ILO/OSH-MS 2001 (draft) MEOSH/2001

INTERNATIONAL LABOUR ORGANIZATION

Draft ILO technical guidelines on occupational

safety and health management systems

Programme on Safety and Health at Work

and the Environment (SafeWork)

INTERNATIONAL LABOUR OFFICE GENEVA

guide_en.doc/v1 iii
Contents

Introduction .................................................................................................................................. 1

1. Objectives ............................................................................................................................. 3

2. National OSH management system framework...................................................................... 4

2.1. National policy.......................................................................................................... 4

2.2. National guidelines.................................................................................................... 5

2.3. Tailored guidelines .................................................................................................... 6

3. The OSH management system in the organization ................................................................ 8

Policy.................................................................................................................................... 8
3.1. OSH policy................................................................................................................. 8
3.2. Worker participation ................................................................................................... 10

Organizing ............................................................................................................................ 10
3.3. Responsibility and accountability................................................................................ 10
3.4. Competence and training ......................................................................................... 12
3.5. OSH management system documentation.................................................................... 12
3.6. Communication .......................................................................................................... 13

Planning and implementation ................................................................................................ 14

3.7. Initial review .............................................................................................................. 14
3.8. OSH objectives........................................................................................................... 15
3.9. System planning, development and implementation.................................................... 15
3.10. Hazard control system................................................................................................. 16
3.10.1. Hazard/risk control measures.......................................................................... 16
3.10.2. Management of change................................................................................... 17
3.10.3. Emergency preparedness and response............................................................ 17
3.10.4. Procurement and contracting .......................................................................... 18

Evaluation............................................................................................................................. 19
3.11. Performance measurement .......................................................................................... 19
3.12. Accident, disease and incident investigation ................................................................ 20
3.13. Auditing..................................................................................................................... 21
3.14. Management review.................................................................................................... 22

Action................................................................................................................................... 23
3.15. Preventive and corrective action.................................................................................. 23
3.16. Continual improvement .............................................................................................. 23

Glossary........................................................................................................................................ 25

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References ................................................................................................................................... 28

Appendix: Risk assessment .......................................................................................................... 27

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Introduction

The protection of the worker against sickness, disease and injury arising out of
employment is one of the tasks assigned to the ILO in the words of Preamble of its
Constitution. More recently, protection of the safety and health of workers was
restated as an essential element in achieving decent working conditions for all in
the current context of globalization of world economies. Occupational safety and
health (OSH) is therefore not only a key prerequisite for achieving decent work, but
it is also a major positive factor in favour of economic growth and productivity.
Over the past 80 years the ILO has elaborated and adopted 30 Conventions, 28
Recommendations and 25 codes of practice and produced over 100 technical
publications, all directly concerned with OSH issues. This represents a unique and
formidable body of definitions, principles, obligations, duties and rights as well as
technical guidance reflecting the consensus views of labour stakeholders from 174
member States on most aspects of occupational safety and health.

As a result of the ever-increasing pace of worldwide liberalization of trade and

economies, as well technological progress, the world of work has become
increasingly competitive and has to face the rapid changes in working conditions
and environment, processes and work organization that are necessary for sustained
growth. The traditional command-control approach cannot address these challenges
fully, and existing laws and regulations are usually too fragmented to be adapted,
while new ones cannot be elaborated fast enough to cover new hazards and risks
arising from these changes.

Holistic, coherent, flexible and sound approaches which are an integral part of
the enterprise business cycle and structure at all levels are the only management
strategies which can provide the strong incentive necessary for continual
identification, evaluation and control of hazards and risks in constantly evolving
workplaces. The positive impact of introducing OSH management systems at the
organization level both on the reduction of hazards and risks and on productivity
are now recognized by governments, employers and workers.

Although a number of OSH management systems have been developed at the

international, national, regional and industry levels and are usually well designed
and useful, they are not rooted in the body of internationally agreed OSH principles
such as those defined by the tripartite constituency of the ILO. Only such a linkage
can provide the strength, flexibility and appropriate basis for the development of a
sustainable safety culture in the enterprise. A long-term implementation of good
safety, health and environmental practices, at all levels of society i.e. the
continued implantation of a safety culture as an essential part of general social
culture is the only way to curb the spiralling cost of overall health care delivery
and environmental protection and remediation, while increasing general
productivity.

guide_en.doc/v1 1
 The ILO has therefore developed guidelines on OSH management systems
which reflect ILO values and instruments relevant to the protection of the safety
and health of workers but which are designed as a practical tool for assisting
organizations and competent national institutions in reducing the heavy human and
economic toll that is still exacted by occupational accidents and diseases as well as
property losses.

By providing a coherent framework for decision-making in the area of OSH,

these guidelines also contribute to the promotion of sustainable development at
workplaces as recommended by the 1992 United Nations Conference on
Environment and Development in its Agenda 21.

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1. Objectives

1.1. At national level, these guidelines should:

(a) be used for the establishment of a national occupational safety and health
(OSH) management system framework, preferably supported by national laws
and regulations, and for the development of voluntary arrangements to
strengthen compliance with regulations and standards;

(b) provide guidance on the development of both national (section 2.2) and
tailored (section 2.3) guidelines to respond appropriately to the real needs of
organizations according to their size and the nature of their activities.

1.2. At the level of the organization, these guidelines are intended to:

(a) provide guidance regarding the organizing, planning and implementation,

evaluation and action of OSH management carried out as a component of
policy and management arrangements;

(b) motivate managerial staff, workers and their representatives in applying

appropriate OSH management principles and methods to improve OSH
performance.

guide_en.doc/v1 3
2. National OSH management
system framework

2.1. National policy

2.1.1. A competent institution or institutions should be nominated, as

appropriate, and formulate, implement and periodically review a coherent policy
for the establishment and implementation of OSH management systems in
organizations. This should be done in consultation with the most representative
organizations of employers and workers and other relevant organizations and
authorities.

