide 10

Key points - Takeaways Open n Forum Key issues for resolution by the PC: The application of “risk”; “people” under the control of the management system; the understanding of what constitutes the “workplace”; ‘participation’ in the setting of policies and objectives. Presentation Title Date or Event Slide 11

Key points - Takeaways n n Standard to include an Annex with guidance (ISO/TMB must approve – (PC not TC so approved for Requirements only) WD 1 will be completed Presentation Title Date or Event Slide 12

Terms n n Working Draft (WD) – First draft developed by the Project Committee and experts (US will have TAG input) Committee Draft (CD) –First public draft for circulation to public for comments Draft International Standard (DIS) Final Draft International Standard (FDIS) Presentation Title Date or Event Slide 13

Timeline – 3 Years (N 68) n n Dec 2013 –Working Draft 1 (WD 1) circulated Working Group 1 (WG 1) Jan 2014 – Submit Comments on WD 1 Jan 2014 – US TAG Face to Face Meeting (to develop US positions/concerns on WD 1) March 2014 – PC Meeting – Development of Committee Draft 1 (CD 1) Presentation Title Date or Event Slide 14

Timeline – 3 Years (N 68) n n n 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 - 3 Year Process - Presentation Title Date or Event Slide 15

London Review Process 5 Task Groups n n n TG 1: Section 4 the organization, 5 Leadership/Participation, 7 Support TG 2: Section 6 Planning TG 3: Section 8 Operation TG 4: Section 9 Performance Evaluation and 10 Improvement TG 5: Terms & Definitions (Formed at the end of meeting) Presentation Title Date or Event Slide 16

Key Resolutions (N 70): Resolution 1/2013 - Following consideration of its Scope, and agreement to develop guidelines as an annex to ISO 45001 Occupational Health and Safety Management Systems – Requirements (in a similar manner to ISO 14001, Annex A) n ISO/PC 283 resolves: l l l To request the ISO/TMB to extend the scope of the PC to cover the development of such guidelines To request the ISO/TMB to change the title of the PC to reflect such a change in scope (either to “Occupational health and safety management systems – Requirements with guidance for use” or to be brief to just “Occupational health and safety management systems”) To change the title of WG 1 to “Occupational health and safety management systems – Requirements with guidance for use” Presentation Title Date or Event Slide 17

Key Resolutions (N 70): Resolution 2/2013 - Following consideration of the various timeframe options n Ø ISO/PC 283 resolves to: Follow the 3 year “default” timeframe for the development of ISO 45001 Resolution 3/2013 - Following a review of the comments received on the draft “Design Specification” (document N 21), and its amendment, n Ø ISO/PC 283 resolves to: Adopt the “Design Specification” for the development of ISO 45001 given in document N 69 Presentation Title Date or Event Slide 18

Key Resolutions (N 70): Resolution 5/2013 - Following consideration of the resources needed to complete its task, ISO/PC 283 resolves to: - Impose a limit of 3 Experts per member on ISO/PC 283/WG 1 Presentation Title Date or Event Slide 19

Thank you! Any Questions? Presentation Title Date or Event Slide 20

Task Group (TG 1) Section 4: The Organization Section 5: Leadership/Participation Section 7: Support Presented by Kathy A. Seabrook 21

In General Reviewed and resolved 32 comments from the POC Country comments n Identified areas for further work and provided wording where there was agreement amongst the TG. n Identified need for further defining: workplace, worker, participation, consultation, interested parties, internal and external Issues and organization. TG 5 (Terms & Definitions task group) n Guidance on ‘participation’ definition taking information from Z 10, ILO. n Presentation Title Date or Event Slide 22

In General Guidance on Competence included n Raised concern on how Scope is determined, tied to yet to be defined terms and concepts of workplace, worker, and control of activities. n Scope should be defined at least the boundary of the workplace. n Presentation Title Date or Event Slide 23

5. Leadership n n Policy to include commitment by Top Mgmt for worker/employee participation 5. 3 Guidance - Assuring the organizations performance review, compensation, reward and recognition systems are aligned with the OH&S policy and OH&S management system performance objectives Presentation Title Date or Event Slide 24

