IS 18001 : 2000(Redisignation of IS 15001 : 2000)

Edition 1.1(2002-11)

B U R E A U O F I N D I A N S T A N D A R D SMANAK BHAVAN, 9 BAHADUR SHAH ZAFAR MARG

NEW DELHI 110002

Price Group 11

© BIS 2003

Indian Standard

OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEMS — SPECIFICATION

WITH GUIDANCE FOR USE(Incorporating Amendment No.1)

ICS 13.100

Industrial Safety Sectional Committee CHD 8

FOREWORD

This Indian Standard was adopted by the Bureau of Indian Standards, after the draft finalized bythe Industrial Safety Sectional Committee had been approved by the Chemical Division Council.Health and safety is one of the most important aspects of an organization’s smooth and effectivefunctioning. Good health and safety performance ensures an accident free industrial environment.With the continuous and untiring effort of various legislative authorities as well as NGOs, theawareness of Occupational Health and Safety (OH&S) has improved in the India considerably.Organizations have started attaching the same importance to achieve high OH&S performance asthey do to other key aspects of their business activities. This demands adoption of a structuredapproach for the identification of hazards, their evaluation and control of risks.Considering this fact and a great demand from the industry for a comprehensive framework forOH&S, the Committee decided to formulate an Indian Standard on OH&S management systems.This standard intends to assist the organizations to develop a systematic approach to managementof OH&S in such a way as to protect their employees and others whose health and safety may beaffected by the organizations’ activities.This standard also intends to improve OH&S performance of an organizations by providing therequirements and guidance for use. The OH&S management systems may be integrated with themanagement of other aspects of business performance in order to:

a) minimize risk to employees and others;b) improve business performance; andc) assist organizations to establish a responsible image at the market place.

There is no ISO standard on the subject.In preparation of this standard considerable assistance has been derived from the followingpublications:

a) BS 8800 : 1996 Guide to OH&S management systems; andb) AS/NZS 4804:1997 OH&S management systems — General guidance and principles,

assessment and supporting techniques.While British and Australian/New Zealand documents are mainly guidelines, this standardintends to specify the requirements of OH&S management systems for certification purpose. Dueconsideration has been given in preparation of this standard for its use by certification bodies also.The requirements of OH&S management systems have been prescribed in this standard. Annex Aof this standard provides the guidance for use and correct interpretation and Annex B gives acomparison of requirements of this standard with those of ISO 9001 : 2000 and ISO 14001 : 1996.It is expected that this comparative chart will help the users in understanding the standard in abetter way. Identification of hazard and assessment and control of risks form a major andimportant part of OH&S management systems. A general guideline describing the principles,approach and procedure of hazard identification and assessment and control of risks has beengiven in Annex C of this standard. The Committee intends to formulate a detailed standard onCode of practice for identification of hazard and assessment and control of risks in future toprovide more details on this important subject.Compliance with this standard by an organization does not confer its immunity from its legalobligations.The composition of the Technical Committee responsible for formulating this standard is given inAnnex D.This edition 1.1 incorporates Amendment No. 1 (November 2002). Side bar indicates modificationof the text as the result of incorporation of the amendment.

IS 18001 : 2000

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Indian Standard

OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEMS — SPECIFICATION

WITH GUIDANCE FOR USE1 SCOPE

This standard prescribes requirements for anOccupational Health and Safety (OH&S)Management Systems, to enable anorganization to formulate a policy andobjectives, taking into account legislativerequirements and information about significanthazards and risks, which the organization cancontrol and over which it can be expected tohave an influence, to protect its employees andothers, whose health and safety may be affectedby the activities of the organization. It does notitself state specific safety performance criteria.

This standard is applicable to any organizationthat wishes to:

a) implement, maintain and improve anOH&S management systems;

b) assure itself of its conformance with itsstated OH&S policy;

c) demonstrate such conformance to others;

d) seek certification/registration of its OH&Smanagement systems by an externalorganization; and

e) make a self-determination and self-declaration of conformance with thisstandard.

All the requirements in this standard areintended to be incorporated into any OH&Smanagement system. The extent of applicationwill depend on such factors as the OH&S policyof the organization, the nature of its activitiesand the conditions in which it operates. ThisIndian Standard also provides informativeguidance on the use of the specification inAnnex A.

NOTES

1 For ease of use, the subclauses of this specificationand Annex A have related numbers; thus, for example,4.3.3 and A-3.3 both deal with ‘Legal and OtherRequirements’.

2 The guidance has been provided to ensure thatmanagers who have already invested in learning tooperate within the framework of either QualityManagement Systems or Environmental ManagementSystems standards can readily understand therequirements of this standard and thereby improveOH&S management in their organization.

2 REFERENCES

The Indian Standards listed below containprovisions, which through reference in thistext, constitute provisions of this IndianStandard. At the time of publication, theeditions indicated were valid. All standards aresubject to revisions, and parties to agreementsbased on this Indian Standard are encouragedto investigate the possibility of applying themost recent editions of the Indian Standardsindicated below:

3 TERMINOLOGY

For the purpose of this Indian Standard, thedefinitions given in IS/ISO 14001 and IS 14489shall apply in addition to the following.3.1 Accident

Unplanned event giving rise to death, illhealth, injury, damage or other losses topersonnel or property.3.2 Audit

A systematic, documented, objective andindependent examination to determinewhether activities and related results conformto planned arrangements and whether thesearrangements are implemented effectively andare suitable to achieve the organization’sobjectives ( see 4.3.4 ).

NOTE—The word ‘independent’ here does notnecessarily mean external to the organization.

3.3 Continual Improvement

Process of enhancing the OH&S managementsystem, to achieve improvements in overall

IS No. Title3786 : 1983 Method of computation of

frequency and severityrates for industrial injuriesand classification ofindustrial accidents ( firstrevision )

IS/ISO 14001 : 1996Environmentalmanagement systems —Specification withguidance for use

IS 14489 : 1998 Code of practice onoccupational safety andhealth audit

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OH&S performance, in line with organization’sOH&S policy.3.4 HazardA source or a situation with a potential to causeharm in terms of human injury or ill health,damage to property, damage to theenvironment or a combination of these.3.5 Hazard IdentificationThe process of recognizing a hazard inexistence and defining itscharacteristic/impact.3.6 IncidentUnplanned event which has the potential tolead to accident.3.7 Interested PartyIndividual or group concerned with or affectedby the OH&S performance of an organization.3.8 Non-conformanceAny deviation from work standards, practices,procedure, regulations, management systemrequirements, etc, that could either directly orindirectly lead to injury or illness, damage orloss to property or a combination of these.3.9 Occupational Ill HealthIll health that is judged to have been caused byor made worse by a person’s work activity orenvironment.3.10 Occupational Health and Safety Management SystemsThat part of overall management system whichincludes organizational structure, planningactivities, responsibilities, practices,procedures, processes and resources fordeveloping, implementing, achieving, reviewingand maintaining the OH&S policy, and somanaging the OH&S risks associated with thebusiness of the organization.3.11 Occupational Health and Safety ObjectivesOverall goals in terms of OH&S performance,arising from the OH&S policy that anorganization sets itself to achieve, and which isquantified where practicable.3.42 Occupational Health and Safety PolicyStatements by the organization of its intentionsand principles in relation to its overall OH&Sperformance which provides a framework forits action and for setting its OH&S objectivesand targets.3.13 Occupational Health and Safety ProfessionalA person, with expertise and qualifications inthe assessment, evaluation and prevention orcontrol of occupational risks, hazards oroccupational ill health.

3.14 Occupational Health and Safety Target

A detailed performance requirement quantifiedwherever practicable pertaining to theorganization, that arises from the health andsafety objectives and that needs to be met inorder to achieve those objectives.3.15 Occupational Health Surveillance

Monitoring the health of people to detect signsor symptoms of work related ill health so thatsteps can be taken to eliminate, or reduce theprobability of further deterioration.3.16 Rehabilitation

The managed process of maintaining injured orill employees in, or returning them to suitableemployment.3.17 Risk

The combination of frequency, or probability ofoccurrence and consequence of a specifiedhazardous event.3.18 Risk Analysis

A systematic use of available information todetermine how often specified events may occurand magnitude of their likely consequences.3.19 Risk Assessment

The overall process of estimating themagnitude of risk and deciding whether therisk is tolerable.3.20 Safety

State in which the risk of harm to persons ordamage to property is limited to a tolerablelevel.

4 OH&S MANAGEMENT SYSTEMS REQUIREMENTS

4.1 General Requirements

The organization shall establish and maintainan OH&S management system, therequirements of which are described in thewhole of 4.An organization, which has an existing,documented and implemented managementsystem(s) and wishes to implement an OH&Smanagement system shall extend the system toaddress and integrate the requirements of thisOH&S management systems. Otherorganizations shall introduce separatelydocumented systems. In carrying out its OH&Scommitment, an organization shall aim at:

a) Developing the capability to balance andresolve conflicts between OH&S and otherorganizational objectives and priorities;and

b) The alignment/integration of OH&S intothe overall business management process.

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4.2 Commitment and Policy

An organization shall demonstrate its OH&Spolicy and ensure commitment to its OH&Smanagement system.4.2.1 Leadership and CommitmentThe top management shall define anddemonstrate its leadership and commitment toOH&S by allocation of adequate resources toensure continual improvement in its OH&Sperformance.All levels of an organization shall demonstratecommitment to OH&S for an OH&Smanagement systems to be developed andimplemented successfully.4.2.2 Initial OH&S ReviewThe organization shall carry out an initialreview of their existing arrangements formanaging OH&S. The current position of anorganization with regard to OH&S shall beestablished by means of an initial review of itscurrent OH&S arrangements to:

a) identify the gaps between any existingsystems in place and the requirements ofthis standard;

b) identify all hazards and risks associatedwith the organization’s activity;

c) assess the level of knowledge andcompliance with all OH&S standards andlegislation;

d) compare current arrangements with bestpractice and performance in theorganization’s employment sector andother appropriate sectors;

e) review past experience with incidents andresults of any previous assessments,compensation experience, disruption, etc,associated with OH&S; and

f) assess efficiency and effectiveness ofexisting resources devoted to OH&Smanagement.

