OCCUPATIONAL HEALTH & SAFETY
MANAGEMENT SYSTEMS
AUDITOR TRAINING COURSE
IRCA REG. NO. A16834
1:
Introduction
1.1 Background Development
•
During the Industrial Revolution, technological advances
introduced and increased the use of machinery and toxic
materials in the workplace. As a result, workers in factories
faced health and safety risks that were previously unheard
of.
Health and safety problems and hazards that workers face
include the following:
•
Poor working conditions
•
Exposure to toxic materials or chemicals
•
Long working hours
•
Work-induced stress
•
Excessive noise levels
•
Risks to life, eyes, and limb while working with machinery
• In 1970, (OSHA) was established as a comprehensive
occupational safety and health law “to assure so far as
possible for every working man and woman in the nation
safe and healthful working conditions and to preserve
human resources [1].”
• In addition, OHSAS 18001 specification and the
accompanying OHSAS 18002 guidelines have been
developed
• OH&S management system to enable organization to
control its OH&S risks and improve its performance.
1.2 Concepts of Occupational Health
• Defined as
"that science and art devoted to the anticipation,
recognition, evaluation, and control of those
environmental factors or stresses arising in or from the
workplace, which may cause sickness, impaired health
and well-being, or significant discomfort among workers
or among the citizens of the community."[i]
1.3
Concepts of Safety Engineering
• Interdisciplinary in nature & ought to be applied early in
system development.
• Control monetary and physical loses
• Safety costs should be justified like other forces
competing for limited organizational resources.
• Safety should be considered a long-term investment.
• Figure 1.1 shows that its application requires integration
with many other functions
Operations
Engineering
Environmental
Security
Medical
Training
SAFETY
Industrial Hygiene
Legal
Test & Evaluation
Transportation
Information Systems
Facilities
Figure 1.1: Safety Interactions
1.4 Philosophy Supporting OH&S
Management System Standards
• safety denotes concern for physical injuries that might be
experienced by the worker
•
Health denotes concern for physiological injuries
• welfare refers to concern for a range of psychological
conditions.
• this type of approach promotes a holistic appreciation of
a worker’s well being as well as a comprehensive
understanding of the contribution of workplace conditions
to it.
The basic principles of a holistic approach to
workplace health and safety are thus:
• The health and safety of a worker is influenced by
conditions of the workplace and by non- work related
factors that can be potentiated by the workplace.
• Workplace effects on human health and safety are not
restricted to only the on- site workplace or the worker
Environment
Products & Processes
Attributes
Environmental Quality
Workplace
Raw Materials & Energy
Labor
Processing
Environmental Health & Safety
Community
Occupational Health & Safety
Groups
Persons
Institutions
Product
Worker
Waste
Occupational Health & Safety
Occupational Health & Safety
Figure 1.2: Holistic Overview of the Workplace, Environmental Quality & Human Community[i]
1.5 Modern OH&S Legislation
• At both national and international levels, the modern
corporation is perceived as having both a moral and a
legal responsibility to protect its employees from:
– Workplace sources of injury and;
– Workplace insults to a worker’s pre- existing debilitation[i].
• By ensuring proper responsibilities, common problems
such as those stated below can be avoided.
– Lack of sufficient authority to implement safety– Isolation from higher decision makers who must bear the
potential liability associated with workplace injury
– Isolation from production- level personnel have primary
responsibility for production but they play a crucial role in the
implementation of an effective safety program.
1.6 Scope of OH&S Management
Systems
The scope of an OH&S management system, applicable to
any organization, includes:
• Establishing an OH&S management system to eliminate
or minimize risk to employees and other interested
parties who may be exposed to OH&S risks associated
with its activities;
• Implementing, maintaining and continually improving an
OH&S management system;
• Assuring itself of its conformance with its stated OH&S
policy;
• Demonstrating such conformance to others;
1.7 Definitions & Terminology
1.
2.
3.
4.
5.
6.
The terms and definitions used in the OHSAS
18001 specifications are:
Accident
Audit
Continual Improvement
Hazard
Hazard identification
Incident
NOTE: An accident where no ill heath, injury, damage, or other loss is also
referred to as a “near miss”. The term “Incident” includes “near-misses”.
7.
8.
Interested parties
Non-conformance
9.
10.
11.
12.
Objectives
Occupational health and safety
OH&S management system
Organization
NOTE: For organizations with more than one operating unit, a single operation
unit may be defined as an organization.
13. Performance
NOTE: Performance measurement includes of OH&S management activities
and results.
14.
15.
16.
17.
Risk
Risk assessment
Safety
Tolerable risk
Chapter 2
Introduction to OH&S
Standards & Applications
2.1
Influence of the Working Environment
There are various kinds of positive and negative factors in the
working environments
• Physical demands may refer to manual lifting loads and
extended working hours.
• For mental demand, it appears to be dependent on the level of
mental work pressure and the experience of the worker
involved.
• Use of ear protection will be in order as excessive noise levels
(>85 to 90 dB) can cause hearing loss.
• Proper illumination is necessary to avoid having workers
headaches and fatigue as a result of eyestrain.
• Working temperature can cause great discomfort if it is too high
or too low.
mental and emotional factors to consider:
•
Lifting the morale of workers can do wonders to
improve productivity.
•
A pleasant working place with convenient facilities will
increase the workers’ morale, resulting in worker
efficiency.
2.2
OH&S Management System Model
The first three clauses of the OHSAS 18001: 1999
specifications follow the ISO 14001 approach closely.
The three common clauses are:
• Scope
• Informative references
• Definitions
Organizations using the ISO 14001 approach should use
the OHSAS 18002 guidelines in carrying out the
respective approach for clause 4.
Figure 2.1 illustrate the order of flow of OHSAS elements.
Continual Improvement
OH&S Policy
Management Review




Checking & Corrective Action
Performance Measurement & Monitoring
Accidents, Incidents, NCs & Corrective &
Preventive Action
Records & Records Management
Audit
Planning
Hazard Identification, Risk
Assessment & Risk Control
Legal & other Requirements
Objectives
OH&S Management
programme(s)
Implementation & Operation
Structure & Responsibility
Training, Awareness & Competence
Consultation & Communication
Documentation
Document & Data Control
Operational Control
Emergency
Preparedness
and
Response
Figure 2.1: OH&S Management System Model for OHSAS 18001 System Elements
2.3 OH&S Management System Elements
The six elements for occupational health & safety
management system are based on:
•
•
•
•
•
•
Initial Status Review
OH&S Policy
Planning
Implementation and Operation
Checking and Corrective Action
Management Review
2.3.1 Initial Status Review
• An initial review of a company’s existing arrangements
for managing OH&S should be carried out prior to
implementation.
• Performing an initial status review also provides
information on the scope, adequacy and current status
of the OH&S management system.
2.3.2 OH&S Policy
• The OH&S policy should be defined and authorized by
the organization’s top management.
•
Such a policy establishes an overall sense of direction
and sets up the principles of action for an
organization.[i]
• It demonstrates formal commitment of an organization
towards good OH&S management, particularly that of
the organization’s top management.[ii]
2.3.3 Planning
• Plans must be formulated to fulfill the OH&S policy.
• Hazard identification should be performed with risk
assessment.
• Control measures should be implemented if necessary.
• The legal requirements that are applicable to OH&S
should be identified
• The goals and objectives of the OH&S system
established.
• After identifying problematic areas, appropriate
corrective actions should be implemented.
2.3.4 Implementation and Operation
• responsibility of a person at the most senior
management level.
• Necessary training should be carried out, to ensure
workers understand their safety and health
responsibilities
• Updates should be spread throughout the organization
effectively through an efficient communication system.
• In addition, a system of documentation should be
established.
• OH&S should be fully integrated where each employee
appreciates the implications of OH&S.
• In the case of foreseeable emergencies, contingency
plans should be prepared in advance.
2.3.5 Checking and Corrective Action
• Monitoring and measurement of performance ought to
be performed on a regular basis.
• The measurement of performance of the OH&S
management system will give an indication of its
effectiveness.
• Areas that need improvement can be identified and
followed up by taking necessary actions.
• Corrective actions should be taken as soon as any
deficiencies are found.
• Relevant records of OH&S actions taken should be
made to meet legal requirements.
• Periodically, audits conducted by independent personnel
will give a more in-depth look at the system.
2.3.6 Management Review
• Involve the making of several decisions, based on the
organization’s structure and size.
• Matters such as frequency of audits and the
effectiveness of the OH&S system as a whole and in its
individual elements are considered frequently.
• Following an audit, a management review decides on
what should be done about identified problems.
• In any management programs, the system has to be
reviewed constantly to ensure its continuing suitability,
adequacy and effectiveness.
CHAPTER 3 INTERPRETATION OF THE
OHSAS 18001: 1999 SPECIFICATIONS
3.1
Overview of the OHSAS 18001: 1999
• OHSAS 18001: 1999 is developed together with the
OHSAS 18002, Guidelines for the implementation of
OHSAS 18001
• OHSAS 18001 is developed such that it is compatible
with the ISO 9001: 1994 (Quality) and ISO 14001: 1996
(Environmental) management systems standards.
– to facilitate the easy integration of quality, environmental and
occupational health and safety management systems
– Nevertheless, it is not a pre- requisite that an organization has to
comply to ISO 9000 or ISO 14000 requirements for the operation
of OHSAS 18001.
• An OH&S management system must meets both the
OHSAS 18001 specification and all local legal
requirements as well.
• Relevant procedures and documentation, which relates
to records and periodic reviews, should be added
where necessary
• The elements of an effective OH&S approach are
presented in Figure 3.1.
Continual
Improvement
OH&S Policy
Management
Review
Planning
Checking and
Corrective Action
Implementation
& Operation
Figure 3.1: Elements of an OH&S management system[i]
• 3.2 Clauses in OHSAS 18001
clauses and requirements in the OHSAS 18001: 1999
• Clause 4.1 – General Requirements
– states that the organization shall establish and maintain an OH&S
management system,
– Depending on the size of the organization and the nature of its
activities, the extent of documentation and the resources devoted to it
have to be developed and adapted to fit into the organization under
review.
• Clause 4.2 – OH&S Policy
– states overall health and safety objectives and a commitment to
improving health and safety performance.
– an indication of the organization’s overall sense of direction and
principles of action.
Management Review
Audit
Policy
Planning
Figure 3.2: OH&S Policy[i]
Feedback from Measuring
Performance
• In planning the policy, the management
shall ensure that:
– It is appropriate to the nature and scale of the organization’s
OH&S risks.
– There is a commitment to continual improvement
– There is a commitment to at least comply with current
applicable OH&S legislation and other requirements
– It is documented, implemented and maintained as called for
by the OHSAS Standards.
– All employees are educated on their individual OH&S
obligations.
– It can be made available to interested parties.
– It is reviewed periodically to ensure its relevance and
suitability to the organization.
• Clause 4.3 – Planning
Policy
Audit
Planning
Implementation and
Operation
Figure 3.3: Planning[i]
Feedback from
Measuring Performance
OHSAS 18001 specifies planning requirements based on four
categories before any implementation is to be carried out. They are
addressed as follows:
Clause 4.3.1
Planning for Hazard Identification, Risk
Assessment & Risk Control
– control measures to include routine and non-routine activities,
activities of all personnel (including subcontractors and visitors)
having access to the workplace, and facilities at the workplace.
– defined with respect to the scope, nature and timing to ensure that it
is proactive rather than reactive
– Is consistent with operating experience and the capabilities of risk
control measures used
– Provide ways to classify and identify risks to be eliminated, or
controlled by measures defined in clauses 4.3.3 and 4.3.4.
– Provide input to determine the facility requirements, training needs
and operational controls,
– Monitoring mechanisms to ensure the effectiveness and timeliness of
their implementation.
The purpose of this requirement is to provide for total
appreciation of all significant OH&S hazards in the
organization’s domain using the process of risk
assessment.
The following elements of decision-making shall be
reflected in the risk assessment.
• Identification of risks.
• Evaluation of risks within the existing control measures
in place.
• Decision on the tolerability of this residual risk.
• Identification of any additional control measures
considered necessary.
• Evaluation of whether these are sufficient to reduce the
risks to tolerable levels.
Clause 4.3.2
Legal and other requirements
• organization aware of all applicable OH&S regulations
and how they can affect its activities.
• legal and other OH&S requirements applicable to the
organization identified and up to date.
• organization able to access these legal documents
conveniently, and communicate the information to other
parties who have an interest in it.
Clause 4.3.3
Objectives
• take into account legal and other requirements
• reasonable, achievable and communicated to the
employees efficiently.
• Suitable indicators shall be established so that objectives
can be reviewed and monitored regularly.
Clause 4.3.4 OH&S Management Programs
• has to be established so as to achieve the OH&S objectives
• important to include the documentation of the responsibility
and authority for achievement of the objectives at relevant
functions and levels of the organization, and the means and
time scale by which the objectives are to be obtained.
• individuals and tasks responsible for the deliverance of the
objectives at relevant levels can be identified.
• It aids the organization in allocating suitable talents,
responsibilities and time- frames for jobs to be done.
• The OH&S management programs shall be reviewed at
regular and planned intervals in order to keep up with
changes.
• Clause 4.4 – Implementation and Documentation
Planning
Audit
Implementation
and Operation
Checking and
Corrective Action
Figure 3.4: Implementation and Operation[i]
Feedback from
Measuring
Performance
Clause 4.4.1
Structure and Responsibility
•
The roles, responsibilities and authorities of all personnel
who are involved in the running of OH&S risks of the
organization shall be defined, documented and made known
•
The top management holds the greatest responsibility of
ensuring the proper implementation of the OH&S
management system.
•
The management representative or appointee shall :
a)
b)
Ensure the OH&S management system requirements are established,
implemented and maintained in accordance with the OH&S
specification,
Ensure reports on the performance of the OH&S management system
are presented to the top management for the review and making of
improved adjustments
Clause 4.4.2 Training, Awareness and Competence
• Employee awareness in the following areas is important and
procedures shall be established and maintained :
– The importance of conformance to the OH&S policy and procedures,
and the requirements of the management system;
– Both actual and potential OH&S consequences, their work activities
and the OH&S benefits of improved personnel performance;
– Their roles and responsibilities in conforming to the OH&S policy and
requirements of the management system.
– Potential consequences of straying from specified operating
procedures.
• Employees need to be educated on their specific
responsibilities and the roles expected of them to maintain the
OH&S management system.
• Appropriate records of individuals training and competency
shall be maintained.
Clause 4.4.3
Consultation and Communication
• the management has to establish and document proper
procedures for easy and accurate communication.
• The freedom of employee involvement and consultation
arrangements shall be established so that there is an effective
and open communication of OH&S information. There shall
also be arrangements to:
–
–
–
–
Involve employees in the development and review of policies, and
procedures to manage risks, including the carrying out or review of
risk assessments relevant to their own activities.
Consult employees over changes affecting the workplace OH&S such
as the introduction of new equipment, new working procedures or
work patterns.
Represent employees on health and safety matters.
Inform employees their OH&S representative to the management and
the selected management appointee.