2.1.2. The national policy on OSH management systems should establish

general principles and procedures to:

(a) promote the implementation and integration of OSH management systems as

part of the overall management of an organization;

(b) facilitate and improve voluntary arrangements for the systematic

identification, planning, implementation and control of OSH activities at
national and organization levels;

(c) avoid unnecessary bureaucracy, administration and costs;

(d) promote collaborative and support arrangements for OSH management

systems at the organization by labour inspection, occupational health services
and other services, and channel their activities into a consistent framework for
OSH management;

(e) recognize publicly successful OSH management systems and practice by

suitable means.

2.1.3. With a view to ensuring the coherence of the national policy and of
measures for its implementation, the competent institution should establish a
national framework for OSH management systems to:

(a) identify and establish the respective functions and responsibilities of the
various institutions called upon to implement the national policy and make
appropriate arrangements to ensure the necessary coordination between them;

4 guide_en.doc/v1
 (b) publish and review periodically national guidelines on the voluntary
application and systematic implementation of OSH management systems in
organizations;

(c) establish criteria for the designation and respective duties of the institutions
responsible for the preparation and implementation of tailored guidelines on
OSH management systems;

(d) ensure that guidance is available to employers, workers and their

representatives to help them understand and take advantage of the national
policy.

2.1.4. The competent institution should make arrangements and provide

guidance to labour inspection, OSH services and other public or private services,
including occupational health care and non-governmental organizations (NGOs), to
encourage and help organizations to implement OSH management systems.

2.2. National guidelines

2.2.1. National guidelines on the voluntary application and systematic

implementation of OSH management systems should be elaborated based on the
model provided in Chapter 3.

2.2.2. National guidelines should be designed with sufficient flexibility to

permit:

(a) the immediate use of the ILO guidelines in organizations with a well-
developed management structure where the OSH management provisions can
be integrated immediately;

(b) the adaptation of the ILO guidelines to tailored guidelines on OSH

management systems (see section 2.3) which take account of and respond to
the specific conditions and needs of organizations;

(c) the promotion of effective cooperation of the organization with the regulatory
authorities, labour inspection and occupational health services and other
services, including NGOs;

(d) the avoidance of excessive bureaucracy and unnecessary burdens;

(e) suitable and applicable means of recognition for successful OSH management
systems and practice.

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2.3. Tailored guidelines

2.3.1. Based on the national guidelines on OSH management systems, tailored

guidelines should be designed to reflect the specific conditions and needs of
organizations or groups of organizations, taking into consideration:

(a) their size (large, medium, small) and infrastructure;

(b) the types and degree of hazards and risks;

(c) their branch of economic activity;

(d) other special conditions that justify tailored systems.

2.3.2. Tailored guidelines on OSH management systems may consider only

those requirements from the national guidelines which are relevant and applicable
in the organizations for which they were designed.

The links between the national framework for OSH management systems
(OSH-MS) and its essential elements are illustrated below:

ILO guidelines
on
OSH-MS

OSH-MS
National
guidelines in
on OSH-MS
organiz-
ations

Tailored
guidelines on
OSH-MS

6 guide_en.doc/v1
guide_en.doc/v1 7
3. The OSH management system
in the organization

3.0. The employer should show strong visible leadership and commitment to
OSH activities in the organization, and make appropriate arrangements for the
establishment of an OSH management system. The OSH management system
should contain the main elements of policy, organizing, planning and
implementation, evaluation and action, as shown in the diagram below:

Continual improvement
Policy
OSH policy; Organizing
Worker Responsibility and Planning & implementation
accountability; Initial review;
participation
Competence and OSH objectives;
training; System planning,
OSH management development and
implementation; Evaluation
system Performance
documentation; Hazard control system
(hazard/risk control measurement;
Communication Accident, disease
measures; management of
change; emergency and incident
investigation; Action
preparedness and response; Preventive and
procurement and contracting) Auditing;
Management corrective action;
review Review and back
to Organizing

Policy

3.1. OSH policy

3.1.1. The employer should set out in writing an OSH policy which should be:

(a) specific to the organization and appropriate to, and consistent with, its size and
the nature of its activities;

(b) concise, clearly written, dated and made effective by the signature or
equivalent of the employer or the most senior person in the organization;

(c) communicated and readily accessible to all members of the organization,

including workers and/or their representatives;

8 guide_en.doc/v1
 (d) reviewed for continuing suitability;

(e) made available to relevant external interested parties, as appropriate.

3.1.2. The OSH policy should include the following key principles and
objectives to which the organization is committed, in particular:

(a) preventing occupational accidents and diseases, and other work-related

adverse health effects;

(b) promoting the health of all members of the organization;

(c) complying with relevant OSH legal requirements, voluntary protection

programmes and other requirements to which the organization subscribes;

(d) recognizing OSH as an integral part of the overall management structure and
OSH performance as an integral part of the organizations business
performance;

(e) requiring all members of the organization to hold OSH management as a

prime responsibility;

(f) defining preferably measurable objectives;

(g) ensuring that workers and their representatives are consulted and participate as
appropriate in all levels of OSH organizing, planning and implementation,
evaluation and action processes;

(h) allocating duties, responsibilities and accountability for OSH in the

organizations structure;

(i) ensuring that management and workers are competent to carry out their
assigned duties and responsibilities, and understand their rights;

(j) allocating the necessary resources, whether human, financial or other, for the
implementation of the OSH management system;

(k) continual improvement in performance of the OSH management system.

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3.2. Worker participation

3.2.1. Cooperation on OSH aspects between the employer, management and

workers and/or their representatives within the organization should be:

(a) an underlying principle of the organizations safety and health policy; and

(b) an essential element of organizational and other arrangements.

