Operational planning and controls - Context of the organization

Guidance on the use of this International Standard

A.4 Context of the organization

A.8.1 Operational planning and controls

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A.8.1.1 General

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Operational planning and controls should be established and implemented as necessary to enhance

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occupational health and safety, eliminate hazards or, if impossible, to reduce the OH&S risks to levels as

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low as reasonably practicable for operational areas and activities.

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When planning and developing operational controls, priority should be given to control options with

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higher reliability in preventing work-related injury and ill health. Operational controls can use a variety

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of different methods, for example:

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a) the introduction of procedures and systems of work;

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b) ensuring the competency of workers;

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c) establishing preventive / predictive maintenance and inspection programmes;

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d) specifications for the procurement of goods and services;

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e) compliance with preventive regulations and manufacturer's instructions for equipment;

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f) engineering controls (physical devices such as barriers) followed by administrative controls

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(warnings, safety signs, alarms and signals, or access control procedures and other work

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instructions).

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g) adapt work to workers.

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Work can be adapted to workers by, e.g.:

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— defining, or redefining, how it is organized;

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— the induction of new recruits;

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— defining, or redefining, processes and working environments to workers;

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— designing a new workplace and new equipment by using ergonomic approaches, etc.

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The OH&S management system’s processes and activities should be established to ensure that

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operational controls are implemented effectively (see 9.1.1), and actions taken to mitigate issues or

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determined nonconformities (see 10.1).

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A.8.1.2 Hierarchy of controls

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The hierarchy of controls is intended to provide a systematic approach to enhance occupational health

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and safety, eliminate hazards, and reduce or control OH&S risks. Each step is considered less effective

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than the one before it. It is usual to combine several steps in order to succeed in reducing the OH&S risks

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to a level that is as low as reasonably practicable.

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The following examples are given to illustrate measures that can be implemented at each level:

a) hazard elimination: avoiding risks, adapting work to workers, e.g. : integrate health, safety and

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ergonomics when planning new workplaces; create physical separation of traffic between

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pedestrians and vehicles;

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b) substitution: replacing the dangerous by the non-dangerous, or the less dangerous; combating the

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risks at source; adapting to technical progress, e.g. : replacing solvent based paint by water based

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paint;

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c) engineering controls: implement collective protective measures, e.g. : isolation; machine guarding;

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ventilation systems; mechanical handling; noise reduction; protecting against falls from height by

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using guard rails;

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d) administrative controls: giving appropriate instructions to workers, e.g.: lock out processes;

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periodical safety equipment inspections; health and safety coordination with subcontractors’

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activities; induction; forklift driving licenses; rotation of workers;

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e) personal protective equipment (PPE) : provide adequate PPE, and instructions for PPE utilization

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and maintenance, e.g. : safety shoes; safety glasses; hearing protection; chemical and liquid resistant

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gloves; electrical protection gloves; cutting resistant gloves.

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A.8.2

Management of change

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The objective of a management of change process is to enhance occupational health and safety at work,

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by minimizing the introduction of new hazards and OH&S risks into the work environment as changes

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occur, such as in technology, equipment, facilities, work practices and procedures, design specifications,

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raw materials, staffing changes, and standards or regulations. Depending on the nature of an expected

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change, the organization should use an appropriate methodology(ies) for assessing the OH&S risks and

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the OH&S opportunities of the change. The need to manage change can be an outcome of the planning

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process (see 6.1.4).

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The organization should plan how to implement a change in a manner that does not introduce new

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(unforeseen) hazards (see 6.1.4) or increase the OH&S risks. Additionally, the organization should use

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this process to find OH&S opportunities, such as less hazardous and/or toxic alternatives in order to

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continue to reduce the OH&S risks to workers and/or others who are responsible for handling or working

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with the products, materials, etc.

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The organization should specify and assign adequate resources for the implementation of a change.

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As part of the change management process, the organization should review potential changes to hazards

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and OH&S risks (see 6.1). The implementation of a decision to change should ensure that all affected

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workers are properly informed and are competent to cope with the change.

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A.8.3

Outsourcing

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An outsourced process is one that fulfils all of the following:

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a) it is within the scope of the OH&S management system;

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b) it is integral to the organization’s functioning;

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c) it is needed for the OH&S management system to achieve its intended outcome;

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d) liability for conforming to requirements is retained by the organization;

e) the organization and the external provider have a relationship where the process is perceived by

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interested parties as being carried out by the organization.