Based on this information the organizationshall plan the progressive implementation ofthe elements of the system.4.2.3 OH&S PolicyThe organization’s top management shalldefine, document, endorse and review itsOH&S policy which is appropriate to thenature, scale and the hazards and risks of itsactivities. The top management shall ensurethat the policy includes a commitment to:

a) recognizing OH&S as an integral part ofits business performance;

b) achieving continual improvement in itsOH&S performance, with commitment tocompliance of relevant legal requirementsand to other requirements to which theorganization subscribes, as the minimumto ensure safety at work;

c) setting, reviewing and publishing ofOH&S objectives and targets even if onlyby internal notification;

d) place management of OH&S as a primeresponsibility of the organization;

e) ensure its communication, understandingand maintenance at all levels in theorganization;

f) ensure that employees at all levels receiveappropriate training and are competent tocarry out their duties and responsibilities;and

g) provide adequate and appropriateresources to implement the policy,communicate the policy to all itsemployees and to make it available topublic.

4.3 Planning

The planning process shall address theidentification of significant hazards and theassessment and control of risks associated withthe activities of the organization as well as anyrelated legal requirements. The initial reviewof organization’s position shall provide theplanning framework for the implementation ofan OH&S management systems. Objectives,targets and performance indicators shall beestablished and plans made to achieve them.

4.3.1 Accountability and Responsibility

Ultimate responsibility for OH&S shall restwith the top management. The organizationshall define, designate, document andcommunicate OH&S responsibilities,accountabilities and authority to act andreporting relationships for all levels offunctionaries including subcontractors andvisitors. The organization shall also establishand maintain procedure that monitors andcommunicate any changes in designatedresponsibilities and accountabilities and theorganization shall be able to respond in atimely and effective manner to changing orunusual circumstances or events.

The organization’s top management shallappoint at the senior management level specificmanagement representative(s), with executivepowers, who, irrespective of otherresponsibilities, shall have defined roles,responsibilities and authority for:

a) ensuring that OH&S management systemrequirements are established,implemented and maintained inaccordance with this Indian Standard;and

b) reporting on the performance of OH&Smanagement system to top managementfor review and as a basis for improvementof the OH&S management system.

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4.3.2 Identification of Hazards and Assessmentand Control of RisksThe organization shall establish and maintainprocedures to identify hazards and assess andcontrol risks related to its activities over whichit has control or influence, in order todetermine those which have or can havesignificant impact over OH&S. Theorganization shall ensure that the significanthazards and risks are considered in setting itsoccupational health and safety objectives. Thespecific application of hazard identification andrisk assessment and control procedure shall bepart of the on-going planning process.4.3.2.1 Hazard identificationThe organization shall establish and maintainprocedures for identification of hazards in allits activities and situations, that could give riseto the potential of injury, illness, death ordamage/loss of property. The hazardidentification shall consider:

a) A type of injury or illness that is possible;and

b) Situation or events that could give rise tothe potential of injury, illness, damage orloss of property.

4.3.2.2 Risk assessment and controlThe organization shall establish and maintainprocedures for assessment and control of risksto determine the priorities of the level of risksof injury or illness or damage or loss of propertyassociated with each identified hazards for thepurpose of control. The priority for control shallincrease as the initially established level of riskincreases.The organization shall plan the managementand control of those activities that can or maypose a significant risk on the health and safetyof its employees and public at large.4.3.3 Legal and Other RequirementsThe organization shall establish and maintainprocedures to identify, have access to andunderstand all legal and other requirements towhich the organization subscribes and that aredirectly attributable to the OH&S aspects of itsactivities, products or services.The organization shall also keep track of legaland other requirements as well as the changesto these to maintain regulatory compliance. Itshall ensure communication of relevantinformation on legal and other requirements toits employees at all times.4.3.4 Objectives, Targets and PerformanceIndicatorsThe organization shall establish and maintaindocumented OH&S objectives and targets at itseach relevant function and level.

When establishing and reviewing its objectives,an organization shall consider the legal andother requirements, its significant hazards andrisks, its technological options and its financial,operational and business requirements andviews of the interested parties. The objectivesand targets shall be consistent with the OH&Spolicy including the commitment to safety atwork place.Objectives and targets shall be regularlyreviewed and revised based on pastperformance and in consultation withworkplace personnel, OH&S professionals,insurers and other appropriate persons orgroups.When the objectives and targets are set, theorganization shall consider establishingmeasurable OH&S performance indicators.These indicators shall be used as a basis for anOH&S performance evaluation system and toprovide information on both the OH&Smanagement and operation systems.4.3.5 Initial and On-going ProgrammeThe organization shall establish and maintainprogramme(s) for achieving its objectives andtargets. It shall include:

a) designation of responsibility forachievement of objectives and targets atrelevant functions and levels of theorganization; and

b) The means and time frame by which theyare to be achieved.

If a project relates to new developments andnew or modified activities, products andservices, programme(s) shall be amendedappropriately, where relevant, to ensure thatOH&S management applies to such projects.

4.4 Implementation and Operation

4.4.1 Ensuring Capability4.4.1.1 Resources — human, physical andfinancialThe appropriate human (including specializedskills), physical (including technology) andfinancial resources essential to implement andcontrol organization’s OH&S managementsystem and for achievement of its objectives,shall be defined and be made available. Inallocating resources an organization shall trackthe benefits as well as the costs of theiractivities, products or services, incidents,rehabilitation and the like.4.4.1.2 Training, awareness and competenceThe organization shall establish and maintaindocumented procedures to identify the trainingneeds. The organization shall also establishand maintain procedures to identify

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competency standards and to meet themthrough a training programme. It shall ensurethat all personnel, whose work/workplaceinvolves significant hazard, receive appropriatetraining. The organization shall establish andmaintain procedures to document any trainingprovided to its employees and to evaluate itseffectiveness. OH&S competencies shall beintegrated into the organization’s businesscycle through recruitment, selection andperformance appraisal and training amongothers.It shall establish and maintain procedures tomake its employees or members at eachrelevant function and level aware of:

a) the importance of conformance with theOH&S policy and procedures and withrequirements of the OH&S managementsystem;

b) the significant hazards and risks of theirwork activities and the benefits ofimproved OH&S performance;

c) their roles and responsibilities inachieving conformance with OH&S policyand procedures and with the requirementsof OH&S management systems; and

d) the potential consequences of departurefrom specified operating procedures.Personnel performing the task whichinvolves hazards and risks shall becompetent on the basis of appropriateeducation, training and/or experience.

4.4.2 Support Action4.4.2.1 CommunicationOrganization shall establish and maintainprocedures to ensure that pertinent OH&Sinformation including significant risks andhazards are communicated to all the people inthe organization as well as to the externalinterested parties.The organization shall thereby ensure thefollowing means:

a) Communicating the results frommanagement systems monitoring, auditand management reviews to those withinthe organization who are responsible forand have a stake in the organization’sperformance;

b) Identifying and receiving relevant OH&Sinformation from outside the organization;and

c) Ensuring that the relevant information iscommunicated to people outsideorganization who are likely to be affected.

4.4.2.2 ReportingThe organization shall establish and maintaindocumented procedures for relevant and timelyreporting of information required formonitoring and continual improvement of

OH&S performance.Internal reporting procedures shall beestablished to cover:

a) Incident occurring reporting;b) Non-conformance reporting;c) Health and safety performance reporting;

andd) Hazard identification reporting.

External reporting procedures shall beestablished to cover:

a) Statutory reporting requirements; andb) Stakeholder reporting.

4.4.2.3 DocumentationThe organization shall establish and maintainprocedures in paper or on electronic forms to :

a) describe the elements of the OH&Smanagement systems and theirinteraction; and

b) provide direction to relateddocumentation.

Documented procedures and work instructionsshall be treated with productivity in mind andwith health and safety matter integrated intoeach step. The design and review of suchprocedures shall be developed by competentpeople together with involvement from thoserequired to perform the task(s).Employees shall be trained to be competent inthe use of these procedures. The proceduresshall be reviewed periodically, as well as whenchanges to equipment, processes, site or rawmaterials are taken place.

NOTE—Such documented procedures and workinstructions are commonly known as systems of work orstandard operating procedures.

4.4.2.4 Document controlThe organization shall establish and maintainprocedures for controlling all documentsrequired by this Indian Standard to ensurethat:

a) they can be located;b) they are periodically reviewed, revised as

and when necessary and approved foradequacy by authorised personnel;

c) the current versions of relevantdocuments are available at all locationswhere operations essential to the effectivefunctioning of the OH&S managementsystem are performed;

d) obsolete documents are promptly removedfrom all points of issue and points of use,or otherwise assured against unintendeduse; and

e) any obsolete documents retained for legaland/or knowledge preservation purposesare suitably identified.

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Documentation shall be legible, dated (withdates of revision) and readily identifiable,maintained in an orderly manner and retainedfor a specified period. Procedures andresponsibilities shall be established andmaintained concerning the creation andmodification of the various types of documents.4.4.2.5 Records and information managementThe organization shall establish and maintainprocedures for records and informationmanagement to ensure effective and quickidentification, collection, retrieval, indexing,retention and disposition of pertinent OH&Smanagement system information. Records andinformation shall be maintained, asappropriate to the system and to theorganization, to demonstrate conformance tothe requirements of this standard.4.4.3 Operational ControlThe organization shall identify thoseoperations and activities that are associatedwith the identified significant hazards andrisks in line with its policy, objectives andtargets. The organization shall plan theseactivities, including maintenance, in order toensure that they are carried out under specifiedconditions by:

a) establishing and maintaining documentedprocedures to cover situations where theirabsence could lead to deviations from theOH&S policy and the objectives andtargets;

b) stipulating operating criteria in theprocedures; and

c) establishing and maintaining proceduresrelated to the identifiable significanthazards and risks of goods and servicesused by the organization andcommunicating relevant procedures andrequirements to suppliers andsubcontractors.

4.4.3.1 Design and engineeringThe organization shall establish and maintainprocedures to ensure that health and safety isconsidered at the initial design and planningphase to build risk controls in at this point. Toensure this, each stage of design cycle(development, review verification, validationand change) should incorporate hazardidentification, risk assessment and risk controlprocedures. Appropriately competent peopleshall be allocated clear responsibilities to meetand verify health and safety requirements.Where the newly evaluated hazard cannot beeliminated or substituted for one that presentslower risks, engineering controls shall beadopted. When the product, process orworkplace is redesigned this experience shallbe considered in the design process.