3.2.2. Arrangements should be in place to ensure that workers and/or their

representatives:

(a) are consulted at all appropriate levels on all relevant aspects of OSH
associated with their work;

(b) are competent enough and encouraged to participate actively in the planning,
implementation, evaluation and improvement processes of the OSH
management system. The extent of this participation should be consistent with
the size of the organization and the nature of its activities.

3.2.3. The measures taken to facilitate cooperation referred to in paragraph

3.2.2 should include, where appropriate, the appointment of workers safety
representatives and of safety and health committees.

Organizing

3.3. Responsibility and accountability

3.3.1. The employer should have overall responsibility for the protection of
workers safety and health and provide leadership for OSH activities in the
organization.

3.3.2. The employer and senior management, consistently with the size and
nature of the organization, should allocate responsibility, accountability and
authority for the development, implementation and performance of OSH
management systems and achieving the relevant OSH objectives; structures and
processes should be established which:

(a) ensure that OSH is a line management responsibility at all levels;

10 guide_en.doc/v1
 (b) define the responsibility, accountability and authority of persons who identify,
evaluate or control OSH hazards and risks and promote health;

(c) promote cooperation and communication among members of the organization,

including workers and their representatives, to achieve compliance with OSH
requirements pursuant to national laws and regulations;

(d) integrate OSH as a prime responsibility within the management systems for
comprehensive planning of the organization;

(e) fulfil the principles of OSH management systems contained in relevant

national framework documents, tailored systems or voluntary programmes, as
appropriate, to which the organization subscribes;

(f) establish and implement a clear OSH policy with measurable and preferably
quantifiable objectives;

(g) establish effective arrangements to control hazards and risks to safety and
health (see section 3.10);

(h) ensure the participation of workers or their representatives in the

implementation of the OSH policy;

(i) provide appropriate resources to ensure adequate functioning of the safety and
health committee, where it exists;

(j) ensure the full participation of workers and their representatives in the safety
and health committee, where it exists.

3.3.3. A person or persons at the senior management level should be

appointed, where appropriate, with responsibility, authority and accountability for:

(a) the development, implementation, periodic review and evaluation of the OSH
management system;

(b) periodic reporting to the senior management on the performance of the OSH
management system;

(c) promoting the participation of all members of the organization, including

management, supervisors and workers and/or their representatives;

guide_en.doc/v1 11
 (d) creating opportunities for the members of the organizations management and
supervisory staff to demonstrate their commitment to and involvement in the
OSH management system.

1
3.4. Competence and training

3.4.1. The necessary OSH competence requirements should be identified to

develop and implement the organizations OSH management system.

3.4.2. Necessary arrangements should be established and maintained to ensure

that all persons with safety and health responsibilities at all levels are competent to
perform their duties and responsibilities.

3.4.3. Under the arrangements referred to in paragraph 3.4.2, training

programmes should:

(a) cover all members of the organization as appropriate;

(b) be conducted by persons with appropriate skills and experience;

(c) provide initial and refresher training at appropriate intervals;

(d) evaluate the comprehension and retention of the training by participants;

(e) be reviewed periodically by the safety and health committee, where it exists,
and modified as necessary to ensure its relevance and effectiveness;

(f) be documented as appropriate and be consistent with the size of the

organization and the nature of its activity.

3.5. OSH management system documentation

3.5.1. Consistently with the size of the organization and the nature of its
activity, OSH management system documentation should be established and
maintained, and may cover:

(a) the scope of the OSH management system;

1
OSH competence includes education, work experience and training, or a combination thereof.

12 guide_en.doc/v1
 (b) the OSH policy and objectives of the organization;

(c) the allocated key OSH management roles and responsibilities for the
implementation of the OSH management system;

(d) the significant OSH hazards/risks arising from the organizations activities,
and the arrangements for their control;

(e) records of occupational accidents and diseases, dangerous occurrences and

incidents;

(f) procedures, instructions or other internal documents implemented in the

framework of the OSH management system;

(g) the interactions between the elements of the OSH management system within
the organization.

3.5.2. The OSH management system documentation should be:

(a) clearly written and in a language understood by those who have to use it;

(b) periodically reviewed, revised as necessary, communicated and readily

accessible to all appropriate or affected members of the organization.

3.6. Communication

3.6.1. Procedures should be established and maintained for:

(a) receiving, documenting and responding to internal and external

communications related to OSH;

(b) ensuring the internal communication of OSH information between relevant

levels and functions of the organization;

(c) ensuring that the concerns, ideas and inputs of workers and their
representatives on OSH matters are received and considered.

guide_en.doc/v1 13
Planning and implementation

3.7. Initial review

3.7.1. The scope, adequacy, implementation and effectiveness of the existing

OSH management system and relevant arrangements in an organization should be
evaluated by an initial review. This review should be undertaken periodically.
Where no OSH management system exists, the initial review should serve as a
basis for its establishment.

3.7.2. The initial review should be carried out, in consultation with workers
and/or their representatives, and qualified persons (see paragraph 3.3.2(b)), as
appropriate, to:

(a) identify the current applicable legal OSH requirements, voluntary protection
arrangements and other requirements to which the organization subscribes;

(b) identify hazards and assess risks to workers safety and health arising from the
working environment;

(c) determine whether planned or existing controls are adequate to eliminate

hazards or control these risks.

3.7.3. The result of the review should:

(a) be documented and become the basis for making decisions regarding changes
to the OSH policy or the planning and implementation processes for the
improvement of the OSH management system;

(b) provide the baseline from which continual improvement of the OSH
management system can be measured.

3.7.4. The initial review should include an analysis of the records on

occupational accidents and diseases, dangerous occurrences and incidents and the
data provided from workers health surveillance, in line with the provisions of the
ILO Technical and ethical guidelines for workers health surveillance (Geneva,
1998).