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A.8.4

Procurement

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Prior to procuring goods and services, the organization should identify appropriate procurement

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controls. The procurement controls should be used to identify and evaluate potential OH&S risks

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associated with e. g. products, hazardous materials or substances, raw materials, equipment, or services

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before their introduction into the workplace. Considerations could include requirements for supplies,

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equipment, raw materials, and other goods and related services purchased b y the organization to

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conform to the organization’s OH&S objectives and its need for information, participation and

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communication (see 7.4).

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The organization should verify that equipment, installations and materials are adequate before being

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released for use by its workers, e. g. that:

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a) equipment is delivered according to specification and is tested to ensure it works as intended;

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b) installations are commissioned to ensure they function as designed;

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c) materials are delivered according to their specifications;

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d) any usage requirements, precautions or other protective measures are communicated and made

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available.

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A.8.5

Contractors

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The organization may delegate authority to those best capable of identifying, evaluating, and controlling

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OH&S risks, including to contractors. This recognizes that some contractors possess specialized

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knowledge, skills, methods, and means. However, this delegation does not eliminate the organization’s

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responsibility for the health and safety of its workers.

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Contractors can be specialists in maintenance, construction, operations, security, landscaping, facility

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upkeep, janitorial, sanitation or clean-up of production processes, and a number of other functions.

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Contractors can also include consultants or specialists in administrative, accounting, and other functions.

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An organization can achieve coordination of its contractors' activities through the use of contracts that

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clearly define the responsibilities of the parties involved. An organization can use a variety of tools for

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managing contractors' health and safety performance, including contract award mechanisms or pre-

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qualification criteria which consider past health and safety performance, safety training, or health and

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safety capabilities, as well as direct contract requirements.

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The relationships between an organization and its contractors can be both diverse and complex, and

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involve very different types and levels of OH&S risks. How an organization manages these relationships

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can vary, depending on the nature of the services provided and the risks identified. The degree of

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coordination should depend on factors such as the terms of the contract, the nature of the hazards and

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risks, the type and size of the operations, and the duration of the work on the site. When defining how it

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will coordinate, the organization should give consideration to the reporting of hazards between itself and

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its contractors, controlling worker access to hazardous areas, and procedures to follow in emergencies.

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If a contractor does not have an OH&S management system, then the organization should specify how the

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contractor will coordinate its activities with the organization's own OH&S management system processes

(such as those used for confined space entry, lockout/tagout, exposure assessment, and process safety

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management), and for the reporting of work-related injuries and ill health.

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The organization should verify that contractors are capable of performing their tasks before being

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allowed to proceed with their work, e.g. by verifying that:

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a) OH&S performance records are satisfactory;

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b) qualification, experience and competence criteria for workers are specified;

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c) training and other worker requirements were undertaken;

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d) resources, equipment and work preparations are adequate and ready for the work to proceed.

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A.8.6

Emergency preparedness and response

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The organization should identify foreseeable emergencies applicable to its operations and plan its

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response; such emergencies can occur both during and beyond normal working hours, and can arise due

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to both natural and man-made causes. Identified emergencies should be assessed based on their OH&S

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risks. The organization should focus on proactive control measures (e.g. the reduction of ignition sources)

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not only on reactive risk controls, such as fire-fighting equipment and evacuation.

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A.9 Performance evaluation

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A.9.1

Monitoring, measurement, analysis and evaluation

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A.9.1.1 General

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Monitoring, measurement, analysis and evaluation should be appropriate to the size and nature of the

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organization and to its OH&S performance.

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Monitoring and measuring results are used by an organization during its evaluations of OH&S

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performance.

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a) Examples of what could be monitored and measured to meet the requirements of this International

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Standard can include, but are not limited to:

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1) progress on meeting policy commitments, achieving objectives, and continual improvement;

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2) occupational health complaints, health surveillance of workers and work environment

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monitoring;

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3) work related incidents, injuries and ill health, and complaints, including trends;

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4) the effectiveness of operational controls and emergency exercises, or to evaluate the need to

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modify or introduce new controls (see 8.1);

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5) proactive and reactive actions affecting the organization’s OH&S performance;

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6) performance of the OH&S management system;

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7) competence (7.2);

b) Examples of what could be monitored and measured to evaluate the fulfilment of legal requirements

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can include, but are not limited to:

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1) identified legal requirements ( have all applicable legal requirements been determined, and are

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the organization’s records of them kept up-to-date);

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2) the status of identified gaps in compliance;

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c) Examples of what could be monitored and measured to evaluate the fulfilment of other requirements