4.4.3.2 PurchasingThe organization shall establish and maintainprocedures for purchasing of goods and servicesincluding maintenance procedures undercontract to others to ensure that purchasedgoods, services, and products andsubcontractors conform to the organization’sOH&S requirements.4.4.3.3 Contingency preparedness and responseThe organization shall establish and maintainprocedures for contingency preparedness andresponse, to plan for contingency in advanceand to periodically test these plans to allow anadequate response to occur during the actualcontingency. While planning the procedure forcontingency preparedness it shall considersignificant events such as fire, explosion, toxicrelease or natural disasters that threaten theviability of the organization. Off-site andon-site emergency plans and procedures shallbe developed and periodically tested andreviewed by the appropriate service providerfor example fire brigade, police and the like.For large installation, emergency plans shallcoordinate with municipal or state disasterplanning authorities.The organization shall also establish andmaintain procedures to mitigate the effects ofsuch incidents on those directly sufferinginjury. These procedures shall include:

a) Establishment of appropriate first aidfacilities that are matched to the sitehazards and availability of furtherassistance. Sites remote from medicalassistance shall have first aid appropriateto stabilize any injury until transported tosuch medical assistance; and

b) Process to rehabilitate injured employeesby providing appropriate rehabilitation assoon as practicable after the injury occurs,so that recovery from the injury isexpedited.

4.4.3.4 Critical incident recovery planThe organization shall establish and maintainprocedures for critical incident recovery plan(CIRP) to aid in-plant employee recovery assoon as possible after the cessation of the event.Only suitably qualified counselors shall be usedto assist victims associated with a traumaticevent.

NOTE — The CIRP allows the plant to minimise thetime required to return to normal operations and toassist employees who are not injured but who have forexample, witnessed an incident, to cope up with thetrauma.

4.5 Measurement and Evaluation

4.5.1 Inspection and TestingThe organization shall establish and maintainprocedures for planning and conducting

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ongoing inspection, testing and monitoring onregular basis related to key characteristics ofits operations and activities that can havesignificant hazards and risks. The frequency ofsuch inspection and testing shall beappropriate to each characteristics/activitiesinspected, tested or monitored. The personnelinvolved in inspection, testing and monitoringshall have adequate skills and experience.Records of OH&S ongoing inspection, testingand monitoring (with details of both positiveand negative findings) shall be maintained andbe made available to relevant management,employees and subcontractors. Suitable testingequipment and procedures shall be used toensure compliance to OH&S standards. Timelycorrective actions shall be taken whereinspection, testing and monitoring revealsnon-conformity with OH&S requirements.Sufficient investigation shall be undertaken toidentify both the immediate and underlyingcauses of any shortcomings. Findings as well asremedial action planned and in progress shallbe analysed and reviewed. Equipment used forsuch inspection and testing shall be calibratedand maintained and records of this shall beretained according to the organization’sprocedure.4.5.2 Internal AuditThe organization shall establish and maintainprocedures for periodic OH&S system audits tobe carried out, in order to:

a) determine whether or not the OH&Smanagement system;i) conforms to planned arrangements for

OH&S management system includingthe requirements of this IndianStandard and relevant legislativerequirements;

ii) has been properly implemented andmaintained; and

b) provide information on the results ofaudits to management.

The organizations audit programme, includingany schedule, shall be based on the OH&S

importance of the activity concerned and theresults of previous audits. In order to becomprehensive the audit procedures shall coverthe audit scope, frequency and methodologies,as well as the responsibilities and requirementsof conducting audit and reporting results.4.5.3 Non-conformance, Corrective andPreventive ActionsThe organization shall establish and maintainprocedures for corrective and preventiveactions in the light of the findings,non-conformance, conclusions andrecommendations reached as a result ofmonitoring, audits and other reviews of theOH&S management system. The managementshall ensure that these corrective andpreventive actions are adequate andimplemented and that there is systematicfollow-up to ensure their effectiveness.4.6 Management Review

The organization’s top management shall atintervals, that it determines, review the OH&Smanagement system to ensure continuingsuitability, adequacy and effectiveness. Themanagement review process shall ensure thatthe necessary information is collected to allowmanagement to carry out this evaluation. Thisreview shall be documented.The management review shall consider:

a) the overall performance of the OH&Smanagement systems;

b) the performance of individual elements ofthe systems;

c) the finding of audits;

d) internal and external factors, such aschanges in organizational structure,legislation pending, introduction of newtechnology, etc, and shall identify whataction is necessary to remedy anydeficiencies; and

e) adequacy of corrective and preventiveaction.

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ANNEX A( Foreword, and Clause 1 )

GUIDANCE FOR USE OF THE SPECIFICATION

A-1 GENERAL REQUIREMENTSThis Annex gives additional information on therequirements and is intended to avoidmisinterpretation of the specification. ThisAnnex only addresses the OH&S managementsystem requirements contained in 4.The introduction of Occupational Health andSafety (OH&S) management into the existingoverall management system should beconsidered within a general managementsystem model that incorporates the followingprinciples ( see Fig. 1 ).Principle 1 Commitment and Policy — Anorganization should define its OH&S policy andensure commitment to its OH&S managementsystems.Principle 2 Planning — An organizationshould plan to fulfill its OH&S policy,objectives and targets.Principle 3 Implementation andOperation — For effective implementation, anorganization should develop the capabilitiesand support mechanism necessary to achieveits OH&S policy, objectives and targets.Principle 4 Measurement and Evaluation— An organization should measure, monitorand evaluate its OH&S performance and takepreventive and corrective action.Principle 5 Management Review — Anorganization should regularly review andcontinually improve its OH&S managementsystem, with the objective of improving itsOH&S performance.

Keeping this in mind, the management systemis best viewed as an organizing framework thatshould be continually monitored andperiodically reviewed, to provide effectivedirection for an organization’s OH&S activitiesin response to changing internal and externalfactors.As organizations grow in experience,procedures, programmes and technologies canbe put in place to further improve OH&Sperformance. As OH&S management systemmatures, OH&S considerations should beintegrated into all its business decisions.

A-2 COMMITMENT AND POLICY

A-2.1 Leadership and Commitment

Everyone should be aware of the influence thattheir actions and inaction can have, on theeffectiveness of the system. They can alsoparticipate in the establishment andmaintenance of the OH&S controls, as well asassisting in the planning.Successful change can be accomplished byeffective leadership in the areas of:

a) determining the organization’s currentposition on OH&S;

b) resource allocation including settingbudgets, responsibilities, authority andaccountability;

c) coordinated management planning andagreed delegations; and

d) decisions followed through andperformance assessed.

Regular review of OH&S at senior managementlevel reinforces its importance to theorganization’s success in meeting itscommercial and legal obligations.A-2.2 Initial OH&S Review

Every organization will find that it has someelements of an OH&S management system inplace. What is less common is the linking ofthese elements into a coordinated overallsystem for improvement.A useful starting point is to critically comparethe basic intent of each element in thisstandard with management practices andprocedures, which are currently being used inthe organization. Many organizations haveobsolete procedures and need to compare therequirements of this standard with whatactually occurs in order to obtain a realisticassessment of the implementation task.

FIG. 1 ELEMENTS OF HEALTH AND SAFETY MANAGEMENT

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A-2.2.1 Core elements which could be initiallyfocussed on:

a) clear management responsibility forOH&S;

b) identification of all applicable legalrequirements and their compliance;

c) hazard identification and risk assessment,and what is being done about them;

d) documentation of critical procedures;e) OH&S inspections of critical procedures

and plant; andf) training.

Other elements can be progressivelyimplemented in accordance with organizationalneeds and priorities.A-2.2.2 Some common techniques for initialreview include:

a) questionnaires;b) interviews with employees;c) checklists;d) direct inspection and measurement;e) assessments (internal and external);f) review of records; andg) comparison with similar organizations.

A-2.2.3 External sources which may be able tohelp include:

a) government agencies in relation to lawsand permits;

b) local or regional libraries or databases;c) other organizations for exchange of

information;d) industry associations;e) larger customer organizations;f) suppliers of equipment; andg) professional help.

A-2.2.4 Many organizations do not have acomplete understanding of their legalresponsibilities in relation to the many OH&Sstatutes, regulations, standards, codes ofpractice and guidance documents, which covertheir area of operations.A-2.2.5 Useful sources of information include:

a) disease, incident and first aid records keptby the organization or by industryassociations, governments and the like;

b) workers compensation experience.Insurance companies are often able toprovide feedback on an organization’sclaims experience and the breakdown ofthe components of the insurance premiumand how these compare within anindustry group; and

c) other data an organization may hold onabsenteeism, sick leave, industrialdisputes and the like may provide indirectpointers to areas of poor OH&Smanagement.

A-2.3 OH&S Policy

The organization’s OH&S policy is a publicstatement signed by top management declaringits commitment and intent to manage itsOH&S responsibilities. In publishing the policythe organization is sending a clear messagethat it has a vision for OH&S managementwithin the whole organization.The policy should be relevant to theorganization’s overall vision and objectives. Itshould be dynamic and set the framework forcontinual improvement, especially in decisionmaking. It should set out a programme ofaction for the whole organization, ensuringaccountability and linking OH&S to the overallorganizational values objectives and processes.The policy is implemented through planning.This policy is intended to clearly tell employees,suppliers, customers and interested partiesthat OH&S is an integral part of all operations.Management being actively involved in thereview and continual improvement of OH&Sperformance further reinforces thiscommitment.A-2.3.1 The following questions can aid inestablishing or rewriting an organization’sOH&S policy:

a) Integration and relevance: Is the policyintegral and relevant to theorganization’s:

i) mission statement, vision, corevalues and beliefs;

ii) overall management system; andiii) activities, products and services.

b) Accountability: Does the OH&S policyaddress accountability in terms of:

i) capacity to assign/delegate, deliver,and review the policy’scommitments;

ii) inclusion of OH&S accountability inall duty statements (reflecting thedegree of legal responsibility);

iii) setting of objectives and targets tominimize incidents, injury, illnessand incidents; and

iv) allocation of adequate resources tofulfill the aims of the policy.

c) Consultation: Does the policy enableconsultation with:

i) employees;ii) line managers;

iii) subcontractors;iv) suppliers;

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A-3 PLANNINGThe initial review ( see 4.2.2 ) of theorganization’s position provides a planningframework for the implementation of theOH&S management system. While duringinitial review all the hazards and risks areidentified, in the process of planning thesignificant hazards and risks are recognized.Objectives, targets and performance indicatorsare established and plans are also made toachieve them.Planning needs to address schedules, resourcesand responsibilities for achieving theorganization’s OH&S objectives and targets.Such planning (and resulted plans) can cover anumber of areas. For example:

a) Plans to manage and control the initialimplementation of an OH&S managementsystem;

b) Specific OH&S plans required formanaging OH&S risks;

c) Contingency plans required as part of theorganization’s emergency preparedness tomeet foreseeable emergencies as well asplans to mitigate their effects (that iscritical incident recovery, first aid andclean up);

d) Plans required to meet objectives andtargets in measuring performance,undertaking audits and reviewing thesystem; and

e) Response plans for dealing with correctiveaction identified as part of the incidentinvestigation process or following theidentification of non-conformances.