Clause 4.4.4
Documentation
• The organization shall document all important and essential
information and maintain up to date sufficient documentation
to ensure that its OH&S system can be adequately understood
and efficiently operated.
• it shall describe the core elements of the management system
and their interaction, as well as provide direction to the related
documentation at the same time.
• It may be more convenient and effective instead, to establish
an overview document describing the inter-relation between
the existing procedures and overall OHSAS requirements
Clause 4.4.5
Document and Data Control
• This clause calls for the organization to establish and maintain
proper procedures for controlling all the important documents
and data required by this OHSAS 18001 specification.
• There shall be a written procedure to define the controls for the
approval, issue and removal of safety documentation, together
with the control of safety records and data. Arrangements must
be made ensure that specified documents and data:
a) Can be located.
b) Are periodically reviewed, revised as necessary and approved for
adequacy by authorized personnel.
c) Are current and up-dated, and available at all locations where
operations essential to the effective functioning of the OH&S system
are performed.
d) Are removed from all points of issue and points of use or otherwise
assured against unintended use once they are obsolete.
e) Are suitably identified, particularly for archival documents and data
retained for legal or knowledge preservation purposes or both.
Clause 4.4.6
Operational Control
• Control measures shall be applied to those operations and
activities associated with identified risks.
• The organization can carry out the preparations by:
a) Establishing and maintaining documented procedures to cover situations
where their absence could lead to deviations from the OH&S policy and
their objectives.
b) Stipulating operating criteria in the procedures.
c) Establishing and maintaining procedures related to the identified OH&S
risks of goods, equipment and services purchased and/ or used by the
organization and communicating relevant procedures and requirements
to suppliers and contractors.
d) Establishing and maintaining procedures for the design of workplace,
process, installations, machinery, operating procedure and work
organization, including their adaptation to human capabilities in order to
eliminate or reduce OH&S risks at their source.
Clause 4.4.7
Emergency Preparedness and Response
• The organization shall have to establish and maintain plans
and procedures to identify the potential for, and responses to
such incidents and emergency situations and for preventing the
likely illnesses, injuries or hazards associated with them.
• The organization shall develop an emergency plan and identify
and provide appropriate emergency equipment.
• The emergency preparedness and response plans and
procedures shall be reviewed frequently, especially after the
occurrence of any incidents and emergencies.
• The response capability of the emergency plan needs to be
tested for feasibility and rehearsed where viable for employee
awareness.
Clause 4.5
– Checking and Corrective Action
Implementation and
Operation
Audit
Checking and
Corrective Action
Management
Review
Figure 3.5: Checking and Corrective Action[i]
Feedback
from
Measuring
Performance
Clause 4.5.1 Performance Measurement and Monitoring
These procedures shall provide for:
–
–
–
–
–
Both qualitative and quantitative measures, appropriate to the needs
of the organization.
Monitoring the extent to which the organization’s OH&S objectives
are met.
Proactive measures of performance to monitor compliance with the
OH&S management program, operational criteria and applicable
legislation and regulatory requirements.
Reactive measures of performance to monitor accidents, ill health,
incidents (including near misses) and other historical evidence of
deficient OH&S performance.
Recording of data and results of monitoring and measurement
sufficient to facilitate subsequent corrective and preventative action
analysis.
• Performance management proposes to determine whether
OH&S plans and risk controls have been implemented and
achieved,
• to learn from any system failures including hazardous events,
and to promote implementation by providing feedback and
information for continual review and improvement.
• Monitoring equipment, if required for any performance
measurement and monitoring, have to be calibrated and
maintained.
• Proper procedures and records for the calibration and
maintenance process shall have to be retained.
• Clause 4.5.2
Accidents, Incidents, Nonconformances and Corrective & Preventive Action
The organization shall establish and maintain procedures to
define responsibility and authority for:
a.The handling and investigation of accidents, incidents or nonconformances.
b.Taking action to mitigate any consequences arising from accidents,
incidents or non- conformances.
c.The initiation and completion of corrective and preventive action.
d.Confirmation of the effectiveness of corrective and preventive actions
that have been taken.
• Report and evaluation of these occurrences are necessary so
that suitable corrective and preventive actions can be
implemented.
• The investigation process and results and subsequent
corrective or preventive actions have to be documented for
future reference or analysis.
Clause 4.5.3 Records and Records Management
• Records shall be kept to demonstrate that the OH&S system
operates effectively, and that processes have been carried out
under safe conditions.
• Safety records that document the management system and
conformance to the requirements shall be legible, identifiable
and traceable to the activities involved.
• These records have to be maintained and stored properly so
that they are readily retrievable and protected against damage,
deterioration or loss.
• Their retention times before disposal have to be established
and recorded as appropriate to the system and the
organization’s rules.
Clause 4.5.4
Audit
• An audit program and its procedures shall have to be
established and maintained. Periodic OH&S audits have to be
conducted to:
a.
b.
c.
•
•
Determine whether the OH&S management system conforms to
planned arrangements for OH&S management including the
requirements of this OH&S specification, has been properly
implemented and maintained and is effective in meeting the
organization’s policy and objectives.
Review the results of previous audits.
Provide information of the audits results to management.
Audit program, including its schedule, has to be based on the
results of previous audits and that of the risk assessments
conducted.
The results of all audits shall be fed back to all relevant
parties as soon as possible to allow corrective actions to be
taken.
Clause 4.6 – Management Review
Checking and Conductive
Action
Internal Factors
Management
Review
Policy
Figure 3.6: Management Review[i]
External Factors
• it is essential that the system is reviewed and evaluated
periodically to ensure its continuity, suitability, adequacy and
effectiveness.
• During the review, the management will evaluate the policy,
objectives and other elements of the OH&S management
system for possible changes in view of the management
system audit results, with changes in circumstances and
commitment to continual improvement.
• Changing circumstances may include changes in legislation,
varying expectations of interested parties, changes in the
organization’s products or activities, technological advances,
marketing information, and feedback from OH&S incidents.
• the management review needs to be documented.
CHAPTER 4 ENSURING EFFECTIVE
IMPLEMENTATION & OPERATION
4.1 Organizational Structure, Responsibility &
Accountability
– Ultimate responsibility for occupational health and safety rests with the top
management.
– The management plays a central role in implementing the occupational
health and safety (OH&S) program and determining its effectiveness.
– Accidents will decrease profits, as additional money has to be dealt out for
workers’ compensation, damages and other hidden costs.
– While organizing an OH&S safety program, the management has to bear in
mind that conflicts between staff, departments or management are inevitable
• The management shall always be aware of the latest
changes to health and safety requirements, legal OH&S
issues and policies.
• Managers shall also provide visible demonstration of their
commitment to their staff, by visiting sites, being involved
in accident investigation, and attending safety awareness
courses and meetings.
4.1.1 The Health and Safety Committee
• A committee drawn from various departments has
many advantages, allowing greater committee
scope and reach.
• In all cases, the committee shall be chaired by the
person of highest authority to ensures the
committee is empowered to perform its tasks
without facing too much resistance.
•
•
The health and safety committee will have various tasks at
hand. To begin with, methods for obtaining feedback from
all levels within the organization shall be established.
Other tasks that the committee can organize are as follows:
1.
2.
3.
4.
5.
6.
Inspections conducted on workplaces to detect hazards.
Hold regular meetings to discuss accident and illness prevention
methods, hazards discovered in the workplace, and injury and illness
records and so on.
Investigate accidents that occurred, and devise plans to prevent
recurrence.
Provide information to all employees on safe working practices.
Recommend changes to present equipment to improve health and
safety standards.
Develop new or revise existing rules to comply with current
standards.
4.1.2 Task Groups
Within a health and safety committee, several task groups may
be formed. Each task group and their responsibilities are
described as follows [2]:
– Safety Activities: To ensure the effectiveness of the OH&S program in
reducing injuries and illness, and to diffuse information pertaining to
OH&S matters.
– Rules & Procedures: Prepare, maintain and review new or existing
general safety rules and procedures, and to ensure that rules are being
followed.
– Inspection & Audit: Identify unsafe work area conditions and
practices, and to increase safety awareness and participation.
– Fire & Emergency: Develop effective management programs to
protect people, property and environment in emergencies.
– Education & Training: Manage, coordinate and review safety training
programs.
– Health & Environment:
Recommend measures to
protect people, property and environment from hazardous
substances, and to keep and eye on employees’ health and
overall wellness.
– Accident Investigation:
Determine
cause
of
accidents and to prevent recurrence; to eliminate and
minimize hazards.
– Housekeeping:Improve employee morale, quality,
productivity and safety and health by maintaining proper
workplace housekeeping and orderliness.
4.2 Importance of the OH&S Policy
• It shall be defined in respect of the health, safety
and welfare obligation to all employees.
• In order to fulfill this OH&S policy, plan(s) shall
be formulated and capabilities and support
mechanism shall be developed.
•
•
•
•
•
•
4.3 Planning and Implementation
The management shall take note to define, prioritize and
quantify the organization’s objectives clearly.
Proper plans for any programs shall be developed in detail,
and the availability of financial and other resources must be
looked into before confirming any decisions.
plans and policies that have been implemented shall be
measured and reviewed all the time.
organizations have to be pro- active in order to encourage
continual improvement.
An important part of OH&S planning is the management of
change.
Internal standards policies, procedures and safe systems of
work shall be available.
Draw up list of OH&S OBJECTIVES
Select key OBJECTIVES
Quantify key OBJECTIVE (If possible). Select OUTCOME
Indicators
Prepare PLAN- to achieve key OBJECTIVE.
Draw up TARGETS.
Implement PLAN
Measure OUTCOME indicators.
Has key OBJECTIVE been achieved?
Have TARGETS been met?
Has PLAN been fully
implemented?
REVIEW
Figure 4.1: A Procedure for OH&S Planning and Implementing
4.3.1 Risk Assessment
• Risk assessment shall be used when occupational hazards in a
workplace appear to pose a significant threat and it is uncertain
whether planned controls are adequate in practice.
• Organizations shall carry out risk assessment as part of their
efforts for continual improvement.
• The intent of risk assessments is to control risks before harm
could occur.
• A risk assessment based on a participative approach also
provides an opportunity for the management and the work
force to agree on the organization’s procedures with shared
perceptions of hazards and risks.
• Several risk analysis of hazards have been developed for use
such as the fault- tree analysis or the criticality analysis.
4.3.2 Emergency Preparedness and Response
• The basic steps in developing an effective program are
– identifying the need for procedures
– implementing written procedures,
– conducting periodic tests,
– continual improvement through review and revision.
4.4 Importance of Documentation and Record
Keeping
• documentation shall not be voluminous as it lowers
effectiveness and efficiency.
• Accurate and complete documented records are
necessary because
– the law calls for it
– they can be made accessible at the point of use.
– determining the validity of claims in a lawsuit
– objective evidence to show that activities related to the
requirements of an OH&S system have been
satisfactorily performed.
– reference purposes in the future.
The following is a list of records that ought to be kept by an
organization:
– Occupational injuries and illnesses.
– Fire Protection
– Materials Handling/ Storage
– Machinery and Machine Guarding
– Welding, Cutting, Brazing Equipment
– Training
– Medical Records.
Not all injuries and illnesses have to be recorded. They shall
be classified according to work-related or non-work related
first before it can be decided whether it is necessary to note the
details of these job injuries and occupational illnesses.
Injury or Illness
Non-work Related
Work-Related
Fatality
RECORD
Non- Fatal
Lost Workday
Non-Fatal
Non-Lost
Workday
First Aid
DO NOT RECORD
Figure 4.2: Recording of Occupational Injuries and Illnesses
4.5 OH&S Management System Audits & Verification
• In order to ensure effective implementation, organization shall
conduct periodically OH&S management system audits and
verification of its on-site implementation.
4.5.1 Inspections
There are in general four types of inspection that may be conducted.
• Periodic : Conducted at regular scheduled intervals.
• Intermittent : Unannounced or ‘surprise’ inspections.
• Continuous : Part of a day-to-day operation.
• Special : One-off inspections conducted for especially hazardous
situations.
The area being inspected will thus determine the kind of inspection to
be performed. Proper documentation of data is to be done to
ensure that employees are kept on their toes.
4.5.2 Audits
• Audits are commonly conducted at the organizations by
corporate personnel, external professional consultants, and
selected local authorities, professional or ad-hoc associations.
• Basically, the organization has to perform a cost-benefit
analysis and identify if the audit is an on-going process or on
an ad-hoc basis, among others.
4.6 Periodic Status Review
• The management shall demonstrate commitment to the
effective implementation of the OH&S management system
and shall undertake periodic status review to ensure
maintenance and suitability of the OH&S policy as well as to
ensure continual improvement.
CHAPTER 5 HAZARD AND RISK
ASSESSMENT
5.1Introduction to Risk Assessment
Risk assessment is essentially
• an integration of the findings provided by a hazard assessment
and an exposure assessment
• determines the adequacy of controls with respect to risks.
• The elements of a risk assessment can be defined by using a
multi- or n- dimensional matrix.
• A matrix example of a risk assessment done on a construction
sector is presented in Table 5.1.
• Severity and Probability of Occurrence (Frequency) of each
hazard is rated.
Classify Work Activities
Identify Hazards
Determine Risk
Decide if Risk is Tolerable
Prepare Risk Control Plan
Review Adequacy of Action Plan
Figure 5.1 Risk Assessment Procedures
IMPACT (Rating = Severity X Frequency)
Types of
Hazards
Work Activity
Operating
compressed
Jackhammer
a
air
Loud noises
&
long
exposures
Inspection of steel
girder alignment &
deflection in bridges
& buildings using
lasers
Exposures
to lasers
Working
at
elevated
heights
without proper fall
protection system
Falls
Working over or
near water without
wearing life jackets
or buoyant work
Drowning
Handling flammable
liquids
Fire
Hearing
Problems
Eye Injury
(possibility of
loss of sight)
Limbs
Injury
General
Illness
(eg.
Cough,
flu, fever,
etc.)
Physical
Injuries
(possibilit
y of
death)
2x2
Total
Rank
4
2x2
4
3 x2
2x2
2x2
2x2
3x2
12
3x2
10
2x2
12
2
2
IMPACT (Rating = Severity X Frequency)
Work Activity
Types of
Hazards
Handling
Powderactuated tools
Electrocution
&
Mechanical
injuries
Transportation
of
explosive materials
used in blasting
Explosion
& Fire
Heavy vehicles &
equipments
in
operation
Fatality
to
drivers
(caused
by
rollovers) or
to co-drivers
(caused
by
runovers)
Hearing
Problems
Eye Injury
(possibility
of loss of
sight)
Limbs
Injury
General
Illness
(eg.
Cough,
flu, fever,
etc.)
Physical
Injuries
(possibilit
y of
death)
Total
2x2
2x2
2x2
12
1x1
1x1
2x2
2x2
10
2x2
1x2
2x2
3x2
16
Table 5.1: An Example of a Risk Assessment Matrix
Rank
2
1
5.2
Differences between Hazards and Risks
• The word hazard always denotes a possibility or potential.
Risk is however, defined as the combination of the likelihood
and consequences of a specified hazardous event occurring.
