tlm 113 note 4
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Health & Safety Management Lecturing Resource
for
Quarrying Related Degree Courses
LECTURE NOTES:
HEALTH & SAFETY MANAGEMENT
SYSTEMS
Objectives of this Section
To define the concepts and components of a health and safety
management system;
To outline recent developments in health and safety management
including the development of OHSAS18001 and accreditation.
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1.0 Introduction
Many of the industrially developed countries of the world have seen injury and illness rates
decline over the last ! years" However these rates have generally reached a plateau over
the last decade" #his fact$ coupled with the realisation of the role of management andorganisational %latent failures in accident causation$ has lead to new approaches in
managing health and safety$ most nota'ly the use of a systems approach" #he importance of
managing health and safety has 'een highlighted in recent official reports of major accidents
and has received increasing emphasis in (H&S legislation"
) Health and Safety Management System can 'e defined as *the means 'y which an
organisation controls ris+ through the management process,"
The BS define a OH!S management system as "part of the overallmanagement system that facilities the management of the OH!S ris#sassociated $ith the %usiness of the organisation. This includes theorganisational structure& planning activities& responsi%ilities& practices&procedures& processes and resources for developing and achieving&revie$ing and maintaining the organisation's OH!S policy.
(
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Or"ni#in
An %--%cti% $"n"%$%nt #tructur% "nd "rr"n%$%nt# "r% in (,"c% -or d%,i%rin t!%
(o,ic'.
)ll staff are motivated and empowered to wor+ safely and to protect their long;term health$
not simply to avoid accidents" #he arrangements are0
underpinned 'y effective staff involvement and participation> and
sustained 'y effective communication and the promotion of competence which allows all
employees and their representatives to ma+e a responsi'le and informed contri'ution to
the health and safety effort"
#here is a shared common understanding of the organisation:s vision$ values and 'eliefs" )
positive health and safety culture is fostered 'y the visi'le and active leadership of senior
managers"
/,"nnin
T!%r% i# " (,"nn%d "nd #'#t%$"tic "((ro"c! to i$(,%$%ntin t!% !%",t! "nd #"-%t'
(o,ic' t!rou! "n %--%cti% !%",t! "nd #"-%t' $"n"%$%nt #'#t%$.
#he aim is to minimise ris+s" Ris+ assessment methods are used to decide on priorities andto set o'jectives for eliminating ha?ards and reducing ris+s" @herever possi'le$ ris+s are
eliminated through selection and design of facilities$ eAuipment and processes" /f ris+s
cannot 'e eliminated$ they are minimised 'y the use of physical controls or$ as a last resort$
through systems of wor+ and personal protective eAuipment" 1erformance standards are
esta'lished and used for measuring achievement" Specific actions to promote a positive
health and safety culture are identified"
M%"#urin (%r-or$"nc%
/%r-or$"nc% i# $%"#ur%d ""in#t "r%%d #t"nd"rd# to r%%", !%n "nd !%r%
i$(ro%$%nt i# n%%d%d.
)ctive self;monitoring reveals how effectively the health and safety management system is
functioning" #his loo+s at 'oth hardware %premises$ plant and su'stances and software
%people$ procedures and systems including individual 'ehaviour and performance" /f
controls fail$ reactive monitoring discovers why 'y investigating accidents$ ill health or
,
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incidents which could cause harm or loss" #he o'jectives of active and reactive monitoring
are0
to determine the immediate causes of su'standard performance> and
to identify the underlying causes and the implications for the design and operation of the
health and safety management system"
LongerBterm o'jectives are also monitored"
Auditin "nd r%i%in (%r-or$"nc%
T!% or"ni#"tion ,%"rn# -ro$ ",, r%,%"nt %(%ri%nc% "nd "((,i%# t!% ,%##on#.
#here is a systematic review of performance 'ased on data from monitoring and fromindependent audits of the whole health and safety management system" #hese form the
'asis of self;regulation and of complying with sections to 9 of the Health and Safety at
@or+ etc )ct 34
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3.0 R%c%nt 4%%,o($%nt# in OH&S M"n"%$%nt S'#t%$#
St"nd"rdi#"tion
/n recent years a great deal of emphasis has 'een placed on standards and standardisation"
(ne of the main reasons for this is that most major companies in the industrially developed
world are multinational and favour a standardised approach to aspects of their 'usiness"
(ver the last decade the /nternational Standards (rganisation %/S( has produced two
major standards for organisations namely0
/S( 4!!! series0 Quality Management Systems
/S( 3!!! series0 5nvironmental Management Systems
=oth these standards integrate their respective functions within a 'usiness and managementframewor+ and have 'een developed internationally 'y the world community"
) standard is defined 'y the =S/ as0
A document& esta%lished %y consensus and approved %y a recognised%ody& that provides for common and repeated use& rules& guidelines& orcharacteristics for activities or their results& aimed at the achievement ofthe optimum degree of order in a given contet.
