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     IRCA REG. NO. A16834
    1:   Introduction
1.1Background 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
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

• 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



Industrial Hygiene

  Transportation                                                  Test & Evaluation

                        Information Systems

                     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

• 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                             Environmental Quality
      Products & Processes
                                                                                 Raw Materials & Energy

       Environmental Health & Safety

                                                          Occupational Health & Safety
     Groups                   Persons

               Institutions                                                              Product


           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
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
• Demonstrating such conformance to others;
1.7Definitions & Terminology
     The terms and definitions used in the OHSAS
     18001 specifications are:
1.   Accident
2.   Audit
3.   Continual Improvement
4.   Hazard
5.   Hazard identification
6.   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.   Interested parties
8.   Non-conformance
9.    Objectives
10.   Occupational health and safety
11.   OH&S management system
12.   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.   Risk
15.   Risk assessment
16.   Safety
17.   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
• 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
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
                                                                            Hazard Identification, Risk
                 Checking & Corrective Action                                Assessment & Risk Control
             Performance Measurement & Monitoring                          Legal & other Requirements
             Accidents, Incidents, NCs & Corrective &                      Objectives
              Preventive Action                                             OH&S Management
             Records & Records Management                                   programme(s)
             Audit

                                       Implementation & Operation
                                      Structure & Responsibility
                                      Training, Awareness & Competence
                                      Consultation & Communication
                                      Document & Data Control
                                      Operational Control
                                      Emergency      Preparedness    and

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

• 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

• 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
• 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
• 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
• Updates should be spread throughout the organization
  effectively through an efficient communication system.
• In addition, a system of documentation should be
• 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
• 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.
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.
                                          OH&S Policy

 Checking and
Corrective Action
                                    & 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
• 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

                                      Feedback from Measuring
Audit          Policy                       Performance


         Figure 3.2: OH&S Policy[i]
• 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
  – 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


                                          Feedback from
  Audit           Planning             Measuring Performance

          Implementation and

             Figure 3.3: Planning[i]
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
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
• Clause 4.4 – Implementation and Documentation


 Audit            Implementation                        Feedback from
                  and Operation                           Measuring

                   Checking and
                Corrective Action

          Figure 3.4: Implementation and Operation[i]
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)   Ensure the OH&S management system requirements are established,
        implemented and maintained in accordance with the OH&S
   b)   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
• 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
Clause 4.5        – Checking and Corrective Action
                       Implementation and

   Audit               Checking and                            from
                      Corrective Action                     Measuring

           Figure 3.5: Checking and Corrective Action[i]
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
• Performance management proposes to determine whether
  OH&S plans and risk controls have been implemented and
• 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
• Proper procedures and records for the calibration and
  maintenance process shall have to be retained.
• 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-
   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
• 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.   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
•    The results of all audits shall be fed back to all relevant
    parties as soon as possible to allow corrective actions to be
  Clause 4.6 – Management Review

                     Checking and Conductive

Internal Factors                                 External Factors


              Figure 3.6: Management Review[i]
• it is essential that the system is reviewed and evaluated
  periodically to ensure its continuity, suitability, adequacy and
• 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.
4.1 Organizational Structure, Responsibility &

  – Ultimate responsibility for occupational health and safety rests with the top
  – 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.   Inspections conducted on workplaces to detect hazards.
    2.   Hold regular meetings to discuss accident and illness prevention
         methods, hazards discovered in the workplace, and injury and illness
         records and so on.
    3.   Investigate accidents that occurred, and devise plans to prevent
    4.   Provide information to all employees on safe working practices.
    5.   Recommend changes to present equipment to improve health and
         safety standards.
    6.   Develop new or revise existing rules to comply with current
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
    – 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
•   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

                        Prepare PLAN- to achieve key OBJECTIVE.
                                   Draw up TARGETS.

                                      Implement PLAN

     Measure OUTCOME indicators.                       Have TARGETS been met?
   Has key OBJECTIVE been achieved?                      Has PLAN been fully


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
• 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
– 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

      Work-Related                                  Non-work Related

Fatality          Non- Fatal            Non-Fatal            First Aid
                 Lost Workday           Non-Lost

   RECORD                                              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
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.
   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                                                           Physical
   Work Activity                                                                Illness
                          Hazards                   Eye Injury                               Injuries
                                       Hearing                      Limbs         (eg.
                                                  (possibility of                           (possibilit   Total   Rank
                                       Problems                     Injury     Cough,
                                                   loss of sight)                              y of
                                                                              flu, fever,

Operating           a    Loud noises
compressed         air   &      long   2x 2                                                               4
Jackhammer               exposures

Inspection of steel
girder alignment &
deflection in bridges                             2x 2                                                    4
                         to lasers
& buildings using

Working           at
elevated     heights                                                                                              2
                         Falls                                      3 x2                    3x 2          12
without proper fall
protection system

Working over or
near water without
                         Drowning                                             2x 2          3x 2          10
wearing life jackets
or buoyant work

Handling flammable
                         Fire                     2x 2              2x 2                    2x 2          12      2
                                                                  IMPACT (Rating = Severity X Frequency)

