OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEMS AUDITOR TRAINING COURSE IRCA REG. NO. A16834

1. OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEMS AUDITOR TRAINING COURSE IRCA REG. NO. A16834

2. 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

3. 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.

4. 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]

5. 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

6. Operations Engineering Environmental Security Medical Training SAFETY Industrial Hygiene Legal Test & Evaluation Transportation Information Systems Facilities Figure 1.1: Safety Interactions

7. 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.

8. 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

9. Environment • Products & Processes • Attributes Environmental Quality • Workplace • Raw Materials & Energy • Labor • Processing Environmental Health & Safety Community Occupational Health & Safety Groups Persons Institutions Worker Waste Occupational Health & Safety Occupational Health & Safety Product Figure 1.2: Holistic Overview of the Workplace, Environmental Quality & Human Community[i]

10. 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.

11. 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;

12. 1.7 Definitions & Terminology 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”. • Interested parties • Non-conformance

13. 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. • Performance NOTE: Performance measurement includes of OH&S management activities and results. • Risk • Risk assessment • Safety • Tolerable risk

14. 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.

15. 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.

16. 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.

17. Continual Improvement OH&S Policy Management Review • Planning • Hazard Identification, Risk Assessment & Risk Control • Legal & other Requirements • Objectives • OH&S Management programme(s) • Checking & Corrective Action • Performance Measurement & Monitoring • Accidents, Incidents, NCs & Corrective & Preventive Action • Records & Records Management • Audit • 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

18. 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

19. 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.

20. 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]

21. 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.

22. 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.

23. 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.

24. 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.

25. 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.

26. 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.

27. 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]

28. 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.

29. Management Review Policy Feedback from Measuring Performance Audit Planning Figure 3.2: OH&S Policy[i]

30. 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. • Itis reviewed periodically to ensure its relevance and suitability to the organization.

31. Policy Planning Feedback from Measuring Performance Audit Implementation and Operation • Clause 4.3 – Planning Figure 3.3: Planning[i]

32. 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.

33. 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.

34. 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.

35. 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.

36. Planning Implementation and Operation Feedback from Measuring Performance Audit Checking and Corrective Action • Clause 4.4 – Implementation and Documentation Figure 3.4: Implementation and Operation[i]

37. 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 : • 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

38. 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.

39. 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.

40. 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

41. 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.

42. 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.

43. 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.

44. Implementation and Operation Checking and Corrective Action Feedback from Measuring Performance Audit Management Review Clause 4.5 – Checking and Corrective Action Figure 3.5: Checking and Corrective Action[i]

45. 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.

46. 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.

47. Clause 4.5.2 Accidents, Incidents, Non- conformances 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 non- conformances. 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.

48. 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.

49. 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: • 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. b.Review the results of previous audits. c.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.

50. Checking and Conductive Action Clause 4.6 – Management Review Management Review Internal Factors External Factors Policy Figure 3.6: Management Review[i]