Integrated Management
Systems
Leading Strategies and Solutions
Wayne Pardy and Terri Andrews
GOVERNMENT INSTITUTES
An imprint of
The Scarecrow Press, inc.
Lanham • Toronto • Plymouth, UK
2010
CONTENTS
Introduction xi
CHAPTER ONE A Primer on Integrated Management Systems I
The Case for Integration 3 Challenges to Integration 6 Systems Approach to Management 8
CHAPTER T W O Integrated Management Systems:
Practical Applications 13
Common Requirements of Management System Standards 13 PLAN ^ 15 Policy 15 Planning 16 Objectives and Targets 16 Aspects, Impacts, and Risks 16 Identification of Legal and Other Requirements 17 Organization Structure, Roles, Responsibilities, and Authority 17 Contingency Planning/Emergency Preparedness 17 D O 18 Implementation and Operation 18 Resource Management 19 Infrastructure and environment 19 Human resources 19 Documentation and Records 20 Document and data control 21 Records management 22 Communication 22 Supplier Management and Purchasing 24 Supplier management 24 Purchasing • 24
CHECK 25 Performance Assessment 25 Monitoring and Measuring 25 Compliance Evaluation 25 Internal Audit 26 Nonconformance Control and Opportunities for Improvement 26 ACT 28 Continual Improvement 28 Corrective Action 28 Preventive Action 29 Management Review 30
CHAPTER THREE Management Systems: Safety Leads
the Way (Finally) 31
OSHA's 18001:2007:A New OH&S Management System Standard 32 ILO Guidelines for OH&S Management SystenrAn International Opportunity 32 ILO Guidelines on OSH Management Systems 33 Objectives 33 The Occupational Safety and Health Management System in the Organization 34 Occupational Safety and Health Policy 34 Worker Participation 35 Organizing: Responsibility 35 Accountability 36 Competence and Training 37 Occupational Safety and Health Management System Documentation 37 Communication 39 Planning and Implementation 39 System Planning, Development, and Implementation 40 Occupational Safety and Health Objectives 40 Hazard Prevention 41 Emergency Prevention, Preparedness, and Response 42 Procurement 43 Evaluation 44 Performance Measurement 44 Performance Monitoring 45 Investigation and Problem-Solving 46 Management System Audit 47 Management Review 49 Preventive and Corrective Action 49 Improvement 49 ANSI Z I 0 : A Blueprint for Health and Safety Management Systems in the
United States 50 Home Grown and Custom Built ' 50 A Brief History of ANSI/AIHA Z I 0 52
The ANSI ZIO OH&S Management System Approach 53 The ANSI ZIO OH&S Management System Format 54 ANSI ZIO Approval Process 54 ANSI Z10 Certification Requirements Process 55 Stage I: On-Site Audit Preparation and Documentation Review 55 Stage 2: On-Site Final Certification Audit Activity 55 The ANSI ZIO Registration/Certification Decision Process 56 Surveillance Audits 56 Third-Year Recertification 56 The Client's Prerequisite Requirements 57 CSA Z1000-06: The New Canadian Standard for OHS Management 57 Safety, But W i t h a Business Purpose 58 How the Standard Works . . . A Management System Journey 58 A Uniquely Canadian Flavor 58 Potential Impact for the Great White North 59 ZI000 . . . An Insider's Perspective 59 Zl000 Scope 60 Occupational Health and Safety Management System '. 60 Which Standard Is Best? 62 Comparative Analysis of Management Systems and Guidelines 62 Gap Analysis . . . A Prudent Management System Due-Diligence Exercise 63 ZI000 Baseline A u d i t . . . How Does Your Management System Stack Up? 64
CHAPTER FOUR Performance Measurement: A Management
System Imperative 73
Performance-Based Measurement 75 Performance Measurement Examples 75 Defining Your Management System 76 Management Systems Defined (for the Record) 76 Performance Measurement and Safety Management Systems 77 Measuring Performance 78 Audit for Effectiveness 78 Measurement of Leading Indicators 79 The Measurement of Process 80 Strategic Performance Improvement and Measurement Process 81 What's Important, and Why? 81 Performance Measurement Plan 81 Establish Performance Measures.Targets, or Standards 82 Example: Measure the Quality of Your Management System 82 Safety Performance Measurement: Risk and Hazard Analysis System 82 Establish a Performance Baseline 83 Use the Measurement Information 83 Safety Performance Measurement Options 84 From Theory to Reality 84
Criticisms of Behavioral Approaches
Is a Behavioral Approach Right for Your Management System? What's Wrong with Behavior-Based Safety?
The Behavior-Based Safety Model
CHAPTER FIVE The Internal Responsibility System For Management
System Accountability 93
Workplace 2000:The Quality/Safety Relationship 100 Management's Job Has Changed 102 Traditional Safety Management 102 Quality Safety Management 104 Conclusion 105
CHAPTER SIX Behavior-Based Approaches to Integrated
Management Systems 107
What Is Behavior-Based Safety? 108 Heinrich and the Basis for Modern Safety Management 109
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Problems for BBS in the New Quality Management System 120 Systems Thinking Applied to Safety 123
CHAPTER SEVEN Profound Thinking: Management Systems—
The DemingWay: A Lesson For All Integrated
Management System Practitioners 125
Deming's Fourteen Points 126 Quality Management and a "New Loss Control Management Theory" 127 A Final Management System Lesson from Deming 130
CHAPTER EIGHT Integrated Management Systems ROI:
The Cost-Benefit Proposition For Integrated
Management Systems 133
Impact on Financial Performance—ISO 133
CHAPTER NINE Technology Can Make the Difference:
Management System Technology Solutions 137
Documentation Control and Management 138 Root Cause/Hazard Analysis 139 Confessions of a Vice President of Management System Software 139 Action Tracking 140 Innovation Leads the Way 141
What's in a Theory?
The Psychological Theory of Behaviorism What Does the Research on Behaviorism Reveal? The Basic Problem with the BBS Approach
What Does Cause Accidents? The Power Shift
Audit Management 141 Customer Communication and Feedback 142 Author's Note 142 Some Management System Technology Vendors Worthy of Checking Out 143 Intelex 143 Q5 Systems Limited 144 Integrated Management System Auditing 144 Steton Technology Group 145 CS Stars 145 Aon Safetylogic 146 EtQ for Environmental Health and Safety (EHS) 146 The Harrington Group Quality Management Software 147 IMPACT 147 Amadeus—eQCM 148 Conclusion 148
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