14 guide_en.doc/v1
3.8. OSH objectives

3.8.1. Based on and consistently with the OSH policy and initial review of the
organization, measurable and quantifiable objectives for the implementation of the
policy and continuously improved OSH protection of the workers should be
established. Such objectives should be:

(a) specific to the organization, and appropriate to and consistent with its size and
the nature of its activity;

(b) consistent with the relevant and applicable legal, technical and business
obligations of the organization with regard to OSH;

(c) realistic and achievable;

(d) communicated to all relevant functions and levels of the organization;

(e) documented and accessible to all members of the organization.

3.8.2. The objectives should be periodically reviewed and modified, if

necessary, to reflect the organizations commitment to the process of continual
improvement of the OSH management system and related performance.

3.9. System planning, development

and implementation

3.9.1. Based on the results of the initial review and other available data (see
section 3.7), arrangements should be made for adequate and appropriate OSH
planning. The purpose of the planning should be to achieve:

(a) compliance with legal requirements, as the minimum, and the organizations
OSH objectives; and

(b) continual cost-effective improvement in OSH performance.

3.9.2. These arrangements should contribute to prevention through

identifying, evaluating and controlling hazards and risks and should include:

(a) a clear definition, priority setting and quantification, where appropriate, of the
organizations OSH objectives;

guide_en.doc/v1 15
 (b) the preparation of a plan for achieving each objective with defined
responsibility and clear performance criteria indicating what is to be done by
whom and when;

(c) the selection of suitable measurement criteria for confirming that the
objectives are achieved;

(d) the provision of adequate resources, including human and financial resources
and technical support, as appropriate.

3.9.3. The OSH planning arrangements (see paragraph 3.9.1) of the

organization should cover or be related to the following key areas:

(a) implementation of the OSH policy (see section 3.1);

(b) control of the hazards and risks identified in the initial review or made known
by other data (see sections 3.7 and 3.10);

(c) overall objectives (see section 3.8);

(d) performance measurement (see section 3.11), audits (see section 3.13) and
management reviews (see section 3.14);

(e) implementation of corrective action as necessary (see paragraph 3.10.2 and

section 3.15).

3.10. Hazard control system

3.10.1. Hazard/risk control measures

3.10.1.1. Hazards should be identified and risks to safety and health assessed.
Preventive and protective measures should be implemented in the following order
of priority:

(a) eliminate the risk;

(b) control the risk at source, through the use of engineering or organizational
measures;

(c) minimize the risk by means that include the design of safe work systems;

16 guide_en.doc/v1
 (d) in so far as the risk remains, provide for the use of personal protective
equipment.

3.10.1.2. Hazard control procedures should:

(a) be adapted to the hazards and risks encountered by the organization;

(b) be reviewed and modified if necessary on a regular basis;

(c) meet legal requirements and reflect good practice.

3.10.2. Management of change

3.10.2.1. The impact on OSH of internal changes (such as those in staffing or

due to new processes, working procedures, organizational structures or
acquisitions) and of external changes (for example as a result of amendment of
laws and regulations and developments in OSH knowledge and technology) should
be evaluated and appropriate steps taken prior to the introduction of changes.

3.10.2.2. An OSH impact evaluation should be carried out before any

modification or introduction of new work methods, materials, processes or
machinery. Such prior to change evaluations should involve workers and/or their
representatives.

3.10.2.3. Implementation of a decision to change should ensure that all

concerned members of the organization are properly informed, and trained if
necessary.

3.10.3. Emergency preparedness and response

3.10.3.1. Emergency preparedness and response arrangements should be

established and maintained. These arrangements should be appropriate to the size
of the organization and the nature of its activities, and should make provisions for:

(a) communication and coordination with the relevant neighbourhood and

emergency response services;

(b) first aid and medical assistance, fire fighting and evacuation of people;

(c) training of all members of the organization, at all levels, including regular
exercises in emergency preparedness and response procedures.

guide_en.doc/v1 17
 3.10.3.2. In major hazard installations, emergency plans should be drawn up
in conformity with the arrangements recommended in the ILO Code of practice on
prevention of major industrial accidents (Geneva, 1991).

3.10.4. Procurement and contracting

3.10.4.1. Procedures should be established and maintained to ensure that:

(a) compliance with safety and health requirements is identified, evaluated and
incorporated into purchasing and leasing specifications;

(b) legal and the organizations own OSH obligations/requirements are satisfied
prior to the procurement of goods and services.

3.10.4.2. Arrangements should be established and maintained for ensuring

that the same safety and health requirements apply to contractors and their workers
as to the workers employed directly by the organization.

3.10.4.3. Arrangements for assessing and controlling contractors should:

(a) include procedures for evaluating and selecting contractors;

(b) set up communication links between appropriate levels of the organization and
the contractor prior to commencing work, including provisions for
communicating hazards associated with the work and information on
accidents, diseases and incidents suffered by the contractors workers while
performing work for the organization;

(c) provide relevant safety and health hazard awareness and training, if necessary,
to contractor workers prior to commencing work;

(d) monitor regularly OSH performance of contractor activities on site;

(e) ensure that site OSH rules and procedures are followed by the contractor(s).

18 guide_en.doc/v1
Evaluation

3.11. Performance measurement

3.11.1. Procedures to monitor and measure OSH performance on a regular

basis should be developed and periodically reviewed.

3.11.2. Both qualitative and quantitative measures appropriate to the needs of

the organization should be considered, and should:

(a) be developed preferably in conjunction with the OSH policy;

(b) be consistent with the organizations hazards and risks, the OSH variables
expressed in the OSH policy (see section 3.1) and the OSH objectives (see
section 3.8);

(c) support the organizations evaluation process and the management review (see
section 3.14).

3.11.3. Performance monitoring and measurement should:

(a) be used as a means of determining the extent to which OSH policy and
objectives are being implemented and risks are controlled;

(b) include both active and reactive monitoring and not be based only upon
occupational accident and disease statistics.