The level and complexity of planning shouldcommensurate with the size, complexity andnature of the organization and the risks it hasto manage. In smaller organizations many ofthese types of plans may be combined.A-3.1 Accountability and Responsibility

A-3.1.1 Improving health and safety is mosteffective when people from all levels of theorganization are encouraged to participate inthe development and implementation of the

programme. People are more likely to embracechange if it is not imposed upon them.At all levels of the organizations, people shouldbe:

a) Responsible for the health and safety ofthose they manage, themselves and otherswith whom they work;

b) Aware of the responsibility for the healthand safety of people who may be affectedby the activities they control, for examplesubcontractors and public; and

c) Aware of the influence that their action orinaction can have on the effectiveness ofthe OH&S management systems.

A-3.1.2 Senior management shoulddemonstrate, their commitment being activelyinvolved in the continual improvement ofOH&S performance.While ultimate responsibility for OH&S restswith the employer, the following also need to beensured:

a) A person at the senior management levelshould be assigned particularresponsibility for ensuring that the OH&Smanagement system is implemented andperforms to expectations, in all locationswithin the organizations;

b) To recognize that knowledge andexperience throughout the workforce is avaluable resource and it should act toencourage and delegate responsibilitiesand authorities for the development andimplementation of the OH&Smanagement system for all key functionalareas; and

c) A defined system of implementing andcommunicating any change ofresponsibility and authority.

A-3.2 Identification of Hazard and Assessment and Control of Risk

Hazard identification and risk assessment andcontrol should be taken into account whenplans are formulated to meet an organization’sOH&S policy. All identified hazards areassessed to determine the level of risk, which isa measurement of the probability and possibleconsequence of injury and illness resulting fromexposure to hazard. The final step involves riskcontrol where risk is treated to reduce its level.A-3.2.1 Hazard IdentificationTools used to assist in the identification ofhazards include:

a) Consultation — People who may haveexperience in aspects of the job that theylike least and may lead to hazardousactivities.

v) clients; andvi) independent experts.

d) Prevention: Has the policy adopted apreventive approach ( see 4.5.3 ) ?

e) Compliance: Does the policy include astatement of commitment to complianceor due diligence to be taken with :

i) relevant OH&S legislation;ii) associated regulations; and

iii) other criteria that may not alwayshave legal compliance but haveevidentiary status.

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b) Inspection— A physical inspection of thework environment.

c) Illness and injury records— Records ofpast incidents involving injury and illnesshighlight sources of potential harm.

d) Information/specialist advice— Theidentification of some hazards will requirespecialist advice, research andinformation.

e) Task analysis— By breaking a task downinto its individual elements hazardsassociated with the task can be identified.

f) Formal hazard analysis systems forexample HAZOP/HAZAN.

NOTE—IS 3786 prescribes methods of computation offrequency and severity rates for industrial injuries andclassification of industrial accidents. This IndianStandard may also be useful in the process ofidentification of hazard.

A-3.2.2 Risk Assessment and ControlIn order to carry out risk assessment, the levelof risk is determined first.Establishing the level of a risk requires clearspecification of the actual components of therisk being considered, for example the specificscenario of sequence of events including thenature of consequences to be considered, theexposure to the chosen hazard, finally theprobability or likelihood of that scenario takingplace. (In doing so the existing controls aredetermined when exposure is assessed).Any scenario involving particular hazard can

lead to different consequences depending on thesequence of exposure events. Hence any risklevel needs to be assessed separately for eachchosen sequence of events.To combine the following three components ofany risk in assessing its level :

a) Choose a specific consequence or outcomeseverity for one possible sequence ofevents involving the hazard underconsideration. Other possible sequenceswith different possible consequences needto be assessed separately. The number ofpersons harmed and the nature of theirinjuries/illness affects the estimation ofthe consequence or outcome severity;

b) Determine the exposure for the chosensequence, that is how often (frequency);how long duration of the affected personsexposed to the particular hazard; and

c) Estimate the probability, likelihood orchance that the chosen scenario will leadto the specific consequences beingconsidered. Every scenario that isconsidered for any particular hazard hasits own specific risk level. The integrityand effectiveness of any existing riskcontrol measures will need to be includedin estimating probability.

Elimination/substitution is a permanentsolution and should be attempted in the firstinstance. The hazard is either eliminatedaltogether or substituted by one that presents alower risk. This could involve the elimination ofa hazardous process or substance or thesubstitution of a toxic substance with a lesstoxic substance.

NOTE—For the purpose of identification of hazard andassessment and control of risks a guideline has beengiven in Annex C of this standard.

A-3.3 Legal and Other RequirementsIn maintaining regulatory compliance, anorganization should identify and understandregulatory requirements applicable to itsactivities, products or services. Regulationscover several aspects such as:

a) those specific to the activity (for exampleconfined spaces regulations);

b) those specific to the organization’sproducts or services;

c) those specific to the organization’sindustry;

d) general OH&S laws; ande) authorizations, licenses and permits.

FIG. 2 HAZARD IDENTIFICATION ASSESSMENT ANDCONTROL OF RISK

Risk Level

= Consequence The outcome severity (injury/illness) of one scenario

× Exposure × Frequency and duration of exposure of persons to the chosen hazard

Probability Likelihood or chance that the chosen sequence and consequence will occur.

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Several sources can be used to identify OH&Sregulations and ongoing changes, including:

To facilitate keeping track of legalrequirements, an organization can establishand maintain a list of all laws and regulationspertaining to its activities, products or servicesand the same should be updated on a regularbasis.A-3.4 Objectives, Targets and Performance Indicators

Objectives state what is intended to beaccomplished and targets define a performancelevel timeframe.Objectives should be aimed at broad levelimprovements in the OH&S performance andthe targets should be qualified whereverpracticable in the following terms:

a) Attributes— things which are major(handling injuries and adequatelyguarded machine);

b) Scale— against which the attributes canbe measured;

c) Goal— describing what is to be achieved;and

d) Time scale— in which it is to be achieved.Performance indicators are the means by whichit is measured whether expected outcomes meetobjectives. There are measures such as rates,ratios or indices which reflect how well theOH&S management system or its elements areperforming.Combining targets and performance indicatorsproduces objectives that are specific,measurable, achievable, realistic andtime-bound.

When considering their technological options,an organization may consider the use of thebest available technology where economicallyviable, cost effective and judged appropriate.A-3.5 Initial and On-going ProgrammeThe creation and use of one or moreprogrammes is a key element to the successfulimplementation of an OH&S managementsystem. The programme should describe howthe organization’s objectives and targets will beachieved, including time, skill and personnelresponsible for implementing the organization’sOH&S policy. This programme may besubdivided to address specific elements of theorganization’s operations. The programmeshould include an OH&S review for newactivities.The programme may include, whereappropriate and practical, consideration ofplanning, design, production, marketing anddisposal stages. This may be undertaken forboth current and new activities, product orservices. For products this may address design,materials, production processes, use andultimate disposal. For new installation orsignificant modification of processes this mayaddress planning, design, construction,commissioning operation and at theappropriate time as determined by theorganization, de-commissioning.

A-4 IMPLEMENTATION AND OPERATIONA-4.1 Ensuring CapabilityA-4.1.1 Resources— Human, Physical andFinancialIt should be recognised that effectivemanagement of OH&S requires the supportand commitment of the employees, and that theknowledge and experience of the work force canbe a valuable resource in the development andoperation of the OH&S management system.A-4.1.1.1 In organizing the implementationand effective management of its OH&S policyan organization should:

a) allocate adequate resourcescommensurate with its size and nature;

b) identify the competencies required at alllevels within the organization andorganize any necessary training;

c) make arrangements for the effectivecommunication of OH&S information;

i) all levels of government;ii) industry associations or groups;

iii) commercial databases; andiv) professional services.

for example objective Implement an OH&Smanagement system

target Full implementationwithin six months

indicator percentage ofdepartmental meetingaudit criteria

(Objective: All business units tofully meet system audit criteriawithin 6 months.)

orobjective Reduce injuries

associated withmanual handling

target 20 percent reductionfrom previous year

indicator percentage of manualhandling injuries peryear

(Objective : Reduce the percentageof manual handling injuries by 20percent from the previous year inthe next 12 months.)

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d) make effective arrangements for theprovisions of specialist advice andservices;

e) make effective arrangements forhandicapped, aged, visitors and Forcightemployees and/or special category ofemployees; and

f) make effective arrangements for employeeconcentration and active involvement.

A-4.1.1.2 The resource base, structure, and sizeof organizations may impose constraints onimplementation. In order to overcome theseconstraints external health and safetyresources may need to be utilized. Suchresources might include:

a) shared technology and experience fromlarger client organization;

b) cooperative approaches to developindustry specific guidance material andstrategies;

c) support from industry and employerassociations or principal subcontractorsand owners;

d) assistance from government health andsafety organizations;

e) the use of consultants and the collectiveengagement of consultants;

f) provision of advice and training fromsuppliers;

g) assistance provided by workers’compensation insurance agents;

h) attendance at health and safety seminars;and

j) manually beneficial support fromuniversities and other research centers.

Organizations should focus on utilizingcooperative strategies to implement andmaintain an effective OH&S managementsystem.A-4.1.2 Training, Awareness and CompetenceThe effective implementation and maintenanceof an OH&S management system is dependenton the competencies and training of anorganization’s people.A-4.1.2.1 The top management of anorganization should demonstrate itscommitment to OH&S through consultationwith and where appropriate, its employees andother relevant individual(s) or groups in thedevelopment, implementation, andmaintenance of its OH&S managementsystems. The objectives and targets should beunderstood and supported by the organization’semployees and they should be encouraged toaccept the importance of their achievementsboth in terms of the organization’s OH&Sperformance and the benefits, to theenvironment in which they work. Employeesshould be made aware of exposure to possible

harm or injury in their work environmentincluding physical, chemical, ergonomic,radiation, biological and psychological hazards.They should have an understanding of thesehazards as they relate to their workenvironment and be able to recognize and takeaction to prevent work practices or activitieslikely to leave to incidents.A-4.1.2.2 OH&S competency standards shouldbe developed by:

a) using existing industry competencystandard;

b) examining job or position descriptions;c) analysing work tasks;d) inspection and audits of hazards

identification and risk analysis; ande) reviewing incident reports.