• The difference between hazard and risk lies in that a hazard is
a possible (or potential) harm or injury, whereas a risk is the
probability that a person will actually experience a specific
hazard.
5.2.1 Hazard & Risk Reduction Strategies
• Product reformulation or chemical substitutions are two ways
of replacing a hazardous chemical component in a product
with a less hazardous or totally harmless material.
• In order to reduce the risks associated with a hazard that
cannot be removed or reduced, it is necessary to reduce
exposure.
This is possible by implementing three exposure control
approaches in the following order:
a)
b)
c)
Management Control through proper supervision of assignments,
procedures, etc;
Engineering Control
Personal protective clothing and equipment
5.3 Hazards Identification
5.3.1 Agents of Hazards
•
Physical, chemical and biological agents can pose human
health and safety hazards.
•
Heat, noise and vibration are some common physical agents
•
chemical agents are made up of naturally occurring and
human made inorganic and organic chemicals.
•
Biological agents include viruses and bacteria.
•
They can be identified and described without reference to
the human subjected to the associated hazard[i].
A.
Physical Agents
Acoutistic
Radiation
Sonic and ultrasonic sound, including continuous and intermittent (impact)
noise
Temperature
Heat and cold stress
Magnetic
Radiation
Magnetic flux densities, including those having influence on implanted medical
devices and ferromagnetic tools
Electromagnetic
Radiation
Visible light, lasers, radio frequency/ microwave radiation, ultraviolet radiation,
and x-rays
Radioactivity
Radionuclides and radiation (alpha, beta and gamma) associated with unstable
atomic nuclei or nuclear reactions
Ergonomic
Stress
Physical Impact
Stress associated with mechanical tensions in musculo-skeletal system
Mechanical impact that exerts physical force on body
Figure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 1 of 3)
Chemical Agents
Agents Presenting Physical Risk
Asphyxiant
Combustible
Corrosive
Vapors displace air and thereby cause suffocation
Burns when subjected to a temperature greater than 100oF and below 200oF
Chemically burns living tissue on contact
Explosive
Suddenly releases pressure, gas and heat when ignited
Flammable
Burns when subjected to a temperature less than 100oF
Irritant
Pyrophoric
Organic
Peroxide
A non-corrosive material that causes itching, soreness or inflammation of exposed skin, eyes or
mucous membranes
Ignites spontaneously in air at temperature of 130oF or lower
Spontaneously explodes due to the formation of unstable peroxides
Oxidizer
Promotes or initiates the burning of combustible or flammable material
Water
Reactive
Reacts with water to form a flammable or toxic gas
Unstable/
Reactive
Spontaneously explodes with production of pressure, gas, heat and possibly toxic fumes
Figure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 2 of 3)
B.
Chemical
Agents
Agents Presenting Health Risk
Carcinogen
Causes cancer
Mutagen
Causes changes in genetic information that is inherited from generation to generation
Causes life-threatening damage to tissues or internal organs in very small amounts (e.g. several teaspoons or less)
Poison
Sensitizer
Causes allergic reactions after repeated exposures, with possibly severe or even life-threatening consequences
Teratogen
Causes malfunction of the developing fetus
Toxic
Causes life-threatening damage to tissues or internal organs, but in amounts greater than a poison
Biological
Agents
Bloodborne Pathogens
Other pathogens
Disease causing organisms that may be transmitted through blood and other blood-related
bodily fluids of infected persons
Infectious diseases that may be transmitted by means other than bodily fluids of infected
persons (e.g. water, air, food)
Figure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 3 of 3)
5.3.2 Classifications of Hazards
There are two types of hazards
•one that is described in terms of the time interval between exposure
to the hazard
•another that is defined based on the manifestation of consequent
harm or injury.
Hazard Types
Classification
Acute
Manifests in a few seconds, hours or a few days after exposure to the hazardous agent.
Chronic
Develop only years or decades after exposure to hazardous agent.
Target- Organ
Manifests only in specific organs or tissues, e.g. in nerves of hands.
Systematic
Manifests in overall condition of the whole body, e.g. blood poisoning or breakdown of
central nervous system.
Table 5.2: Classification of Hazard Types
•
5.4 Quantifying Exposure
As the essential link between hazard (a possibility) and risk
(a probability), exposure must be examined in detail, with
specific attention given to the following aspects[i]:
1.
2.
3.
4.
5.
Quantitative measure (e.g. concentration of chemical inhaled) which
includes the measures of the amount or the nature of the hazardous
agent, as well as the measures of the duration and frequency of
exposure.
Pathways by which the hazard comes into contact with human tissue
(e.g. inhalation).
Mechanism(s) by which a hazardous agent is transformed or
propagated from its source to a human. Often referred to as
environmental transport or fate.
Mechanism(s) by which a hazardous agent might be transformed
during its transport or propagation.
Individual humans or populations that might come into contact with
the hazard.
• As a more holistic, integrated approach to workplace health and
safety becomes established, it can be expected that such
quantification of community exposures to the hazards of
individual worksites will become more common.
• Any competent exposure analysis of industrial hazards includes a
detailed description of the various specific pathways or routes by
which a hazardous agent comes into contact with living tissue.
Generic categories of environmental dynamics include:
  Introduction of materials and energies into major environmental
compartments;
  Transformation of materials and energies within environmental
compartments;
  Translocation of materials and energies from compartment to
compartment;
  Concentration of materials and energies within compartments;
  Dissipation of materials and energies within compartments;
  Elimination of materials and energies within compartments.
Introduction
Translocation
Dissipation
Concentration
Transformation
Elimination
Figure 5.3: Generic Environmental Processes that influence the dynamic flows and transformation of materials and energies in
environmental compartments[i]
5.5Hazards Analysis
• Checklists are usually drawn up to help in identifying hazards
and hazardous operation relationships systematically.
• The hazard matrix is made up of rows and columns
– rows are made up of different items or function hazards.
– columns store progressive information about hazardous events, causes,
effects and severities, probability of occurrence, controls, verifications
of controls, and remarks.
Item/
Functions
Hazardous
conditions
CAUSE(s)
effects
sev.
prob.
recommendations/
verifications
1.
Natural
Gas Supply
1. Leak
1.1 Valve
Faults
Fire/
Explosion
Cat.
E10-3
Qualified Valve Design,
Installation,
Pressure
Testing, Inspection
1.2 Line
Integrity
Faults
Fire/
Explosion
Cat
E10-4
Qualified
Line/
Connector
Design,
Installation,
Pressure
Testing, Inspection
1.3
High
Supply
Pressure
Fire/
Explosion
Cat
Remote
E10-5
Pressure Relief
Table 5.3: An Example PHA Matrix Checklist Format Using A Hot Water Heater[i]
5.5.1 Severity Rating
• Severity of hazardous effects is also known as hazard level or
criticality category.
• It is a rating indicating the seriousness of an effect of a hazard
on a worker or employee, and it can be defined into different
categories with different values.
• There is a direct correlation between effect and severity,
therefore severity is ranked according to the hazard effect.
• Severity rating shall be ranked based on the worst effects of a
hazard mode.
Description
Severity Ranking
Mishap Definition
Catastrophic
8- 10
Any condition which may cause a permanent disabling or fatal
personnel injury, or loss of one of the following: the launch or
servicing vehicle; manned base; any NSTS cargo element, the loss of
which could result in the manned base; major ground facility or
critical support equipment.
Critical
4- 7
Any condition which may cause a serious personnel injury; severe
occupational illness; loss of safety monitoring, emergency control
function or an emergency system, or requires use of emergency
procedures; or involves major damage to one of the following: the
launch or servicing vehicle; manned base; any NSTS cargo element,
which could result in the loss of, or major damage to, a major SSF
element; an on- orbit life- sustaining function; a ground facility; or any
critical support equipment.
Marginal
1- 3
Any condition which may cause major damage to a safety monitoring,
emergency system, mishap of a minor nature inflicting first aid injury
to personnel, or minor nature inflicting first aid injury to personnel, or
minor damage to one of the following: a launch or servicing vehicle;
the manned base; any NSTS cargo element, which could result in
minor damage to a major SSF element; an on- orbit life- sustaining
function; a ground facility; or any critical equipment.
Table 5.4: Severity of the Hazardous Effect[i]
5.5.2 Probability of Occurrence
• Occurrence is the ranking of likelihood that a specific cause
will occur with existing controls.
• The probability of occurrence, like severity, can be defined
into different categories with different values; and has to be
calculated for every cause of the hazards.
Description
Occurrence Ranking
Hazard Probability
Most Likely
9-10
Expected to happen in the life of the program.
Probable
6-8
Could Happen in the life of the program. Controls have
significant limitations or uncertainties.
Remote
2-5
Could happen in the life of the program, but not expected.
Controls have minor limitations or uncertainties.
Improbable
1
Extremely remote possibility that it will happen in the life
of the program. Strong controls are in place.
Table 5.5: Probability of Occurrence of the Hazardous Effects
5.5.3 Risk Ratings
• Severity and Probability factors are used to represent risk
ratings
• The risks are then rated according to different levels of trivial,
tolerable, moderate, substantial and intolerable.
• Risk ratings, such as ‘risk index categories’ or ‘risk assessment
categories’ are used to guide management actions.
Marginal
Critical
Catastrophic
Improbable
Tolerable Risk
Tolerable Risk
Tolerable Risk
Remote
Tolerable Risk
Moderate Risk
Moderate Risk
Probable
Moderate Risk
Substantial Risk
Substantial Risk
Most Likely
Substantial Risk
Intolerable Risk
Intolerable Risk
Table 5.6: Risk Rating Table
RISK LEVEL
Trivial (5)
ACTION AND TIMESCALE
No action is required and no documentary records need to be kept.
Tolerable (4)
No additional controls are required. Consideration may be given to a more cost-effective
solution or improvement that imposes no additional cost burden. Monitoring is required to
ensure that the controls are maintained.
Moderate (3)
Efforts should be made to reduce the risk, but the costs of prevention should be carefully
measured and limited.
Where moderate risk is associated with extremely harmful consequences, further
assessment may be necessary to establish more precisely the likelihood of harm as a basis
for determining the need for improved control measures.
Substantial (2)
Work should not be started until the risk has been reduced. Considerable resources may
have to be allocated to reduce risk. Where the risk involves work in progress, urgent action
should be taken.
Intolerable Risk (1)
Work should not be started or continued until the risk has been reduced. If it is not possible
to reduce risk even with unlimited resources, work has to remain prohibited.
Table 5.7: Table showing the Interpretation of Risks
5.6
Logic Tree Analysis
Death from Hot Water Heater
OR
Gas
Explosion
(Closed
Area)
Gas Flash
Crushed by Tipover
Fire
AND
Ignition Source
Present
Heater
Unsecured
Heater
Dislodged
O
R
Gas
Leak
(Expt.
Conc.)
Scalding
(Temp >
140C)
AND
(Open Area)
Electro
cu-tion
Figure 5.4: Example of a Fault Tree[i]
Pilot
Light
Auto
Operation
Light Switch
Operation
• Fault trees are usually drawn with an undesired event at the
time and ways that the event could happen beneath, connected
to the upper event by basically two types of logic gates- “or”
and “and”.
– The “or” gate bears the meaning that any of the contributing events
would be sufficient to cause the upper event,
– the “and” gate means all events must be present for the upper event to
occur.
• At the same time, the trees are ‘limited’ by using diamonds to
represent a termination.
• Double diamonds, one within one another, are used to mark
insufficient information, to remind analysts to review those
portions later on.
• Caution must be given to maintain the correct logic within the
tree. Without correct logic, the tree forms incorrect loops of
circular logic and fails to portray reality.
• 5.7 Iteration and Expanded Matrix Analyses
• PHAs can and ought to be repeated with updated design
information several times.
• This is an example of a common iterative system process of
going back and updating or correcting an analysis based upon
newer information[i].
• It explains the need to review fault trees.
• By changing matrix headings through asking different
questions or more detailed questions, other types of matrices
similar to the PHA are produced; such as, System Hazard
Analysis (SHA) or the Operating and Support Hazard Analysis
(O&SHA).
CHAPTER 6 EMERGENCY RESPONSE
AND PREPAREDNESS
•
•
•
•
6.1 Importance of Emergency & Contingency Plans
The existence of a sound emergency and disaster response plan in
an organization often makes the difference between life and
death.
all efforts in an occupational health and safety program would
come to nothing if the organization is incapable or unprepared if
ever an emergency or disaster were to arise.
The worst possible outcome of such a situation would probably
include a large number of deaths, the total annihilation of a
factory putting it completely out of operation, and the cost of the
damage to the company amounting to millions of dollars.
In essence, emergency pre-planning measures can keep an event
from becoming a disaster in the first place.
6.2 Types of Emergencies and Disasters
• A disaster may be defined as a great, sudden misfortune
resulting in loss of life, serious injury, or property damage[i].
Explosion
Fire
Bomb Threat
Tornado/
Weather
Strikes/
Violence
Emergencies
Radiation
Energy
Emergencies
Accidents
Medical
Chemical Spill/
Vapor Release
Figure 6.1: Types of Emergencies and Disasters
6.2.1 Fire
• The quick action of the brigade is essential in order to minimize
injury and damage, as well as to evacuate affected employees.
6.2.2 Explosion
• It is highly dangerous as it occurs suddenly without warning, and
can inflict severe injuries and damage.
6.2.3 Tornado/ Weather Situations
• Employees should be instructed on how to evacuate their
workplaces safely without leaving dangerous tasks unattended.
6.2.4 Sabotage and Terrorism/ Bomb Threats
• Internal security measures have to be taken for advanced
detection and early notification of local police and help forces.
6.2.5 Strikes/ Violence
• Strikes, especially labour strikes, will affect operations
badly.Thus, the company should be on the alert for any strikes.
6.2.6 Accidents
• Accident prevention and investigation procedures should be
present in the event of an accident.
6.2.7 Chemical Spill/ Vapor Release
• When a chemical spill or vapor release arise, appropriate actions
and personnel should be engaged for proper disposal of the
hazardous materials.
6.2.8 Radiation
• Even small amounts of radioactive material pose a significant
threat to health. Therefore, facilities for showers and eyewash
should be present and easily accessible.
6.2.9 Energy Emergencies
• Energy emergencies are usually caused by fuel shortages.
6.3 What is Emergency & Contingency Planning
An effective emergency plan will take into account the following
factors:
1. Plans and procedures: Safest and most effective procedures
that people affected by the emergency should follow.
2. Training, testing and practice: Sufficient testing to ascertain
the emergency plan’s effectiveness should be carried out,
perhaps in conjunction with training and drills.
3. Communications equipment and personnel: To maintain open
lines of communication, there should be adequate
communication equipment and personnel assigned to such tasks.
4. Equipment: Sufficient equipment to deal with emergencies
should be readily available.
5. Response: Immediate response to emergency from the
authorities is of utmost importance.
Regulatory
Agencies
Communities
Media
Public
Affair
Fire
Rescue
Environmental
Operations
Counties
Industrial
Hygiene
Medical
Safety
Security
States
National
Advocacy
Groups
Figure 6.2: Emergency Response Relationships
Public
Health
6.4 Elements of Emergency Plan & Response
Most of the elements stated below are in compliance to the Chemical
Process Safety Regulations 29 CFR 1910.39 (Employee
Emergency Plans).
