OCCUPATIONAL HEALTH & SAFETYMANAGEMENT SYSTEMS AUDITOR AWARNESS PROGRAMME

1:Introduction

1.1Background DevelopmentDuring the Industrial Revolution, technological advances introduced and increased the use of machinery and toxic materials in the workplace. As a result, workers in factories faced health and safety risks that were previously unheard of.Health and safety problems and hazards that workers face include the following:Poor working conditionsExposure to toxic materials or chemicalsLong working hoursWork-induced stressExcessive noise levelsRisks to life, eyes, and limb while working with machinery

In 1970, (OSHA) was established as a comprehensive occupational safety and health law to assure so far as possible for every working man and woman in the nation safe and healthful working conditions and to preserve human resources [1].

In addition, OHSAS 18001 specification and the accompanying OHSAS 18002 guidelines have been developed

OH&S management system to enable organization to control its OH&S risks and improve its performance.

1.2Concepts of Occupational Health

Defined as

"that science and art devoted to the anticipation, recognition, evaluation, and control of those environmental factors or stresses arising in or from the workplace, which may cause sickness, impaired health and well-being, or significant discomfort among workers or among the citizens of the community."[i]

1.3Concepts of Safety EngineeringInterdisciplinary in nature & ought to be applied early in system development.

Control monetary and physical loses

Safety costs should be justified like other forces competing for limited organizational resources.

Safety should be considered a long-term investment.

Figure 1.1 shows that its application requires integration with many other functions

Figure 1.1: Safety Interactions

1.4Philosophy Supporting OH&S Management System Standardssafety denotes concern for physical injuries that might be experienced by the worker

Health denotes concern for physiological injuries

welfare refers to concern for a range of psychological conditions.

this type of approach promotes a holistic appreciation of a workers well being as well as a comprehensive understanding of the contribution of workplace conditions to it.

The basic principles of a holistic approach to workplace health and safety are thus:

The health and safety of a worker is influenced by conditions of the workplace and by non- work related factors that can be potentiated by the workplace.

Workplace effects on human health and safety are not restricted to only the on- site workplace or the worker

Figure 1.2: Holistic Overview of the Workplace, Environmental Quality & Human Community[i]

1.5Modern OH&S LegislationAt both national and international levels, the modern corporation is perceived as having both a moral and a legal responsibility to protect its employees from:Workplace sources of injury and;Workplace insults to a workers pre- existing debilitation[i].

By ensuring proper responsibilities, common problems such as those stated below can be avoided.Lack of sufficient authority to implement safety- Isolation from higher decision makers who must bear the potential liability associated with workplace injuryIsolation from production- level personnel have primary responsibility for production but they play a crucial role in the implementation of an effective safety program.

1.6Scope of OH&S Management SystemsThe scope of an OH&S management system, applicable to any organization, includes:Establishing an OH&S management system to eliminate or minimize risk to employees and other interested parties who may be exposed to OH&S risks associated with its activities; Implementing, maintaining and continually improving an OH&S management system;Assuring itself of its conformance with its stated OH&S policy;Demonstrating such conformance to others;

1.7Definitions & TerminologyThe terms and definitions used in the OHSAS 18001 specifications are:AccidentAuditContinual ImprovementHazardHazard identification IncidentNOTE: An accident where no ill heath, injury, damage, or other loss is also referred to as a near miss. The term Incident includes near-misses.

Interested partiesNon-conformance

ObjectivesOccupational health and safetyOH&S management systemOrganization NOTE: For organizations with more than one operating unit, a single operation unit may be defined as an organization. PerformanceNOTE: Performance measurement includes of OH&S management activities and results.RiskRisk assessmentSafetyTolerable risk

Chapter 2Introduction to OH&S Standards & Applications

2.1 Influence of the Working EnvironmentThere are various kinds of positive and negative factors in the working environments Physical demands may refer to manual lifting loads and extended working hours. For mental demand, it appears to be dependent on the level of mental work pressure and the experience of the worker involved.Use of ear protection will be in order as excessive noise levels (>85 to 90 dB) can cause hearing loss.Proper illumination is necessary to avoid having workers headaches and fatigue as a result of eyestrain. Working temperature can cause great discomfort if it is too high or too low.

mental and emotional factors to consider:

Lifting the morale of workers can do wonders to improve productivity.

A pleasant working place with convenient facilities will increase the workers morale, resulting in worker efficiency.

2.2OH&S Management System ModelThe first three clauses of the OHSAS 18001: 1999 specifications follow the ISO 14001 approach closely. The three common clauses are:

ScopeInformative referencesDefinitions

Organizations using the ISO 14001 approach should use the OHSAS 18002 guidelines in carrying out the respective approach for clause 4.Figure 2.1 illustrate the order of flow of OHSAS elements.

Figure 2.1: OH&S Management System Model for OHSAS 18001 System Elements

2.3OH&S Management System ElementsThe six elements for occupational health & safety management system are based on:

Initial Status ReviewOH&S PolicyPlanningImplementation and OperationChecking and Corrective ActionManagement Review

2.3.1Initial Status Review

An initial review of a companys existing arrangements for managing OH&S should be carried out prior to implementation.

Performing an initial status review also provides information on the scope, adequacy and current status of the OH&S management system.

2.3.2OH&S Policy

The OH&S policy should be defined and authorized by the organizations top management.

Such a policy establishes an overall sense of direction and sets up the principles of action for an organization.[i]

It demonstrates formal commitment of an organization towards good OH&S management, particularly that of the organizations top management.[ii]

2.3.3PlanningPlans must be formulated to fulfill the OH&S policy.Hazard identification should be performed with risk assessment. Control measures should be implemented if necessary.The legal requirements that are applicable to OH&S should be identifiedThe goals and objectives of the OH&S system established.After identifying problematic areas, appropriate corrective actions should be implemented.

2.3.4Implementation and Operationresponsibility of a person at the most senior management level.Necessary training should be carried out, to ensure workers understand their safety and health responsibilities Updates should be spread throughout the organization effectively through an efficient communication system. In addition, a system of documentation should be established. OH&S should be fully integrated where each employee appreciates the implications of OH&S. In the case of foreseeable emergencies, contingency plans should be prepared in advance.

2.3.5Checking and Corrective ActionMonitoring and measurement of performance ought to be performed on a regular basis. The measurement of performance of the OH&S management system will give an indication of its effectiveness. Areas that need improvement can be identified and followed up by taking necessary actions. Corrective actions should be taken as soon as any deficiencies are found. Relevant records of OH&S actions taken should be made to meet legal requirements. Periodically, audits conducted by independent personnel will give a more in-depth look at the system.

2.3.6Management ReviewInvolve the making of several decisions, based on the organizations structure and size. Matters such as frequency of audits and the effectiveness of the OH&S system as a whole and in its individual elements are considered frequently.Following an audit, a management review decides on what should be done about identified problems.In any management programs, the system has to be reviewed constantly to ensure its continuing suitability, adequacy and effectiveness.

CHAPTER 3INTERPRETATION OF THE OHSAS 18001: 1999 SPECIFICATIONS3.1Overview of the OHSAS 18001: 1999OHSAS 18001: 1999 is developed together with the OHSAS 18002, Guidelines for the implementation of OHSAS 18001OHSAS 18001 is developed such that it is compatible with the ISO 9001: 1994 (Quality) and ISO 14001: 1996 (Environmental) management systems standards. to facilitate the easy integration of quality, environmental and occupational health and safety management systemsNevertheless, it is not a pre- requisite that an organization has to comply to ISO 9000 or ISO 14000 requirements for the operation of OHSAS 18001.

An OH&S management system must meets both the OHSAS 18001 specification and all local legal requirements as well.

Relevant procedures and documentation, which relates to records and periodic reviews, should be added where necessary

The elements of an effective OH&S approach are presented in Figure 3.1.

Implementation & OperationContinual ImprovementFigure 3.1: Elements of an OH&S management system[i]

Checking and Corrective ActionManagement ReviewPlanningOH&S Policy

3.2Clauses in OHSAS 18001clauses and requirements in the OHSAS 18001: 1999Clause 4.1 General Requirementsstates that the organization shall establish and maintain an OH&S management system, Depending on the size of the organization and the nature of its activities, the extent of documentation and the resources devoted to it have to be developed and adapted to fit into the organization under review. Clause 4.2 OH&S Policystates overall health and safety objectives and a commitment to improving health and safety performance. an indication of the organizations overall sense of direction and principles of action.