3.11.4. The selection of reasonable and appropriate outcome indicators should

be made according to the size of the organization and the nature of its activities and
the chosen OSH objectives. Responsibilities for monitoring at different levels in
the management structure should be allocated.

3.11.5. Active monitoring should provide:

(a) feedback on OSH performance before an accident, disease or incident;

(b) information to determine whether the day-to-day arrangements for hazard and
risk control are in place and operating effectively;

guide_en.doc/v1 19
 (c) the basis for decisions about improvement in hazard and risk control and the
OSH management system.

3.11.6. Active monitoring should include:

(a) monitoring the achievement of specific plans, established performance criteria

and objectives and the operation of the OSH management system;

(b) the systematic inspection of work systems, premises, plant and equipment;

(c) surveillance of the working environment;

(d) workers health surveillance to determine the effectiveness of health control

measures and to detect early signs of harm to health;

(e) compliance with applicable legislation and regulations.

3.11.7. Reactive monitoring should include the identifying, reporting,

recording and investigation of:

(a) accidents, diseases (including monitoring of sickness absence records) and

incidents, in line with the provisions of the ILO Code of practice on recording
and notification of occupational accidents and diseases (Geneva, 1996);

(b) other losses, such as damage to property;

(c) deficient safety and health performance and OSH management system
failures.

3.12. Accident, disease and incident investigation

3.12.1. The origin and underlying causes of occupational accidents,

occupational and other work-related adverse health effects, as well as incidents,
should be identified. The investigation should determine any related deficiencies in
the OSH management system.

3.12.2. Such investigations should be carried out by competent persons, with

the appropriate involvement of workers and/or their representatives.

20 guide_en.doc/v1
 3.12.3. The results of such investigations should be communicated to and be
considered by the safety and health committee, where it exists, and the committee
should make any appropriate recommendations.

3.12.4. The results of the investigation and any recommendations of the safety
and health committee should be communicated to appropriate persons for
corrective action (see section 3.15), included in the management review (see
section 3.14) and considered for continual improvement activities (see section
3.16).

3.13. Audit

3.13.1. In addition to routine monitoring of OSH performance, periodic audits

should be conducted to verify the adequacy, strengths and weaknesses of the OSH
management system and each of its components. Audits should determine whether
the system:

(a) conforms to the OSH policy and objectives of the organization;

(b) has been effectively integrated, implemented and maintained for achieving the
required standard of OSH performance, or whether there are possible
organizational causes of OSH-related deficiencies;

(c) complies with statutory requirements and other obligations with respect to
OSH.

3.13.2. An audit policy and programme should be developed taking into

consideration the status and importance of the activities and areas to be audited, as
well as the results of previous audits. The scope, frequency and methodologies of
the audit should be defined accordingly.

3.13.3. Audits should be conducted by competent persons who are

independent 2 of the activity being audited.

3.13.4. Audit procedures should be developed that assign the responsibilities

and make provisions for:

(a) conducting audits;

2
This does not necessarily mean an independent external audit (i.e. by an auditor(s) from outside
the organization).

guide_en.doc/v1 21
 (b) recording and reporting results;

(c) implementing corrective action (see section 3.15).

3.13.5. Responsible members of the organization, including workers and their

representatives, should be informed that an audit is to be performed and be invited
to participate in the activity (see section 3.2).

3.14. Management review

3.14.1. The frequency and scope of periodic reviews by management of the

OSH management system should be defined according to the organizations needs
and conditions.

3.14.2. Management reviews should:

(a) evaluate the overall performance of the OSH management system and its
individual components to determine whether it meets planned performance
objectives;

(b) evaluate the OSH management systems ability to meet the overall needs of
the organization and its stakeholders, including its workers and the regulating
authorities;

(c) evaluate the need for changes to the OSH management system, including OSH
policy and objectives;

(d) identify what action is necessary to remedy any deficiencies in a timely

manner, including adaptations of other aspects of the organizations
management structure and performance measurement;

(e) provide the feedback direction, including the determination of priorities, for
meaningful planning (see section 3.9) and continual improvement (see section
3.16).

3.14.3. The management review should consider:

(a) the results of accident, disease and incident investigations, the findings of
audits and monitoring activities, the results of hazard identifications, risk
assessments and surveillance activities, and the report of the management
representative, if appointed (see section 3.3);

22 guide_en.doc/v1
 (b) the internal and external factors as well as changes, including organizational
changes, that could affect the OSH management system;

(c) progress towards the organizations OSH objectives and corrective action;

(d) the effectiveness of follow-up to earlier management reviews.

3.14.4. The findings of the management review should be recorded and

formally communicated to the persons responsible for the affected element(s) of
the OSH management system so that they may take appropriate action.

Action

3.15. Preventive and corrective action

3.15.1. When the evaluation of the OHS management system (see sections
3.11 to 3.14) or other sources show that preventive and protective measures (see
section 3.10) for hazards and risks are inadequate or likely to become inadequate,
hazards and risks should be:

(a) eliminated by ceasing to use such hazardous processes or substances or

replacing them by modified processes or less hazardous substances;

(b) minimized by designing and implementing a programme of action.

3.15.2. Preventive and corrective measures for implementing such a

programme of action should:

(a) be sufficient and appropriate to control hazards and risks;

(b) minimize adverse health effects to workers;

(c) be documented, as appropriate, and completed in a timely manner.

3.16. Continual improvement

3.16.1. Procedures and arrangements should be established and maintained for

the continual improvement of the OSH management system. These procedures and
arrangements should include:

guide_en.doc/v1 23
 (a) the OSH objectives of the organization;

(b) the results of hazard identifications and risk assessments;

(c) the results of performance measurements;

(d) accident, disease and incident investigations and the results and
recommendations of audits;

(e) the outcomes of the management review;

(f) recommendations from all members of the organization, including the safety
and health committee, where it exists;

(g) the results of health promotion programmes.