• 6.4.1 Policy
– The policy defines the attitude of the company towards emergency
planning.
• 6.4.2 Authority
– A chain of command should be established to minimize confusion so that
employees will have no doubt who has the authority for making
decisions[i].
• 6.4.3 Emergency Escape Procedures and Routes
– Emergency escape procedures and routes should be posted in each work
area.
• 6.4.4 Personnel who remain to operate critical operations
• 6.4.5
Employee Accountability Procedures After
Evacuation
– Each supervisor should be responsible for his or her assigned employees, to
ensure that the identities and status of well being of all the employees are
established.
• 6.4.6 Control Center
– The function of the control center is to have a place where all instructions
are given out and information is exchanged in case of an emergency.
• 6.4.7 Rescue and Medical Duties
– Emergency teams should be trained in the various types of possible
emergencies and actions to be performed such as first- aid and
transportation.
• 6.4.8 Transportation
– Injured people must be evacuated safely out of dangerous areas and the
critically ill must be sent to hospital as soon as possible.
• 6.4.9 Communications
– A method of communications is required to alert employees of the
evacuation.
• 6.4.10 Training/ Practice
• Training in the following areas will be useful:
–
–
–
–
–
–
–
Use of various types of fire extinguishers.
First- aid, including Cardio Pulmonary Resuscitation
Shut- down procedures
Evacuation procedures
Chemical spill control procedures
Use of self- contained breathing apparatus
Search and emergency rescue procedures[ii]
• 6.4.11 Personal Protection and Rescue Equipment
– Effective personal protective equipment should be stored in a place that is
easily reached, checked, serviced and cleaned regularly.
• 6.4.12 Lighting
– Back up portable generators are indispensable in providing necessary
lighting to carry out necessary rescue operations.
• 6.4.13 Security
– An off-limits area must be established by cordoning the area with ropes and
signs.
6.5 Developing an Emergency Response Plan
• The development of a practical and effective emergency response
program is essentially a normative process.
Sources & Types of
Hazards
Persons Exposed
Risk Assessment
Phase
Degree of
Exposure
Regulatory
Standards
Safety Judgement
Phase
Social & Cultural
Values
Alternative
Objective
Making-Safe
Strategy Phase
Alternative Means
Policies & Procedures
Figure 6.3 Three Phases for Devising Emergency Response Policies and Procedures[i]
•
6.5.1
–
Factors that are necessary in this phase are the sources and types of
hazards, the degree of exposure and the persons exposed.
Techniques available to the planner include hazard analysis, failure
modes and effects analysis, and fault and event tree analysis.
–
•
6.5.2
–
•
Risk Assessments Phase
Safety Judgement Phase
This phase seeks to determine the level of protection for each population
under risk, while keeping in mind their social and cultural values and
current regulatory standards.
6.5.3
–
1.
2.
3.
Making-Safe Strategy Phase
As shown in Figure 6.4, policies and procedures should address three
basic types of emergency response activities:
Preparation Activities: Undertaken immediately upon discovery of a
potential or actual emergency, prior to the initiation of any response.
Response Activities: Include all efforts to control the emergency and
provide assistance to affected persons.
Follow-up Activities: Focus on post emergency actions to bring the
company back to a state of emergency readiness, including revisions to
emergency plans based on experience of past emergencies.
PREPARATION
Notify onsite personnel about the incident
Size-up the situation based on available
information
Request aid from outside sources
Allocate personnel & equipment for
response
RESPONSE
Survey and assess
casulaties
- Stabilize victims
Survey and assess hazards
- Evacuate site
personnel
- Extricate victims
-Decontaminate victims
- Evacuate
nearbly public
- Transport & treat
victims
FOLLOW-UP
Replace or rejuvenate damaged or
exhausted equipment
Document the incident
Review and revise site safety and
contingency plans
Figure 6.4 Basic Emergency Response Operations[i]
- Contain hazard
- Extinguish hazard
6.6 First Aid in Emergency Planning
– Safety programs must place proper emphasis on life- saving
actions.
– General approach in every emergency situation is explained
below.
1.
Survey the scene.
Proper precautions have to be taken, especially in toxic atmospheres. Quick
and decisive actions have to be made sometimes, such as whether to move
the casualty or wait for proper medical personnel to arrive, seeking help from
people around.
2.
Do a primary survey of the victim.
The victim’s breathing rate, heart rate and level of consciousness are noted
here.
3.
Phone Emergency Medical Services for help.
. The victim should always be brought to the hospital for a proper
examinationbefore declaring his state of health.
4.
Do a secondary survey of the victim.
Vital conditions such the victim’s breathing, heart rate, consciousness and
any other injuries have to be monitored frequently.
CHAPTER 7
OH&S Management System Assessment
•
•
•
•
7.1 Introduction
Auditing is a procedure for periodic, systematic, documented, and
objective evaluation of operations and practices in meeting safety,
health, and environmental requirements[i].
It is also a quality assurance tool that can verify whether
management and technical practices exist, function properly, and
are adequate to meet the organization’s goals[ii].
An organization has to plan for annual internal and external safety
audits to be conducted.
The safety audit ought to cover the entire operation that is
subjected to the OH&S management system, and assess
compliance with OHSAS 18001.
7.2 Reasons for Conducting Audits
• One important advantage of developing a program to audit
OH & S functions is that it is possible to be proactive.
• Audits can complement regulatory oversight activities,
provide an early warning system if problems exist and move
the organization toward compliance with regulatory codes.
• OH&S system audits can help increase OH&S awareness, as
well as evaluate whether or not the organization successfully:
v Develops organizational OH&S policies that implement regulatory
and legal requirements and provide management guidance for OH&S
hazards not specifically addressed in regulations.
v Trains and motivates facility personnel to work in an acceptable
manner and to understand and comply with legal requirements and
the organization’s OH&S policy.
v Communicates relevant OH&S information externally and internally
within the organization.
v Applies best management practices and operating procedures,
including good ‘housekeeping’ techniques.
v Institutes preventive and corrective maintenance systems to minimize
actual and potential OH&S hazards.
v Assess OH&S risks and uncertainties.
v Substitutes materials or processes to allow use of the least hazardous
substances feasible.
v Evaluate causes behind any serious environmental incidents and
establishes procedures to prevent recurrence.
v
Utilizes best available process and control technologies.
v Uses the most effective sampling and monitoring techniques, test
methods, record keeping systems, or reporting protocols.
7.3
Types of Audits
There are three types of audits:
– first-party audits,
– second-party audits or
– third-party audits.
7.4
Elements of an OHSAS Audit
This section will describe the different aspects of an HSE Audit,
namely: physical, material, operational, procedural, human and
informational.
• 7.4.1 Physical Aspects
– Physical Aspects to be considered include all constructed and naturally
occurring structural and physical features of the workplace and its
environment as well as their spatial relationships.
– Any location that may become a source of or contribute to an on-site
workplace hazard or experience the risk of hazard due to the workplace can
be considered a geographic area of actual risk.
• 7.4.2 Material Aspects
– Material aspects refer to those physical, chemical or biological substances
or agent that may pose a threat to human health and safety.
• 7.4.3 Operational Aspects
– Plant operations include those activities undertaken as a direct consequence
of production.
• 7.4.4 Procedural Aspects
– Procedural aspects of a comprehensive facility audit
include both procedures for conducting productionoriented operations and for accomplishing non- production
oriented tasks.
• 7.4.5 Human Aspects
– There is a need to recognize that this does not merely apply
to employees only, but to all people who might be affected
or at risk in one way or another due to the workplace.
• 7.4.6 Information Aspects
– Categories of information essential to design,
implementation and management of a comprehensive
workplace OH&S program includes the following, among
others:
 Up-to-date copies of regulation and pertinent OH&S standards
 Written documents required by specific regulations (e.g., accident
reports, emergency response procedures, hazardous waste manifests,
etc.)
 Proceedings or minutes of meetings convened by the organizations
OH&S committee
– Description of all safety-related devices and equipment,
including purpose, type, location, limits, and maintenance
requirements
– Description of all personal protective clothing, including
purpose, type, location, limits, and maintenance requirements
– Ambient monitoring records (for air and/or water)
– Hazard and risk assessments of operations performed by
facility personnel or by external consultants
– Inventory of hazardous materials, products, and by-products
– Evaluations and recommendations regarding OH&S
incidents or conditions, as well as planned or implemented
follow-up actions
– Personnel training records regarding any aspect of workplace
OH&S, such as names, dates and subject matter.
7.5
The Audit Process
• The audit program and procedures should identify the activities
and areas to be audited, the frequency of the audits, who is
responsible for managing and conducting the audits, how and to
whom audit results will be communicated, and requirements for
auditor competence[ii].
• Before an external or internal audit is conducted, it is important
to lay a foundation so that the audit can be conducted in an
atmosphere of mutual respect, co-operation and confidence[iii].
• Most of the time, the following protocols for auditing regulatory
compliance and organizational management practices are
followed in an OH & S audit.
Safety and Environmental Protocols for OH&S Audits
v
Hazardous Materials
v Fire Hazards
v
Electrical Hazards
v
Operating Process Hazards
v Machinery Hazards
v
Noise Hazards
v
Illumination Hazards
v
Ergonomic Hazards
v
Solid Waste
v Air emissions and wastewater
v
Groundwater and Drinking Water
v
Hazardous Waste
v
Natural and Historic Resources
Table 7.1: Safety and Environmental Protocols
7.5.1 Establishing the Audit Objectives
•
Audit objectives might include:
1.
2.
3.
4.
5.
6.
7.
8.
Management Priorities
Commercial Intentions
Management System Requirements
Statutory, regulatory and contractual requirements
Need for supplier evaluation
Customer requirements
Needs of other interested parties, and
Risks to the organization
• 7.5.2
Confidentiality of Audit
– The confidentiality of whatever information obtained in the
course of its certification activities extends to all levels in the
certification body including committees, external bodies and
individuals acting on the certification body’s behalf.
– Information about the auditee organization and findings of the
audits shall not be disclosed to a third party without the written
consent of the auditee organization.
– The auditor shall follow all documented procedures of the
certification body to safeguard the confidentiality of all
information obtained during all phases of the audit process.
7.6
Stage 1 Audit
7.6.1 Objective of Stage 1 Audit
• To provide a focus for planning the stage 2 audit by gaining an
understanding of the OHSMS in the context of the organization’s
OH&S policy and objectives, hazards identification, etc.
•
In particular, the organization’s readiness for the audit can be
assessed by reviewing the extent to which:
– The OHSMS includes an adequate and effective process for identification of the
organization’s hazards and subsequent risk assessment
– For any relevant activities of the organization, licenses are in place
– The OHSMS is designed to accomplish the organization’s OH&S policy
– The OHSMS implementation programme justifies proceeding to stage 2 audit
– Additional documentation that needs to be reviewed
– Knowledge that has to be obtained in advance
7.6.2 Information to be obtained
In this stage of audit, at least the following should be obtained :
–
–
–
–
–
–
OHSMS documentation inclusive of procedures and preferably a
master list showing the cross reference of documentation to the
related requirements of the standard
A description of the organization and its on-site processes
An indication of the hazards and their associated impacts and the
determination of significance
The means by which continual improvement is achieved
An overview of the applicable regulations (including relevant
licences and permits) and agreements with Authorities
Internal audit programmes and reports
7.6.3 Requirements of Stage 1 Audit
In this stage, the certification body should:
 Review documents, plan and allocate resources for further
document review where required and for stage 2 audit,
verify that the necessary competence that will be available
within the stage 2 audit team
 Collect necessary information and identify those issues
which will need special attention during stage 2 audit
 Provide an opportunity for feedback of information to the
organization
 Agree, with the organization, the details for stage 2 audit
 The following information may be needed for the stage 1
audit and may be required for detailed inspection during the
stage 2 audit:
– License / permit requirements
– Records (inclusive of records of incidents, breaches of
regulation or legislation and relevant correspondence with
Authorities) on which the organization based its assessment of
compliance with regulatory requirements
– Details of internally identified nonconformance with details
of relevant corrective and preventive action taken in the
previous 12 months (or since commencement of the OHSMS
implementation if this is less than 12 months)
– Records of management reviews (at least one must be
conducted)
– Records of any OHSMS related communications received and
any actions taken in response to them
7.6.4 Document Review
– Lead Auditor should review the organization’s
documentation such as OH&S policy statements,
programmes, records or manuals for meeting its OHSMS
requirements.
– If the documentation is judged to be inadequate to conduct
the audit, the client should be informed and additional
resources should not be expended until further instructions
have been received from the client.
– When stage 1 is not conducted by a single person, the
certification body should coordinate the activities of the
various team members are.
.
7.6.5 Preparing for the on-site audit activities
The audit team leader should prepare an audit plan to provide
the basis for the agreement among the audit client, audit team
and the auditee regarding the conduct of the audit. The plan
should facilitate scheduling and co-ordination of the audit
activities.
The audit plan should cover the following:
1. The audit objectives
2. The audit criteria and any reference documents
3. The audit scope, including identification of the organizational and functional
units and processes to be audited
4. The dates and places where the on-site audit activities are to be conducted
5. The expected time and duration of the on-site activities , including meetings
with auditee’s management and audit team meetings
6. The roles and responsibilities of the audit team members and accompanying
persons
7. The allocation of appropriate resources to critical areas
The audit plan should also cover the following, as appropriate:
1. Identification of the auditee’s representative for the audit
2. The working and reporting language of the audit where this is different
from the language of the auditor and/or the auditee
3. The audit report topics
4. Logistic arrangements (travel, on-site facilities, etc)
5. Matters related to confidentiality
6. Any audit follow-up actions
The plan should be reviewed and accepted by the audit
client, and presented to the auditee, before the on-site audit
activities begin.
7.7 Stage 2 Audit
On the basis of findings of the stage 1 audit, the certification body
drafts audit plan for the conduct of stage 2.
7.7.1 Objectives for Stage 2 Audit
The objectives are:
• To confirm that the organization adheres to its own policies, objectives
and procedures
• To confirm that the OHSMS conforms with all the requirements of the
OHSMS standard and is achieving the organization’s policy and
objectives
7.7.2
Focus of Stage 2 Audit
To achieve the above objectives, the stage 2 audit should focus on
the organization’s
 Hazards Identification and subsequent risk assessment
 Objectives derived from the evaluation process
 Performance monitoring, measuring, reporting and reviewing
against the objectives
 Internal auditing and management review
 Management responsibility for the OH&S policy
However, the auditor may at his or her discretion include
additional areas which he or she deems necessary based on the
findings of the Stage 1 Audit.
7.8 Roles, Responsibility and Activities
7.8.1 The Lead Auditor
The roles, responsibilities and activities of a Lead Auditor are as follow:
1.
2.
3.
4.
5.
6.
7.