Figure 3.2: OH&S Policy[i]

In planning the policy, the management shall ensure that: It is appropriate to the nature and scale of the organizations OH&S risks.There is a commitment to continual improvement There is a commitment to at least comply with current applicable OH&S legislation and other requirements It is documented, implemented and maintained as called for by the OHSAS Standards.All employees are educated on their individual OH&S obligations.It can be made available to interested parties.It is reviewed periodically to ensure its relevance and suitability to the organization.

Clause 4.3 Planning

Figure 3.3: Planning[i]

OHSAS 18001 specifies planning requirements based on four categories before any implementation is to be carried out. They are addressed as follows:Clause 4.3.1Planning for Hazard Identification, Risk Assessment & Risk Controlcontrol measures to include routine and non-routine activities, activities of all personnel (including subcontractors and visitors) having access to the workplace, and facilities at the workplace. defined with respect to the scope, nature and timing to ensure that it is proactive rather than reactiveIs consistent with operating experience and the capabilities of risk control measures usedProvide ways to classify and identify risks to be eliminated, or controlled by measures defined in clauses 4.3.3 and 4.3.4.Provide input to determine the facility requirements, training needs and operational controls,Monitoring mechanisms to ensure the effectiveness and timeliness of their implementation.

The purpose of this requirement is to provide for total appreciation of all significant OH&S hazards in the organizations domain using the process of risk assessment. The following elements of decision-making shall be reflected in the risk assessment.Identification of risks.Evaluation of risks within the existing control measures in place.Decision on the tolerability of this residual risk.Identification of any additional control measures considered necessary.Evaluation of whether these are sufficient to reduce the risks to tolerable levels.

Clause 4.3.2Legal and other requirementsorganization aware of all applicable OH&S regulations and how they can affect its activities. legal and other OH&S requirements applicable to the organization identified and up to date. organization able to access these legal documents conveniently, and communicate the information to other parties who have an interest in it.

Clause 4.3.3Objectivestake into account legal and other requirementsreasonable, achievable and communicated to the employees efficiently. Suitable indicators shall be established so that objectives can be reviewed and monitored regularly.

Clause 4.3.4 OH&S Management Programs

has to be established so as to achieve the OH&S objectivesimportant to include the documentation of the responsibility and authority for achievement of the objectives at relevant functions and levels of the organization, and the means and time scale by which the objectives are to be obtained.individuals and tasks responsible for the deliverance of the objectives at relevant levels can be identified. It aids the organization in allocating suitable talents, responsibilities and time- frames for jobs to be done.The OH&S management programs shall be reviewed at regular and planned intervals in order to keep up with changes.

Clause 4.4 Implementation and Documentation Figure 3.4: Implementation and Operation[i]

Clause 4.4.1Structure and ResponsibilityThe roles, responsibilities and authorities of all personnel who are involved in the running of OH&S risks of the organization shall be defined, documented and made known The top management holds the greatest responsibility of ensuring the proper implementation of the OH&S management system. The management representative or appointee shall :Ensure the OH&S management system requirements are established, implemented and maintained in accordance with the OH&S specification, Ensure reports on the performance of the OH&S management system are presented to the top management for the review and making of improved adjustments

Clause 4.4.2Training, Awareness and CompetenceEmployee awareness in the following areas is important and procedures shall be established and maintained :The importance of conformance to the OH&S policy and procedures, and the requirements of the management system;Both actual and potential OH&S consequences, their work activities and the OH&S benefits of improved personnel performance;Their roles and responsibilities in conforming to the OH&S policy and requirements of the management system.Potential consequences of straying from specified operating procedures.Employees need to be educated on their specific responsibilities and the roles expected of them to maintain the OH&S management system.Appropriate records of individuals training and competency shall be maintained.

Clause 4.4.3Consultation and Communicationthe management has to establish and document proper procedures for easy and accurate communication. The freedom of employee involvement and consultation arrangements shall be established so that there is an effective and open communication of OH&S information. There shall also be arrangements to:Involve employees in the development and review of policies, and procedures to manage risks, including the carrying out or review of risk assessments relevant to their own activities.Consult employees over changes affecting the workplace OH&S such as the introduction of new equipment, new working procedures or work patterns.Represent employees on health and safety matters.Inform employees their OH&S representative to the management and the selected management appointee.

Clause 4.4.4DocumentationThe organization shall document all important and essential information and maintain up to date sufficient documentation to ensure that its OH&S system can be adequately understood and efficiently operated. it shall describe the core elements of the management system and their interaction, as well as provide direction to the related documentation at the same time. It may be more convenient and effective instead, to establish an overview document describing the inter-relation between the existing procedures and overall OHSAS requirements

Clause 4.4.5Document and Data ControlThis clause calls for the organization to establish and maintain proper procedures for controlling all the important documents and data required by this OHSAS 18001 specification. There shall be a written procedure to define the controls for the approval, issue and removal of safety documentation, together with the control of safety records and data. Arrangements must be made ensure that specified documents and data:a)Can be located.b)Are periodically reviewed, revised as necessary and approved for adequacy by authorized personnel.c) Are current and up-dated, and available at all locations where operations essential to the effective functioning of the OH&S system are performed.d)Are removed from all points of issue and points of use or otherwise assured against unintended use once they are obsolete.e)Are suitably identified, particularly for archival documents and data retained for legal or knowledge preservation purposes or both.

Clause 4.4.6Operational ControlControl measures shall be applied to those operations and activities associated with identified risks. The organization can carry out the preparations by:a)Establishing and maintaining documented procedures to cover situations where their absence could lead to deviations from the OH&S policy and their objectives.b)Stipulating operating criteria in the procedures.c)Establishing and maintaining procedures related to the identified OH&S risks of goods, equipment and services purchased and/ or used by the organization and communicating relevant procedures and requirements to suppliers and contractors.d)Establishing and maintaining procedures for the design of workplace, process, installations, machinery, operating procedure and work organization, including their adaptation to human capabilities in order to eliminate or reduce OH&S risks at their source.

Clause 4.4.7Emergency Preparedness and Response The organization shall have to establish and maintain plans and procedures to identify the potential for, and responses to such incidents and emergency situations and for preventing the likely illnesses, injuries or hazards associated with them.The organization shall develop an emergency plan and identify and provide appropriate emergency equipment. The emergency preparedness and response plans and procedures shall be reviewed frequently, especially after the occurrence of any incidents and emergencies. The response capability of the emergency plan needs to be tested for feasibility and rehearsed where viable for employee awareness.

Clause 4.5 Checking and Corrective Action Figure 3.5: Checking and Corrective Action[i]

Clause 4.5.1Performance Measurement and Monitoring

These procedures shall provide for:Both qualitative and quantitative measures, appropriate to the needs of the organization.Monitoring the extent to which the organizations OH&S objectives are met.Proactive measures of performance to monitor compliance with the OH&S management program, operational criteria and applicable legislation and regulatory requirements.Reactive measures of performance to monitor accidents, ill health, incidents (including near misses) and other historical evidence of deficient OH&S performance. Recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective and preventative action analysis.

Performance management proposes to determine whether OH&S plans and risk controls have been implemented and achieved, to learn from any system failures including hazardous events, and to promote implementation by providing feedback and information for continual review and improvement.Monitoring equipment, if required for any performance measurement and monitoring, have to be calibrated and maintained. Proper procedures and records for the calibration and maintenance process shall have to be retained.

Clause 4.5.2Accidents, Incidents, Non- conformances and Corrective & Preventive ActionThe organization shall establish and maintain procedures to define responsibility and authority for:a.The handling and investigation of accidents, incidents or non- conformances.b.Taking action to mitigate any consequences arising from accidents, incidents or non- conformances.c.The initiation and completion of corrective and preventive action. d.Confirmation of the effectiveness of corrective and preventive actions that have been taken.Report and evaluation of these occurrences are necessary so that suitable corrective and preventive actions can be implemented. The investigation process and results and subsequent corrective or preventive actions have to be documented for future reference or analysis.

Clause 4.5.3Records and Records ManagementRecords shall be kept to demonstrate that the OH&S system operates effectively, and that processes have been carried out under safe conditions.Safety records that document the management system and conformance to the requirements shall be legible, identifiable and traceable to the activities involved. These records have to be maintained and stored properly so that they are readily retrievable and protected against damage, deterioration or loss. Their retention times before disposal have to be established and recorded as appropriate to the system and the organizations rules.