3.16.2. The safety and health processes and performance of the organization
should be compared with others to learn how to reduce accidents and diseases,
improve compliance with safety and health law and/or cut compliance costs
(benchmarking).

24 guide_en.doc/v1
Glossary

In these guidelines, the following terms have the meanings hereby assigned to
them:

Audit: A systematic, independent and documented process for obtaining evidence

and evaluating it objectively to determine the extent to which defined criteria
are fulfilled. This does not necessarily mean an independent external audit (by
an auditor(s) from outside the organization).

Competent institution: A government department or other authority with the right

to establish the national policy on OSH management systems, to give effect to
this policy by means of a national framework for the establishment and
implementation of such systems in organizations and to provide relevant
guidance.

Competent person: A person possessing adequate qualifications, such as suitable

training and sufficient knowledge, experience and skill, for the safe
performance of specific work. The competent institution may define
appropriate criteria for the designation of such persons and may determine the
duties assigned to them.

Continual improvement: Process of enhancing the OSH management system in

order to achieve improvements in overall OSH performance, in line with the
organizations OSH policy.

Employer: Any physical or legal person who employs one or more workers.

Hazard: The potential to cause physical injury or damage to health of people.

Incident: An unsafe occurrence arising out of or in the course of work where no

personal injury is caused, or where personal injury requires only first-aid
treatment.

Management review: Evaluation by management of the overall performance of an

OSH management system, from a standpoint of whether the system meets the
overall needs of the organization, its stakeholders and workers, and the
regulating authorities.

Occupational accident: An occurrence arising out of or in the course of work,

which results in fatal or non-fatal occupational injury.

guide_en.doc/v1 25
 Occupational disease: Disease known, under prescribed conditions, to arise out of
exposure to substances or dangerous conditions in processes, trades or
occupations.

Occupational health surveillance: The ongoing systematic collection, analysis,

interpretation and dissemination of data for the purpose of prevention.
Surveillance is essential to the planning, implementation and evaluation of
occupational health programmes and to the control of work-related ill health
and injuries, as well as to the protection and promotion of workers health.
Occupational health surveillance includes workers health surveillance and
working environment surveillance.

Occupational safety and health (OSH) management system: Set of interrelated or

interacting elements to establish OSH policy and OSH objectives and to
achieve those objectives.

Occupational safety and health (OSH) policy: Overall intention and direction of an
organization in relation to OSH as formally expressed by the employer and top
management.

Organization: A company, operation, firm, undertaking, establishment, enterprise,

institution or association, or part thereof, whether incorporated or not, public
or private, that has its own functions and administration. For organizations
with more than one operating unit, a single operating unit may be defined as
an organization.

Risk: The likelihood that a specified undesired event will occur causing physical
injury or damage to the health of people.

Risk assessment: The process of evaluating and ranking the risks to safety and
health at work arising from hazards at the workplace.

Worker: Any person who performs work, either regularly or temporarily, for an
employer.

Workers representative: In accordance with the Workers Representatives

Convention, 1971 (No. 135), any person who is recognized as such by national
law or practice, including:

(a) trade union representatives, namely, representatives designated or elected

by trade unions or by members of such unions; or

(b) elected representatives, namely, representatives who are freely elected by

the workers of the undertaking in accordance with provisions of national

26 guide_en.doc/v1
 laws or regulations or of collective agreements and whose functions do
not include activities which are recognized as the exclusive prerogative of
trade unions in the country concerned.

guide_en.doc/v1 27
References

Relevant ILO Conventions and

Recommendations

Conventions

No. Title

115 Radiation Protection, 1960

135 Workers Representatives, 1971

136 Benzene, 1971

139 Occupational Cancer, 1974

148 Working Environment (Air Pollution, Noise and Vibration), 1977

155 Occupational Safety and Health, 1981

161 Occupational Health Services, 1985

162 Asbestos, 1986

167 Safety and Health in Construction, 1988

170 Chemicals, 1990

174 Prevention of Major Industrial Accidents, 1993

176 Safety and Health in Mines, 1995

28 guide_en.doc/v1
Recommendations

No. Title

114 Radiation Protection, 1960

144 Benzene, 1971

147 Occupational Cancer, 1974

156 Working Environment (Air Pollution, Noise and Vibration), 1977

164 Occupational Safety and Health, 1981

171 Occupational Health Services, 1985

172 Asbestos, 1986

175 Safety and Health in Construction, 1988

177 Chemicals, 1990

181 Prevention of Major Industrial Accidents, 1993

183 Safety and Health in Mines, 1995

ILO codes of practice

Prevention of major industrial accidents (Geneva, 1991)

Safety and health in opencast mines (Geneva, 1991)

Safety and health in construction (Geneva, 1992)

Safety in the use of chemicals at work (Geneva, 1993)

Accident prevention on board ship at sea and in port (Geneva, 1996)

guide_en.doc/v1 29
 Management of alcohol and drug-related issues in the workplace (Geneva, 1996)

Recording and notification of occupational accidents and diseases (Geneva, 1996)

Protection of workers personal data (Geneva, 1997)

Safety and health in forestry work (Geneva, 1998)

Ambient factors in the workplace (Geneva, 2001)

Relevant publications

Agenda 21 (Chapter 19 on environmentally sound management of chemicals).

United Nations Conference on Environment and Development (UNCED), Rio
de Janeiro, Brazil, 1992.

American Industrial Hygiene Association (AIHA): Occupational health and safety

management system: An AIHA guidance document, AIHA OHSMS 96/3/26
(Fairfax, Virginia, 1996).

Bavarian Ministry of State for Labour and Social Affairs, Family, Women and
Health: Management systems for occupational health and plant safety, Volume
1: Occupational health and risk management system (OHRIS) Principles and
system elements (Munich, 1998).