Consulting with the client and the auditee, if appropriate, in
determining the criteria and scope of the audit
Obtain relevant background information necessary to meet the
objectives of the audit
Determining whether the requirements for an audit as given in ISO
14010 have been met
Forming the audit team giving consideration to potential conflicts of
interest, and agree on its composition with the client
Directing the activities of the audit team according to the guidelines of
ISO 14010 and ISO 14011
Preparing the audit plan with appropriate consultation with the client,
auditee and audit team members
Communicating the final audit plan to the audit team, auditee and client
8.
9.
10.
11.
12.
13.
14.
Coordinating the preparation of working documents and detailed
procedures, and briefing the audit team
Seeking help to resolve any problems that arise during the audit
Recognizing when audit objectives become unattainable and report the
reasons to the client and the auditee
Representing the audit team in discussions with the auditee, prior to,
during and after the audit,
Notifying the auditee without delay, of the audit findings of critical
nonconformance
Reporting to the client on the audit clearly and conclusively within the
time agreed with in the audit plan
Making recommendations for improvements to the management system,
if agreed in the scope of the audit.
The lead auditor must also ensure that all rules and regulations
of the auditee organization, especially those relating to
occupational health and safety issues, made known to the Audit
Team are followed.
7.8.2 The Auditor
The roles, responsibilities and activities of an Auditor are as follow:
a)
b)
c)
d)
e)
f)
g)
Following the directions of and support the lead auditor
Planning and carrying out the assigned task objectively, effectively and
efficiently within the scope of the audit
Collecting and analyzing relevant and sufficient audit evidence to
determine audit findings and reach audit conclusions
Preparing working documents under the direction of the lead auditor
Documenting individual audit findings
Safeguarding documents pertaining to the audit and return such
documents as required
Assisting in writing the audit report
The auditor must follow all rules and regulations, especially
those relating to occupational health and safety issues, made
known to them.
7.8.3 The Audit Client
ISO 19011 defines the audit client as an organization commissioning
the audit. The client responsibilities and activities are as follow:
a) Determining the need for the audit
b) Contacting the auditee to obtain its full cooperation and initiating the
process
c) Defining the objectives of the audit
d) Selecting the Lead auditor or auditing organization and, if appropriate,
approving the composition of the audit team
e) Providing appropriate authority and resources to enable the audit to be
conducted
f) Consulting with the lead auditor to determine the scope of the audit
g) Approving the audit criteria
h) Approving the audit plan
i) Receiving the audit report and determining its distribution
7.8.4
The Auditee
ISO 19011 defines the auditee as the organization to be audited. The roles,
responsibilities and activities of the auditee are as follow:
a)
b)
c)
d)
e)
f)
Informing employees about the objectives and scope of the audit as necessary
Providing the facilities needed for the audit team in order to ensure an effective
audit process
Appointing responsible and competent staff to accompany members of the audit
team, to act as guides to the site and to ensure that the audit team is aware of
health, safety and other appropriate requirements.
Providing access to the facilities, personnel, relevant information and records as
requested by the auditors
Cooperating with the Audit Team to permit the audit objectives to be achieved
Receiving a copy of the audit report unless specifically excluded by the client
Pertaining to item 7.8.5 c, in organizations, rules and regulations relating
to any GMP, HACCP and other occupational health and safety issues are
particularly important and shall be followed by the Audit Team.
7.9 Audit Sampling Techniques
The decision on sample size is heavily dependent on the
Auditor’s skills, experience, statistical knowledge and time
available for the audit.
7.9.1 Determining Sample Size
The following guidelines should be used for determining the
sampling size during an audit:
a)
b)
c)
d)
e)
The risk associated with the operation or activity
The number of different or similar operations or activities
The number of sites or locations where the activity is performed
Whether the activity has customer or stakeholder specified
requirements, or is governed by legislation or other
requirements
Competence of the Auditee performing the activity.
7.9.2
Benefits of Audit Sampling
Some of the benefits of sampling are:
a)
b)
c)
d)
7.9.3
It may be impossible to audit all activities of an organization and sampling
offers the only feasible alternative
Sampling results when carried out with due professional care and
adequate statistical knowledge offer a high level of confidence (accuracy)
in the determination of the effectiveness of the audited system
It is proven in many studies that sampling offers reliable results while
saving time and money
Minimize disruption to the business and operation of the auditee
Risks of Audit Sampling
Some of the risks of Audit Sampling are:
a) Sampling may not be appropriate for certain activities such as checking
the records of cyanide used in an electro-plating organization
b) Lack of knowledge of occupational health and safety, technology,
technical and environmental aspects of facility operation and sampling
techniques will result in ineffective sampling plan
c) Sampling requires the process to be stable and this may be difficult to
achieve in certain activities where abnormal fluctuations can occur
7.10
Use of Audit Checklist
– Prepared by the Audit team during the document
review and pre-audit
– Serve as an aid to audit planning while on-site.
– Assessment investigation should pursue and cover
any other aspects for conclusion.
– Clues indicating nonconformities should be noted
and investigated.
– Note the outcome (acceptable, nonconformance,
observation or legal compliance) for each audited
item.
– Completed checklist support the audit reporting to
ensure its comprehensiveness.
7.10.1 Advantages and Disadvantages of Using Checklists
Advantages:
a)
b)
Checklists help auditors to organize, discuss, plan and
conduct audits, and report audit results.
Checklists facilitate a systematic and effective approach
to auditing and help auditors to:
i.
ensure that all systems, operational areas and
processes are sufficiently covered.
ii. ensure that the auditing process is systematically
done without sidetracking, thus saving the time
and effort of both the auditees and auditors.
c) Developing a checklist requires the auditor to understand the
documented system in detail. It helps the auditor to establish a
better understanding of the auditee’s activities during the
audit.
d) Checklists allow the auditor to systematically identify high
risk areas. With a checklist an auditor can identify key
questions relating to this area more easily.
e)Checklists may be sent to a supplier to complete before an
audit is conducted to ascertain facts.
f) Checklists can be a good source of information for future
audits or for designing better and more comprehensive
checklists.
Disadvantages:
a) Checklists may lead to limiting questions that generate “yes/no”
answers. Further comments are usually useful and necessary.
Effort should be made to avoid this problem.
b) Checklists may breed complacent auditors who just go through
the questions without getting into the details and seeking
objective evidence.
c) Use of a checklist may lead an auditor into using a
predetermined sequence of thought and questions and may
prevent an auditor from using his own discretion.
d) Checklists can lead to a boring and rigid auditing process if the
auditor is not flexible in exercising his judgment.
e) A general checklist may result in a nonfocused audit; details
may be overlooked.
7.10.2
Guide to Checklist Design
In developing a checklist for a particular
department or function, an auditor can start by
doing the following:
a) Examining the standard clauses that are relevant to the area
of interest. For example, in auditing the company’s
occupational health and safety policy, the primary
requirement is expressed in Clause 4.2.
b) Looking at the specific statutory requirements, for example,
in the control of hygiene for the food industry, and the
control of dangerous chemicals such as cyanide.
c)Reviewing the documented OH&S manual, operational procedures,
internal standards and site emergency plans. It is wrong to assume
that voluminous OH&S documents attest to an effective
environmental management system. Extensive documentation does
not ensure that OH&S is being implemented effectively or at all.
Therefore, time and effort should be spent on this documentation to
set questions that will test the documented system.
d)Performing a task analysis of the process model. By going through
the typical five inputs of a process – operators, machines, methods,
materials and environment, auditors would be able to establish
questions such as: “Does the operator receive formal OH&S
training?”, “Are the procedures adequate and documented?”; and
“Are the emission controlled to the requirements?”.
e)Interacting with staff during the pre-audit plant walkthrough. A
preliminary plant visit familiarizes the auditor with the facilities to
be audited. It provides an overview of policies, procedures,
standards and process flow. The impression that an auditor gains in
this visit may help him or her to prioritize the areas of audit and
provide a guide for further examination.
7.11
Conducting the Audit
The following conducts of an audit process are good practices to be
observed by the Audit Team (ref ISO 19011, Clause 6.5 & 6.6,
ISO/IEC Guide 66, EAC/G5, IAF Guidance and IRCA
requirements, where applicable).
7.11.1 Opening Meeting
At an opening meeting (ref ISO 19011 clause 6.5.1) with the
company’s senior management, the lead auditor shall perform
the following tasks:
a) Introduce the members of the audit team, including a brief
description of their skills and assigned responsibilities, to the
auditee’s management
b) Review the audit scope, objectives, audit plan and agree on the
audit timetable
c) Where applicable, confirm the specification standard to be applied
d) Provide a short introduction to the methods and procedures to be
used in the audit
e) Establish the official communication link between auditors and
auditees
f) Confirm that the resources and facilities needed by the audit team
are available
g) Confirm the time and date of the closing meeting
h) Promote the active participation by the auditee
i) Review relevant site safety and emergency procedures for the audit
j) Confirm the time and date of the closing meeting.
7.11.2 Audit Methodologies
The method or a combination of methods to be used in order for the
audit to be effective depends greatly on the auditee’s system,
complexity of activities and processes, culture of the country,
location of sites (for multi-site audits) and size of the
organization.
Horizontal Audit
Horizontal audit focuses on one element of OHSAS 18001 at a
time to audit horizontally across the organization departments for
compliance to the element. Upon completion of an element, say
clause 4.3.1, the auditor moves on to the next applicable
requirements, in this case clause 4.3.2. . This method is suitable for
small organizations where the access to all areas, facilities and
information are readily available.
Vertical Audit
Vertical audit focuses on each department of the organization to audit
all requirements of OHSAS for conformance by the department. Upon
its completion, the auditor moves on to the next department assigned to
him. This method is suitable for large organizations as well as in multisites audit where the access to all areas, facilities and information are
difficult.
7.11.3 Collecting Audit Evidence
OHSAS 18001 defines audit evidence as verifiable information,
records or statements of facts, which can be qualitative or quantitative.
Audit evidence, on a sampling basis, is typically collected through
interviews, examination of documents, observation of activities and
conditions, existing results of measurements and tests or other means
within the scope of the audit.
Evidence obtained from interview should be verified by obtaining
supporting information from independent sources such as observation
and existing records.
7.11.4 Recording Audits Findings
OHSAS 18001 defines audit findings as results of the evaluation of the
collected audit evidence compared with the audit criteria. The audit
team should:
– Review all audit evidences to determine where the OHSMS does not
conform to the OHSMS criteria
– Document all non-conformances in a clear, concise manner and supported
by audit evidences
– Review audit findings with the responsible auditee management in order
to obtain acknowledgement of the factual basis of all findings of
nonconformance.
7.11.5 Audit Team Meeting
The purposes of regular meeting are to:
a) Detect consistent nonconformance across different functions or
department which may indicate major nonconformance or systemic failure
b) Clarify uncertainties regarding audit plan, requirements of applicable
standard or legal compliance issues with the Lead Auditor, Technical or
Legal expert
c) Highlight areas for particular attention to other Audit Team members
d) Provide feedback to the Lead Auditor concerning the audit team
performance and progress so that he can coordinate or make changes to
improve the audit plan and timetable, where necessary
7.11.6 Reporting Audit Findings
– Audit findings should be based on facts obtained during the audit that are
substantiated by objective, verifiable evidence accumulated during the
assessment process.
– Auditors should avoid focusing on minor details and system technicalities to
the extent that they lose sight of the audit purpose.
– It is essential to focus on the significant deficiencies and nonconformance
with the audit objectives.
– The auditor should issue and sign the Non conformance Report (NCR) form
and discuss it at a convenient time with the appropriate management
representative (MR).
– The MR shall be asked to sign the NCR form to indicate its acceptance and
agreement to resolve the nonconformance.
– If at any time the company is able to provide acceptable corrective action
against an NCR, then the action may be verified and the NCR closed out by the
lead auditor.
7.11.7 Closing Meeting
The main purpose of this meeting is to present audit findings to the auditee in such
a manner as to obtain their clear understanding and acknowledgement of the
factual basis of the audit findings. The following are normally observed during
the closing meeting:
a) Thank the auditee for their assistance and cooperation
b) Circulate an attendance sheet for record purposes
c) Present, discuss and obtain acknowledgement on NCRs. The
responsibility
of proposing corrective actions should always lie on the auditee and not the
audit team.
d) Resolve disagreements. Final significance and description of the audit
findings ultimately rest with the Lead Auditor, though the auditee or
client may still disagree with these findings
e) Present an objective overview of the audit findings and the strength and
weakness of the organization’s OHSMS
f) Arrange a provisional revisit date, if necessary
g) Lead Auditor states his recommendation
h) Inform the company that it will be notified of the results of the audit directly
from the certification body
i) Close the meeting and leave all NCRs with the company so that it can initiate
corrective actions
7.12 Auditing Skills
7.12.1
Effective Interviewing
Effective interviewing requires an ability to ask appropriate
questions, to listen actively, and to articulate and interpret
thoughts.
The following pointers serve as a guide for an effective
interview:
a)
Be a participative and not an authoritarian auditor. Create
an encouraging atmosphere for discussion with the auditee. Do
not start to give instructions to the auditee
b)
Be open, trusting and polite. Do not assume negative roles
such as policing, suspicious and accusatory
c) Set a friendly tone
d)
e)
f)
Be prepared to slow down and allow time for auditee to think, if
necessary
Be sensitive to the non-verbal behavior, such as body language and
attitude, of yourself and the auditee
It is useful and constructive to point out that the aim of the audit is to
verify the company’s environmental management system for
conformance and not to find fault with individual personnel
7.12.2 Questioning Techniques
1.
2.
3.
Effective questioning techniques can elicit answers, uncover information
and diffuse tension.
In essence, an auditor should know what he is asking, why he is asking it
and how to ask it on the basis of the background of the auditee and the
information required.
A good combination of different questioning techniques is also vital and
paraphrase if necessary, to ensure that the auditee understand your
question.
Type of
Question
Open
Description
An open question will lead to a
wide range of answers.
Generally, use it to seek the
auditee’s opinion, to get an
explanation/description from the
auditee or to allow for reasoning
on certain matters.
Closed/
Direct
A closed question is used to get a
“yes” or “no” answer, while a
direct question will invite a short
answer with one or a few words.
These questions are used to get
specific information.
Probing/
Clarifying
These are open questions, but
they aim at getting more or
clarifying information about a
subject by specifying conditions.
Leading
Interrogative
/Antagonistic
Examples
Comments
 What is your interpretation of the
result obtained?
 Could you tell me how you process
these intermediate results?
 How do you implement the waste
management program?
 Open questions may sidetrack your
conversation and focus.
 It may be difficult for the auditee
to respond.
 They may be so open that you will
get general answers.
 Do you know that there is a
documented procedure for this?
 What’s your responsibility?
 Has this specific environmental impact
been monitored?
 These questions provide limited
information and if you are in search of
an extended answer, use an open
question.
 Be careful of the “tone” when you
use this type of question.
 As a guide, avoid using more than
three consecutive closed or direct
questions.
If
you need to encourage the auditee to
elaborate, use this type of question.
 Avoid frequent use as the auditee
may think that you are not listening.
 In what way was corrective action
completed?
 Could you provide me with some
examples on these?
 What do you mean by “referring to the
guidelines on the site emergency plan”?
A leading question suggests an
answer, as the answer is normally
implied in the question.