                         Types of                                                                  Physical
   Work Activity                                        Eye Injury                    Illness
                         Hazards                                                                   Injuries
                                         Hearing        (possibility       Limbs        (eg.
                                                                                                  (possibilit   Total   Rank
                                         Problems        of loss of        Injury    Cough,
                                                                                                     y of
                                                           sight)                   flu, fever,

Handling     Powder-   &
                                                       2x 2                2x 2                   2x 2          12      2
actuated tools         Mechanical

Transportation   of
explosive materials                     1x 1           1x 1                2x 2                   2x 2          10
                       & Fire
used in blasting

                       Fatality   to
Heavy vehicles &       (caused    by
equipments     in      rollovers) or    2x 2           1x 2                2x 2                   3x 2          16      1
operation              to co-drivers
                       (caused    by

                       Table 5.1: An Example of a Risk Assessment Matrix
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
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
This is possible by implementing three exposure control
    approaches in the following order:
   a)   Management Control through proper supervision of assignments,
        procedures, etc;
   b)   Engineering Control
   c)   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                         Sonic and ultrasonic sound, including continuous and intermittent (impact)
         Radiation                                                             noise

          Temperature                                                   Heat and cold stress

            Magnetic                      Magnetic flux densities, including those having influence on implanted medical
            Radiation                                             devices and ferromagnetic tools

        Electromagnetic                   Visible light, lasers, radio frequency/ microwave radiation, ultraviolet radiation,
           Radiation                                                           and x-rays

            Radioactivity                  Radionuclides and radiation (alpha, beta and gamma) associated with unstable
                                                                atomic nuclei or nuclear reactions

              Ergonomic                        Stress associated with mechanical tensions in musculo-skeletal system

             Physical Impact                             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                                Vapors displace air and thereby cause suffocation

      Combustible                        Burns when subjected to a temperature greater than 100 o F and below 200o F

      Corrosive                             Chemically burns living tissue on contact

      Explosive                                Suddenly releases pressure, gas and heat when ignited

      Flammable                                Burns when subjected to a temperature less than 100o F

      Irritant               A non-corrosive material that causes itching, soreness or inflammation of exposed skin, eyes or
                                                                   mucous membranes

      Pyrophoric                            Ignites spontaneously in air at temperature of 130o F or lower

       Peroxide                           Spontaneously explodes due to the formation of unstable peroxides

        Oxidizer                           Promotes or initiates the burning of combustible or flammable material

        Water                                        Reacts with water to form a flammable or toxic gas

        Unstable/              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)
          Agents Presenting Health Risk

 Carcinogen                                               Causes cancer

 Mutagen                                       Causes changes in genetic information that is inherited from generation to generation

 Poison                 Causes life-threatening damage to tissues or internal organs in very small amounts (e.g. several teaspoons or less)

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

          Bloodborne Pathogens                Disease causing organisms that may be transmitted through blood and other blood -related
                                                                          bodily fluids of infected persons

          Other pathogens                   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.   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
    2.   Pathways by which the hazard comes into contact with human tissue
         (e.g. inhalation).
    3.   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.
    4.   Mechanism(s) by which a hazardous agent might be transformed
         during its transport or propagation.
    5.   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
     Transformation of materials and energies within environmental
     Translocation of materials and energies from compartment to
     Concentration of materials and energies within compartments;
     Dissipation of materials and energies within compartments;
     Elimination of materials and energies within compartments.





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/          Hazardous           CAUSE(s)        effects        sev.       prob.       recommendations/
Functions      conditions                                                                verifications

1.   Natural   1. Leak             1.1 Valve       Fire/          Cat.       E10-3       Qualified Valve Design,
Gas Supply                           Faults        Explosion                             Installation,     Pressure
                                                                                         Testing, Inspection

                                    1.2 Line       Fire/          Cat        E10-4       Qualified            Line/
                                   Integrity       Explosion                             Connector          Design,
                                   Faults                                                Installation,     Pressure
                                                                                         Testing, Inspection

                                   1.3    High     Fire/          Cat        Remote      Pressure Relief
                                   Supply          Explosion                 E10-5

                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
• 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                                           ACTION AND TIMESCALE

    Trivial (5)             No action is required and no documentary records need to be kept.

                            No additional controls are required. Consideration may be given to a more cost-effective
   Tolerable (4)            solution or improvement that imposes no additional cost burden. Monitoring is required to
                            ensure that the controls are maintained.

                            Efforts should be made to reduce the risk, but the costs of prevention should be carefully
                            measured and limited.
   Moderate (3)             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.

                            Work should not be started until the risk has been reduced. Considerable resources may
  Substantial (2)           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


 Explosion       Gas Flash           Crushed by Tipover                                   Scalding
  (Closed                                                            Electro
                    Fire                                                                  (Temp >
   Area)                                                             cu-tion
                 (Open Area)


                Ignition Source
    Gas             Present                                                         Heater
    Leak                                                                           Dislodged


                                                                    Figure 5.4: Example of a Fault Tree[i]
 Pilot                 Auto                          Light Switch
 Light               Operation                         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
• 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
     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
•    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].