BS 8800:1996. Guide to occupational health and safety management systems

(London, British Standards Institution, 1996).

Council of the European Communities: Council Regulation (EEC) No. 1836/93 of

29 June 1993, allowing voluntary participation by companies in the industrial
sector in a Community eco-management and audit scheme, in Official journal
of the European Communities (Brussels), No. 168, 10 July 1993, pp. 1-18.

Health and Safety Authority (Ireland): Workplace health and safety management:
Practical guidelines on the implementation of an occupational safety, health
and welfare management system (Dublin, 1998).

Health and Safety Executive (HSE): Successful health and safety management
(HSG65) (United Kingdom, HSE Books, second edition 1997, reprinted
1998).

30 guide_en.doc/v1
 ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up,
adopted by the International Labour Conference at its 86th Session, 1998
(Geneva, ILO, 1998).

ILO: Encyclopaedia of occupational health and safety, fourth edition (Geneva,

ILO, 1998).

ILO: Technical and ethical guidelines for workers health surveillance.

Occupational Safety and Health Series No. 72 (Geneva, 1998).

ISO 9000-1:1994. Quality management and quality assurance standards Part 1:

Guidelines for selection and use (Geneva, 1994).

ISO 9001:1994. Quality systems Model for quality assurance in design,

development, production, installation and servicing (Geneva, 1994).

ISO 9002:1994. Quality systems Model for quality assurance in production,

installation and servicing (Geneva, 1994).

ISO 14001:1996. Environmental management systems Specification with

guidance for use (Geneva, International Organization for Standardization,
1996).

Japan Industrial Safety and Health Association (JISHA): Occupational safety and
health management systems (OHS-MS) guidelines (JISHA guidelines)
(Tokyo, 1997).

Ministry of Labour of Japan: Guideline for occupational health and safety

management systems, Ministry of Labour Notification No. 53 (Tokyo, 1999).

NZS 4801(Int):1999. Occupational health and safety management systems:

Specification with guidance for use (Wellington, Standards New Zealand,
1999).

OHSAS 18001:1999. Occupational health and safety management systems

Specification. Occupational Health and Safety Assessment Series (London,
British Standards Institution, 1999).

OHSAS 18002:2000. Occupational health and safety management systems

Guidelines for the implementation of OHSAS 18001. Occupational Health and
Safety Assessment Series (London, British Standards Institution, 2000).

guide_en.doc/v1 31
 Oil Industry International Exploration and Production Forum (E&P Forum):
Guidelines for the development and application of health, safety and
environmental management systems, Report No. 6.36/210 (London, 1994).

Standard for certification of occupational health and safety management systems

(OHSMS), 1997 (Norway, Det Norske Veritas AS, 1997).

Victorian WorkCover Authority: SafetyMAP: Auditing health and safety

management systems (Melbourne, Australia, 1997).

32 guide_en.doc/v1
guide_en.doc/v1 33
Appendix

Risk assessment

I.1. Key elements of risk assessment

I.1.1. The purpose of a risk assessment is to help employers examine systematically

all aspects of their work activities so as to determine what could cause injury or harm,
whether the sources of injury and harm can be eliminated and, if not, what preventive or
protective measures should be in place. The risk assessment will allow decisions on how to
manage risks to be made in an informed, rational and structured manner.

I.1.2. The process of carrying out a risk assessment should be undertaken by

management, whether or not advisers or consultants have been brought in to assist with the
detail of the assessment, and should take account of the views of workers and their
representatives who have practical knowledge and experience to contribute.

I.1.3. Besides the potential harm or injury to their own employees, employers should
consider in their risk assessment the effect of their work activities on other parties. For
example, there may be employees of other businesses who visit the workplace (e.g.
maintenance contractors) or members of the public (e.g. customers). Where employees of
different employers work in the same workplace, their respective employers may
sometimes have to cooperate to produce an overall risk assessment.

I.1.4. A risk assessment involves the following five steps:

n the identification of hazards;

n the identification of workers and others who might be harmed by those hazards, and
how the harm might occur;

n an evaluation of the risk from those hazards;

n recording the findings of the assessment; and

n reviewing the assessment.

The steps are described in greater detail in section I.2 below (Risk assessment in
practice).

34 guide_en.doc/v1
 I.1.5. The level of detail in a risk assessment should be proportionate to the risk.
Insignificant risks can usually be ignored, as can those arising from routine activities
associated with life in general and not normally thought of as being of concern (e.g. the use
by staff of office furniture) unless work activity compounds or significantly alters those
risks. The level of risk arising from the work activity should determine the degree of
sophistication of the risk assessment:

n for small businesses presenting few or simple hazards, a risk assessment can be a very
straightforward process based on informed judgement and reference to appropriate
guidance (as published by regulatory authorities, trade federations and so on). Where
the hazards and risks are obvious, they can be addressed directly; no complicated
processes or skills will be required to carry out the risk assessment;

n there may, however, be areas of an assessment for which specialist advice is needed;
for example risks which require specialist knowledge of a complex process or
technique, or those calling for specialist analytical techniques such as those used in
measuring air quality. Whenever specialist advisers are called in, employers should
ensure that the advisers have sufficient understanding of the particular work activity;
this will often require effective involvement of everyone concerned employer,
employees and specialist;

n large and hazardous sites will need the most developed and sophisticated risk
assessments, particularly where there are complex or novel processes, and the
regulator may well require the use of techniques such as quantified risk assessment.

I.1.6. When assessing risk to determine control measures, relating the assessment to
the actual people exposed is of limited usefulness. It would be necessary to carry out a risk
assessment for each person exposed, since individuals are affected differently by risk
depending, amongst other things, on their physical make-up, abilities, age and the
circumstances giving rise to their exposure. It would be very difficult to extract and distil
useful information from all the individual assessments. Instead, the assessment can be
performed in relation to a hypothetical person, i.e. a person in some fixed relation to the
hazard, for example the person most exposed to it, or a person living at some fixed point or
with some assumed pattern of life, such as a person who is in good health and works
exactly 40 hours a week with the hazard.