Clause 4.5.4AuditAn audit program and its procedures shall have to be established and maintained. Periodic OH&S audits have to be conducted to:Determine whether the OH&S management system conforms to planned arrangements for OH&S management including the requirements of this OH&S specification, has been properly implemented and maintained and is effective in meeting the organizations policy and objectives.b. Review the results of previous audits.c. Provide information of the audits results to management.Audit program, including its schedule, has to be based on the results of previous audits and that of the risk assessments conducted. The results of all audits shall be fed back to all relevant parties as soon as possible to allow corrective actions to be taken.

Clause 4.6 Management ReviewManagement ReviewChecking and Conductive ActionExternal FactorsPolicyInternal FactorsFigure 3.6: Management Review[i]

it is essential that the system is reviewed and evaluated periodically to ensure its continuity, suitability, adequacy and effectiveness.During the review, the management will evaluate the policy, objectives and other elements of the OH&S management system for possible changes in view of the management system audit results, with changes in circumstances and commitment to continual improvement. Changing circumstances may include changes in legislation, varying expectations of interested parties, changes in the organizations products or activities, technological advances, marketing information, and feedback from OH&S incidents. the management review needs to be documented.

CHAPTER 4ENSURING EFFECTIVE IMPLEMENTATION & OPERATION

4.1 Organizational Structure, Responsibility & Accountability

Ultimate responsibility for occupational health and safety rests with the top management. The management plays a central role in implementing the occupational health and safety (OH&S) program and determining its effectiveness. Accidents will decrease profits, as additional money has to be dealt out for workers compensation, damages and other hidden costs. While organizing an OH&S safety program, the management has to bear in mind that conflicts between staff, departments or management are inevitable

The management shall always be aware of the latest changes to health and safety requirements, legal OH&S issues and policies.

Managers shall also provide visible demonstration of their commitment to their staff, by visiting sites, being involved in accident investigation, and attending safety awareness courses and meetings.

4.1.1The Health and Safety Committee

A committee drawn from various departments has many advantages, allowing greater committee scope and reach.

In all cases, the committee shall be chaired by the person of highest authority to ensures the committee is empowered to perform its tasks without facing too much resistance.

The health and safety committee will have various tasks at hand. To begin with, methods for obtaining feedback from all levels within the organization shall be established. Other tasks that the committee can organize are as follows:Inspections conducted on workplaces to detect hazards.Hold regular meetings to discuss accident and illness prevention methods, hazards discovered in the workplace, and injury and illness records and so on.Investigate accidents that occurred, and devise plans to prevent recurrence.Provide information to all employees on safe working practices.Recommend changes to present equipment to improve health and safety standards.Develop new or revise existing rules to comply with current standards.

4.1.2Task GroupsWithin a health and safety committee, several task groups may be formed. Each task group and their responsibilities are described as follows [2]:Safety Activities: To ensure the effectiveness of the OH&S program in reducing injuries and illness, and to diffuse information pertaining to OH&S matters.Rules & Procedures: Prepare, maintain and review new or existing general safety rules and procedures, and to ensure that rules are being followed.Inspection & Audit: Identify unsafe work area conditions and practices, and to increase safety awareness and participation.Fire & Emergency: Develop effective management programs to protect people, property and environment in emergencies.Education & Training: Manage, coordinate and review safety training programs.

Health & Environment: Recommend measures to protect people, property and environment from hazardous substances, and to keep and eye on employees health and overall wellness.

Accident Investigation:Determine cause of accidents and to prevent recurrence; to eliminate and minimize hazards.

Housekeeping:Improve employee morale, quality, productivity and safety and health by maintaining proper workplace housekeeping and orderliness.

4.2Importance of the OH&S Policy

It shall be defined in respect of the health, safety and welfare obligation to all employees.

In order to fulfill this OH&S policy, plan(s) shall be formulated and capabilities and support mechanism shall be developed.

4.3Planning and ImplementationThe management shall take note to define, prioritize and quantify the organizations objectives clearly. Proper plans for any programs shall be developed in detail, and the availability of financial and other resources must be looked into before confirming any decisions. plans and policies that have been implemented shall be measured and reviewed all the time. organizations have to be pro- active in order to encourage continual improvement.An important part of OH&S planning is the management of change.Internal standards policies, procedures and safe systems of work shall be available.

Figure 4.1: A Procedure for OH&S Planning and Implementing

4.3.1Risk Assessment

Risk assessment shall be used when occupational hazards in a workplace appear to pose a significant threat and it is uncertain whether planned controls are adequate in practice. Organizations shall carry out risk assessment as part of their efforts for continual improvement.The intent of risk assessments is to control risks before harm could occur. A risk assessment based on a participative approach also provides an opportunity for the management and the work force to agree on the organizations procedures with shared perceptions of hazards and risks. Several risk analysis of hazards have been developed for use such as the fault- tree analysis or the criticality analysis.

4.3.2Emergency Preparedness and Response

The basic steps in developing an effective program are

identifying the need for procedures

implementing written procedures,

conducting periodic tests,

continual improvement through review and revision.

4.4 Importance of Documentation and Record Keepingdocumentation shall not be voluminous as it lowers effectiveness and efficiency. Accurate and complete documented records are necessary because the law calls for it they can be made accessible at the point of use.determining the validity of claims in a lawsuitobjective evidence to show that activities related to the requirements of an OH&S system have been satisfactorily performed. reference purposes in the future.

The following is a list of records that ought to be kept by an organization:Occupational injuries and illnesses.Fire ProtectionMaterials Handling/ StorageMachinery and Machine GuardingWelding, Cutting, Brazing EquipmentTrainingMedical Records. Not all injuries and illnesses have to be recorded. They shall be classified according to work-related or non-work related first before it can be decided whether it is necessary to note the details of these job injuries and occupational illnesses.

Figure 4.2: Recording of Occupational Injuries and Illnesses

4.5OH&S Management System Audits & VerificationIn order to ensure effective implementation, organization shall conduct periodically OH&S management system audits and verification of its on-site implementation. 4.5.1InspectionsThere are in general four types of inspection that may be conducted. Periodic : Conducted at regular scheduled intervals. Intermittent : Unannounced or surprise inspections. Continuous : Part of a day-to-day operation. Special : One-off inspections conducted for especially hazardous situations.The area being inspected will thus determine the kind of inspection to be performed. Proper documentation of data is to be done to ensure that employees are kept on their toes.

4.5.2AuditsAudits are commonly conducted at the organizations by corporate personnel, external professional consultants, and selected local authorities, professional or ad-hoc associations.Basically, the organization has to perform a cost-benefit analysis and identify if the audit is an on-going process or on an ad-hoc basis, among others.

4.6Periodic Status ReviewThe management shall demonstrate commitment to the effective implementation of the OH&S management system and shall undertake periodic status review to ensure maintenance and suitability of the OH&S policy as well as to ensure continual improvement.

CHAPTER 5HAZARD AND RISK ASSESSMENT

5.1Introduction to Risk AssessmentRisk assessment is essentially an integration of the findings provided by a hazard assessment and an exposure assessmentdetermines the adequacy of controls with respect to risks. The elements of a risk assessment can be defined by using a multi- or n- dimensional matrix. A matrix example of a risk assessment done on a construction sector is presented in Table 5.1. Severity and Probability of Occurrence (Frequency) of each hazard is rated.

Figure 5.1 Risk Assessment Procedures

Table 5.1: An Example of a Risk Assessment Matrix

5.2Differences between Hazards and RisksThe word hazard always denotes a possibility or potential. Risk is however, defined as the combination of the likelihood and consequences of a specified hazardous event occurring.The difference between hazard and risk lies in that a hazard is a possible (or potential) harm or injury, whereas a risk is the probability that a person will actually experience a specific hazard. 5.2.1Hazard & Risk Reduction StrategiesProduct reformulation or chemical substitutions are two ways of replacing a hazardous chemical component in a product with a less hazardous or totally harmless material.In order to reduce the risks associated with a hazard that cannot be removed or reduced, it is necessary to reduce exposure.