                                 Fire                  Bomb Threat

                        Tornado/                               Strikes/
                        Weather                                Violence

                     Radiation                                Accidents
                         Emergencies        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
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.

     Communities                                             Media

                        Public         Fire
                        Affair         Rescue

Counties        Operations                   mental                  Public
                  Hygiene                   Medical

                             Safety   Security


           Figure 6.2: Emergency Response Relationships
   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
• 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
• 6.4.3 Emergency Escape Procedures and Routes
   – Emergency escape procedures and routes should be posted in each work
• 6.4.4 Personnel who remain to operate critical operations
• 6.4.5      Employee Accountability Procedures After
   – 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
• 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
• 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
• 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
   6.5 Developing an Emergency Response Plan
• The development of a practical and effective emergency response
  program is essentially a normative process.

 Figure 6.3 Three Phases for Devising Emergency Response Policies and Procedures[i]
•       6.5.1      Risk Assessments Phase
    –      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      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      Making-Safe Strategy Phase
    –      As shown in Figure 6.4, policies and procedures should address three
           basic types of emergency response activities:
    1.     Preparation Activities: Undertaken immediately upon discovery of a
           potential or actual emergency, prior to the initiation of any response.
    2.     Response Activities: Include all efforts to control the emergency and
           provide assistance to affected persons.
    3.     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.
Figure 6.4 Basic Emergency Response Operations[i]
6.6 First Aid in Emergency Planning
– Safety programs must place proper emphasis on life- saving
– General approach in every emergency situation is explained
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
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
• 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 production-
    oriented 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
          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,
          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
– 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.   Management Priorities
2.   Commercial Intentions
3.   Management System Requirements
4.   Statutory, regulatory and contractual requirements
5.   Need for supplier evaluation
6.   Customer requirements
7.   Needs of other interested parties, and
8.   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
     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
– 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

    – 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
     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
  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
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.   Consulting with the client and the auditee, if appropriate, in
         determining the criteria and scope of the audit
    2.   Obtain relevant background information necessary to meet the
         objectives of the audit
    3.   Determining whether the requirements for an audit as given in ISO
         14010 have been met
    4.   Forming the audit team giving consideration to potential conflicts of
         interest, and agree on its composition with the client
    5.   Directing the activities of the audit team according to the guidelines of
         ISO 14010 and ISO 14011
    6.   Preparing the audit plan with appropriate consultation with the client,
         auditee and audit team members
    7.   Communicating the final audit plan to the audit team, auditee and client
8.    Coordinating the preparation of working documents and detailed
      procedures, and briefing the audit team
9.    Seeking help to resolve any problems that arise during the audit
10.   Recognizing when audit objectives become unattainable and report the
      reasons to the client and the auditee
11.   Representing the audit team in discussions with the auditee, prior to,
      during and after the audit,
12.   Notifying the auditee without delay, of the audit findings of critical
13.   Reporting to the client on the audit clearly and conclusively within the
      time agreed with in the audit plan
14.   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)   Following the directions of and support the lead auditor
    b)   Planning and carrying out the assigned task objectively, effectively and
         efficiently within the scope of the audit
    c)   Collecting and analyzing relevant and sufficient audit evidence to
         determine audit findings and reach audit conclusions
    d)   Preparing working documents under the direction of the lead auditor
    e)   Documenting individual audit findings
    f)   Safeguarding documents pertaining to the audit and return such
         documents as required
    g)   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
   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
   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)   Informing employees about the objectives and scope of the audit as necessary
b)   Providing the facilities needed for the audit team in order to ensure an effective
     audit process
c)   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.
d)   Providing access to the facilities, personnel, relevant information and records as
     requested by the auditors
e)   Cooperating with the Audit Team to permit the audit objectives to be achieved
f)   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)   The risk associated with the operation or activity
   b)   The number of different or similar operations or activities
   c)   The number of sites or locations where the activity is performed
   d)   Whether the activity has customer or stakeholder specified
        requirements, or is governed by legislation or other
   e)   Competence of the Auditee performing the activity.
7.9.2   Benefits of Audit Sampling
   Some of the benefits of sampling are:
   a)   It may be impossible to audit all activities of an organization and sampling
        offers the only feasible alternative
   b)   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
   c)   It is proven in many studies that sampling offers reliable results while
        saving time and money
   d)   Minimize disruption to the business and operation of the auditee

7.9.3   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
– Completed checklist support the audit reporting to
  ensure its comprehensiveness.
7.10.1 Advantages and Disadvantages of Using Checklists
 a)   Checklists help auditors to organize, discuss, plan and
      conduct audits, and report audit results.
 b)   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

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
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
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

   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 multi-
  sites audit where the access to all areas, facilities and information are

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
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
 The following pointers serve as a guide for an effective
  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)       Be prepared to slow down and allow time for auditee to think, if
   e)      Be sensitive to the non-verbal behavior, such as body language and
        attitude, of yourself and the auditee
   f)      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.   Effective questioning techniques can elicit answers, uncover information
        and diffuse tension.
   2.   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.
   3.    A good combination of different questioning techniques is also vital and
        paraphrase if necessary, to ensure that the auditee understand your
 Type of                  Description                                 Examples                                   Comments