The organization should develop trainingprogramme after the assessment of currentcapability against the required competencyprofile. An organization should also establishand maintain documented procedures forevaluation of training provided to its workersand its effectiveness.A-4.1.2.3 Generally a health and safetytraining programme should cover but are notlimited to the following aspects:

a) Health and safety policy of theorganization;

b) Way in which health and safety isorganized in the workplace;

c) Health and safety procedures in theorganization;

d) Specific hazards and risk controls;e) OH&S legislation; andf) Emergency procedures.

A-4.1.2.4 A training programme may need toaddress a number of target groups including:

a) senior management;b) line managers/supervisors;c) employees;d) those with specific responsibilities (first

aid, fire, elected health and safetyrepresentatives);

e) subcontractors;f) operators who require certificates under

legislation; andg) site visitors.

A-4.1.2.5 Training records should normallyinclude:

a) information about those who have beentrained;

b) what the training course covered;c) when the training took place;d) who provided the training; ande) feed back from trainees.

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A-4.1.2.6 OH&S training is typically providedat certain key times in an operational cycleincluding:

a) at induction for new employees;b) when employees are transferred to new

jobs;c) on movement into managerial or

supervisory positions;d) on engagement of subcontractors;e) when modification in the system is carried

out; andf) after a time gap as a refresh.

A-4.2 Support Action

A-4.2.1 CommunicationOrganizations should implement a procedurefor receiving documenting and responding torelevant information and requests frominterested parties. The procedure may includea dialogue with interested parties andconsideration of their relevant concern. In somecircumstances, response to interested parties’concerns may include relevant informationabout the hazards and risks associated with theorganization’s operations. These proceduresshould also address necessary communicationwith public authorities regarding emergencyplanning and other relevant issues.Organizations should also have a system tocommunicate relevant OH&S informationincluding objectives and targets and anychange in delegation of responsibility to its ownemployees.A-4.2.1.1 Commonly used methods of internalcommunication include:

a) bulletins;b) news letters;c) notice boards;d) signage;e) videos;f) minutes/action notes of the meetings;g) team briefings; andh) hard copy or electronic mail.

A-4.2.1.2 Commonly used methods of externalcommunication includes:

a) annual reports;b) publications;c) inserts in industry publications;d) paid advertising;e) telephone inquiry services;f) submissions to government; andg) websites.

A-4.2.2 ReportingTraditionally reporting has focused on lost-timeinjuries and not the management systemestablished to control risks.

Effective reporting should cover the positivesteps the organization is taking to identifyhazards and control risks and can includereports:

a) of levels of conformance with procedures;b) on performance against targets;c) on improvements made;d) on underlying reasons for incident

occurrences;e) on results of safety inspections and audits;f) on health monitoring; andg) of work places monitoring.

A-4.2.3 DocumentationDocumentation is an important element inenabling an organization to implement asuccessful OH&S management system. It isalso important in assembling and retainingOH&S knowledge, but it is important thatdocumentation is kept to the minimumrequired for effectiveness and efficiency.A-4.2.3.1 Organizations should ensure thatsufficient documentation is available to enableOH&S plans to be fully implemented and isproportional to their needs.A-4.2.3.2 Operational processes and proceduresshould be defined and appropriatelydocumented and updated as necessary. Theorganization should clearly define the varioustypes of documents, which establish and specifyeffective operational procedures and control.A-4.2.3.3 The existence of OH&S managementsystems documentation supports employeeawareness of what is required to achieve theorganization’s OH&S objectives and enablesthe evaluation of the system and OH&Sperformance.A-4.2.3.4 The degree and quality of thedocumentation will vary depending on the sizeand complexity of the organization. Whereelements of the OH&S management systemsare integrated with an organization’s overallmanagement system the OH&S documentationshould be integrated into existingdocumentation. The organizations shouldconsider organizing and maintaining asummary of the documentation to:

a) collate the OH&S policy, objectives andtargets;

b) describe the means of achieving OH&Sobjectives and targets;

c) document the key roles, responsibilitiesand procedures;

d) provide direction to relateddocumentation and describe otherelements of the organization’smanagement system, where appropriate;and

e) demonstrate that the OH&S management

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system elements appropriate for theorganization are implemented.

A-4.2.4 Document ControlOH&S documents communicate standards andregulate action. They should be current,comprehensive and issued by an authoritativesource.The organization should ensure that:

a) documents can be identified withappropriate organization, division,function, activity or contact person;

b) documents are periodically reviewed,revised as necessary and approved byauthorized personnel prior to issue;

c) the current version of relevant documentsare available at all locations whereoperations essential to the effectivefunctioning of the system are performed;and

d) obsolete documents are promptly removedfrom all points of issue.

Documents can be in any medium as long asthey are accessible, useful and easilyunderstood.A-4.2.5 Records and Information ManagementRecords are a means by which the organizationcan demonstrate compliance with the ongoingOH&S management systems and should cover :

a) external (for example legal) and internal(that is OH&S performance)requirements;

b) work permits;c) OH&S risks and hazards;d) OH&S training activity;e) inspection, calibration and maintenance

activity;f) monitoring data;g) details incidents (of Reporting above),

complaints and follow-up action;h) product identification including

composition;j) supplier and subcontractor information;

andk) OH&S audits and reviews.

The effective management of these records isessential to the successful implementation ofthe OH&S management system. The keyfeatures of good OH&S informationmanagement include; means of identification,collection, indexing, filing, storage,maintenance, retrieval, retention anddisposition of pertinent OH&S managementsystem documentation and records. OH&Srecords should be legible, identifiable andtraceable to the activity, product or serviceinvolved. OH&S records should be stored andmaintained in such a way that they are readily

retrievable and protected against damage,deterioration or loss. Their retention timesshould be established and recorded.

A-4.3 Operational ControlIt is important that OH&S, in its broadestsense, is fully integrated across theorganization and into all its activities,whatever the size or nature of its work. Inorganizing for the implementation of the policyand the effective management of OH&S, theorganization should make arrangements toensure that activities are carried out safely andin accordance with arrangements and should:

a) define the allocation of responsibilitiesand accountabilities in the managementstructure;

b) ensure people have the necessaryauthority to carry out theirresponsibilities; and

c) allocate adequate resourcescommensurate with its size and nature.

Some typical activities, which are coveredunder operational control are:

a) production;b) maintenance;c) storage;d) handling;e) packaging; andf) transportation.

However this list is not an exhaustive list andmay be suitably modified depending upon theactivities of the organization.

A-4.3.1 Design and EngineeringEngineering controls involve some structuralchange to the work environment or workprocess to place a barrier to, or interrupt thetransmission path between the worker and thehazard. This may include machine guards,isolation or enclosure for hazards, the use ofextraction ventilation and manual handlingdevices.Prospective hazard involving processes orservices may be identified at the design stage inconsultation with various professionals, forexample engineers, architects, doctors or healthand safety professionals. The risk associatedwith these hazards may be controlled by:

a) Appropriate design, siting and selection of premises including :

i) proposed use, foreseeable uses andfuture maintenance;

ii) construction in a mannerincorporating best health and safetypractices; and

iii) checking compliance to contractspecifications.

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A-4.3.2 PurchasingThe organization needs to ensure that a policyhas been developed for the employment ofsubcontractors who undertake work on theemployer’s premises or assets, or who carry outwork under the supervision and control of theemployer.The organization also needs to satisfy itselfthat its policy, plans and procedures forsubcontractors have been communicated to linemanagers, supervisors and other employees toensure they are aware of their role andresponsibilities in the management,supervision and control of subcontractors.A-4.3.2.1 The organizations should maintain aregister of preferred subcontractors that haveestablished and maintained effective OH&Ssystems and practices.A-4.3.2.2 The organizations should selectsubcontractors on their ability to meet theorganization’s OH&S requirements. Asubcontractor’s ability to meet theserequirements can be assessed in accordancewith:

a) their OH&S policy;b) project workplans and work method

statements;c) competency;d) registration and licenses (where

applicable);e) agreement to comply with the employers

OH&S policy for subcontractors;f) verification (by inspection and tests) that

work areas, work methods, materials,plant and equipment comply with healthand safety legislation, regulations,standards and codes; and

g) identification and allocation of human,technical resources adequate to meetthose requirements.

A-4.3.2.3 Organization should be capable ofdemonstrating not only their own commitmentto OH&S and how they intend to ensurecompliance with the organization’srequirements, but also:

a) that their subcontractors and suppliersare selected on the basis of their ability tocomply with OH&S requirements;

b) how they interface with theirsubcontractors/suppliers of materials,

equipment and services; andc) that their contract binds their

subcontractors to ensuring that OH&Srequirements will be met, and includesverification provisions for inspections,testing, auditing, reviewing anddocumentation.

A-4.3.2.4 The organization needs to ensure thatpersonnel responsible for reviewing OH&Saspects of contracts for goods and services havesuitable OH&S skills and experience. Thereview system should include proceduresverifying that purchased goods and servicesconform to specified requirements. Theorganization may also use the identification,assessment and control approach and mayinvolve those directly affected employees,OH&S clients, subcontractors whileintroducing goods and services into theworkplace.Purchasing documentation should:

a) list preferred suppliers;b) show the decision making process,

including risk assessment through toreceipt of purchased goods/services; and

c) be retained as part of the organization’srecords.

A-4.3.3 Contingency Preparedness andResponseEmergency plans should include:

a) installation or availability of suitablewarning and alarm systems tested atregular intervals;

b) emergency organization andresponsibilities;

c) a list of key personnel;d) details of emergency services (for example

fire brigade, medical services, spillclean-up services);

e) an internal and external communicationplan;

f) training plans and testing foreffectiveness;

g) emergency rescue equipment availableand maintained in good working order;and

h) conducting emergency and fire drillperiodically for testing the effectiveness ofthe plan.

A-4.3.4 Critical Incident Recovery PlanThe CIRP should cover:

a) responsibilities, including coordinationand initiation;

b) defusing where those involved in thetrauma can discuss the event immediatelyafterwards in a confidential atmosphere;

c) de-briefing, designed to assist employeesuse their own abilities to overcomeemotional effects of serious incidents;

b) Appropriate design and selection of plantincluding :

i) the compilation of technicalstandards as well as human factorsrelating to installation, use,maintenance, decommissioning anddismantling and disposal (includingon-going waste disposal); and

ii) health and safety data collected whenplant is being selected for purchase.