This is possible by implementing three exposure control approaches in the following order:Management Control through proper supervision of assignments, procedures, etc;Engineering Control Personal protective clothing and equipment 5.3Hazards Identification5.3.1Agents of HazardsPhysical, chemical and biological agents can pose human health and safety hazards. Heat, noise and vibration are some common physical agents chemical agents are made up of naturally occurring and human made inorganic and organic chemicals. Biological agents include viruses and bacteria. They can be identified and described without reference to the human subjected to the associated hazard[i].

Magnetic flux densities, including those having influence on implanted medical devices and ferromagnetic toolsSonic and ultrasonic sound, including continuous and intermittent (impact) noiseHeat and cold stressVisible light, lasers, radio frequency/ microwave radiation, ultraviolet radiation, and x-raysStress associated with mechanical tensions in musculo-skeletal systemMechanical impact that exerts physical force on bodyPhysical AgentsRadionuclides and radiation (alpha, beta and gamma) associated with unstable atomic nuclei or nuclear reactionsFigure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 1 of 3)

A. Acoutistic Radiation Temperature

Magnetic Radiation

Electromagnetic Radiation Radioactivity

Ergonomic Stress Physical Impact

Chemically burns living tissue on contactVapors displace air and thereby cause suffocationBurns when subjected to a temperature greater than 100oF and below 200oFSuddenly releases pressure, gas and heat when ignitedBurns when subjected to a temperature less than 100oFIgnites spontaneously in air at temperature of 130oF or lowerSpontaneously explodes due to the formation of unstable peroxidesPromotes or initiates the burning of combustible or flammable materialReacts with water to form a flammable or toxic gasSpontaneously explodes with production of pressure, gas, heat and possibly toxic fumesChemical AgentsA non-corrosive material that causes itching, soreness or inflammation of exposed skin, eyes or mucous membranesAgents Presenting Physical Risk Asphyxiant Combustible Corrosive Explosive Flammable Irritant Pyrophoric Organic Peroxide Oxidizer Water Reactive Unstable/Reactive Figure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 2 of 3)

Causes life-threatening damage to tissues or internal organs in very small amounts (e.g. several teaspoons or less)Causes cancerCauses changes in genetic information that is inherited from generation to generationCauses allergic reactions after repeated exposures, with possibly severe or even life-threatening consequencesCauses malfunction of the developing fetusCauses life-threatening damage to tissues or internal organs, but in amounts greater than a poisonChemical AgentsAgents Presenting Health Risk

Carcinogen Mutagen Poison Sensitizer Teratogen Toxic B. Disease causing organisms that may be transmitted through blood and other blood-related bodily fluids of infected personsInfectious diseases that may be transmitted by means other than bodily fluids of infected persons (e.g. water, air, food)Biological Agents

Bloodborne Pathogens Other pathogens Figure 5.2: Examples of Hazardous Agents in the Workplace[i] (Page 3 of 3)

5.3.2Classifications of HazardsThere are two types of hazardsone that is described in terms of the time interval between exposure to the hazard another that is defined based on the manifestation of consequent harm or injury. Table 5.2: Classification of Hazard Types

5.4Quantifying ExposureAs the essential link between hazard (a possibility) and risk (a probability), exposure must be examined in detail, with specific attention given to the following aspects[i]:Quantitative measure (e.g. concentration of chemical inhaled) which includes the measures of the amount or the nature of the hazardous agent, as well as the measures of the duration and frequency of exposure.Pathways by which the hazard comes into contact with human tissue (e.g. inhalation).Mechanism(s) by which a hazardous agent is transformed or propagated from its source to a human. Often referred to as environmental transport or fate.Mechanism(s) by which a hazardous agent might be transformed during its transport or propagation.Individual humans or populations that might come into contact with the hazard.

As a more holistic, integrated approach to workplace health and safety becomes established, it can be expected that such quantification of community exposures to the hazards of individual worksites will become more common.Any competent exposure analysis of industrial hazards includes a detailed description of the various specific pathways or routes by which a hazardous agent comes into contact with living tissue. Generic categories of environmental dynamics include: Introduction of materials and energies into major environmental compartments; Transformation of materials and energies within environmental compartments; Translocation of materials and energies from compartment to compartment; Concentration of materials and energies within compartments; Dissipation of materials and energies within compartments; Elimination of materials and energies within compartments.

Figure 5.3: Generic Environmental Processes that influence the dynamic flows and transformation of materials and energies in environmental compartments[i]

5.5Hazards AnalysisChecklists are usually drawn up to help in identifying hazards and hazardous operation relationships systematically.The hazard matrix is made up of rows and columns rows are made up of different items or function hazards. columns store progressive information about hazardous events, causes, effects and severities, probability of occurrence, controls, verifications of controls, and remarks.

Table 5.3: An Example PHA Matrix Checklist Format Using A Hot Water Heater[i]

5.5.1Severity RatingSeverity of hazardous effects is also known as hazard level or criticality category.It is a rating indicating the seriousness of an effect of a hazard on a worker or employee, and it can be defined into different categories with different values. There is a direct correlation between effect and severity, therefore severity is ranked according to the hazard effect. Severity rating shall be ranked based on the worst effects of a hazard mode.

Table 5.4: Severity of the Hazardous Effect[i]

5.5.2Probability of OccurrenceOccurrence is the ranking of likelihood that a specific cause will occur with existing controls. The probability of occurrence, like severity, can be defined into different categories with different values; and has to be calculated for every cause of the hazards. Table 5.5: Probability of Occurrence of the Hazardous Effects

5.5.3Risk RatingsSeverity and Probability factors are used to represent risk ratings The risks are then rated according to different levels of trivial, tolerable, moderate, substantial and intolerable. Risk ratings, such as risk index categories or risk assessment categories are used to guide management actions. Table 5.6: Risk Rating Table

Table 5.7: Table showing the Interpretation of Risks

5.6Logic Tree Analysis

ORFigure 5.4: Example of a Fault Tree[i]

Fault trees are usually drawn with an undesired event at the time and ways that the event could happen beneath, connected to the upper event by basically two types of logic gates- or and and. The or gate bears the meaning that any of the contributing events would be sufficient to cause the upper event, the and gate means all events must be present for the upper event to occur.At the same time, the trees are limited by using diamonds to represent a termination. Double diamonds, one within one another, are used to mark insufficient information, to remind analysts to review those portions later on. Caution must be given to maintain the correct logic within the tree. Without correct logic, the tree forms incorrect loops of circular logic and fails to portray reality.

5.7Iteration and Expanded Matrix AnalysesPHAs can and ought to be repeated with updated design information several times. This is an example of a common iterative system process of going back and updating or correcting an analysis based upon newer information[i]. It explains the need to review fault trees.By changing matrix headings through asking different questions or more detailed questions, other types of matrices similar to the PHA are produced; such as, System Hazard Analysis (SHA) or the Operating and Support Hazard Analysis (O&SHA).

CHAPTER 6EMERGENCY RESPONSE AND PREPAREDNESS

6.1Importance of Emergency & Contingency PlansThe existence of a sound emergency and disaster response plan in an organization often makes the difference between life and death. all efforts in an occupational health and safety program would come to nothing if the organization is incapable or unprepared if ever an emergency or disaster were to arise.The worst possible outcome of such a situation would probably include a large number of deaths, the total annihilation of a factory putting it completely out of operation, and the cost of the damage to the company amounting to millions of dollars.In essence, emergency pre-planning measures can keep an event from becoming a disaster in the first place.

6.2Types of Emergencies and DisastersA disaster may be defined as a great, sudden misfortune resulting in loss of life, serious injury, or property damage[i]. Figure 6.1: Types of Emergencies and Disasters

6.2.1FireThe quick action of the brigade is essential in order to minimize injury and damage, as well as to evacuate affected employees. 6.2.2Explosion It is highly dangerous as it occurs suddenly without warning, and can inflict severe injuries and damage.6.2.3Tornado/ Weather Situations Employees should be instructed on how to evacuate their workplaces safely without leaving dangerous tasks unattended.6.2.4Sabotage and Terrorism/ Bomb ThreatsInternal security measures have to be taken for advanced detection and early notification of local police and help forces.6.2.5Strikes/ ViolenceStrikes, especially labour strikes, will affect operations badly.Thus, the company should be on the alert for any strikes.