I.1.7. For the workplace where conditions and processes remain relatively unchanged
(such as factories or offices), the risk assessment can be such that it:

n takes account of the usual conditions;

n does not need to be repeated where workstations are comparable;

n identifies the need for a revised or different assessment when circumstances change,
e.g. when new machinery, methods or materials are introduced or non-routine work is
undertaken.

guide_en.doc/v1 35
 Employers controlling a number of similar workplaces where similar activities take place
may produce a model risk assessment reflecting the core hazards and risks associated
with these activities. Model assessments may also be developed by trade associations,
employers organizations or other bodies concerned with a particular activity. To use such
a model in a particular workplace, managers should satisfy themselves that it is appropriate
to the type of work performed there and adapt it as necessary to the specific conditions of
their own work activities, including extending it to include hazards not covered in the
model.

I.1.8. At workplaces where circumstances and conditions change, the assessment

requires an approach which takes an account of these changes. Risks can be assessed
generically so that the principles for prevention and protection are applied even though the
workplace changes. Thus, for example, the principles of good scaffolding or excavation
support can be applied at each building site, account can be taken of the effect of different
weather conditions on outdoor work, and so on.

I.2. Risk assessment in practice

There are no fixed rules about how a risk assessment should be carried out; it will
depend on the nature of the work or business and the types of hazards and risks. However,
whatever approach is taken, it is important that it be:

(a) Comprehensive ensuring all aspects of the work activity are assessed, including
routine and non-routine activities. The assessment should cover all parts of the work
activity, including those that are not under the immediate supervision of the
employer, such as employees working off site as contractors and peripatetic workers.

(b) Systematic this can be done, for example, by looking at hazards in groups under
headings such as machinery, transport, substances, etc., or dividing up the
worksite on a geographical basis. In other cases, an operation-by-operation approach
may be needed.

(c) Practical looking at what actually happens in the workplace whilst the work activity
is taking place. Actual practice may differ from what the works manual says should
be happening.

I.2.1. It is often helpful for employers to make a first rough assessment in order to
eliminate from consideration those risks on which no further action is needed. This should
also show where a fuller assessment is needed, using more sophisticated techniques (such
as environmental monitoring for chemicals, noise-level measurement).

I.2.2. As indicated in paragraph I.1.4, the following five steps need to be taken:

(1) Identifying the hazards: Besides drawing on their own knowledge and experience,
employers will help themselves identify aspects of their work with the potential to
cause harm by looking at appropriate sources of information such as guidance
published by the regulator or manufacturers instructions. The knowledge and
experience of the workforce should also be tapped.

36 guide_en.doc/v1
 (2) Identifying who might be harmed and how it might happen: Besides employees, other
workers and members of the public should be considered. These might include office
staff, night cleaners, security guards and customers. Groups of workers who might be
particularly at risk should be identified, such as young or inexperienced workers, new
and expectant mothers, those who work alone, or disabled staff. Account should be
taken of the fact that workers do not have to be involved in a hazardous process to be
at risk from it (e.g. a worker engaged in grinding metal will be at risk of hearing
damage, as might workers engaged in other activities nearby).

(3) Evaluating the risk from the hazard: The objective of this step is to decide whether
existing control measures are adequate or whether more should be done to reduce the
level of risk from the hazard. The first consideration should be whether the risk can
be removed by eliminating the hazard altogether.

Where the hazard cannot be eliminated, in the majority of cases (where the hazards
are of little concern and/or the risks are well understood) all that need be done is to
compare the existing control measures against those required by established good
practice as found in guidance produced by the regulatory authorities, industry
representative bodies and so on. No explicit estimation of the risk is required in these
circumstances. (However, it can be useful to prioritize the action to be taken
following the assessment by making a rough estimate of the risk from a hazard,
considering the likelihood of harm occurring and the likely severity of that harm.)

However, there will be more complex cases where risk should be explicitly estimated
and specialist knowledge support and advice could be required. For example, a
quantitative estimation of the risk may be necessary to measure the effectiveness of
the existing controls against quantitative risk criteria such as occupational exposure
standards for chemicals or noise, etc. In extreme cases, a complete quantitative risk
assessment might be required to make a judgement as to the adequacy of controls in
complex processes such as those found in large chemical plants.

(4) Recording the assessment: A record of the results of risk assessments should be kept
with the object of making it a useful tool, i.e. providing both a management record
and a source of information for managers and workers. The record should include:

n a record of the preventive and protective measures in place to control the risks;

n the criteria, standards or guidance applied (e.g. machine-guarding standards);

n what further action, if any, needs to be taken to reduce risks;

n arrangements for review of the assessment.

Workers should be informed of the findings that relate to their workstation. The
record of the risk assessment should also be made available to workers with special
functions in protecting health and safety, i.e. those designated by the employer or
those appointed as workers representatives.

guide_en.doc/v1 37
 (5) Review and revision of the assessment: Risk assessment is not a once-and-for-all
activity; assessments need to be reviewed because:

(i) the work process might change, say, as a result of further control measures being
introduced, or new plant, chemicals, etc., or changes to other work activities may
effect it;

(ii) new knowledge about the hazards and risks may become available (e.g. as the
result of the local investigation of an incident or local health surveillance; new
information may be provided by the regulatory authorities, trade organizations or
academic experts, etc.);

(iii) new technology to control risks more effectively and/or efficiently may become
available.

In most cases, it is prudent to review assessments at regular intervals. The time

between reviews is dependent on the nature of the risks and the degree of change
likely in the work activity.

38 guide_en.doc/v1