                An open question will lead to a        What is your interpretation of the           Open questions may sidetrack your
                wide range of answers.                result obtained?                              conversation and focus.
   Open         Generally, use it to seek the          Could you tell me how you process            It may be difficult for the auditee
                auditee‟s opinion, to get an          these intermediate results?                   to respond.
                explanation/description from the       How do you implement the waste               They may be so open that you will
                auditee or to allow for reasoning     management program?                           get general answers.
                on certain matters.
                                                       Do you know that there is a                  These questions provide limited
                A closed question is used to get a    documented procedure for this?                information and if you are in search of
                “yes” or “no” answer, while a          What‟s your responsibility?                 an extended answer, use an open
  Closed/       direct question will invite a short    Has this specific environmental impact      question.
  Direct        answer with one or a few words.       been monitored?                                Be careful of the “tone” when you
                These questions are used to get                                                     use this type of question.
                specific information.                                                                As a guide, avoid using more than
                                                                                                    three consecutive closed or direct
                                                       In what way was corrective action           
                These are open questions, but         completed?                                      If
 Probing/       they aim at getting more or            Could you provide me with some              you need to encourage the auditee to
 Clarifying     clarifying information about a        examples on these?                            elaborate, use this type of question.
                subject by specifying conditions.      What do you mean by “referring to the        Avoid frequent use as the auditee
                                                      guidelines on the site emergency plan”?       may think that you are not listening.

                                                       You do check for the accuracy of the         This type of questions should be
  Leading       A leading question suggests an        equipment every morning, don‟t you?           avoided as it may lead to biased
                answer, as the answer is normally      You determine your sample size based        information.
                implied in the question.              on the sampling table, don‟t you?

                                                       Don‟t you agree with me that you have          Avoid this type of questions.
Interrogative   These questions put the auditee       not correctly verified the incident reports
/Antagonistic   on the defensive.                     according to the internal standards?

                                 Table 7.2: Different Types 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.   Japanese prefers greater physical distance than the Americans
2.   Female are not allowed in places of worship in some Islamic
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
•      Particulars of the audit plan, identification of auditors and
       audited representatives, as well as the date and areas subject to
•      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                            Request for
                  certification body and gives details of                           more details
                   its activities and scope of its system

                      Application                  N         Sufficient
                                                              details?                    Reject or Refuse
                                                                                         if the scope is not
                                                                          Y           within the capability of
          Scope Review to select audit team                                            the certification body

                          OK to Proceed?      N
                                                                  STAGE 1
                                                                                              Close out NCR
                   Pre-audit at company premises,
                      collect information for
                      planning STAGE 2 audit                                                    Assessment
                                                                              NCR             Recommendation
                    Document Assessment                                                +

                                                                                                     STAGE 2
                              Non                      Y      NCR                      Site Assessment Visit
                                              Written evidence of
                                                                                       Audit Team Formation
                                              corrective actions by

       Figure 7.1: The Certification Process
                  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

•   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
• 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
(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
           OHSAS 18001: 1999                   BS 8800: 1996



                                               (Based on ISO                     ISO 14001                       ISO 9001: 2000
 1        Scope                     1        Scope                 1         Scope                  1        Scope

 2        Reference Publications    2        Informative           2         Normative              2        Normative
                                             References                      References                      References

 3        Terms and Definitions     3        Definitions           3         Definitions            3        Definitions

 4        OH & S Management         4        OH & S                4         Environmental          4        Quality Management
          System Elements                    Management                      Management                      System
                                             System Elements                 System
4.1       General Requirements     4.0.      General               4.1       Requirements
                                                                             General               4.1       General
                                    1                                        Requirements                    Requirements

4.2       OH & S Policy            4.1       OH&S Policy           4.2       Environmental         5.3       Quality policy
                                   4.0       Initial Status                  A.4.2.1 (Not
                                    2        Review                          mandatory but good
                                                                             Initial Env. Review
4.3       Planning                 4.2       Planning              4.3       Planning              5.4       Planning

4.3.1     Planning for Hazard      4.2.      Risk Assessment      4.3.       Environmental         5.2       Customer Focus
          Identification, Risk      2                              1         Aspects
          Assessment & Risk
4.3.2     Legal and other          4.2.      Legal and other      4.3.       4.3.2 Legal and       5.2       Customer Focus
          requirements              3        requirements          2         other requirements

 Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 1 of 3)
 Clause      OHSAS                   BS 8800: 1996 (Based on



           18001: 1999                     ISO 14001)                          ISO 14001                       ISO 9001: 2000

4.3.      Objectives        4.2      Including personnel and    4.3.3      Objectives           5.4      Quality Objectives
 3                          .4(      resources for the                                           .1
                             a)      organization to achieve
                                     its policy.