6.2.6AccidentsAccident prevention and investigation procedures should be present in the event of an accident.6.2.7Chemical Spill/ Vapor ReleaseWhen a chemical spill or vapor release arise, appropriate actions and personnel should be engaged for proper disposal of the hazardous materials.6.2.8RadiationEven small amounts of radioactive material pose a significant threat to health. Therefore, facilities for showers and eyewash should be present and easily accessible.6.2.9Energy EmergenciesEnergy emergencies are usually caused by fuel shortages.

6.3What is Emergency & Contingency PlanningAn effective emergency plan will take into account the following factors:Plans and procedures: Safest and most effective procedures that people affected by the emergency should follow. Training, testing and practice: Sufficient testing to ascertain the emergency plans effectiveness should be carried out, perhaps in conjunction with training and drills. Communications equipment and personnel: To maintain open lines of communication, there should be adequate communication equipment and personnel assigned to such tasks.Equipment: Sufficient equipment to deal with emergencies should be readily available.Response: Immediate response to emergency from the authorities is of utmost importance.

Figure 6.2: Emergency Response Relationships

6.4Elements of Emergency Plan & ResponseMost of the elements stated below are in compliance to the Chemical Process Safety Regulations 29 CFR 1910.39 (Employee Emergency Plans).6.4.1 PolicyThe policy defines the attitude of the company towards emergency planning. 6.4.2 AuthorityA chain of command should be established to minimize confusion so that employees will have no doubt who has the authority for making decisions[i]. 6.4.3 Emergency Escape Procedures and RoutesEmergency escape procedures and routes should be posted in each work area.6.4.4 Personnel who remain to operate critical operations

6.4.5Employee Accountability Procedures After EvacuationEach supervisor should be responsible for his or her assigned employees, to ensure that the identities and status of well being of all the employees are established.6.4.6 Control CenterThe function of the control center is to have a place where all instructions are given out and information is exchanged in case of an emergency. 6.4.7 Rescue and Medical DutiesEmergency teams should be trained in the various types of possible emergencies and actions to be performed such as first- aid and transportation.6.4.8 TransportationInjured people must be evacuated safely out of dangerous areas and the critically ill must be sent to hospital as soon as possible. 6.4.9 CommunicationsA method of communications is required to alert employees of the evacuation.

6.4.10 Training/ PracticeTraining in the following areas will be useful:Use of various types of fire extinguishers.First- aid, including Cardio Pulmonary ResuscitationShut- down proceduresEvacuation proceduresChemical spill control proceduresUse of self- contained breathing apparatus Search and emergency rescue procedures[ii]6.4.11 Personal Protection and Rescue EquipmentEffective personal protective equipment should be stored in a place that is easily reached, checked, serviced and cleaned regularly. 6.4.12 LightingBack up portable generators are indispensable in providing necessary lighting to carry out necessary rescue operations.6.4.13 SecurityAn off-limits area must be established by cordoning the area with ropes and signs.

6.5Developing an Emergency Response PlanThe development of a practical and effective emergency response program is essentially a normative process.Figure 6.3 Three Phases for Devising Emergency Response Policies and Procedures[i]

6.5.1Risk Assessments PhaseFactors that are necessary in this phase are the sources and types of hazards, the degree of exposure and the persons exposed.Techniques available to the planner include hazard analysis, failure modes and effects analysis, and fault and event tree analysis. 6.5.2Safety Judgement PhaseThis phase seeks to determine the level of protection for each population under risk, while keeping in mind their social and cultural values and current regulatory standards. 6.5.3Making-Safe Strategy PhaseAs shown in Figure 6.4, policies and procedures should address three basic types of emergency response activities:Preparation Activities: Undertaken immediately upon discovery of a potential or actual emergency, prior to the initiation of any response.Response Activities: Include all efforts to control the emergency and provide assistance to affected persons.Follow-up Activities: Focus on post emergency actions to bring the company back to a state of emergency readiness, including revisions to emergency plans based on experience of past emergencies.

Figure 6.4 Basic Emergency Response Operations[i]

6.6First Aid in Emergency PlanningSafety programs must place proper emphasis on life- saving actions. General approach in every emergency situation is explained below.1. Survey the scene. Proper precautions have to be taken, especially in toxic atmospheres. Quick and decisive actions have to be made sometimes, such as whether to move the casualty or wait for proper medical personnel to arrive, seeking help from people around.2. Do a primary survey of the victim.The victims breathing rate, heart rate and level of consciousness are noted here.3. Phone Emergency Medical Services for help..The victim should always be brought to the hospital for a proper examinationbefore declaring his state of health. 4. Do a secondary survey of the victim. Vital conditions such the victims breathing, heart rate, consciousness and any other injuries have to be monitored frequently.

CHAPTER 7OH&S Management System Assessment

7.1IntroductionAuditing is a procedure for periodic, systematic, documented, and objective evaluation of operations and practices in meeting safety, health, and environmental requirements[i].It is also a quality assurance tool that can verify whether management and technical practices exist, function properly, and are adequate to meet the organizations goals[ii]. An organization has to plan for annual internal and external safety audits to be conducted.The safety audit ought to cover the entire operation that is subjected to the OH&S management system, and assess compliance with OHSAS 18001.

7.2Reasons for Conducting AuditsOne important advantage of developing a program to audit OH & S functions is that it is possible to be proactive. Audits can complement regulatory oversight activities, provide an early warning system if problems exist and move the organization toward compliance with regulatory codes.OH&S system audits can help increase OH&S awareness, as well as evaluate whether or not the organization successfully:vDevelops organizational OH&S policies that implement regulatory and legal requirements and provide management guidance for OH&S hazards not specifically addressed in regulations.vTrains and motivates facility personnel to work in an acceptable manner and to understand and comply with legal requirements and the organizations OH&S policy.vCommunicates relevant OH&S information externally and internally within the organization.vApplies best management practices and operating procedures, including good housekeeping techniques.

vInstitutes preventive and corrective maintenance systems to minimize actual and potential OH&S hazards.

vAssess OH&S risks and uncertainties.

vSubstitutes materials or processes to allow use of the least hazardous substances feasible.

vEvaluate causes behind any serious environmental incidents and establishes procedures to prevent recurrence.

v Utilizes best available process and control technologies.

vUses the most effective sampling and monitoring techniques, test methods, record keeping systems, or reporting protocols.

7.3 Types of Audits

There are three types of audits:

first-party audits,

second-party audits or

third-party audits.

7.4Elements of an OHSAS AuditThis section will describe the different aspects of an HSE Audit, namely: physical, material, operational, procedural, human and informational.7.4.1 Physical AspectsPhysical Aspects to be considered include all constructed and naturally occurring structural and physical features of the workplace and its environment as well as their spatial relationships. Any location that may become a source of or contribute to an on-site workplace hazard or experience the risk of hazard due to the workplace can be considered a geographic area of actual risk.7.4.2 Material AspectsMaterial aspects refer to those physical, chemical or biological substances or agent that may pose a threat to human health and safety. 7.4.3 Operational AspectsPlant operations include those activities undertaken as a direct consequence of production.

7.4.4 Procedural AspectsProcedural aspects of a comprehensive facility audit include both procedures for conducting production- oriented operations and for accomplishing non- production oriented tasks. 7.4.5 Human AspectsThere is a need to recognize that this does not merely apply to employees only, but to all people who might be affected or at risk in one way or another due to the workplace. 7.4.6 Information AspectsCategories of information essential to design, implementation and management of a comprehensive workplace OH&S program includes the following, among others:Up-to-date copies of regulation and pertinent OH&S standardsWritten documents required by specific regulations (e.g., accident reports, emergency response procedures, hazardous waste manifests, etc.)Proceedings or minutes of meetings convened by the organizations OH&S committee

Description of all safety-related devices and equipment, including purpose, type, location, limits, and maintenance requirements Description of all personal protective clothing, including purpose, type, location, limits, and maintenance requirementsAmbient monitoring records (for air and/or water)Hazard and risk assessments of operations performed by facility personnel or by external consultants Inventory of hazardous materials, products, and by-productsEvaluations and recommendations regarding OH&S incidents or conditions, as well as planned or implemented follow-up actionsPersonnel training records regarding any aspect of workplace OH&S, such as names, dates and subject matter.

7.5The Audit ProcessThe audit program and procedures should identify the activities and areas to be audited, the frequency of the audits, who is responsible for managing and conducting the audits, how and to whom audit results will be communicated, and requirements for auditor competence[ii].