 You do check for the accuracy of the
equipment every morning, don’t you?
 You determine your sample size based
on the sampling table, don’t you?
 This type of questions should be
avoided as it may lead to biased
information.

These questions put the auditee
on the defensive.
 Don’t you agree with me that you have
not correctly verified the incident reports
according to the internal standards?
Table 7.2: Different Types of Questions
Avoid this type of questions.
7.12.3 Active Listening
– Listening skills can be improved by observing the following pointers:
a) Be friendly and support the auditee whenever possible. Indicate that you are
listening by nodding your head, frequent comments such as “Yes”, “That is a good
practice” when used appropriately, can demonstrate your receptiveness and
encourage the auditee to give more information
b) The auditing process should be controlled in the most efficient way. When
the information is too lengthy, you may ask the auditee to summarize.
However, when the information provided by the auditee is too brief, you
should ask the auditee to elaborate
c) Be observant and concentrate on what the auditee is saying. You should
ask further questions if you have any doubts or when you detect
inconsistencies in what he has said
d) Avoid any actions that may distract the auditee. Do not talk or interrupt
the auditee while the auditee is speaking
e) Be patient and allow ample time for the auditee to speak
f) It sometimes pays to repeat what the auditee has said to confirm that you
have correctly understood what he or she had said.
7.12.4 Understanding Cultural Diversity
The five different dimensions of culture are the value, belief,
pattern of thought, language and body languages.
Some examples of cultural diversities are:
1.
2.
Japanese prefers greater physical distance than the Americans
Female are not allowed in places of worship in some Islamic
countries
3.
Different semantics of languages in different countries
7.13
Preparation of Audit Reports
After conclusions have been made, a final audit report has to be
submitted to provide feedback to relevant parties, so that
corrective actions can be taken. The final report should include
the following elements:
•
•
•
•
•
•
Audit objectives and scope, and general information on the
auditee.
Particulars of the audit plan, identification of auditors and
audited representatives, as well as the date and areas subject to
audit.
Audit findings such as general observations, description of
cases of non- conformity, relevant CARS and
recommendations, if any.
Auditor’s appraisal.
System’s ability to achieve stated OH&S objectives
Audit conclusion
7.14
The Certification Process
Company seeking registration contacts a
certification body and gives details of
its activities and scope of its system
N
Application
OK?
Request for
more details
N
Sufficient
details?
Reject or Refuse
if the scope is not
within the capability of
the certification body
Y
Y
Scope Review to select audit team
End
OK to Proceed?
N
Surveillance
STAGE 1
Close out NCR
Pre-audit at company premises,
collect information for
planning STAGE 2 audit
NCR
Document Assessment
+
Y
Non
NCR
Assessment
Recommendation
STAGE 2
Site Assessment Visit
Conformance
N
Written evidence of
corrective actions by
company
Figure 7.1: The Certification Process
Audit Team Formation
Chapter 8
Comparison of OHSAS 18001, BS 8800 and ISO 14001
8.1
Significant Differences between OHSAS 18001 & BS 8800
• The publication of BS 8800 in 1996 managed to fulfill part of the
latter’s requirements, but it only offers guidance on implementing an
OH&S management system, and is not intended for certification
purposes.
•
Subsequently, OHSAS 18001 was developed to meet the market’s
growing demand for a common certification for OH&S
management, which could be recognized worldwide.
8.2 Similarities between OHSAS 18001, BS 8800, ISO
14001
• The format and structure of OHSAS 18001 was deliberately
based on ISO 14001 when it was developed. Unlike BS 8800,
OHSAS 18001 defines the critical management elements,
which could be included in a health and safety management
system but not how they could be achieved[ii]. The core
approach that OHSAS 18000, BS 8800 and ISO 14001 adopt,
basically follow these steps:
1. Establishing a policy
2. Planning:
(a) Determine legal requirements
(b) Set objectives and targets
(c) Arrange management program
3. Implementation and operation:
(a) Organize structure
(b) Delegate responsibility
(c) Conduct training and Promote awareness
(d) Ensure competence
(e) Establish communication and documentation
systems
(f) Implement Operational Control
(g) Data and document control
(h) Prepare emergency response plan
4. Checking and Corrective Action:
(a) Monitoring and measurement
(b) Corrective action
(c) Records
(d) Audits
ISO 14001
Clause
BS 8800: 1996
(Based on ISO
14001)
Clause
Clause
Clause
OHSAS 18001: 1999
ISO 9001: 2000
1
Scope
1
Scope
1
Scope
1
Scope
2
Reference Publications
2
Informative
References
2
Normative
References
2
Normative
References
3
Terms and Definitions
3
Definitions
3
Definitions
3
Definitions
4
OH & S Management
System Elements
4
OH & S
Management
System Elements
4
4
Quality Management
System
4.1
General Requirements
4.0.
1
General
Environmental
Management
System
Requirements
General
4.1
OH&S Policy
4.0
2
Initial Status
Review
4.2
4.1
General
Requirements
5.3
Quality policy
5.4
Planning
Requirements
4.3
Planning
4.2
Planning
4.3
Environmental
Policy
A.4.2.1 (Not
mandatory but good
practice)
Initial Env. Review
Planning
4.3.1
Planning for Hazard
Identification, Risk
Assessment & Risk
Control
Legal and other
requirements
4.2.
2
Risk Assessment
4.3.
1
Environmental
Aspects
5.2
Customer Focus
4.2.
3
Legal and other
requirements
4.3.
2
4.3.2 Legal and
other requirements
5.2
Customer Focus
4.3.2
OH & S Policy
4.1
4.2
Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 1 of 3)
4.2
.4(
a)
Including personnel and
resources for the
organization to achieve
its policy.
4.3.3
Objectives
5.4
.1
Quality Objectives
4.3.
4
OH&S
Management
Program(s)
4.2
.4
OH & S Management
Arrangements
4.3.4
Environmental
Management
Program(s)
5.
4.2
Quality Management
System Planning
4.4
Implementation
and Operation
4.3
Implementation and
Operation
4.4
Implementation
and Operation
7
Product Realization
4.4.
1
Structure and
Responsibility
4.3
.1
Structure and
Responsibility
4.4.1
Structure and
Responsibility
5.5.
1
5.5.
2
Responsibilities & Authority
4.4.
2
Training,
Awareness &
Competence
4.3
.2
Training, Awareness &
Competence
4.4.2
Training,
Awareness &
Competence
6.2
.2
Competence, Awareness
and Training
4.4.
3
Consultation
and
Communicatio
n
Documentation
4.3
.3
Communication
4.4.3
Communication
5.5
.3
Internal communication
4.3
.4
OH & S Management
System Documentation
4.4.4
Environmental
Management
System
Documentation
Document Control
4.2.
1
4.2.
2
General
4.2
.3
Control of Document
4.4.
5
Document and
Data Control
4.3
.5
Document Control
4.4.5
ISO 14001
Clause
Objectives
Clause
Clause
4.3.
3
Clause
BS 8800: 1996 (Based on
ISO 14001)
4.4.
4
OHSAS
18001: 1999
ISO 9001: 2000
Management Representative
Quality Manual
Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 2 of 3)
OHSAS 18001:
1999
Cl
aus
e
BS 8800: 1996
(Based on ISO
14001)
Cl
aus
e
4.4.6
Operational
Control
4.3
.6
Operational Control
4.4
.6
Operational Control
7
Product Realization
4.4.7
Emergency
Preparedness
and Response
4.3
.7
Emergency
Preparedness and
Response
4.4
.7
Emergency
Preparedness and
Response
8.
3
Control of
nonconforming product
Checking and
Corrective
Action
Performance
Measurement
and Monitoring
4.4
Checking and
Corrective Action
4.5
Checking and
Corrective Action
8
Measurement, analysis
and improvement
4.4
.1
Monitoring and
Measurement
4.5
.1
Monitoring and
Measurement
7.6
Control of monitoring &
measurement devices
Analysis of Data
Accidents,
Incidents, NonConformances,
and Corrective
and Preventive
Action
Records and
Records
Management
4.4
.2
4.4
.3
Records
4.5
.3
Records
4.2
.4
Control of Records
Audit
4.4
.4
Audit
4.5
.4
Environmental
Management System
Audit
8.2
.2
Internal Audits
Management
Review
4.5
Management
Review
4.6
Management Review
5.6
Management Review
Clau
se
4.5
4.5.1
4.5.2
4.5.3
4.5.4
4.6
ISO 14001
Cl
aus
e
8.4
Corrective Action
4.5
.2
Non- Conformance
and Corrective and
Preventive Action
8.3
8.5.2
8.5.3
ISO 9001: 1994
Control of
nonconforming product
Corrective Actions
Preventive Actions
Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 3 of 3)
8.3
Advantages of Integrating OHSAS 18001 & ISO 14001
• For organizations that already have the ISO 14001 environmental
management system implemented, there is no need for a complete
set of new procedures to be prepared for the OH&S system.
• If existing management procedures exist, they could be modified or
cross-referenced.
• This approach could make it quicker and cheaper for an
organization to develop and implement an OH&S system.
CHAPTER 9 LEGAL ASPECTS &
LOCAL LEGISLATION
9.1 Employment Law
In the context of Occupational Health and Safety Legislation, we are
concerned with the following:
v Workplace Safety Law
v Worker’s Compensation
v Damages
v Tort Law
9.2 Workers’ Compensation
The following sections will look into details of workers’
compensation laws.
9.2.1
Objective of Workers’ Compensation Laws
The six basic objectives that underlie workers’ compensation laws are:
1. To provide sure, prompt, and reasonable income and medical
benefits to work related accident victims, or income benefits to their
dependents, regardless of fault.
2.
3.
4.
5.
6.
To provide a single remedy, and reduce court delays, cost and workloads
arising out of personal injury litigation.
To relieve public and private charities of financial drain incident to
uncompensated industrial accidents.
To eliminate payment of fees to lawyers and witnesses, as well as time
consuming trials and appeals.
To encourage maximum employer interest in safety and rehabilitation
through an appropriate experience-rating mechanism.
To promote frank study of causes of accidents (rather than concealment of
fault), thus reducing preventable accidents and human suffering.
9.2.2
Requirements for Benefits under Workers’
Compensation
1.
Four conditions or criteria must be established in order for the injured
worker or surviving dependents to establish a claim for compensation.
There has to be an injury.
2.
3.
4.
The injury must have resulted from an accident.
The injury must have arisen out of the worker’s employment.
The injury must have occurred during the course of employment.
1.
2.
3.
4.
5.
6.
However, there are exceptions disallowing workers to claim
compensation as a result of actions or inactions on the part of the
employee.
Intoxication or the use of a controlled substance
An intentional self-inflicted injury
The commission of a felony or a misdemeanor
The willful failure, or refusal, to obey a reasonably written or printed
safety rule of the employer
Horseplay or altercation with a fellow employee
Falsification of application of employment
9.2.3
–
–
Benefits Provided under Workers’ Compensation
Cash benefits will depend on the level of disability that the worker
suffers as a result of an injury caused in the workplace.
Medical benefits give the worker coverage over hospitalization,
consultation and other medical bills incurred as a result of the work
related injury.
9.3 Federal Occupational Safety and Health Act (OSHA)
• 9.3.1OSHA’s Objectives
OSHA’s objectives are as follows:
1. Encourage employers and employees to reduce workplace hazards and
to implement new or improved existing safety and health programs.
2. Provide for research in occupational safety and health and develop
innovative ways of dealing with occupational safety and health problems.
3. Establish “separate but dependent responsibilities and rights” for
employers and employees for the achievement of better safety and
health conditions.
4. Maintain a reporting and record-keeping system to monitor job-related
injuries and illness.
5. Establish training programs to increase the number of competent
occupational safety and health personnel.
6. Develop mandatory job safety and health standards, and enforce them
effectively.
7. Provide for the development, analysis, evaluation, and approval of state
occupational safety and health programs.
9.3.2 Employers’ Responsibilities under OSHA
–
–
–
He must ensure that the workplace complies with OSHA standards.
Records of work-related injuries and illnesses and exposure to toxic
materials are to be kept and maintained.
Effort should be made to minimize or reduce accidents, as well as to
provide medical examinations to employees as required by OSHA
standards.
9.4 Local (Singapore) Movement
1.
2.
3.
4.
In the Ministry of Manpower’s quest to attain their objectives, the
services they provide include the following:
Registration of factories.
Inspection of factories to check for compliance with the
Factories Act and related safety laws.
Investigation of accidents to determine the causes and to
recommend measures to prevent recurrence.
Registration and inspection of pressure vessels and lifting
equipment.
•
•
•
•
5. Setting standards on OH&S.
6. Providing education and training in OH&S.
7. Promotion of OH&S.
In addition, the ministry is committed to ensure that safety requirements
are adequate and relevant.
Moreover, a permanent exhibition on occupational health and safety
occupies an area in the head office of Ministry of Manpower building
located at Havelock Road.
The ministry also publishes various material regarding OH&S. An
example is the OSH newsletter which is published quarterly and
distributed free of charge.
Other pamphlets regarding OH&S information such as “Fire Prevention
Awareness for Industrial Workers”, “How to Report Accidents to the
Ministry of Manpower”, and “Department of Industrial Safety” can be
readily obtained from their office.
9.5
The Factories Act
In this Act the term ‘factory’ covers all premises where
workers are employed:
(a) To make any article, or part of it,
(b) To alter, repair, clean or break up any article, or
(c) To adapt any article for sale.
This work shall be carried out for trade or for gain, for a more
detailed interpretation of the term ‘factory’, reference should
be made to Appendix A – Interpretation of ‘Factory’.
9.5.1
Registration of Factories
– All factories must be registered with the Department of Industrial
Safety of the Ministry of Manpower.
– The certificate of registration to the occupier will only be issued when
the premises satisfy the requirements of a factory.
• 9.5.2
General Health Requirements
Aspects of general health such as cleanliness, overcrowding,
ventilation, noise and vibration, lighting, drainage and toilets are
explained in this section.
• 9.5.3
Welfare and Equipment Safety
– It is the management’s responsibility to ensure that all equipment,
structures and the working environment are safe for everyday usage.
– Measures and precautions to prevent explosions and fires are stated in
detail in the Act. In addition, the Act also sets safety standards for the
operations, maintenance and inspections for lifting equipment, pressure
vessels and gas plants.
– The Act goes on to list the various types of personal protective
equipment that must be provided free to workers who are exposed to
hazards, such as: approved head protection, hand protection, respirators
and goggles, etc.
– The minimum requirements of employee’s welfare, for example,
drinking water, washing facilities and first aid are set out.
• 9.5.4
Toxic Substances
– The proper containment, labeling of toxic substances is described in the
Act.
– Furthermore, precautionary measures to prevent the release of harmful
substances are listed.
– The MSDS states that the necessary precautions for safe use and must
be available to all persons who may be exposed to the substance.
•
9.5.5
Medical Examinations and Accident Reporting
– The Factories Act requires workers who are exposed to a list of
substances and environment to undergo regular medical examinations
specific to the type of hazards involved. These examinations must be
paid for by the employer.
– Serious accidents, illnesses and injuries as listed in the act must be
reported to the Chief Inspector of Factories.