4.3.      OH&S              4.2      OH & S Management          4.3.4      Environmental         5.      Quality Management
 4        Management         .4      Arrangements                          Management           4.2      System Planning
          Program(s)                                                       Program(s)

4.4       Implementation    4.3      Implementation and          4.4       Implementation        7       Product Realization
          and Operation              Operation                             and Operation

4.4.      Structure and     4.3      Structure and              4.4.1      Structure and        5.5.     Responsibilities & Authority
 1        Responsibility     .1      Responsibility                        Responsibility       5.5.     Management Representative

4.4.      Training,         4.3      Training, Awareness &      4.4.2      Training,            6.2      Competence, Awareness
 2        Awareness &        .2      Competence                            Awareness &           .2      and Training
          Competence                                                       Competence

4.4.      Consultation      4.3      Communication              4.4.3      Communication        5.5      Internal communication
 3        and                .3                                                                 .3
4.4.      n
          Documentation     4.3      OH & S Management          4.4.4      Environmental        4.2.     General
 4                           .4      System Documentation                  Management            1
                                                                           System                2
                                                                                                         Quality Manual
4.4.      Document and      4.3      Document Control           4.4.5      Document Control     4.2      Control of Document
 5        Data Control       .5                                                                  .3

           Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 2 of 3)
           OHSAS 18001:        Cl        BS 8800: 1996       Cl                                Cl
Clau          1999             aus       (Based on ISO       aus           ISO 14001           aus         ISO 9001: 1994
 se                             e           14001)            e                                 e

4.4.6      Operational         4.3     Operational Control    4.4    Operational Control        7      Product Realization
           Control              .6                            .6

4.4.7      Emergency           4.3     Emergency              4.4    Emergency                  8.     Control of
           Preparedness         .7     Preparedness and       .7     Preparedness and           3      nonconforming product
           and Response                Response                      Response

4.5        Checking and        4.4     Checking and           4.5    Checking and               8      Measurement, analysis
           Corrective                  Corrective Action             Corrective Action                 and improvement
4.5.1      Performance         4.4     Monitoring and         4.5    Monitoring and            7.6     Control of monitoring &
           Measurement          .1     Measurement            .1     Measurement                       measurement devices
           and Monitoring                                                                      8.4     Analysis of Data

4.5.2      Accidents,          4.4     Corrective Action      4.5    Non- Conformance          8.3     Control of
           Incidents, Non-      .2                            .2     and Corrective and                nonconforming product
           Conformances,                                             Preventive Action         8.5.2   Corrective Actions
           and Corrective                                                                      8.5.3   Preventive Actions
           and Preventive
4.5.3      Action and
           Records             4.4     Records                4.5    Records                   4.2     Control of Records
           Records              .3                            .3                                .4

4.5.4      Audit               4.4     Audit                  4.5    Environmental             8.2     Internal Audits
                                .4                            .4     Management System          .2

4.6        Management          4.5     Management             4.6    Management Review         5.6     Management Review
           Review                      Review

      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
• This approach could make it quicker and cheaper for an
  organization to develop and implement an OH&S system.
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.   To provide a single remedy, and reduce court delays, cost and workloads
     arising out of personal injury litigation.
3.   To relieve public and private charities of financial drain incident to
     uncompensated industrial accidents.
4.   To eliminate payment of fees to lawyers and witnesses, as well as time
     consuming trials and appeals.
5.   To encourage maximum employer interest in safety and rehabilitation
     through an appropriate experience-rating mechanism.
6.   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’
     Four conditions or criteria must be established in order for the injured
     worker or surviving dependents to establish a claim for compensation.
1.   There has to be an injury.
2.   The injury must have resulted from an accident.
3.   The injury must have arisen out of the worker‟s employment.
4.   The injury must have occurred during the course of employment.
     However, there are exceptions disallowing workers to claim
     compensation as a result of actions or inactions on the part of the
1.   Intoxication or the use of a controlled substance
2.   An intentional self-inflicted injury
3.   The commission of a felony or a misdemeanor
4.   The willful failure, or refusal, to obey a reasonably written or printed
     safety rule of the employer
5.   Horseplay or altercation with a fellow employee
6.   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
      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
9.4 Local (Singapore) Movement
        In the Ministry of Manpower‟s quest to attain their objectives, the
        services they provide include the following:
   1.   Registration of factories.
   2.   Inspection of factories to check for compliance with the
        Factories Act and related safety laws.
   3.   Investigation of accidents to determine the causes and to
        recommend measures to prevent recurrence.
   4.   Registration and inspection of pressure vessels and lifting
    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
   – 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        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
                                    Employs any number of persons       Not applicable
and petroleum products

Garments manufacturing              Not applicable                      Employs 500 or more persons

                                                                        Project of a contract sum of $10
Building operations or works of     Project of a contract sum of $50
                                                                        million or more, but less than $50
engineering construction            million or more

Others      (except      garments                                       Employs 100 or more persons, but
                                    Employs 500 or more persons
manufacturing)                                                          less than 500 persons

              Table 9.1 Descriptions of Factories for Full-Time or Part-Time Officers[i]
   9.6 Code of Practice – Safety and Health at Construction
• 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        OSH Courses for          OSH Courses for        Safety Courses for
Personnel              Managers                 Supervisors            Workers