7. Support 7. 4. 2 C –obstacles and barriers to participation – Z 10 Language in requirements and guidance (ILO agreed) n Guidance on competency to include re-training and recertification as well as meeting regulatory compliance. n Guidance: relevant means making sure each person in the organization has what they need to be effective in carrying out their obligations in the management system. n Presentation Title Date or Event Slide 25

TG 1 Participants: • • • Peck Thian Guan, TG Leader, Singapore Kathy Seabrook, Scribe, US Barbara Libowitzky, Austria Yusuke Chiba, Japan Catherine Brakenhielm, ILO Trevor Dodd, UK • • • Sigrid Hansen-Tangen, Norway Emily Sims, ILO Eckard Metze, Germany Ian Wrightson, UK Peter Kwan Ming Cheng, Hong Kong Julio Diaz Gerardi, Argentina Presentation Title Date or Event Slide 26

Thank you! n Any questions? Presentation Title Date or Event Slide 27

Task Group (TG 2) Section 6: Planning Presented by Vic Toy 28

Section 6: General Remarks from TG 2 n n n n Discussion of the type of definition we prefer for “risk” Brief review of 11 comments on Section 6, and 3 comments on Risk Clause by Clause review and adjustment of Section 6 Final review and “sentencing” of comments Final review and adjustment of Section 6 Definition of Risk (Annex Sl or 18001/Z 10) OHS risk and organisational risk Meaning of Opportunity Presentation Title Date or Event Slide 29

Task Group 2 Planning n n n Frans Geijlvoet (Netherlands) Gilbert Ljungberger (Sweden) Leonardo Omodeo-Zorini (IIOC) Antonio Terracina(Italy) Miriam Shalom (Israel) Uwe Marx (Germany) Maria Mc. Keown (Ireland) Aykut Kirbas (Turkey) Vic Toy (U. S. ) Stan Rogers (TC 207) Christele Hubert (France) Norma Mc. Cormick (Canada) n n n n Eckehard Bauer (Austria) Hilde Vatslid (Norway) Seiji Machida (ILO) Abdeljalil El Kholti (Morocco) Mohd Rafee Baharudin (Malaysia) Roque Portillo (Argentina) Luisa Pellares (Columbia) Yoshito Hirambayashi (Japan) Janet Asherson (IOE) Chen Quan (China) Wang Shunqi (China) Martin Cottam (UK) Sally Swingwood (BSI) Presentation Title Date or Event Slide 30

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action New subsections (additions to Annex SL Language) to address content clarity and organizational issues. 6. 2 OH&S objectives and planning to achieve them Presentation Title Date or Event Slide 31

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action 6. 2 OH&S objectives and planning to achieve them Presentation Title Date or Event Subdivided into activities to be considered and potential impacts Guidance considerations • “normal & abnormal activities • Change mgmt/Life cycle impact • Impact from “other factors” Slide 32

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action Terminology: “legal and other requirements to which the organization subscribes” Guidance considerations: • collective agreements, good practice etc. 6. 2 OH&S objectives and planning to achieve them Presentation Title Date or Event Slide 33

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action 6. 2 OH&S objectives and planning to achieve them Clarity around “opportunities” a. k. a. “positive risks” Consideration of OH&S risk and “organizational” risks Risk assessment process mentioned but methodologies missing * Guidance considerations • On-going assessments vs. continual improvements • Who can conduct assessments Presentation Title Date or Event Slide 34

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action Mostly Annex SL language with some OHS descriptors added 6. 2 OH&S objectives and planning to achieve them Presentation Title Date or Event Slide 35

Section 6 Planning 6. 1 Actions to address risks and opportunities 6. 1. 1 Hazard identification 6. 1. 2 Determination of compliance obligations 6. 1. 3 Determining and assessing risks and opportunities 6. 1. 4 Planning to take action 6. 2 OH&S objectives and planning to achieve them Mostly Annex SL language Other key thoughts: Consideration of interested parties, initial reviews Guidance considerations • Proactive & reactive indicators • Integration into business processes Presentation Title Date or Event Slide 36