• 9.5.6
Keeping
Safety Officers, Committees and Record
– In addition, factories employing 50 or more workers are required to
form a safety committee comprising representatives from both
management and workers.
– The types of records that the occupier is required to keep for a period
of at least five years are also listed.
Type of Safety Officers Required
Classes of Factories
Full Time
Part-Time
Shipyard
Employs 100 or more persons
Employs less than 100 persons
Woodworking
Employs 100 or more persons
Not applicable
Refining/Processing of petroleum
and petroleum products
Employs any number of persons
Not applicable
Garments manufacturing
Not applicable
Employs 500 or more persons
Building operations or works of
engineering construction
Project of a contract sum of $50
million or more
Project of a contract sum of $10
million or more, but less than $50
million
Others
(except
manufacturing)
Employs 500 or more persons
Employs 100 or more persons, but
less than 500 persons
garments
Table 9.1 Descriptions of Factories for Full-Time or Part-Time Officers[i]
9.6 Code of Practice – Safety and Health at Construction
Worksites
• It provides a convenient and safe reference for the site
supervisor or manager in ensuring safety is upheld in the
course of work.
• As can be seen in Table 9.2, there are many processes that
occur in any construction worksites, such as welding,
demolition, and pile driving, and these processes are often
dangerous if not carried out properly.
• In addition to regulating work processes, precautionary
measures such as fire prevention, and safety organization are
described. These measures will certainly reduce the incident
rate of fire and accidents.
Part 1
Part 2
1
General Provisions
1
Scaffolds
2
Workplaces and Equipment
2
Roofworks
3
Safety Organization
3
Excavation
4
Ladders and Stairs
4
Handling Materials
5
Lifting Appliances and Equipment
5
Structural Steel Erection
6
Ropes, Chains and Accessories
6
Erection of Prefabricated Parts
7
Hand Tools, Portable Power Driven Tools
7
Welding and Flame Cutting
8
Pile Driving
8
Demolition
9
Concrete Work
10
Prevention of Fire
Table 9.2 Content of Code of Practice on Safety and Health at Construction Worksites – Parts 1 & 2 [i] [ii]
9.7 Courses Conducted by The Occupational Safety &
Health (Training & Promotion) Center in Singapore
The courses conducted are divided into four categories, with the
courses in each category meant for the appropriate class of
persons. The four categories are:
• 9.7.1
OSH Courses for Supervisors
– These courses for supervisors are geared to train supervisors on the
practical measures for accident prevention in their respective industries.
– The supervisors are also taught their role in accident prevention.
– The courses also cover motivation, communication and accident
investigation techniques and fire prevention and control.
• 9.7.2
OSH Courses for Managers
– The courses for managers are designed to help senior personnel in
industry to effectively manage safety in the workplace through the
development and implementation of safety systems and also the
monitoring and measurement of safety performance.
• 9.7.3
Courses for OSH Personnel
– Our courses for OSH personnel are geared to impart the necessary
knowledge and skills to the participants to enable them to effectively
carry out their duties.
• 9.7.4
Safety Courses for Workers
– These courses for workers are intended to inform workers of the nature
and types of hazards that they may be exposed to in the course of their
work, and the measures and precautions that need to be taken by them
to prevent accidents.
Courses for OSH
Personnel
OSH Courses for
Managers
OSH Courses for
Supervisors
Safety Courses for
Workers
Safety Officers
Training Course
Safety Management
Course
Shipyard Safety Instruction
Course for Workers (General
Trade)
Shipyard Safety
Assistants Course
Safety Instruction
Course for Ship Repair
Managers
Basic Industrial
Safety and Health
Course for
Supervisors
Building
Construction Safety
Supervisors Course
Industrial First Aid
Course
Construction Safety
Course for Project
Managers
Shipyard Supervisors
Safety Course
Shipyard Safety Instruction
Course for Workers (Painters
Trade)
Industrial First Aid
Refresher Course
Safety Instruction
Course (Manhole) for
Supervisors
Construction Safety
Orientation Course for
Workers
Industrial Hygiene
Course
Oil/Petrol Chemical
Industry Supervisors
Safety Course
Safety Orientation Course
(Manhole) for Workers
Training Course for
Safety Committee
Members
Lifting Supervisors
Safety Course
Construction Safety
Orientation Course
(Tunneling) for Workers
Shipyard Safety
Assessors (Hot-work)
Certification Course
Power Press Safety
Course for
Supervisors
Table 9.3 Courses Conducted at OH&S Training Center
Shipyard Safety Instruction
Course for Workers (Hotwork Trade)
Chapter 10
IRCA Auditor Certification Scheme
10.1
Introduction (Ref: IRCA/503)
The OH&S Scheme is based on the key standards:
 OHSAS 18001:1999, Occupational Health & Safety Management
Systems - Specification
 HSG 65, Successful Health & Safety
 BS 8800, Guide to Occupational Health & Safety Management
Systems
And the auditing guidance standard:
 ISO 19011:2002, Guidelines on Quality and/or Environmental
Management Systems Auditing
10.2
The OH&S Scheme
The IRCA Auditor Certification Scheme recognized that you
understand and are competent (depending on the grade awarded) to:
• Uphold the principles of proper ethical conduct, fair presentation and due
professional care
• Communicate clearly orally and in writing with personnel at all levels of an
organization
• Plan and organize an audit of an OH&S management system
• Identify and understand relevant business processes
• Evaluate objective evidence and determine the effectiveness of an OH&S
management system
• Report accurately audit findings and conclusions
• Lead the audit team and manage the audit process
• Audit a management process
10.3
Certification Grades
The OH&S Scheme has five grades of certification:
•
•
•
•
•
OH&S Internal Auditor
OH&S Provisional Auditor
OH&S Auditor
OH&S Lead Auditor
OH&S Principal Auditor
For more information, please refer to the IRCA official
website at www.irca.org
CHAPTER 11
CASE STUDY OF A CONSTRUCTION COMPANY
11.1
Introduction
• This example is given in the context of the construction sector to
illustrate some aspects on how to develop the Occupational
Health and Safety Management System following the OHSAS
18001: 1999 standard.
11.2 Company Profile
• XYZ Pte Ltd is a construction company in Singapore.
• The employees of the company are very often exposed to
occupational health and safety risks and hazards.
• Some of these risks and dangers that they experienced can be
eliminated from their tasks.
• Thus, the company’s management has decided to implement an
OH&S system following the OHSAS 18001: 1999 specification
standards.
11.3
XYZ Pte Ltd OH& S POLICY
The OH&S Policy of XYZ Pte Ltd is presented in Figure 11.1.
•
•
•
•
•
•
•
It is the policy of our company to ensure every employee works under the
safest possible conditions. In recognition of this, we will constantly work
towards:
Providing our employees a safe and healthful working environment.
Providing safe working equipment and personal protection.
Increasing risk and consequence awareness.
Ensuring the best first aid and medical service available in the case of
injury
Reducing legal liability by showing due diligence.
Improving business performance.
Creating a positive corporate image.
Peter Ho
Peter Ho (President)
Edward Ong
Edward Ong
(Safety Director)
11.4 XYZ Pte Ltd Organization Structure and
Responsibility
The organization’s structure, responsibilities and accountabilities
with respect to OH&S requirements are presented in Figure
11.2.
Duties and responsibilities of the Safety Director include:



Ensuring the OH&S system is properly implemented.
Ensuring the overall effectiveness of the safety program.
Review and analysis of accident information, safety meeting reports,
etc.
 Communication of pertinent information to all the jobs and shops.
Duties and responsibilities of the Superintendent include:

Review of all accident investigations and safety inspection reports
for the job or shop.
 Passing of safety information along to all foremen.
 Maintenance of an accident log to help in identifying accident trends
and problem areas so that additional safety effort can be directed as
needed.

When necessary, advise contractors, etc., of physical changes or new
safety regulations.

Conducting regular scheduled foremen’s meetings at which job or
shop work progress, hazards, accidents, and other work and safety
items are to be discussed. A written record of these meetings should be
maintained.
Duties and Responsibilities of the Foreman include:

Conducting safety inspections daily, supplemented by periodic
checklist and typewritten safety inspections as specified by the
superintendent.

Ensuring all accidents are reported and first aid rendered in case of
injury.

Investigating all work related accidents and near misses and then
submitting a report to the superintendent.
 Ensure necessary actions are taken to prevent similar accidents from
happening in future.
Duties and Responsibilities of All Employees include:

Exercising maximum care and good judgment in preventing
accidents.

Report to their foreman and seek first aid for all injuries, however
minor they may be.
 Report unsafe conditions, equipment or practices as soon as possible.
 Use all personal protective equipment provided whenever necessary.
Peter Ho
Peter Ho
(President)
Edward Ong
Edward Ong
(Safety Director)
Figure 11.2: XYZ Pte Ltd Organization Structure, Responsibilities and Accountabilities
11.5
XYZ Pte Ltd Risk Assessment Program
HARMFUL
LEVEL
SEVERITY OF HARM
- Superficial injuries, minor cuts and bruises, eye irritation from dust
- Nuisance and irritation (e.g. headaches), ill-health leading to
temporary discomfort.
Slightly Harmful
- Lacerations, burns, concussion, serious sprains, minor fractures
- Deafness, dermatitis, asthma, work related upper limb disorders
- Ill health leading to permanent minor disability.
Harmful
- Amputation, major fractures, poisonings, multiple injuries, fatal
injuries
-Occupational cancer, other severely life shortening diseases, acute fatal
diseases
Extremely
Harmful
Table 11.1: XYZ Pte Ltd Interpretation of Harm Level
Slightly Harmful
Harmful
Extremely Harmful
Highly Unlikely
Trivial Risk
Tolerable Risk
Moderate Risk
Unlikely
Tolerable Risk
Moderate Risk
Substantial Risk
Likely
Moderate Risk
Substantial Risk
Intolerable Risk
Table 11.2: XYZ Pte Ltd Risk Rating
RISK LEVEL
ACTION AND TIMESCALE
No action required, no documentary records to be kept.
Trivial
Tolerable
No additional controls required. Consideration may be given to a more costeffective solution or improvement that imposes no additional cost burden.
Monitoring required to ensure that
controls are maintained.
Effort should be made to reduce risks, but costs of prevention should be
carefully measured and limited.
Moderate
Where moderate risk is associated with extremely harmful consequences, further
assessment may be necessary to establish more precisely the likelihood of harm
as a basis for determining the need for improved control measures.
Substantial
Intolerable
Work should not start until risk has been reduced. Considerable resources may
have to be allocated to reduce risk. Where risk involves work in progress, urgent
action should be taken.
Work should not start or continue until risk has been reduced. If it is not possible
to do so even with unlimited resources, work has to remain prohibited.
Table 11.3: XYZ Pte Ltd Interpretations of Risks
• Conducted at Site: Loyang Drive / Construction of ABC Condominium
• Conducted on: 12/ 2/ 2000 Conducted by: John Lee (Safety Engineer)
IMPACT (Rating = Severity X Frequency)
Work
Activity
Types of
Hazards
Operating a
compressed
air
Jackhammer
Loud noises &
long exposures
Inspection of
steel girder
alignment &
deflection in
bridges
&
buildings
using lasers
Exposures to
lasers
Heari
ng
Proble
ms
Eye
Injury
(possibi
lity of
loss of
sight)
Lim
bs
Inju
ry
General
Illness (e.g.
Cough, flu,
fever, etc.)
2x2
Physical
Injuries
(possibili
ty of
death)
Tot
al
4
2x2
Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 1 of 3)
4
Ra
nk
IMPACT (Rating = Severity X Frequency)
Work
Activity
Working over
or near water
without
wearing life
jackets
or
buoyant
equipment
Types of
Hazards
Heari
ng
Proble
ms
Eye
Injury
(possibi
lity of
loss of
sight)
Lim
bs
Inju
ry
General
Illness (e.g.
Cough, flu,
fever, etc.)
Physical
Injuries
(possibili
ty of
death)
Tot
al
2x2
3x2
10
Drowning
Ra
nk
Handling
flammable
liquids
Fire
2x2
2x2
2x2
12
2
Handling
Powderactuated
tools
Electrocution
&
Mechanical
injuries
2x2
2x2
2x2
12
2
Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 2 of 3)
IMPACT (Rating = Severity X Frequency)
Work
Activity
Handling
high-voltage
machinery
Types of
Hazards
Heari
ng
Proble
ms
Eye
Injury
(possibi
lity of
loss of
sight)
Electrocution
Physical
Injuries
(possibili
ty of
death)
Tot
al
2x2
2x2
8
Lim
bs
Inju
ry
General
Illness (e.g.
Cough, flu,
fever, etc.)
Transportatio
n of explosive
materials used
in blasting
Explosion
& Fire
1x1
1x1
2x2
2x2
10
Heavy
vehicles
&
equipments
in operation
Fatality to
drivers
(caused by
rollovers) or to
co-drivers
(caused by
runovers)
2x2
1x2
2x2
3x2
16
Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 3 of 3)
Ra
nk
1
11.6
XYZ Pte Ltd Risk Assessment Results &
Analysis
• The risk assessment matrix (refer to Table 11.1) on the
company’s occupational health and safety revealed that the
severity of risk due to heavy vehicles in operation ranked the
highest among other form of risks, leading to many cases of
fatality to drivers (rollovers) and to co-workers (runovers).
• After a thorough investigation with the foreman and his
workers, the following reasons were believed to be the cause
of heavy vehicle accidents:
i. Heavy construction vehicles have to maneuver in congested areas;
ii. There is no speed limit for vehicles at the worksite;
iii. There is no policy that all drivers have to be certified to operate
a specific vehicles;
iv. Routes where the construction vehicles are to operate are not
marked;
v. Construction vehicles have no protection against impacts of
any forms;
•
vii. Workers are not informed of the precautions they
should take at worksites.
11.7
XYZ Pte Ltd Action Plan
11.7.1
Key Objectives
– The organization’s key objective is to plan and implement an action
plan to reduce site transport risks to as low a level as possible within
six months.
– The plan specified improvements in outcome indicators that would
demonstrate a site transport risk that was as low as possible and that
could be sustained over time.
11.7.2
Outline Indicator
The objectives will be judged if they have been met based on the
following indicators:
i.
Reported near-misses and transport accidents;
ii.
Number of transport related unsafe acts and conditions
observed by foremen and co-workers;
iii. Review from foremen of operator compliance with relevant
regulations;
• 11.7.3
Objective Plan
The broad content of the action plan to achieve key objectives,
within an agreed budget, is finalized after consultation with
relevant parties and a review of the plan’s adequacy are:
i.
Install rollover protective structure (ROPS) on vehicles;
ii.
Improve operator visibility and pedestrian awareness on
site;
iii.
iv.
•
11.7.4
Introduce on site safety awareness training;
Introduce biennial inspection of construction vehicles.
Target Plan and Timescale
– A detailed Occupational Health and Safety Management Programme
has been drawn up in Table 11.5.
– Proper planning is essential to ensure that targets can be met within a
reasonable timescale. Also, the targets will be inspected against a
checklist given in Figure 11.3.