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can include, but are not limited to:

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1) union-employer agreements;

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2) standards and codes;

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3) corporate and other policies, rules and regulations;

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4) insurance requirements;

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d) Criteria are what the organization should compare its performance against:

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1) Examples are benchmarks against:

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i) other organizations;

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ii) standards and codes;

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iii) the organization’s own codes and objectives;

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2) The organization should use the criteria to set its internal objectives for monitoring and

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measurement;

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3) To measure criteria, indicators are typically used, for example:

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i) If the criterion is a comparison of incidents, the organization may choose to look at frequency,

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type, severity, or number of incidents; then the indicator could be the determined rate within

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each one of these criteria;

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ii) If the criterion is a comparison of completions of corrective actions, then the indicator could

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be the percentage completed on time.

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Methods include:

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— Monitoring can involve continual checking, supervising, critically observing or determining the

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status in order to identify change from the performance level required or expected. Monitoring can

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be applied to the OH&S management system, to processes or to controls. Examples include the use of

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interviews, reviews of documented information and observations of work being performed;

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— Measurement generally involves the assignment of numbers to objects or events. It is the basis for

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quantitative data and is generally associated with the evaluation of safety programmes and health

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surveillance. Examples include the use of calibrated or verified equipment to measure exposure to a

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hazardous substance or the counting of the required safe distance from a hazard;

— Analysis is the process of examining data to reveal relationships, patterns and trends. This can mean

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the use of statistical operations, including information from other similar organizations, to help draw

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conclusions from the data. This process is most often associated with measurement activities;

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— Evaluation is an activity undertaken to determine the suitability, adequacy and effectiveness of the

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subject matter to achieve the established objectives of the OH&S management system. This activity

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is most often associated with monitoring activities.

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Occupational health complaints, health surveillance of workers and work environment monitoring are

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important elements. Where this is appropriate, suitable medical monitoring or follow-up of workers can

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be required. This can assist in the early detection of signs and symptoms of harm to health and to assess

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the effectiveness of prevention and control measures.

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The frequency of monitoring and measurement should be appropriate to the size and nature of the

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organization and its OH&S performance, and to changes in OH&S risk.

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The organization should ensure that frequencies of monitoring and measurement are in alignment with

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analysis and evaluation of its OH&S risks, risks, OH&S opportunities, and opportunities.

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A.9.1.2 Evaluation of compliance with legal requirements and other requirements

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The organization should prioritize its actions based on the identified compliance gaps.

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A.9.2

Internal audit

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A.9.2.1 Internal audit objectives

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An organization’s own requirements for its OH&S management system audits may be additional to those

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required by this International standard.

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Internal audit objectives can be based on:

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a) an organization’s own policies, requirements and top management’s OH&S priorities;

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b) standards;

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c) results of both OH&S risk and risk assessments ;

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d) results of previous audits, including contractor audits;

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e) incidents, corrective actions and nonconformities;

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f) worker participation;

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g) needs and expectations of interested parties;

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h) level of maturity of the management system;

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i) performance evaluation results.

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When planning its internal audits the organization should take into consideration the importance of the

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processes concerned to the OH&S management system. This can include items such as the impact the

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processes have on risk assessment outcomes.

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The extent of the audit programme should be based on the size and nature of the organization, as well as

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the complexity and level of maturity of the OH&S management system.

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Small and medium enterprises (SMEs) can establish objectivity and impartiality of the internal auditor

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by creating processes that separate their role as an internal auditor from their normal assigned duties.

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SMEs can also use external organizations in this role.

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A.9.3

Management review

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Clarifying the terms used in relation to management review:

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a) Suitability: The extent to which the management system fits and is right for the organization ‘s

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purpose, operations, culture and business systems;

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b) Adequacy: The extent to which the management system is sufficient in meeting the applicable

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requirements;

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c) Effectiveness: The extent to which planned activities are realised and planned results achieved.

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The management review topics listed in 9.3 a) to g) need not be addressed all at once; the organization

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should determine when and how the management review topics are addressed.

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Management reviews are a critical part of the continual improvement of the management system. The

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purpose of these reviews is for top management to undertake a strategic and critical evaluation of the

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performance of the management system, and to recommend improvements.

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This review should not be just a presentation of information, but should focus on assessing OH&S

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performance and identifying opportunities for continual improvement. It is up to the organization to

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determine appropriate measures for the effectiveness of the OH&S management system.