Thank you! n Any questions? Presentation Title Date or Event Slide 37

Report of Task Group 3 SECTION 8 – Operation Presented by Todd Hohn 38

What we did • Discussion of the Annex SL Text and other source/guidance documents (ILO-OSH 2001, Z 10, ISO 9001, 14001, 55001) • Review and disposition of 11 comments on clauses for Section 8 • Clause-by-clause review and discussion of requirements • Discussion of items to include in “Annex A” - Guidance • Final review of work product Presentation Title Date or Event Slide 39

What we did n Restructured Clause 8 as follows • • 8. 1 Operational planning and control 8. 2 Management of change 8. 3 Outsourcing 8. 4 Emergency preparedness and response Presentation Title Date or Event Slide 40

Main points of discussion – 8. 1. 1 Operational Planning and Control • Discussed definition and consistent use of workplace, worker, employee, personnel, contractors and contractors employees and outsourcing (TG 5 – Terms and Conditions) • Discussed guidance in the Annex in relation to providing examples “workplaces” and what constitutes a “workplace” (Z 10) • Discussed communication and information to suppliers and contractors/contractor employees as being adequately addressed in 7. 4. 1 (Communications) • Inconsistent with the use of process and activities Presentation Title Date or Event Slide 41

Main points of discussion – 8. 1. 2 Hierarchy of Controls • A lot of discussion on local laws and regulations that legislate hierarchy of controls • Guidance in the Annex is needed to provide examples, (example Z 10) • Group accepted wording in Z 10 for the hierarchy of controls Presentation Title Date or Event Slide 42

Main points of discussion – 8. 2 Management of Change • Originally discussed in one sentence – group expanded to a separate Clause • Incorporated OH&S and included wording for planned, permanent or temporary • Referenced Clause 6 for management of risks Presentation Title Date or Event Slide 43

Main points of discussion – 8. 3 Outsourcing • Discussed “Outsourcing” and what it is not – definition for outsourcing will be important to this clause • 207 Comment – Risk and Control of Influence • Created sub – clauses for General, Procurement and Control of Sub – Contractors • Definitions and guidance were discussed for contractors and communications (Z 10, 5. 1. 4 and 5. 1. 5, OHSAS 18002, ILO 3. 10. 5) Presentation Title Date or Event Slide 44

Main points of discussion -8. 4 Emergency Preparedness and Response • Discussed “potential” versus “anticipating” emergencies, “testing” and taking into account “needs” and “involvement” of interested parties • Discussed guidance in the Annex on mitigation and prevention, training and information Presentation Title Date or Event Slide 45

Members of the Task Group 3 Elizabeth O`Ferrall, (Ireland) (TG 3 Chair) Hendri Farabi, (Germany) (Scribe) Berit Sørset, (Norway) Todd Hohn, (US) Tsuyoshi Kawakami, (ILO) Guillermo Zucal, (Argentina) Thierry Lannuzel, (France) Andrew Foster, (UK) Hussein Rahmat, (Malaysia) Damir Zorcec, (Indonesia) Presentation Title Date or Event Slide 46

Report of Task Group 4 SECTION 9 – Performance Evaluation SECTION 10 – Improvement Presented by Thea Dunmire 47

What we did • Discussion of the Annex SL Text and other source/guidance documents (CEN 17, ISO 14001) • Review and disposition of 16 comments on clauses 9 & 10 • Clause-by-clause review and discussion of requirements • Discussion of items to include in “Annex A” - Guidance • Final review of work product Presentation Title Date or Event Slide 48

Main points of discussion – 9. 1. 1 Monitoring, measurement, analysis & evaluation • Discussed definition of measurement and monitoring and the types of activities that are included in measurement, monitoring, analysis and evaluation (e. g. inspection) • Discussed the requirements and suggested that clarification and guidance is needed – particularly for SMEs • Need to expand in the guidance what is needed to ensure “valid results” (e. g. calibration) • Discussed and added in language to address comment related to compliance monitoring (made by Stan in initial plenary) Presentation Title Date or Event Slide 49