Safety Officers        Safety Management        Basic Industrial       Shipyard Safety Instruction
Training Course        Course                   Safety and Health      Course for Workers (General
                                                Course for             Trade)
Shipyard Safety        Safety Instruction       Building               Shipyard Safety Instruction
Assistants Course      Course for Ship Repair   Construction Safety    Course for Workers (Hot-
                       Managers                 Supervisors Course     work Trade)
Industrial First Aid   Construction Safety      Shipyard Supervisors   Shipyard Safety Instruction
Course                 Course for Project       Safety Course          Course for Workers (Painters
                       Managers                                        Trade)
Industrial First Aid                            Safety Instruction     Construction Safety
Refresher Course                                Course (Manhole) for   Orientation Course for
                                                Supervisors            Workers
Industrial Hygiene                              Oil/Petrol Chemical    Safety Orientation Course
Course                                          Industry Supervisors   (Manhole) for Workers
                                                Safety Course
Training Course for                             Lifting Supervisors    Construction Safety
Safety Committee                                Safety Course          Orientation Course
Members                                                                (Tunneling) for Workers

Shipyard Safety                                 Power Press Safety
Assessors (Hot-work)                            Course for
Certification Course                            Supervisors

       Table 9.3 Courses Conducted at OH&S Training Center
                     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

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
• 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
              CHAPTER 11
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
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
•   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
•   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
The organization‟s structure, responsibilities and accountabilities
   with respect to OH&S requirements are presented in Figure
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,
    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
       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

Duties and Responsibilities of the Foreman include:
         Conducting safety inspections daily, supplemented by periodic
     checklist and typewritten safety inspections as specified by the
       Ensuring all accidents are reported and first aid rendered in case of
        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
        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
                                                                         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                                       SEVERITY OF HARM
                        - Superficial injuries, minor cuts and bruises, eye irritation from dust
Slightly Harmful        - Nuisance and irritation (e.g. headaches), ill-health leading to
                        temporary discomfort.
                        - Lacerations, burns, concussion, serious sprains, minor fractures
    Harmful             - Deafness, dermatitis, asthma, work related upper limb disorders
                        - Ill health leading to permanent minor disability.
                        - Amputation, major fractures, poisonings, multiple injuries, fatal
   Extremely            injuries
    Harmful             -Occupational cancer, other severely life shortening diseases, acute fatal
                    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.

               No additional controls required. Consideration may be given to a more cost-
 Tolerable     effective 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.
               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.

               Work should not start until risk has been reduced. Considerable resources may
 Substantial   have to be allocated to reduce risk. Where risk involves work in progress, urgent
               action should be taken.

 Intolerable   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            Types of                                                  Physical
                                  Heari     Injury    Lim      General
  Activity         Hazards                                                    Injuries
                                    ng     (possibi    bs    Illness (e.g.                Tot   Ra
                                  Proble    lity of   Inju   Cough, flu,                   al   nk
                                                                                ty of
                                   ms       loss of    ry     fever, etc.)

Operating a
compressed        Loud noises &
                                  2x2                                                     4
air              long exposures

Inspection of
steel girder
alignment &
                 Exposures to
deflection in                               2x2                                           4
bridges      &
using lasers

 Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 1 of 3)
                                             IMPACT (Rating = Severity X Frequency)

   Work           Types of                  Eye
  Activity        Hazards       Heari     Injury     Lim      General
                                  ng     (possibi     bs    Illness (e.g.                Tot   Ra
                                Proble     lity of   Inju   Cough, flu,                   al   nk
                                                                               ty of
                                 ms       loss of     ry     fever, etc.)

Working over
or near water
wearing life     Drowning                                        2x2          3x2        10
jackets    or

flammable           Fire                   2x2       2x2                      2x2        12    2

Handling        Electrocution
Powder-               &
                                           2x2       2x2                      2x2        12    2
actuated         Mechanical
tools              injuries

  Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 2 of 3)
                                                  IMPACT (Rating = Severity X Frequency)

   Work              Types of                                                    Physical
                                     Heari     Injury     Lim      General
  Activity           Hazards                                                      Injuries
                                       ng     (possibi     bs    Illness (e.g.                Tot   Ra
                                     Proble     lity of   Inju   Cough, flu,                   al   nk
                                                                                    ty of
                                      ms       loss of     ry     fever, etc.)

high-voltage       Electrocution                          2x2                      2x2        8

n of explosive      Explosion
                                     1x1       1x1        2x2                      2x2        10
materials used       & Fire
in blasting

                    Fatality to
                    (caused by
vehicles    &
                  rollovers) or to   2x2       1x2        2x2                      3x2        16    1
in operation
                    (caused by

                 Table 11.4: XYZ Pte Ltd Risk Assessment Matrix (Page 3 of 3)
   11.6         XYZ Pte Ltd Risk Assessment Results &
• 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
                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
• 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
                 iii.   Introduce on site safety awareness training;
                 iv.    Introduce biennial inspection of construction vehicles.
•        11.7.4               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.
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

                                                                                           DUE DATE

NO.   SIGNIFICANT   OBJECTIV   MEANS (CLAUSE 43.4B)                      OH&S
      IMPACTS       E (3.9)                                              OBJECTIVES
      (3.5)                                                              (CLAUSE 4.3.3)                                                       TIME FRAME IN MONTHS