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Management reviews should include an evaluation of how well the OH&S management system is

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integrated with other business processes and the strategic direction of the organization. Management

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reviews can include information about, for example, suppliers and contractors, internal changes in the

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organization, and security concerns.

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Reviews can present information in a manner (for example a scorecard) that focuses on the management

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system elements most in need of the attention of top management. Reviews may be scheduled to coincide

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with other management reviews, or to meet other business or management system needs.

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The adequacy of resources in item 9.3 g) includes the training and competency of workers.

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A.10 Improvement

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A.10.1

Incident, nonconformity and corrective action

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Separate processes may exist for incident investigations and nonconformities depending on the

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organization's requirements.

Examples of incidents, nonconformities and corrective actions include but are not limited to:

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a) incidents: work related near-miss events, injuries and ill health, exposures to health hazards,

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occupational diseases, property and equipment damage where it can lead to OH&S risks, and vehicle

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accidents;

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b) nonconformities: protective equipment not functioning properly, failure to apply legal requirements,

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or prescribed procedures not being followed;

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c) corrective actions: (as indicated by the hierarchy of controls; see 8.1.2) elimination of hazards,

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substitution to safe materials, design or modification to equipment or tools, development of

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procedures, improving the competence of affected workers, changes in frequency of use, or use of

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personal protective equipment.

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Root cause analysis refers to the practice of exploring all the possible factors associated with an incident

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by asking what happened and why it happened, to provide the input for what can be done to prevent it

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from happening again.

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When determining the root cause of an incident or nonconformity, the organization should use methods

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appropriate to the nature of the incident or nonconformity being analysed. This analysis can identify

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multiple system failures including factors related to communication, competence, fatigue, equipment or

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procedures.

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Root cause analysis should be focused on prevention and not on blame or punishment.

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Actions, including corrective actions, (see 10.1d)) should be based on the nature of the incident or

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nonconformity and should be implemented in a timely manner.

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Reviewing the effectiveness of corrective actions (see 10.1e)) refers to the extent the implemented

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corrective actions adequately control the root cause(s).

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A.10.2 Continual improvement

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Continual improvement is a step by step approach to improve the OH&S management system over time.

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The objectives in 10.2.1 are intended as the minimum an organization needs to consider.

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The following is a list of clauses and subclauses in this International Standard which can provide inputs

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into continual improvement:

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a) Clause 4 ‘Context of the organization’;

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b) 5.4 ‘Participation, consultation and representation’;

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c) 6.1 ‘Actions to address risks and opportunities’;

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d) 6.2 ‘OH&S Objectives and plans to achieve them’ ;

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e) 7.4 ‘Information and communication’;

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f) 9.1 ‘Monitoring, measurement, analysis and evaluation’;

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g) 9.2 ‘Internal audit’;

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h) 9.3 ‘Management review’;

i) 10.1 Incident, nonconformity and corrective action.

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Additional examples of issues to identify opportunities include, but are not limited to:

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— new technology;

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— good practices, both internal and external to the organization’s;

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— suggestions and recommendations from interested parties;

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— new knowledge and understanding of health and safety related issues;

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— new or improved materials;

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— changes in worker capabilities or competence;

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— achieving improved performance with fewer resources (i.e. simplification, streamlining etc.).

Bibliography

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[1] ISO 9001, Quality management systems — Requirements

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[2] ISO 14001, Environmental management systems — Requirements with guidance for use

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[3] ISO 19011, Guidelines for auditing management systems

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[4] ISO 31000, Risk management — Principles and guidelines

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[5] ISO 37500, Guidance on outsourcing

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[6] ISO 39001, Road traffic safety (RTS) management systems – Requirements with guidance for use

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[7] ISO Guide 73, Risk management — Vocabulary

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[8] ILO Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001); International

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Labour Office, Geneva, http://www.ilo.org/safework/info/standards-and-instruments/lang--

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en/index.htm

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[9] ILO International Labour Standards (including those on occupational safety and health)

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http://www.ilo.org/normlex (click on "instruments", then "Conventions and Recommendations by 1938

subject") 1939

[10]OHSAS 18001 Occupational health ans safety management systems – Requirements; OHSAS Project

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Group; July 2007, 2nd ed., 34p.; London; ISBN 978 0 580 50802 8

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[11] OHSAS 18002 Occupational health and safety management systems – Guidelines for the

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implementation of OHSAS 18001:2007; OHSAS Project Group; Nov 2008, 2nd ed., 88p.; London; ISBN 978

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0 580 61674 7

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In document ISO_DIS_45001_(E) (Page 50-60)