Before an external or internal audit is conducted, it is important to lay a foundation so that the audit can be conducted in an atmosphere of mutual respect, co-operation and confidence[iii].

Most of the time, the following protocols for auditing regulatory compliance and organizational management practices are followed in an OH & S audit.

Table 7.1: Safety and Environmental Protocols

7.5.1Establishing the Audit Objectives

Audit objectives might include:

Management Priorities Commercial Intentions Management System RequirementsStatutory, regulatory and contractual requirements Need for supplier evaluation Customer requirementsNeeds of other interested parties, and Risks to the organization

7.5.2Confidentiality of Audit

The confidentiality of whatever information obtained in the course of its certification activities extends to all levels in the certification body including committees, external bodies and individuals acting on the certification bodys behalf.

Information about the auditee organization and findings of the audits shall not be disclosed to a third party without the written consent of the auditee organization.

The auditor shall follow all documented procedures of the certification body to safeguard the confidentiality of all information obtained during all phases of the audit process.

7.6Stage 1 Audit 7.6.1Objective of Stage 1 AuditTo provide a focus for planning the stage 2 audit by gaining an understanding of the OHSMS in the context of the organizations OH&S policy and objectives, hazards identification, etc.

In particular, the organizations readiness for the audit can be assessed by reviewing the extent to which:The OHSMS includes an adequate and effective process for identification of the organizations hazards and subsequent risk assessmentFor any relevant activities of the organization, licenses are in placeThe OHSMS is designed to accomplish the organizations OH&S policyThe OHSMS implementation programme justifies proceeding to stage 2 auditAdditional documentation that needs to be reviewedKnowledge that has to be obtained in advance

7.6.2Information to be obtained

In this stage of audit, at least the following should be obtained :

OHSMS documentation inclusive of procedures and preferably a master list showing the cross reference of documentation to the related requirements of the standardA description of the organization and its on-site processesAn indication of the hazards and their associated impacts and the determination of significanceThe means by which continual improvement is achievedAn overview of the applicable regulations (including relevant licences and permits) and agreements with AuthoritiesInternal audit programmes and reports

7.6.3Requirements of Stage 1 Audit

In this stage, the certification body should:Review documents, plan and allocate resources for further document review where required and for stage 2 audit, verify that the necessary competence that will be available within the stage 2 audit teamCollect necessary information and identify those issues which will need special attention during stage 2 audit Provide an opportunity for feedback of information to the organizationAgree, with the organization, the details for stage 2 audit The following information may be needed for the stage 1 audit and may be required for detailed inspection during the stage 2 audit:

License / permit requirementsRecords (inclusive of records of incidents, breaches of regulation or legislation and relevant correspondence with Authorities) on which the organization based its assessment of compliance with regulatory requirementsDetails of internally identified nonconformance with details of relevant corrective and preventive action taken in the previous 12 months (or since commencement of the OHSMS implementation if this is less than 12 months)Records of management reviews (at least one must be conducted)Records of any OHSMS related communications received and any actions taken in response to them

7.6.4Document Review

Lead Auditor should review the organizations documentation such as OH&S policy statements, programmes, records or manuals for meeting its OHSMS requirements.

If the documentation is judged to be inadequate to conduct the audit, the client should be informed and additional resources should not be expended until further instructions have been received from the client.

When stage 1 is not conducted by a single person, the certification body should coordinate the activities of the various team members are..

7.6.5 Preparing for the on-site audit activities The audit team leader should prepare an audit plan to provide the basis for the agreement among the audit client, audit team and the auditee regarding the conduct of the audit. The plan should facilitate scheduling and co-ordination of the audit activities.

The audit plan should cover the following: The audit objectives The audit criteria and any reference documentsThe audit scope, including identification of the organizational and functional units and processes to be auditedThe dates and places where the on-site audit activities are to be conductedThe expected time and duration of the on-site activities , including meetings with auditees management and audit team meetingsThe roles and responsibilities of the audit team members and accompanying persons The allocation of appropriate resources to critical areas

The audit plan should also cover the following, as appropriate:

Identification of the auditees representative for the audit The working and reporting language of the audit where this is different from the language of the auditor and/or the auditee The audit report topics Logistic arrangements (travel, on-site facilities, etc) Matters related to confidentiality Any audit follow-up actions

The plan should be reviewed and accepted by the audit client, and presented to the auditee, before the on-site audit activities begin.

7.7 Stage 2 Audit On the basis of findings of the stage 1 audit, the certification body drafts audit plan for the conduct of stage 2.

7.7.1 Objectives for Stage 2 AuditThe objectives are:

To confirm that the organization adheres to its own policies, objectives and proceduresTo confirm that the OHSMS conforms with all the requirements of the OHSMS standard and is achieving the organizations policy and objectives

7.7.2Focus of Stage 2 Audit

To achieve the above objectives, the stage 2 audit should focus on the organizations

Hazards Identification and subsequent risk assessmentObjectives derived from the evaluation process Performance monitoring, measuring, reporting and reviewing against the objectives Internal auditing and management reviewManagement responsibility for the OH&S policy

However, the auditor may at his or her discretion include additional areas which he or she deems necessary based on the findings of the Stage 1 Audit.

7.8Roles, Responsibility and Activities7.8.1The Lead AuditorThe roles, responsibilities and activities of a Lead Auditor are as follow:

Consulting with the client and the auditee, if appropriate, in determining the criteria and scope of the auditObtain relevant background information necessary to meet the objectives of the auditDetermining whether the requirements for an audit as given in ISO 14010 have been metForming the audit team giving consideration to potential conflicts of interest, and agree on its composition with the clientDirecting the activities of the audit team according to the guidelines of ISO 14010 and ISO 14011Preparing the audit plan with appropriate consultation with the client, auditee and audit team membersCommunicating the final audit plan to the audit team, auditee and client

8.Coordinating the preparation of working documents and detailed procedures, and briefing the audit team9.Seeking help to resolve any problems that arise during the audit10.Recognizing when audit objectives become unattainable and report the reasons to the client and the auditee11.Representing the audit team in discussions with the auditee, prior to, during and after the audit,12.Notifying the auditee without delay, of the audit findings of critical nonconformance13.Reporting to the client on the audit clearly and conclusively within the time agreed with in the audit plan14.Making recommendations for improvements to the management system, if agreed in the scope of the audit.

The lead auditor must also ensure that all rules and regulations of the auditee organization, especially those relating to occupational health and safety issues, made known to the Audit Team are followed.

7.8.2The Auditor The roles, responsibilities and activities of an Auditor are as follow:

Following the directions of and support the lead auditorPlanning and carrying out the assigned task objectively, effectively and efficiently within the scope of the auditCollecting and analyzing relevant and sufficient audit evidence to determine audit findings and reach audit conclusions Preparing working documents under the direction of the lead auditorDocumenting individual audit findingsSafeguarding documents pertaining to the audit and return such documents as requiredAssisting in writing the audit report

The auditor must follow all rules and regulations, especially those relating to occupational health and safety issues, made known to them.

7.8.3The Audit Client

ISO 19011 defines the audit client as an organization commissioning the audit. The client responsibilities and activities are as follow:

a)Determining the need for the auditb)Contacting the auditee to obtain its full cooperation and initiating the processc)Defining the objectives of the auditd)Selecting the Lead auditor or auditing organization and, if appropriate, approving the composition of the audit teame)Providing appropriate authority and resources to enable the audit to be conductedf)Consulting with the lead auditor to determine the scope of the auditg)Approving the audit criteriah)Approving the audit plani)Receiving the audit report and determining its distribution

7.8.4The Auditee

ISO 19011 defines the auditee as the organization to be audited. The roles, responsibilities and activities of the auditee are as follow:Informing employees about the objectives and scope of the audit as necessaryProviding the facilities needed for the audit team in order to ensure an effective audit processAppointing responsible and competent staff to accompany members of the audit team, to act as guides to the site and to ensure that the audit team is aware of health, safety and other appropriate requirements.Providing access to the facilities, personnel, relevant information and records as requested by the auditorsCooperating with the Audit Team to permit the audit objectives to be achievedReceiving a copy of the audit report unless specifically excluded by the client

Pertaining to item 7.8.5 c, in organizations, rules and regulations relating to any GMP, HACCP and other occupational health and safety issues are particularly important and shall be followed by the Audit Team.