CHECKLIST FOR EVALUATION OF SITE TRANSPORT
ACCIDENTS
1. Are the routes where these vehicles are to operate
marked or otherwise restricted?
2. Have speed limits and other precautionary measures
been posted prominently?
3. Is it a policy that only authorized personnel will operate
the vehicles?
4. Is it a policy that all drivers will be certified to operate
specific vehicles?
5. Are vehicles, which can be subjected to bumpy roads or
sudden stops or turns, provided with seatbelts or other
means of restraints to prevent injury to the occupant?
6. Are vehicles, which might upset, equipped with rollover
protection for the driver and other occupants?
7.
In personnel carrying vehicles subject to impacts or
sudden starts or stops, are cushioning materials used
to prevent injury by safeguarding the riders from hitting
hard surfaces?
8. In such vehicles, have sharp points, knobs, and other
hard protuberances against which personnel can injure
themselves by impact been removed or safeguarded?
9. Will the vehicle be able to stop within a reasonable
distance if the surface on which it is moving is wet?
Does the vehicle have any unreasonably unsafe
characteristics on a wet surface?
10. Is the braking surface and capability adequate for the
vehicle’s weight and unexpected operating speed?
Figure 11.3: Checklist For Site Transport Accidents
• 11.7.5
4.3.4)
OBJECTIV
E (3.9)
MEANS (CLAUSE 43.4B)
IMPLEMENT
Progress
-ion
100%
A
P
R
Progress
-ion
100%
A
P
R
2
10 / 0
1.1.1
Construct
ROPS at
the back of
constructio
n vehicles
1.Report-ed
near-misses
and
transport
accidents
2. Review
from
foremen of
operators
compliances with the
regulations
1
10 / 0
1.1 Install
rollover
protective
structure
(ROPS) on
constructio
n vehicles
TARGET
30
REDUCE
SITE
TRANSPO
RT RISK
OBJECTIVE
TIME FRAME IN MONTHS
30
FATALITY TO
DRIVERS
AND COWORKER
MONIORIN
G&
MEASURE
MENT
(CLAUSE4.
5.1)
Foremen
1
PROCEDURE
OH&S
OBJECTIVES
(CLAUSE 4.3.3)
PRESPONSIBILITY
SIGNIFICANT
IMPACTS
(3.5)
DUE DATE
NO.
OH&S MANAGEMENT PROGRAMME (CLAUSE
3
4
5
6
7
8
9
10
11
12
1.2 Improve
operator
visibility and
pedestrian
awareness
1.3
Introduce
on-site
safety
awarenesstr
aining
1.4
Introduce
bi-annually
inspection
of
construction
of vehicle
1.1.2
Ensure
the
securing
of seatbelt
by drivers
1.2.1
Segregate
pedestrian
and
vehicles
using road
markings
and
barrier
1.3.1
Establish
safety
awarenes
s
workshop
1.3.2
Conduct
one day
training
and
competen
cy test
3. Number
of tranport
related
unsafe acts
1
0
/
0
M
A
Y
3
0
7
0
M
A
Y
2
5
6
5
1
0
/
0
100%
M
A
Y
2
5
6
5
1
0
/
0
100%
M
A
Y
2
5
7
5
100%
A
P
R
Progressi
on
100%
Progressi
on
100%
Increase
d Safety
Awarene
ss
Progressi
on
Progressi
on
F
o
r
e
m
e
n
2
5
Progressi
on
100%
S
E
P
1
0
/
0
1
0
/
0
1
0
/
0
OBJECTIV
E (3.9)
MEANS (CLAUSE 4.2.b4)
IMPLEMENT
Progress
-ion
100%
A
P
R
Progress
-ion
100%
A
P
R
10 / 0
A
P
R
10 / 0
2.1.2
Inspect the
tubes,
couplers,
and
boards for
defects
before use
2.Review
from
foremen of
operators
compliance
with the
regulations
100%
2
10 / 0
2.1.1
Provide
sufficient
and sound
material
for scaffold
1. Reported
near-misses
and
transport
accidents
Progress
-ion
1
30
2.1 Ensure
proper
erection of
scaffold
TARGET
30
Reduce
accidents
due to falls
OBJECTIVE
TIME FRAME IN MONTHS
25
INJURIES
AND DEATH
DUE TO
FALLS
MONIORIN
G&
MEASURE
MENT
(CLAUSE4.
5.1)
Superintendent and foremen
2
PROCEDURE
OH&S
OBJECTIVES
(CLAUSE 4.3.3)
PRESPONSIBILITY
SIGNIFICANT
IMPACTS
(3.5)
DUE DATE
NO.
3
4
5
6
7
8
9
10
11
12
OBJECTIV
E (3.9)
MEANS (CLAUSE 4.3.4B)
Progress
-ion
100%
Progress
-ion
100%
Progress
-ion
100%
Progress
-ion
100%
Progress
-ion
100%
M
A
Y
J
U
N
2
3
10 / 0
3. Number
of transport
related
unsafe acts
1
10 / 0
TARGET
50
2.2.1
Floors and
walls to be
guided by
railings on
open sided
floors
2.2.2 Draw
warning
lines 6ft
from edge
of roof
OBJECTIVE
50
2.2 Install
guidance
2.1.3
Scald fold
to be
erected by
qualified
and
experience
workers
2.1.4
Inspect
and
maintain
scaffold
once a
week after
erection
1
MONIORIN
G&
MEASURE
MENT
(CLAUSE4.
5.1)
10 / 0
PROCEDURE
TIME FRAME IN MONTHS
50
IMPLEMENT
OH&S
OBJECTIVES
(CLAUSE 4.3.3)
PRESPONSIBILITY
SIGNIFICANT
IMPACTS
(3.5)
DUE DATE
NO.
J
U
N
J
U
N
4
5
6
7
8
9
10
11
12
2.4 Ensure
persons
working at
heights
adhere to
precautiona
ry measures
2.3.1 Ensure
worker wear
safety belts,
lanyard, and
lifeline when
working at a
height of 6 ft
or more
2.4.1 Permit
persons to
work at
heights only
after they
have
indicated or
demonstrated
no adverse
effects
2.4.2 Arrange
an
experienced
worker to
accompany a
new worker
to observe
worker’s
reaction
Supervisor
2.3 Safety
belts
Progressi
on
100%
J
U
N
Progressi
on
100%
J
U
N
Progressi
on
100%
J
U
N
5
0
Progressi
on
100%
J
U
N
5
0
1
0
/
0
5
0
1
0
/
0
Progressi
on
100%
J
U
N
5
0
1
0
/
0
5
0
1
0
/
0
1
0
/
0
1
0
/
0
OBJECTIV
E (3.9)
MEANS (CLAUSE 43.4B)
IMPLEMENT
2.5
Provide
safeguard
s to avoid
hard
impacts
due to falls
where
possibilitie
s of falls
cannot be
eliminated
PROCEDURE
2.4.3 Persons
who are under
medication
that cause
drowsiness or
recovering
from cold or
flu should not
be allowed to
work at
heights
2.5.1 Place
well packed
earth around
the buildings
2.5.2 Install
safety nets to
break fall
OH&S
OBJECTIVES
(CLAUSE 4.3.3)
MONIOR
ING &
MEASU
REMEN
T
(CLAUS
E4.5.1)
OBJECTIVE
TARGET
Progress
ion
100%
Progress
ion
100%
100%
Progress
ion
Progress
ion
100%
PRESPONSIBILITY
SIGNIFICANT
IMPACTS
(3.5)
DUE DATE
NO.
TIME FRAME IN MONTHS
3
4
J
U
N
5
0
1
0
/
0
J
U
L
4
0
7
0
J
U
N
7
0
1
0
/
0
J
U
L
1
2
6
0
5
1
0
/
0
6
7
8
9
10
11
12
11.8 Monitoring and Measurement Plan
• In order to monitor the OH&S management system, a monthly
safety record (Figure 11.4) will have to be kept. Items included
in the record are:
 date of incident or occurrence,

indication of whether it involves an accident, near miss, ill
health or discovery of a new hazard,
 a description of the incident or occurrence, by whom was it
reported by and the action that was taken.
• The superintendent will conduct regular risk assessments
every month to check areas where potential work hazards
might occur.
• This risk assessment will be supplemented by feedback from
other employees on the work hazards they face in the course of
their work or any new potential work hazards that they might
observe.
DATE
03/01/
2000
AC
CI
DE
NT
1
NEAR
MISSES
3
ILL
HE
ALT
H
WORK
HAZAR
D
DISCOV
ERED
0
Yes
DESCRIPTION
It was discovered that an accident
and three near- misses were caused
by one of our workers, Salleh. He
did not have the Class 4 driving
license needed to drive the
transport truck. He drove the truck
into a partially completed building
boulder and almost hit three other
fellow workers working on the
boulder. They suffered minor
injuries and cuts. Salleh fractured
his collarbone and needed to be
hospitalized for observation.
Figure 11.4: XYZ Pte Ltd Safety Record Sheet
REPOR
TED BY
ACTIO
N
TAKEN
Headman
Tony
Ang
Pending
•
•
•
•
•
•
11.9
Investigation Procedures
An investigation committee has been set up to look into all
accidents and near- misses.
The safety engineer of our company will head the committee.
Corrective action plans have to be approved by the safety
engineer before they can be carried out.
Investigation personnel should begin their preliminary analysis
of facts while further information is collected.
In the process of investigation, corrective action has to be
taken to prevent further or reduce similar cases of accidents
from occurring.
It should not be carried out only after a thorough investigation
has been conducted as by then, more similar accidents would
have occurred.
LIST OF INVESTIGATIVE QUESTIONS TO ASK THE
WITNESS
1. Where did the accident occur?
2. When did it occur?
3. What did the witness see with his/her own eyes?
4. What was the driver doing when the accident occurred?
5. What was the victim doing when the accident occurred?
6. Did the driver have his seatbelt on?
7.
Were both the driver and the victim following the rules and
regulations?
8. In the witness’s view, what had caused the accident?
Figure 11.5: XYZ Pte Ltd List of Investigative Questions for Witness
LIST OF INVESTIGATIVE QUESTIONS TO ASK THE
VICTIM
1. What was he doing when the accident occurred?
2. Was he supposed to be present at the place of accident?
3. Was he under any medication at that time?
4. Is he experienced in that particular job?
5. Did he check the vehicle before using it?
6. Did he comply with the rules and regulations?
7. In his opinion, what had caused the accident to happen?
Figure 11.6: XYZ Pte Ltd List of Investigative Questions for Victim
11.10 Emergency Response Plan for Heavy Vehicle
Accidents
The following steps shall be followed should there be any major
heavy vehicle accident at the worksite:
1. Remove victim if possible.
2.
All workers in danger or at potential harm are to evacuate
the worksite to a safe control station.
3. The foreman shall be informed as soon as possible.
4. The foreman is to inform all relevant authorities.
5.
No one should be allowed to leave the control station until
further instructions.
6. Put out all fires immediately.
7. Apply first aid to victim.
8. Do not panic and wait for help to arrive.
•
•
•
•
•
11.11
Audit Program
Internal audits are to be carried out every three months.
There will also be an external certification audit scheduled
once a year.
The main purpose of the audits is to check if the OH&S
system has been properly implemented within the company.
It is also a review of our company’s performance in the area
of OH&S performance.
An audit checklist developed based on the OHSAS 18001:
1999 specification requirements will be used during the
internal audits to aid assessment.
4.1
4.2
4.2a
4.2b
4.2c
4.2d
4.2e
4.2f
4.2g
4.3.1
GENERAL REQUIREMENT
Does the organization maintain an established OH&S Management System?
Are there objectives set up for the policy? What are they?
Is the company’s OH&S policy appropriate to the nature and scale of the
organization’s OH&S risks?
Are employees committed to continual improvement?
Are employees committed to comply with current applicable OH&S
legislation and other requirements?
Is the OH&S policy being documented, implemented and maintained in the
organization?
Are all employees aware of their individual OH & S obligations?
Is the OH&S policy available to interested parties?
Is the OH&S policy reviewed periodically to ensure its relevance and
appropriateness to the organization?
Are there established procedures to identify the OH&S hazards in the
organization?
Are risk assessment & control measures implemented?
Is the organization’s methodology for hazard identification and risk assessment
-Defined with respect to its scope, nature, and timing?
4.3.2
4.3.3
4.3.4
4.4.1
4.4.2
-Able to classify and identify risks to be eliminated or controlled?
-Consistent with operating experience and capabilities of risk control measures?
-Able to provide input into the determination of facility requirements,
identification of training needs and development of operational controls?
-Able to provide for the monitoring of required actions to ensure both the
effectiveness and timeliness of their implementation?
Are legal & other relevant requirements identified & made readily accessible?
Are the OH & S objectives established and maintained?
Are documented objectives and targets consistent with the OH&S policy
including commitment to continual improvement?
Are programs for achieving overall plans & objectives established &
maintained, including designation of responsibilities, and methods and timescale by which they are achieved?
Is everyone in the organization aware of their roles & responsibility for the
health & safety of those they manage, themselves & others whom they work
with?
Are resources essential to the implementation, control and improvement of the
OH&S management system provided?
Does the workers at the site possess appropriate education, training and/or
experience on OH&S aspects?
4.4.3
4.4.4
4.4.5
Are employees competent and trained in performing their tasks?
Are the employees aware of
-The importance of conformance to the OH&S policy and procedures, and the
requirements of the OH&S system?
-The actual and potential OH&S consequences of their work activities and
benefits of improved personal performance?
-Their roles and responsibilities in achieving conformance to the OH&S
policy and requirements?
- Potential consequences of departure from specified operating procedures?
Are there procedures to ensure that pertinent OH&S information is
communicated to and from the employees and other interested parties?
Are employees involved in the development and review of policies and
procedures to manage risks and consulted when there are changes that affect
workplace health and policy, and represented on health and safety matters,
informed of their representative?
Are information that provide direction to related documentation and describe core
elements of the management system and their interaction established and
maintained in a suitable medium?
Are documented procedures efficiently located and suitably identified?
Are documented procedures reviewed periodically, and approved for adequacy by
authorized personnel?
4.4.6
4.4.7
4.5.1
4.5.2
4.5.3
4.5.4
4.6
Are the documented procedures kept up to date & available to all at essential
locations?
Do the documented procedures contain obsolete documents?
Are control measures applied to those operations and activities associated with
identified risks?
Are there established and maintained procedures to cover situations where their
absence could lead to deviation from OH & S policy and objectives?
Are the procedures stipulating operating criteria?
Are arrangements made to establish contingency plans for foreseeable
emergencies & to mitigate their effects?
Is the performance measurement established for monitoring the policy & its
objectives?
Are corrective actions taken & root causes identified whenever deficiencies arise?
What are they?
Are there any records maintained?
Is there an audit program to assess the OH&S management system?
Does the management carry out reviews of the OH&S system periodically?
Is frequency & scope of periodic reviews of the OH&S management system defined
according to its needs?
11.12 Management Review
• Management review is to be conducted on the first Friday of
every six months to review the OH&S system implemented.
• Evaluation will be planned based on the current flow of events,
including any latest changes to legislation, policy, or
objectives.