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d) counseling, where further therapy may berequired on an ongoing basis. Assistancemay also have to be provided to thefamilies of directly or indirectly affectedvictims; and

e) legal and insurance requirement forexample interference without lossadjuster approval can invalidate theinsurance policy.

A-5 MEASUREMENT AND EVALUATION

A-5.1 Inspection and Testing

An organization should measure, monitor andevaluate its OH&S performance, and takepreventive and corrective action.Where appropriate, monitoring schemes forsignificant hazards should be in place. Broadly,such hazards may be classified as being eitherof the following:

a) Physical, for example noise, radiation,extremes of temperature; or

b) Chemical, for example toxic, flammable orexplosive.

A-5.1.1 Monitoring may take the followingforms:

a) Environmental, for example flammablegases.

b) Personal, for example noise dosimetry,personal respirable dust sampling.

c) Biological, for example heavy metals inblood or urine.

d) Measurement of health outcomes, forexample audiometry and spirometry.

Procedures should be in place for action whenresults do not conform with exposure standardsor limits or show abnormal trends.Due care should be taken and procedure shouldbe in place for calibration of inspection andtesting equipment.A-5.2 Internal Audit

The audit programme and procedure shouldcover:

a) activities and areas to be considered inaudits;

b) frequency of audits;c) responsibilities associated with managing

and conducting audits;d) communication of audit results;e) auditor competence; andf) how audits will be conducted.

Audits may be performed by personnel fromwithin the organization and/or external personsselected by the organization. In either case, thepersons conducting the audit should be in aposition to do so impartially and objectively.

A-5.3 Non Conformance, Corrective and Preventive Action

In establishing and maintaining procedures forinvestigating and correcting non-conformance,the organization should include these basicelements:

a) Identifying the cause of thenonconformance;

b) Identifying and implementing thenecessary corrective action;

c) Implementing or modifying controlsnecessary to avoid repetition of thenonconformance; and

d) Recording any changes in writtenprocedures resulting from the correctiveaction.

Depending on the situation, this may beaccomplished rapidly and with a minimum offormal planning or it may be a more complexand long-term activity. The associateddocumentation should be appropriate to thelevel of corrective action.

A-6 MANAGEMENT REVIEWThe organization shall review at appropriateintervals the OH&S system so as to ensurecontinuing suitability, adequacy and to ensurecontinuing suitability, adequacy andeffectiveness. The results of such review shouldbe documented as well as published if theorganization has a commitment to do so.Management reviews shall generally includebut not limited to :

a) assessment of the internal audit results;b) review of corrective actions;c) review of suggested changes;d) monitoring of the system; ande) review of policy, objectives and targets.

Management review is a cornerstone of themanagement system providing an opportunityfor senior management to regularly review theoperation of the system and its continuingsuitability in the face of change and to makeadjustments to build upon and improve itseffectiveness.Typically the review would be conducted 3, 6 or12 monthly.Some organizations prefer to incorporate thereview into a regular senior managementmeeting to build on the principle that OH&Smanagement should be integrated into linemanagement activities.Some organizations, recognizing theimportance of employee involvement in theprocess, choose to use the mechanism of thecentral workplace committee where seniormanagement and employee representativemembers conduct the periodic review.

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Yet again others prefer to hold separatemanagement review meetings, with suitableparticipants, where no other business willdistract from the review process.It is important to ensure that feedback on

OH&S performance is gathered from employeesand other relevant stakeholders. Equallyemployees and other stakeholders should bekept informed of changes and improvementsflowing from the review process.

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ANNEX B( Foreword )

COMPARISON OF IS 18001 : 2000 WITH ISO 9001 : 2000 AND ISO 14001 : 1996

ISO 14001 Elements IS 18001 Elements ISO 9001 Elements

4.1 General Requirements 4.1 General Requirements 4.1 General Requirements

4.2 Commitment and Policy

4.2.1 Leadership and Commitment

5 Management Responsibility5.1 Management Commitment8.5.1 Continual Improvement

4.2.2 Initial OH&S Review

4.2 Environmental Policy 4.2.3 OH&S Policy 5.3 Quality Policy

4.3 Planning 4.3 Planning 5.4 Planning7.1 Planning of Product Realization

4.4.1 Structure and Responsibility

4.3.1 Accountability and Responsibility

5.5.1 Responsibility and Authority5.5.2 Management Representative

4.3.1 Environmental Aspects 4.3.2 Identification of Hazards and Assessment and Control of Risks

4.3.2.1 Hazard identification

4.3.2.2 Risk assessment and control

4.3.2 Legal and Other Requirements

4.3.3 Legal and Other Requirements

5.2 Customer Focus7.2.1 Determination of Requirements Related to the Product

4.3.3 Objectives and Targets 4.3.4 Objectives, Targets and Performance Indicators

5.4.1 Quality Objectives

4.3.4 Environmental Management Programme

4.3.5 Initial and On-going Programme

5.4.2 Quality Management System Planning

4.4 Implementation and Operation

4.4 Implementation and Operation

4.4.1 Ensuring Capability

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ISO 14001 Elements IS 18001 Elements ISO 9001 Elements

4.4.1 Structure and Responsibility

4.4.1.1 Resources — Human, physical and financial

6 Resource Management6.1 Provision of Resources6.2 Human Resources6.3 Infrastructure6.4 Work Environment

4.4.2 Training, Awareness and Competence

4.4.1.2 Training, awareness and competence

6.2.2 Competence, Awareness and Training

4.4.2 Support Action

4.4.3 Communication 4.4.2.1 Communication 5.5.3 Internal Communication7.2.3 Customer Communication

4.2.2.2 Reporting

4.4.4 Environmental Management System Documentation

4.4.2.3 Documentation 4.2 Documentation Requirement4.2.1 General4.2.2 Quality Manual

4.4.5 Document Control 4.4.2.4 Document control 4.2.3 Control of Documentation

4.5.3 Records 4.4.2.5 Records and information management

4.2.4 Control of Records

4.4.6 Operational Control 4.4.3 Operational Control 7 Product Realization7.5 Product and Service Provision

4.4.3.1 Design and engineering

7.3 Design and Development

4.4.3.2 Purchasing 7.4 Purchasing

4.4.7 Emergency Preparedness and Response

4.4.3.3 Contingency preparedness and response

8.3 Control of Non-conforming Product

4.4.3.4 Critical incident recovery plan

4.5 Checking and Corrective Action

4.5 Measurement and Evaluation

8 MEASUREMENT, ANALYSIS AND IMPROVEMENT

4.5.1 Monitoring and Measurement

4.5.1 Inspection and Testing 7.6 Control of Monitoring and Measuring Devices8.2 Monitoring and Measurement8.2.1 Customer Satisfaction8.2.3 Monitoring and Measurement of Process8.2.4 Monitoring and Measurement of Product8.4 Analysis of Data

4.5.4 Environmental Management System Audit

4.5.2 Internal Audit 8.2.2 Internal Audit

4.5.2 Non-conformance and Corrective and Preventive Action

4.5.3 Non-conformance, Corrective and Preventive Actions

8.3 Control of Non-conforming Product8.5.2 Corrective Action8.5.3 Preventive Action

4.6 Management Review 4.6 Management Review 5.6 Management Review

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ANNEX C( Clause A-3.2.1 )

GUIDELINES FOR HAZARD IDENTIFICATION AND ASSESSMENTAND CONTROL OF RISK

C-1 APPLICATIONAll employers and self-employed people have alegal duty to assess the risks from their workactivities. The risk assessment proceduredescribed in this standard is intended to beused:

a) for situations where hazards appear topose a significant threat and it isuncertain whether existing or plannedcontrols are adequate in principle or inpractice; and

b) by organizations seeking continuousimprovement in their OH&S managementsystems, in addition to minimum legalrequirements.

The full procedure described in this standard isnot necessary or cost-effective when it is quiteclear from preliminary study that risks aretrivial, or a previous assessment has shownthat, existing or planned controls:

a) conform to the legal requirements as wellas established standards;

b) are appropriate for the tasks; andc) are, or will be, understood and used by

everyone concerned.Here no further action is required other than toensure, that controls continue to be used.Small, low risk organizations in particularshould be highly selective in the risks that theychoose to assess in detail.Effort developed for assessment of trivial risksor for evaluation of standard controls will leadto collection of more information that canpossibly be used, and to situations whereimportant facts are lost in a mass of spuriousdocumentation.

C-2 OVERVIEWC-2.1 Basic StepsThe following steps are followed inidentification of hazard and assessment andcontrol of risk:

a) identify hazards;b) estimate the risk (the likelihood and

severity of harm) from each hazardousevent; and

c) decide if the risk is tolerable (for thispurpose a tolerable risk criteria should beevolved which should take intoconsideration the legal requirements andother norms in that activity).

C-2.2 Necessity

Employers are legally obliged to carry out

OH&S risk assessments. Their main purpose isto determine whether planned or existingcontrols are adequate. The intention is thatrisks should be controlled before harm couldoccur.For many years OH&S risk assessments havebeen carried out usually on an informal basis.It is now recognized that risk assessment are akey foundation for pro-active OH&Smanagement and that systematic proceduresare necessary to ensure their success.A risk assessment based on a participativeapproach provides an opportunity formanagement and the work force to agree thatan organization’s OH&S procedures:

a) are based on shared perceptions ofhazards and risks;

b) are necessary and workable; andc) will succeed in preventing accidents.

C-2.3 Pitfalls and SolutionsPoorly planned assessments, carried out in thebrief that they are bureaucratic impositions,will waste time and change nothing. Moreover,organizations may get bogged down in detail,where completion of assessment proformabecomes an end in itself. Risk assessmentshould provide an inventory for action and formthe basis for implementing control measures.Potential risk assessors may have becomecomplacent. People who are too close tosituations may no longer perceive andrecognize hazards, or perhaps judge risks astrivial because to their knowledge no one hasbeen harmed. The aim should be that everyonetackles risk assessments with a fresh pair ofeyes and a questioning approach.Risk assessment should be carried out bycompetent people with practical knowledge ofthe work activities, preferably with colleaguesfrom another part of the organization, who mayhave greater objectivity. A worthwhileapproach, whenever possible, is to train smallteams to carry out assessments.Ideally, everyone should contribute toassessments that relate to them. For example,they should tell assessors what they thinkabout the need for and feasibility of particularrisk controls. In larger organizations acompetent person, usually from within theorganization, should coordinate and guide theassessors’ work. Specialist advice may need tobe sought.