Main points of discussion – 9. 1. 2 Evaluation of Compliance • Discussed definition of “applicable requirements (“legal and/or other requirements to which the organization subscribes”) but did not resolve what term to use – agreed that the intent of requirements is to evaluate compliance status of the “requirements” identified as applicable by the organization to which compliance was committed to in the OH&S Policy • Discussed process for evaluation of compliance – decided to use ISO 14001 language since many organizations have integrated compliance assessment functions Presentation Title Date or Event Slide 50

Main points of discussion – 9. 2 Internal Audit • Discussed definition of internal audit and the requirements for an audit program; discussed the use of ISO 19011 • Suggested that competence of internal auditors and those conducting incident investigations – as well as other with OHSMS responsibilities – should be covered generally in 7. 2 and expanded upon in guidance; again reference can be made to ISO 19011 • Added in subclauses to address ISO formatting issue Presentation Title Date or Event Slide 51

Main points of discussion – 9. 3 Management Review • Discussed what items of information are important for review by Top Management and how they should be ordered in clause 9. 3 • Discussed meaning of the word “trends” in identifying what Top Management should consider in management review and added status since that may be as important as trends • Avoided adding in new requirements because this section is already very perscriptive Presentation Title Date or Event Slide 52

Main points of discussion -10. 1 Incident Investigation, nonconformity & corrective action • Discussed whether incident investigation and corrective action should be two different clauses and perhaps in different sections (e. g. in section 9) and concluded they should be in the same clause but it must be clear that organizations can have more than one process to address them • Added suggestions for guidance – including the tie between corrective action and both risk assessment and management of change to ensure actions do not create risk Presentation Title Date or Event Slide 53

Main points of discussion- 10. 2 Continual Improvement • Stayed with Annex SL text – to give organization flexibility • Added suggestions for guidance – including the definitions of suitability, adequacy and effectiveness and examples for the organization to consider for continual improvement Presentation Title Date or Event Slide 54

Members of the Task Group 4 Thea Dunmire, U. S. chair Simone Cencetti, Italy Teresa Hawkins, UK Amin Prey, Germany Christopher Ward, UK Jerry Ramdunee, South Africa Brenda Henry, Canada Syamsul Zahrin Zainudin, Malaysia Presentation Title Date or Event Slide 55

Next Steps Presented by Vic Toy 56

III. Next Steps a. Mirror TAG working groups - leverage the strength of our numbers, expertise and diversity - Sign up process b. Remote meetings on development of working draft - Begin work on developing U. S. Positions * c. Face to face meeting January 14 -17 th. - Review language and comment on WD 1 - Logistics to be determined * PC 283 Experts will continue to work on language of WD 1 through January Presentation Title Date or Event Slide 57

IV. Administrative items a. TAG organization / working groups (Vic) b. Committee Updates (Kathy, Jim) c. OHSAS Ballot (Vic) d. ISO Management System Education Module (Vic/Thea) Presentation Title Date or Event Slide 58

US TAG to PC 283 Organizational Structure Presentation Title Date or Event Slide 59

PC 283 Membership Work Group *Committee members and alternates only. First meeting next Thursday, November 21 at 3 PM EST The membership committee will review and make recommendations in the following areas: 1. Existing roster for categories, interest groups and balance 2. Future membership applications 3. Observers that desire to become members 4. Employment sectors not represented 5. Procedures for replacing members for non participation 6. Maximum committee size Presentation Title Date or Event Slide 60

IV. Administrative items a. TAG organization / working groups (Vic) b. Committee Updates (Kathy, Jim) c. OHSAS Ballot (Vic) d. ISO Management System Education Module (Vic/Thea) Presentation Title Date or Event Slide 61

Thank you! n Any questions? Presentation Title Date or Event Slide 62

International Organizational Relationships Presentation Title Date or Event Slide 63