                               IMPLEME-      PROCED-       MONIORIN      OBJEC-     TAR-                                1        2    3   4     5   6   7   8   9    10   11   12
                                  NT           URE         G&             TIVE      GET



                                                                                                                             10 / 0
      DRIVERS       SITE                                   1.Report-ed   Progress   100%      A
      AND CO-       TRANSPO                                near-misses   -ion                 P
      WORKER        RT RISK                                and                                R
                               1.1 Install
                               rollover                    transport
                               protective                  accidents
                               structure                   2. Review
                               (ROPS) on                   from
                                             1.1.1         foremen of    Progress   100%      A
                                             Construct     operators     -ion                 P


                                                                                                                             10 / 0
                               n vehicles                                                     R
                                             ROPS at       complianc-
                                             the back of   es with the
                                             constructio   regulations
                                             n vehicles
                 1.1.2                                              F
                 Ensure        3. Number     Progressi   100%   A   o   2   1
                 the           of tranport   on                 P   r   5   0
                 securing      related                          R   e       /
                 of seatbelt   unsafe acts                          m       0
1.2 Improve      by drivers                                         e
operator                                                            n
visibility and
pedestrian                                   Progressi          M       3   7   0
awareness                                                100%               0
                                             on                 A       0       /
                                                                Y               0
1.3                                                             M       2   6   1
                 and                         Progressi   100%
Introduce        vehicles                    on                 A       5   5   0
on-site          using road                                     Y               /
safety           markings                                                       0
awarenesstr      and
                 barrier                                 100%   M           6   1
                                                                A       5   5   0
                                                                Y               /
                 1.3.1                                                          0
1.4              awarenes                    Increase           M               1
Introduce        s                           d Safety    100%           2   7   0
                                                                A           5
bi-annually      workshop                    Awarene            Y       5       /
inspection       1.3.2                       ss                                 0
of               Conduct                     Progressi
construction     one day                     on
of vehicle       training
                 competen                                       S
                 cy test                     Progressi   100%                       1
                                             on                 E
                                                                P                   0
                                                                                                DUE DATE

NO.   SIGNIFICANT   OBJECTIV       MEANS (CLAUSE 4.2.b4)                      OH&S
      IMPACTS       E (3.9)                                                   OBJECTIVES
      (3.5)                                                                   (CLAUSE 4.3.3)                                                                  TIME FRAME IN MONTHS

                                   IMPLEME-      PROCED-        MONIORIN      OBJEC-     TAR-                                           1        2    3   4     5   6   7   8   9    10   11   12
                                      NT           URE          G&             TIVE      GET

                                                                                                           Superintendent and foremen
2     INJURIES      Reduce


                                                                                                                                             10 / 0
      AND DEATH     accidents                                                 Progress   100%      A
      DUE TO        due to falls                                              -ion                 P
      FALLS                                                                                        R
                                   2.1 Ensure
                                   proper                       1. Reported
                                   erection of                  near-misses
                                   scaffold                     and
                                                 Provide        transport     Progress             A
                                                                accidents                100%
                                                 sufficient                   -ion                 P


                                                                                                                                             10 / 0
                                                 and sound                                         R
                                                 material       2.Review
                                                 for scaffold   from
                                                                foremen of
                                                                operators     Progress   100%
                                                 2.1.2                                             A

                                                                                                                                             10 / 0
                                                                compliance    -ion
                                                 Inspect the                                       P
                                                 tubes,         with the
                                                 couplers,      regulations
                                                 boards for
                                                 before use
                                                                                            DUE DATE

NO.   SIGNIFICANT   OBJECTIV   MEANS (CLAUSE 4.3.4B)                      OH&S
      IMPACTS       E (3.9)                                               OBJECTIVES
      (3.5)                                                               (CLAUSE 4.3.3)                                                            TIME FRAME IN MONTHS

                               IMPLEME-      PROCED-       MONIORIN       OBJEC-     TAR-                                1        2        3    4     5   6   7   8   9    10   11   12
                                  NT           URE         G&              TIVE      GET

1                                            2.1.3


                                                                                                                              10 / 0
                                             Scald fold    3. Number      Progress   100%      M
                                             to be         of transport   -ion                 A
                                             erected by    related                             Y
                                             qualified     unsafe acts
                               2.2 Install   workers
                               guidance      2.1.4                        Progress   100%
                                             Inspect                      -ion
                                             once a

                                                                                                                                       10 / 0
                                             week after

                                             erection                     Progress   100%      J
                                                                          -ion                 U
                                             2.2.1                                             N
                                             Floors and
                                             walls to be                  Progress             J
                                             guided by                               100%      U
                                             railings on                                       N
                                             open sided
                                             2.2.2 Draw                   Progress
                                                                                     100%      J