NOTE—Pitfall of simple risk concept is that it can notdistinguish high probability low consequence eventsfrom low probability high consequence events.

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C-3 PRINCIPLEC-3.1 Figure 3 shows the principle of riskassessment. The steps are outlined below anddescribed fully in clauses C-4, C-5 and C-6.

C-3.2 The following criteria are necessary fororganizations to carry out effective riskassessment:

a) Classify work activities: prepare a list ofwork activities covering plant, rawmaterials/chemicals handled, premises,people and procedures, and gatherinformation about them;

b) Identify hazards: identify all hazardsrelating to each work activity. Considerwho might be harmed and how; whatmight be damaged and how;

c) Determine risk: make a subjectiveestimate of risk associated with eachhazard assuming that planned or existingcontrols are in place. Assessors shouldalso consider the effectiveness of thecontrols and the consequences of theirfailure;

d) Decide if risk is tolerable: judge whetherplanned or existing OH&S precautions (ifany) are sufficient to keep the hazardunder control and meet legalrequirements;

e) Prepare risk control action plan ( ifnecessary ): prepare a plan to deal withany issues found by the assessment torequire attention. Organizations shouldensure that new and existing controlsremain in place and are effective; and

f) Review adequacy of action plan: re-assessrisks on the basis of the revised controlsand check that risks will be tolerable.

NOTE — The word ‘tolerable’ here means that risk hasbeen reduced to the lowest level that is reasonablypracticable.

C-3.3 Risk Assessment Requirements

If risk assessment is to be useful in practiceorganizations should:

a) appoint a senior member of theorganization to promote and manage theactivity;

b) consult with everyone concerned; discusswhat is planned to be done and obtaintheir comments and commitment;

c) determine risk assessment training needsfor assessment personnel/teams andimplement a suitable trainingprogramme;

d) review adequacy of assessment; determinewhether the assessment is suitable andsufficient; that is to say, adequatelydetailed and rigorous; and

e) document administrative details andsignificant findings of the assessment.

It is generally not necessary to make precisenumerical calculation of risk. Complex methodsfor quantified risk assessment are normallyrequired only where the consequences of failurecould be catastrophic. Risk assessment in majorhazard industries is related to the approachrequired in other workplaces, but in mostorganizations much simpler subjective methodsare appropriate.The assessment of risks to health associatedwith exposure to toxic substance and harmfulenergies may require, for example,measurements of airborne dust concentrationsor noise exposure.

C-4 PROCEDURE

C-4.1 General

The subclause describes the factor that anorganization should consider when planningthe risk assessment. Attention is drawn to theneed to refer to relevant regulations andguidance to ensure that specific legalrequirements are met.The risk assessment process described herecovers all OH&S hazards. It is better tointegrate assessment for all hazards, and notcarry out separate assessment for healthhazards, manual handling machinery hazardsand so on. If assessment is carried outseparately, using different methods, rankingrisk control priorities is more difficult separateassessment may also lead to needlessduplication.The following aspects of risk assessment needto be considered carefully at the outset:

a) Design of a simple risk assessmentproforma ( see C-4.2 );

FIG. 3 THE PROCESS OF RISK ASSESSMENT

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b) Criteria for classifying work activities andinformation needed about each workactivity ( see C-4.3 and C-4.4 );

c) Method of identification andcategorization hazards ( see C-5.1 );

d) Procedures for making an informeddetermination of risk ( see C-5.1 );

e) Words to describe estimated risk levels( see Tables 1 and 2 );

f) Criteria for deciding whether risks aretolerable: whether planned or existingcontrol measures are adequate ( seeC-6.1 );

g) Preferred methods for risk control ( seeC-6.2 );

h) Time scales for implementing remedialaction (where necessary) ( see Table 2 );and

j) Criteria for reviewing adequacy of actionplan ( see C-6.3 ).

C-4.2 Risk Assessment Proforma

Organizations should prepare a simpleproforma that can be used to record thefindings of an assessment, typically covering:

a) work activity;b) hazard(s);c) controls in place;d) personnel at risk;e) likelihood of harm;f) severity of harm;g) risk level;h) action to be taken following the

assessment; andj) administrative details, for example name

of assessor, date, etc.Organizations should develop their overall riskassessment procedure and may need to carryout trials and continually review the system.

C-4.3 Classification of Work Activities

A necessary preliminary to risk assessment isto prepare a list of work activities, to groupthem in a rational and manageable way, and togather necessary information about them. It isvital to include, for example, infrequentmaintenance tasks, as well as day-to-dayproduction work. Possible ways of classifyingwork activities include:

a) geographical areas within/outside theorganization’s premises;

b) stages in the production process, or in theprovision of a service;

c) planned and reactive work; andd) defined tasks (for example driving).

C-4.4 Work Activity Information RequirementsInformation required for each work activityshould but are not limited to include items fromthe following:

a) Tasks being carried out, their durationand frequency;

b) Location(s) where the work is carried out;c) Who normally/occasionally carries out the

tasks;d) Who else may be affected by the work (for

example visitors, subcontractors, thepublic);

e) Training, that personnel have receivedabout the tasks;

f) Written systems of work and/orpermit-to-work procedures prepared forthe tasks;

g) Plant and machinery that may be used;h) Powered hand tools that may be used.j) Manufacturers’ or suppliers’ instructions

for operation and maintenance of plantmachinery and powered hand tools;

k) Size, shape, surface character and weightof materials that might be handled;

m) Distance and heights of the place wherematerials have to be moved by hand;

n) Services used (for example compressedair);

p) Substances used or encountered duringthe work;

q) Physical form of substances used orencountered (fume, gas, vapour, liquid,dust/powder, solid);

r) Content and recommendations of safetydata sheets relating to substances used orencountered;

s) Relevant acts, regulations and standardsrelating to the work being done, the plantand machinery used, and the materialsused or encountered;

t) Control measures believed to be in place;u) Available monitoring data gained as a

result of information from within andoutside the organization, incident,accident and ill-health experienceassociated with the work being done,equipment and substances used; and

v) Finding of any existing assessmentsrelating to the work activity.

C-5 ANALYSING RISKC-5.1 Identification of HazardsC-5.1.1 General

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Three questions enable hazard identification:a) Is there a source of harm ?b) Who (or what) could be harmed ? andc) How could harm occur ?

Hazards that clearly possess negligiblepotential for harm should not be documented orgiven further consideration.

C-5.1.2 Broad Categories of Hazard

To help with the process of identifying hazardsit is useful to categorize hazards in differentways for example by topic, for example:

a) mechanical;b) electrical;c) radiation;d) substances;e) fire and explosion;f) toxic release; andg) natural calamities.

C-5.1.3 Hazard Prompt-List

A complementary approach is to develop aprompt-list of questions such as:

During work activities could the followinghazards exist ?

a) Slips/falls on the level;b) Falls of persons from heights;c) Falls of tools, materials, etc, from heights;d) Inadequate headroom;e) Hazards associated with manual

lifting/handling of tools, material, etc;f) Hazards from plant and machinery

associated with assembly, commissioning,operation, maintenance, modification,repair and dismantling;

g) Vehicle hazards, covering both sitetransport, and travel by road;

h) Fire and explosion;j) violence to staff;k) Substances that may be inhaled;m) Substances or agents that may damage

the eye;n) Substances that may cause harm by

coming into contact with, or beingabsorbed through, the skin;

p) Substances that may cause harm by beingingested (for example entering the bodyvia the mouth);

q) Harmful energies (for example, electricity,radiation, noise, vibration);

r) Work-related upper limb disordersresulting from frequently repeated tasks;

s) Inadequate thermal environment, forexample too hot;

t) Lighting levels;u) Slippery, uneven ground/surfaces;v) Inadequate guard rails or hand rails on

stairs;w) Subcontractors’ activities.

The above list is not exhaustive. Organizationsshould develop their own hazard ‘prompt-list’taking into account the nature of their workactivities and locations where work is carriedout.

C-5.2 Determination of Risk

C-5.2.1 General

The risk from the hazard should be determinedby estimating the potential severity to harmand the likelihood that harms will occur.

C-5.2.2 Severity of Harm

Information obtained about work activities ( seeC-4.4 ) is a vital input to risk assessment.When seeking to establish potential severity ofharm, the following should also be considered:

a) Part(s) of the body likely to be affected;b) Nature of the harm, ranging from slightly

to extremely harmful:i) Slightly harmful, for example:

— superficial injuries; minor cuts andbruises; eye irritation from dust;

— nuisance and irritation (for exampleheadaches); ill-health leading totemporary discomfort;

ii) Harmful, for example:— lacerations; burns;— contussion; serious sprains;— minor fractures;— deafness; dermatitis; asthma;— work related upper limb disorders;

and— disorders; ill-health leading to

permanent minor disability;

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iii) Extremely harmful, for example:

— amputations; major fractures;

— poisonings; multiple injuries;

— fatal injuries;

— occupational cancer; other severelylife shortening diseases; and

— acute fatal diseases.

C-5.2.3 Likelihood of Harm

When seeking to establish likelihood of harmthe adequacy of control measures alreadyimplemented and complied with needs to beconsidered. Here legal requirements and codesof practice are good guides covering controls ofspecific hazards. The following issues shouldthen typically be considered in addition to thework activity information given in C-4.4:

a) Number of personnel exposed;

b) Frequency and duration of exposure to thehazard;

c) Failure of services for example electricityand water;

d) Failure of plant and machinerycomponents and safety devices;

e) Exposure to the elements;

f) Protection afforded by personal protectiveequipment and usage rate of personalprotective equipment; and

g) Unsafe acts (unintended errors orintentional violations of procedures) bypersons, for example, who:

i) may not know what the hazards are;

ii) may not have the knowledge, physicalcapacity, or skills to do the work;

iii) underestimate risks to which they areexposed; and

iv) underestimate the practicality andutility of safe working methods.

It is important to take into account theconsequences of unplanned events.

These subjective risk estimations shouldnormally take into account all the peopleexposed to a hazard. Thus any given hazard ismore serious if it affects a greater number ofpeople. But some of the larger risks may beassociated with an occasional task carried outjust by one person, for example maintenance ofinaccessible parts of lifting equipment.