7.9Audit Sampling TechniquesThe decision on sample size is heavily dependent on the Auditors skills, experience, statistical knowledge and time available for the audit.

7.9.1Determining Sample Size

The following guidelines should be used for determining the sampling size during an audit:

The risk associated with the operation or activityThe number of different or similar operations or activitiesThe number of sites or locations where the activity is performedWhether the activity has customer or stakeholder specified requirements, or is governed by legislation or other requirementsCompetence of the Auditee performing the activity.

7.9.2Benefits of Audit SamplingSome of the benefits of sampling are:It may be impossible to audit all activities of an organization and sampling offers the only feasible alternativeSampling results when carried out with due professional care and adequate statistical knowledge offer a high level of confidence (accuracy) in the determination of the effectiveness of the audited systemIt is proven in many studies that sampling offers reliable results while saving time and moneyMinimize disruption to the business and operation of the auditee

7.9.3Risks of Audit SamplingSome of the risks of Audit Sampling are:Sampling may not be appropriate for certain activities such as checking the records of cyanide used in an electro-plating organizationLack of knowledge of occupational health and safety, technology, technical and environmental aspects of facility operation and sampling techniques will result in ineffective sampling planSampling requires the process to be stable and this may be difficult to achieve in certain activities where abnormal fluctuations can occur

7.10Use of Audit ChecklistPrepared by the Audit team during the document review and pre-audit Serve as an aid to audit planning while on-site.Assessment investigation should pursue and cover any other aspects for conclusion. Clues indicating nonconformities should be noted and investigated.Note the outcome (acceptable, nonconformance, observation or legal compliance) for each audited item.Completed checklist support the audit reporting to ensure its comprehensiveness.

7.10.1Advantages and Disadvantages of Using ChecklistsAdvantages:Checklists help auditors to organize, discuss, plan and conduct audits, and report audit results.Checklists facilitate a systematic and effective approach to auditing and help auditors to:

ensure that all systems, operational areas and processes are sufficiently covered.ensure that the auditing process is systematically done without sidetracking, thus saving the time and effort of both the auditees and auditors.

Developing a checklist requires the auditor to understand the documented system in detail. It helps the auditor to establish a better understanding of the auditees activities during the audit.

d) Checklists allow the auditor to systematically identify high risk areas. With a checklist an auditor can identify key questions relating to this area more easily.

e)Checklists may be sent to a supplier to complete before an audit is conducted to ascertain facts.

f)Checklists can be a good source of information for future audits or for designing better and more comprehensive checklists.

Disadvantages:Checklists may lead to limiting questions that generate yes/no answers. Further comments are usually useful and necessary. Effort should be made to avoid this problem.Checklists may breed complacent auditors who just go through the questions without getting into the details and seeking objective evidence.Use of a checklist may lead an auditor into using a predetermined sequence of thought and questions and may prevent an auditor from using his own discretion. Checklists can lead to a boring and rigid auditing process if the auditor is not flexible in exercising his judgment.A general checklist may result in a nonfocused audit; details may be overlooked.

7.10.2Guide to Checklist DesignIn developing a checklist for a particular department or function, an auditor can start by doing the following:a) Examining the standard clauses that are relevant to the area of interest. For example, in auditing the companys occupational health and safety policy, the primary requirement is expressed in Clause 4.2.

b) Looking at the specific statutory requirements, for example, in the control of hygiene for the food industry, and the control of dangerous chemicals such as cyanide.

c)Reviewing the documented OH&S manual, operational procedures, internal standards and site emergency plans. It is wrong to assume that voluminous OH&S documents attest to an effective environmental management system. Extensive documentation does not ensure that OH&S is being implemented effectively or at all. Therefore, time and effort should be spent on this documentation to set questions that will test the documented system.d)Performing a task analysis of the process model. By going through the typical five inputs of a process operators, machines, methods, materials and environment, auditors would be able to establish questions such as: Does the operator receive formal OH&S training?, Are the procedures adequate and documented?; and Are the emission controlled to the requirements?. e)Interacting with staff during the pre-audit plant walkthrough. A preliminary plant visit familiarizes the auditor with the facilities to be audited. It provides an overview of policies, procedures, standards and process flow. The impression that an auditor gains in this visit may help him or her to prioritize the areas of audit and provide a guide for further examination.

7.11Conducting the AuditThe following conducts of an audit process are good practices to be observed by the Audit Team (ref ISO 19011, Clause 6.5 & 6.6, ISO/IEC Guide 66, EAC/G5, IAF Guidance and IRCA requirements, where applicable).

7.11.1Opening Meeting At an opening meeting (ref ISO 19011 clause 6.5.1) with the companys senior management, the lead auditor shall perform the following tasks:a)Introduce the members of the audit team, including a brief description of their skills and assigned responsibilities, to the auditees managementb)Review the audit scope, objectives, audit plan and agree on the audit timetable

c)Where applicable, confirm the specification standard to be applied d) Provide a short introduction to the methods and procedures to be used in the audite)Establish the official communication link between auditors and auditeesf)Confirm that the resources and facilities needed by the audit team are availableg)Confirm the time and date of the closing meetingh)Promote the active participation by the auditeei)Review relevant site safety and emergency procedures for the auditj)Confirm the time and date of the closing meeting.

7.11.2 Audit MethodologiesThe method or a combination of methods to be used in order for the audit to be effective depends greatly on the auditees system, complexity of activities and processes, culture of the country, location of sites (for multi-site audits) and size of the organization.

Horizontal Audit Horizontal audit focuses on one element of OHSAS 18001 at a time to audit horizontally across the organization departments for compliance to the element. Upon completion of an element, say clause 4.3.1, the auditor moves on to the next applicable requirements, in this case clause 4.3.2. . This method is suitable for small organizations where the access to all areas, facilities and information are readily available.

Vertical Audit Vertical audit focuses on each department of the organization to audit all requirements of OHSAS for conformance by the department. Upon its completion, the auditor moves on to the next department assigned to him. This method is suitable for large organizations as well as in multi-sites audit where the access to all areas, facilities and information are difficult.

7.11.3 Collecting Audit Evidence OHSAS 18001 defines audit evidence as verifiable information, records or statements of facts, which can be qualitative or quantitative. Audit evidence, on a sampling basis, is typically collected through interviews, examination of documents, observation of activities and conditions, existing results of measurements and tests or other means within the scope of the audit. Evidence obtained from interview should be verified by obtaining supporting information from independent sources such as observation and existing records.

7.11.4Recording Audits FindingsOHSAS 18001 defines audit findings as results of the evaluation of the collected audit evidence compared with the audit criteria. The audit team should:Review all audit evidences to determine where the OHSMS does not conform to the OHSMS criteriaDocument all non-conformances in a clear, concise manner and supported by audit evidences Review audit findings with the responsible auditee management in order to obtain acknowledgement of the factual basis of all findings of nonconformance.7.11.5Audit Team MeetingThe purposes of regular meeting are to:a)Detect consistent nonconformance across different functions or department which may indicate major nonconformance or systemic failureb)Clarify uncertainties regarding audit plan, requirements of applicable standard or legal compliance issues with the Lead Auditor, Technical or Legal expert

c)Highlight areas for particular attention to other Audit Team membersd)Provide feedback to the Lead Auditor concerning the audit team performance and progress so that he can coordinate or make changes to improve the audit plan and timetable, where necessary

7.11.6Reporting Audit FindingsAudit findings should be based on facts obtained during the audit that are substantiated by objective, verifiable evidence accumulated during the assessment process.Auditors should avoid focusing on minor details and system technicalities to the extent that they lose sight of the audit purpose. It is essential to focus on the significant deficiencies and nonconformance with the audit objectives. The auditor should issue and sign the Non conformance Report (NCR) form and discuss it at a convenient time with the appropriate management representative (MR). The MR shall be asked to sign the NCR form to indicate its acceptance and agreement to resolve the nonconformance. If at any time the company is able to provide acceptable corrective action against an NCR, then the action may be verified and the NCR closed out by the lead auditor.