                                                                                                                                       10 / 0
                                             warning                                           U
                                             lines 6ft
                                             from edge
                                             of roof
                               Progressi   100%   J                    5   1
2.3 Safety                     on                 U                    0   0
belts                                             N                        /
              2.3.1 Ensure
              worker wear      Progressi   100%   J
              safety belts,    on                 U                        1
              lanyard, and                        N                    0   0
2.4 Ensure                                                                 /
persons       lifeline when
              working at a                                                 0
working at
heights       height of 6 ft
adhere to     or more
                               Progressi          J                    1
precautiona                                100%   U                5
ry measures                    on                                  0   0
                                                  N                    /
              2.4.1 Permit                                             0
              persons to
              work at
                                                  J                    1
              heights only     Progressi
              after they                   100%   U                5   0
                               on                 N                0
              have                                                     /
              indicated or                                             0
              no adverse
              2.4.2 Arrange
              worker to                                                1
              accompany a                         J                5   0
              new worker       Progressi          U                0   /
              to observe       on          100%   N                    0

                                                                                           DUE DATE

NO.   SIGNIFICANT   OBJECTIV   MEANS (CLAUSE 43.4B)                      OH&S
      IMPACTS       E (3.9)                                              OBJECTIVES
      (3.5)                                                              (CLAUSE 4.3.3)                                                 TIME FRAME IN MONTHS

                               IMPLEME-        PROCED-         MONIOR    OBJEC-     TAR-                                1   2   3   4     5   6   7   8   9    10   11   12
                                  NT             URE           ING &      TIVE      GET

                                              2.4.3 Persons              Progress             J                                 5   1
                                              who are under              ion        100%      U                                 0   0
                                              medication                                      N                                     /
                                              that cause                                                                            0
                                              drowsiness or
                               2.5            from cold or
                               Provide        flu should not
                               safeguard      be allowed to
                               s to avoid     work at                                         J                                 4   7
                               hard           heights                                         U                                 0   0
                               impacts                                   Progress   100%
                                                                         ion                  L
                               due to falls
                               where                                                100%                                            1
                                              2.5.1 Place                                     J                                     0
                               possibilitie                              Progress                                               7
                               s of falls     well packed                ion                  U                                 0   /
                               cannot be      earth around                                    N
                                              the buildings                                                                         0
                               eliminated                                Progress
                                              2.5.2 Install                         100%      J                                           1
                                              safety nets to             ion                                                        6
                                                                                              U                                           0
                                              break fall                                      L                                     0
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
         AC   NEAR      ILL     WORK                                              REPOR     ACTIO
              MISSES                             DESCRIPTION
DATE     CI             HE      HAZAR                                             TED BY      N
         DE             ALT        D                                                        TAKEN
         NT              H      DISCOV

03/01/   1        3       0       Yes       It was discovered that an accident    Headman   Pending
2000                                        and three near- misses were caused     Tony
                                            by one of our workers, Salleh. He       Ang
                                            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
     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.
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
8. In the witness‟s view, what had caused the accident?

Figure 11.5: XYZ Pte Ltd List of Investigative Questions for Witness
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
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     Does the organization maintain an established OH&S Management System?
        Are there objectives set up for the policy? What are they?
4.2     Is the company‟s OH&S policy appropriate to the nature and scale of the
         organization‟s OH&S risks?
4.2a    Are employees committed to continual improvement?
4.2b    Are employees committed to comply with current applicable OH&S
        legislation and other requirements?
4.2c    Is the OH&S policy being documented, implemented and maintained in the
4.2d    Are all employees aware of their individual OH & S obligations?
        Is the OH&S policy available to interested parties?
4.2e    Is the OH&S policy reviewed periodically to ensure its relevance and
        appropriateness to the organization?
4.2f    Are there established procedures to identify the OH&S hazards in the
4.2g    Are risk assessment & control measures implemented?
4.3.1   Is the organization‟s methodology for hazard identification and risk assessment
        -Defined with respect to its scope, nature, and timing?
        -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?
4.3.2   Are the OH & S objectives established and maintained?
4.3.3   Are documented objectives and targets consistent with the OH&S policy
        including commitment to continual improvement?
4.3.4   Are programs for achieving overall plans & objectives established &
        maintained, including designation of responsibilities, and methods and time-
        scale by which they are achieved?
4.4.1   Is everyone in the organization aware of their roles & responsibility for the
        health & safety of those they manage, themselves & others whom they work
        Are resources essential to the implementation, control and improvement of the
        OH&S management system provided?
4.4.2   Does the workers at the site possess appropriate education, training and/or
        experience on OH&S aspects?
        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?
4.4.3   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?
4.4.4   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?
4.4.5   Are documented procedures reviewed periodically, and approved for adequacy by
        authorized personnel?
      Are the documented procedures kept up to date & available to all at essential
      Do the documented procedures contain obsolete documents?
      Are control measures applied to those operations and activities associated with
      identified risks?
4.4.6 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?
4.4.7 Are arrangements made to establish contingency plans for foreseeable
      emergencies & to mitigate their effects?
4.5.1 Is the performance measurement established for monitoring the policy & its
4.5.2 Are corrective actions taken & root causes identified whenever deficiencies arise?
      What are they?
4.5.3 Are there any records maintained?
4.5.4 Is there an audit program to assess the OH&S management system?
4.6   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

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