C-6 EVALUATION OF RISK

C-6.1 Risk Tolerance

Table 1 shows one simple method forestimating risk levels and for deciding whetherrisks are tolerable. Risks are classifiedaccording to their estimated likelihood andpotential severity of harm. Some organizationsmay wish to develop more sophisticatedapproaches, but this method is a reasonablestarting point. Numbers may be used todescribe risks, instead of the terms ‘moderaterisk’, ‘substantial risk’, etc. However usingnumbers does not confer any greater accuracyto these estimates.C-6.2 Risk Control Action Plan

An approach, again suggested as a startingpoint, is shown in Table 2. It shows that controlmeasures and urgency should be proportionalto risk.The outcome of a risk assessment should be aninventory of actions, in priority order, to devise,maintain or improve controls. A procedure forplanning the implementation of necessarychanges following risk assessment is describedin C-6.4.Controls should be chosen taking into accountthe following:

a) If possible, eliminate hazards altogether,or combat risks at source, for example, use

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a safe substance instead of a dangerousone or reduce inventory level of hazardoussubstance;

b) If elimination is not possible, try to reducethe risk for example by using a low voltageelectrical appliance;

c) Where possible adapt work to theindividual for example to take account ofindividual mental and physicalcapabilities;

d) Take advantage of technical progress toimprove controls;

e) Measures that protect everyone;f) A blend of technical and procedural

controls is usually necessary;g) The need to introduce planned

maintenance of, for example, machinerysafeguards;

h) Adopt personal protective equipment onlyas a last resort, after all other controloptions have been considered;

j) The need for emergency arrangement; andk) Pro-active measurement indicators are

necessary to monitor compliance with thecontrols.

Consideration also needs to be given to thedevelopment of emergency and evacuationplans and provision of emergency equipmentrelevant to the organization’s hazards.C-6.3 Adequacy of Action Plan

The action plan should be reviewed beforeimplementation, typically by asking:

a) Will the revised controls lead to tolerablerisk levels?

b) Are new hazards created?

c) Has the most cost-effective solution beenchosen?

d) What do people affected think about theneed for, and feasibility of, the revisedpreventive measures ?

e) Will the revised controls be used inpractice, and not ignored in the face of forexample, pressures to get the job done ?

C-6.4 Changing Conditions and Revising

Risk assessment should be seen as a continualprocess. Thus, the adequacy of controlmeasures should be subject to continual reviewand revised if necessary. Similarly, ifconditions change to the extent that hazardsand risks are significantly affected then riskassessments should also be reviewed.

Table 1 Simple Risk Level Estimator( Clauses C-4.1 and C-6.1 )

Probability of Occurrence

Slightly Harmful

Harmful Extremely Harmful

(1) (2) (3) (4)

Highlyunlikely

Trivialrisk

Tolerable risk

Moderaterisk

Unlikely Tolerable risk

Moderate risk

Substantial risk

Likely Moderate risk

Substantial risk

Untolerable risk

NOTE—Tolerable here means that risk has been reducedto the lowest level that is reasonably practicable.

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Table 2 Simple Risk-Based Control Plan( Clauses C-4.1 and C-6.2 )

Risk Level Action and Time Scale

(1) (2)

TRIVIAL No action is required and no documentary record needs to be kept.

TOLERABLE No additional controls are required. Consideration may be given to a more cost-effectivesolution or improvement that imposes no additional cost burden. Monitoring isrequired to ensure that the controls are maintained.

MODERATE Efforts should be made to reduce the risk, but the cost of prevention should be carefullymeasured and limited. Risk reduction measures should be implemented.

SUBSTANTIAL Work should not be started until the risk has been reduced. Considerable resourcesmay have to be allocated to reduce the risk where the risk involves work in progress,urgent action should be taken.

INTOLERABLE Work should not be started or continued until the risk has been reduced. If it is notpossible to reduce risk even with unlimited resources, work has to remain prohibited.

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ANNEX D( Foreword )

COMMITTEE COMPOSITION

Industrial Safety Sectional Committee, CHD 08

Chairman Representing

SHRI K. C. GUPTA National Safety Council, Mumbai

Members

SHRI A. K. ACHARYASHRI P. K. NAIR ( Alternate )

Central Mining Research Institute, Dhanbad

SHRI PREM BAWEJASHRI B. VIJAY KUMAR ( Alternate )

Hindustan Aeronautics Ltd, Bangalore

SHRI R. H. BHELEKAR Chief Controller of Explosives, Nagpur

DR S. C. CHAWALASR B. B. THAKUR ( Alternate )

Directorate General Health Services, New Delhi

DIRECTOR(MINES SAFETY)SHRI A. K. RUDRA ( Alternate )

Directorate General of Mines Safety, Dhanbad

SHRI V. K. GOELSHRI M. L. AHUJA ( Alternate )

Central Boiler Board, New Delhi

SHRI J. P. GOENKASHRI N. DUTTA ( Alternate )

Mining, Geological and Metallurgical Institute of India, Calcutta

SHRI H. N. GUPTASHRI R. P. BHANUSHALI ( Alternate )

National Safety Council, Mumbai

SHRI L. C. GUPTASHRI H. S. RAWAT ( Alternate )

Airport Authority of India, New Delhi

SHRI M. KANTSHRI KIRIT MARU ( Alternate )

Safety Appliances Mfrs’ Association, Mumbai

SHRI G. S. KASHYAP Office of the Development Commissioner (SSI), New Delhi

SHRI M. K. MALHOTRA Directorate General Factory Advice Services and Labour Institutes, Mumbai

SHRI S. K. MUKHERJEESHRI A. K. GHOSH ( Alternate )

Standing Fire Advisory Council, New Delhi

SHRI S. NARAYAN Bhabha Atomic Research Centre, Mumbai

SHRI K. P. NYATI Confederation of Indian Industries, New Delhi

SHRI BHAGWATI PRASADSHRI SATISH CHANDER ( Alternate )

Employees State Insurance Corporation, Calcutta

SHRI R. K. PODDAR Larsen & Toubro Ltd (ECC Cons. Group), Chennai

REPRESENTATIVE Factory Inspectorate, Govt. of Maharashtra, Mumbai

DR S. SADULLASHRI G. SWAMINATHAN ( Alternate )

Central Leather Research Institute, Chennai

SHRI M. R. SAMPATHSHRI O. N. DAGA ( Alternate )

Indian Cotton Mills Federation, Mumbai

SHRI P. N. SANKARANSHRI V. K. SRIVASTAVA ( Alternate )

Indian Space Research Organization, Shriharikota

( Continued on page 29 )

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( Continued from page 28 )

Members Representing

SHRI SUCHA SINGHSHRI R. SRIVASTAVA ( Alternate )

Ministry of Defence, Ordnance Factory Board, Calcutta

SHRI M. SRIVASTAVA

SHRI S. N. MATHUR ( Alternate )

Ministry of Petroleum and Natural Gas (Oil Industries Safety Directorate), New Delhi

DR J. TRIPATHYSHRI V. K. JAIN ( Alternate )

Standing Committee on Safety for Steel Industry, Sail, Ranchi

SHRI G. P. YADAVSHRI N. JAIPAL ( Alternate )

National Institute of Occupational Health, Ahmedabad

SHRI LAJINDER SINGH,Director (Chem)

Director General, BIS ( Ex-officio Member )

Member SecretarySHRI P. MUKHOPADHYAY

Additional Director (Chem), BIS

Safety Practices and Procedures Subcommittee, CHD 8:04

Convener

SHRI H. N. GUPTA National Safety Council, Mumbai

Members

SHRI HAROLD BARNES Birla 3M Ltd, Bangalore

SHRI R. H. BHALEKAR Chief Controller of Explosives, Nagpur

DR S. CHATTOPADHYAYSHRI K. K. DUTTA ( Alternate )

Ministry of Defence (DGQA), New Delhi

DIRECTOR (MINES SAFETY)SHRI A. K. RUDRA ( Alternate )

Directorate General of Mines Safety, Dhanbad

SHRI P. K. GHOSH Atomic Energy Regulatory Board, Mumbai

SHRI A. B. LALSHRI P. CHINNA ( Alternate )

National Thermal Power Corporation, New Delhi

SHRI M. K. MALHOTRA Directorate General Factory Advice Services and Labour Institutes, Mumbai

SHRI S. K. MUKHERJEESHRI A. K. GHOSH ( Alternate )

Standing Fire Advisory Council, New Delhi

DR S. NAND Fertilizers Association of India, New Delhi

SHRI K. P. NYATI Confederation of Indian Industries, New Delhi

SHRI V. B. PATIL National Safety Council, Mumbai

REPRESENTATIVE Engineers India Ltd, New Delhi

REPRESENTATIVE IPCL, Baroda

REPRESENTATIVE Ministry of Environment & Forest

SHRI A. K. ROHTAGI Standards Alkali, Mumbai

SHRI H. N. SRIHARIDR T. K. CHATERJEE ( Alternate )

ICI India Limited, Calcutta

( Continued on page 30 )

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( Continued from page 29 )

Members Representing

SHRI M. SRIVASTAVASHRI S. C. GUPTA ( Alternate )

Ministry of Petroleum and Natural gas (Oil Industries Safety Directorate), New Delhi

SHRI S. V. TAMBAKE Director, Industrial Safety & Health (Govt. of Maharashtra), Mumbai

DR J. TRIPATHYSHRI V. K. JAIN ( Alternate )

Standing Committee on Safety for Steel Industry, Sail, Ranchi

Bureau of Indian Standards

BIS is a statutory institution established under the Bureau of Indian Standards Act, 1986 to promoteharmonious development of the activities of standardization, marking and quality certification of goods andattending to connected matters in the country.

Copyright

BIS has the copyright of all its publications. No part of these publications may be reproduced in any formwithout the prior permission in writing of BIS. This does not preclude the free use, in the course ofimplementing the standard, of necessary details, such as symbols and sizes, type or grade designations.Enquiries relating to copyright be addressed to the Director (Publications), BIS.

Review of Indian Standards

Amendments are issued to standards as the need arises on the basis of comments. Standards are alsoreviewed periodically; a standard along with amendments is reaffirmed when such review indicates that nochanges are needed; if the review indicates that changes are needed, it is taken up for revision. Users ofIndian Standards should ascertain that they are in possession of the latest amendments or edition byreferring to the latest issue of ‘BIS Catalogue’ and ‘Standards : Monthly Additions’.

This Indian Standard has been developed from Doc : No. CHD 8 (845).

Amendments Issued Since Publication

Amend No. Date of Issue

Amd. No. 1 November 2002

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