7.11.7Closing MeetingThe main purpose of this meeting is to present audit findings to the auditee in such a manner as to obtain their clear understanding and acknowledgement of the factual basis of the audit findings. The following are normally observed during the closing meeting:

a)Thank the auditee for their assistance and cooperationb)Circulate an attendance sheet for record purposesc)Present, discuss and obtain acknowledgement on NCRs. The responsibility of proposing corrective actions should always lie on the auditee and not the audit team. d)Resolve disagreements. Final significance and description of the audit findings ultimately rest with the Lead Auditor, though the auditee or client may still disagree with these findingse)Present an objective overview of the audit findings and the strength and weakness of the organizations OHSMSf)Arrange a provisional revisit date, if necessaryg)Lead Auditor states his recommendationh)Inform the company that it will be notified of the results of the audit directly from the certification bodyi)Close the meeting and leave all NCRs with the company so that it can initiate corrective actions

7.12Auditing Skills7.12.1Effective InterviewingEffective interviewing requires an ability to ask appropriate questions, to listen actively, and to articulate and interpret thoughts.The following pointers serve as a guide for an effective interview:a) Be a participative and not an authoritarian auditor. Create an encouraging atmosphere for discussion with the auditee. Do not start to give instructions to the auditeeb) Be open, trusting and polite. Do not assume negative roles such as policing, suspicious and accusatoryc) Set a friendly tone

d) Be prepared to slow down and allow time for auditee to think, if necessarye) Be sensitive to the non-verbal behavior, such as body language and attitude, of yourself and the auditeef) It is useful and constructive to point out that the aim of the audit is to verify the companys environmental management system for conformance and not to find fault with individual personnel7.12.2Questioning TechniquesEffective questioning techniques can elicit answers, uncover information and diffuse tension. In essence, an auditor should know what he is asking, why he is asking it and how to ask it on the basis of the background of the auditee and the information required. A good combination of different questioning techniques is also vital and paraphrase if necessary, to ensure that the auditee understand your question.

Table 7.2: Different Types of Questions

7.12.3Active ListeningListening skills can be improved by observing the following pointers:a)Be friendly and support the auditee whenever possible. Indicate that you are listening by nodding your head, frequent comments such as Yes, That is a good practice when used appropriately, can demonstrate your receptiveness and encourage the auditee to give more informationb)The auditing process should be controlled in the most efficient way. When the information is too lengthy, you may ask the auditee to summarize. However, when the information provided by the auditee is too brief, you should ask the auditee to elaboratec)Be observant and concentrate on what the auditee is saying. You should ask further questions if you have any doubts or when you detect inconsistencies in what he has saidd)Avoid any actions that may distract the auditee. Do not talk or interrupt the auditee while the auditee is speakinge)Be patient and allow ample time for the auditee to speakf)It sometimes pays to repeat what the auditee has said to confirm that you have correctly understood what he or she had said.

7.12.4Understanding Cultural DiversityThe five different dimensions of culture are the value, belief, pattern of thought, language and body languages.

Some examples of cultural diversities are:

Japanese prefers greater physical distance than the AmericansFemale are not allowed in places of worship in some Islamic countriesDifferent semantics of languages in different countries

7.13 Preparation of Audit ReportsAfter conclusions have been made, a final audit report has to be submitted to provide feedback to relevant parties, so that corrective actions can be taken. The final report should include the following elements:

Audit objectives and scope, and general information on the auditee.Particulars of the audit plan, identification of auditors and audited representatives, as well as the date and areas subject to audit.Audit findings such as general observations, description of cases of non- conformity, relevant CARS and recommendations, if any.Auditors appraisal.Systems ability to achieve stated OH&S objectives Audit conclusion

7.14The Certification Process

Figure 7.1: The Certification Process

Chapter 8Comparison of OHSAS 18001, BS 8800 and ISO 14001

8.1Significant Differences between OHSAS 18001 & BS 8800

The publication of BS 8800 in 1996 managed to fulfill part of the latters requirements, but it only offers guidance on implementing an OH&S management system, and is not intended for certification purposes.

Subsequently, OHSAS 18001 was developed to meet the markets growing demand for a common certification for OH&S management, which could be recognized worldwide.

8.2Similarities between OHSAS 18001, BS 8800, ISO 14001The format and structure of OHSAS 18001 was deliberately based on ISO 14001 when it was developed. Unlike BS 8800, OHSAS 18001 defines the critical management elements, which could be included in a health and safety management system but not how they could be achieved[ii]. The core approach that OHSAS 18000, BS 8800 and ISO 14001 adopt, basically follow these steps:1.Establishing a policy2.Planning: (a) Determine legal requirements(b) Set objectives and targets(c) Arrange management program

3.Implementation and operation: (a) Organize structure(b) Delegate responsibility(c) Conduct training and Promote awareness(d) Ensure competence(e) Establish communication and documentation systems(f) Implement Operational Control(g) Data and document control(h) Prepare emergency response plan

4.Checking and Corrective Action:(a) Monitoring and measurement(b) Corrective action(c) Records(d) Audits

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

Table 8.1: Table Showing the Correspondence between OHSAS 18001, BS 8800, ISO 14001, & ISO 9001 (page 2 of 3)

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

8.3Advantages of Integrating OHSAS 18001 & ISO 14001

For organizations that already have the ISO 14001 environmental management system implemented, there is no need for a complete set of new procedures to be prepared for the OH&S system. If existing management procedures exist, they could be modified or cross-referenced. This approach could make it quicker and cheaper for an organization to develop and implement an OH&S system.

CHAPTER 9LEGAL ASPECTS & LOCAL LEGISLATION

9.1Employment Law In the context of Occupational Health and Safety Legislation, we are concerned with the following: v Workplace Safety Law v Workers Compensation v Damages v Tort Law 9.2 Workers CompensationThe following sections will look into details of workers compensation laws.9.2.1Objective of Workers Compensation LawsThe six basic objectives that underlie workers compensation laws are:1.To provide sure, prompt, and reasonable income and medical benefits to work related accident victims, or income benefits to their dependents, regardless of fault.

To provide a single remedy, and reduce court delays, cost and workloads arising out of personal injury litigation.To relieve public and private charities of financial drain incident to uncompensated industrial accidents.To eliminate payment of fees to lawyers and witnesses, as well as time consuming trials and appeals.To encourage maximum employer interest in safety and rehabilitation through an appropriate experience-rating mechanism.To promote frank study of causes of accidents (rather than concealment of fault), thus reducing preventable accidents and human suffering.9.2.2Requirements for Benefits under Workers CompensationFour conditions or criteria must be established in order for the injured worker or surviving dependents to establish a claim for compensation. 1. There has to be an injury.2.The injury must have resulted from an accident.3.The injury must have arisen out of the workers employment.4.The injury must have occurred during the course of employment.

However, there are exceptions disallowing workers to claim compensation as a result of actions or inactions on the part of the employee. Intoxication or the use of a controlled substanceAn intentional self-inflicted injuryThe commission of a felony or a misdemeanorThe willful failure, or refusal, to obey a reasonably written or printed safety rule of the employerHorseplay or altercation with a fellow employeeFalsification of application of employment9.2.3Benefits Provided under Workers CompensationCash benefits will depend on the level of disability that the worker suffers as a result of an injury caused in the workplace. Medical benefits give the worker coverage over hospitalization, consultation and other medical bills incurred as a result of the work related injury.

9.3Federal Occupational Safety and Health Act (OSHA)9.3.1OSHAs Objectives

OSHAs objectives are as follows:Encourage employers and employees to reduce workplace hazards and to implement new or improved existing safety and health programs. Provide for research in occupational safety and health and develop innovative ways of dealing with occupational safety and health problems.Establish separate but dependent responsibilities and rights for employers and employees for the achievement of better safety and health conditions.Maintain a reporting and record-keeping system to monitor job-related injuries and illness.Establish training programs to increase the number of competent occupational safety and health personnel.Develop mandatory job safety and health standards, and enforce them effectively.Provide for the development, analysis, evaluation, and approval of state occupational safety and health programs.

9.3.2Employers Responsibilities under OSHAHe must ensure that the workplace complies with OSHA standards. Records of work-related injuries and illnesses and exposure to toxic materials are to be kept and maintained.Effort should be made to minimize or reduce accidents, as well as to provide medical examinations to employees as required by OSHA standards.9.4Local (Singapore) MovementIn the Ministry of Manpowers quest to attain their objectives, the services they provide include the following:Registration of factories.Inspection of factories to check for compliance with the Factories Act and related safety laws.Investigation of accidents to determine the causes and to recommend measures to prevent recurrence.Registration and inspection of pressure vessels and lifting equipment.

Setting standards on OH&S.Providing education an