Such Standards are voluntary and are designed to 'e e.ternally verified 'y nationally
accredited 'odies" /t is argued that companies who register with these schemes will
e.perience mar+et advantages$ a 'etter relationship with regulatory authorities$ investors$
insurance companies as well as e.periencing financial 'enefits through greater efficiency"
@ithin these series mentioned a'ove there are two types of *standards, document$ which are
specifications and guidance documents"
) specification is a 6detailed set of re/uirements to %e satisfied %y a product& material&
process or system& indicating the procedures for chec#ing conformity to thesere/uirements7" Specifications are written in such a way to ena'le conformity to 'e
verified 'y any first party %supplier$ second party %purchaser or third party %independent
certifier"
) guidance document provides advice rather than a set of verifia'le reAuirements and is
designed as an internal management tool"
/t has long 'een recognised that a health and safety management system is analogous to an
environmental management system and much de'ate has ta+en place across the world onwhether such a certifia'le standard should 'e produced for health and safety management
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systems" #he /S( 3!!3 management system model is shown in the figure 'elow and as
can 'e seen there is a great deal of overlap with the HS5 model descri'ed earlier"
Status
ReviewReviewOHSOHS
PolicyPolicyPlanninPlannin
gg
OHS PolicyOHS Policy
PlanningPlanning
Implementation
& Operation
Implementation
& OperationChecinCorrectivActio
Checing &CorrectiveAction
ContinuIm rovem
Continual
Improvement
Mana emeRevie
Mana ement
Review
/n 344< the /S( decided for various reasons not to proceed with the development of a formal
international standard on health and safety management systems" )s a result a num'er ofindividual country 'ased standards have 'een produced$ and a recent survey underta+en 'y
the Eniversity of Michigan identified a total of F3 standards$ guidance documents and
codes of practice availa'le in the world community" #he pu'lishers of these documents
include national and state2provincial governments$ national standards organisations and
professional health and safety associations" #he EG was one of the first countries to produce
such a document when in 3449 the =ritish Standards (rganisation produced =S !!"
5S 6600
=S!! Fwas written as a guidance document and descri'es how the management system
models in 'oth the HS5 pu'lication %HS89 and /S( 3!!3 can 'e used to ena'le the
integration of health and safety management within an overall management system" =S!!
Dairymple at al %344$ (ccupational Health & Safety Management Systems0 Review and )nalysis of
/nternational$ national and regional systems and proposals for a new international document$ Report
prepared 'y /nternational (ccupational Hygiene )ssociation for the /nternational La'our (ffice"
F=S/ %34490 =S!!0 8uide to (ccupational Health and Safety Management Systems"
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is intended to 'e suita'le for 'oth large and small organisations covering a wide range of
manufacturing and service industries and gives advice on0
How to evaluate shortcomings with an e.isting health & safety management system
%(HSMS>
@hat an adeAuate system should comprise of>
How to progress from e.isting system to an adeAuate system"
(ver
*unofficial, certification to the guidance"
T!% OHSAS S%ri%#
-ollowing the success of =S!! and the concern over the num'er of organisations$ such
as consultancies offering independent certification to the guidance in =S!!$ several
organisations %'oth from the EG and internationally lead 'y the =S/ got together to produce
a (HSMS specification" #he principal aim of this was to produce some consistency" #he
result was the pu'lication in 3444 of (HS)S 3!!3 " #his is not an official =ritish Standard
nor an /S( standard$ however many of the major accreditation companies are offering
certification to the standard"
#he management system model used in (HS)S 3!!3 is the /S( 3!!3 model" )s a
specification$ (HS)S 3!!3 lists a num'er of management system reAuirements using
*shall, statements such as *the organisation shall esta%lish and maintain documented health
and safety o%ectives& at each relevant function and level $ithin the organisation'"
#he elements and su';elements of (HS)S 3!!3 are shown in the diagram 'elow0
=S/ %34440 (HS)S 3!!30 (ccupational Health and Safety Management Systems I Specification"
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Status
ReviewReviewOHSOHS
PolicyPolicyPlanninPlannin
gg
OHS PolicyOHS Policy
PlanningPlanning
Implementation
& Operation
Implementation
& OperationChecinCorrectivActio
Checin &Corrective
Action
ContinuIm rovem
Continual
Improvement
Mana emeRevie
ManagementReview
!" OH&S Policy
()() T"e *ealt" + Sa%ety Policy
#" Planning
,)() Planning %or "a-ar ienti%ication& ris.
assessment an control
,),) /egal an ot"er re#$irements
,)0)
O12ectives
,)3) O*+S management !rogramme4s5
$" Implementation and Operation
0)() Str$ct$re an res!onsi1ility
0),) Training& a'areness an com!etence
0)0) Cons$ltation an Comm$nication
0)3) Doc$mentation
0)6) Doc$ment an ata control
0)7) O!erational Control
0)8) Emergency !re!areness an res!onse
%" Checing and Corrective Action
3)() Per%ormance meas$rement an monitoring
3),) Accients& incients& non9con%ormances
an corrective an !reventative action
3)0)
Recors an recor management
3)3) A$it
" Management Review
6)() :anagement Revie'
/n !!! the =S/ produced (HS)S 3!! to provide generic guidance on the application of
3!!3" #his document descri'es the intent$ typical inputs$ processes and typical outputs$
against each reAuirement of 3!!3 listed a'ove in order to aid the understanding and
implementation of (HS)S 3!!3"
=S/ %!!!0 (HS)S 3!! (ccupational Health and Safety Management Systems0 8uidelines for
the /mplementation of (HS)S 3!!3"
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). 4rovide ade/uate and appropriate resources to implement the policy
1lanning and adeAuate preparation are the +ey to successful implementation" (ften
policy statements and o'jectives are unrealistic 'ecause there are inadeAuate and2or
inappropriate resources availa'le to deliver them"
*. The setting and pu%lishing of OH!S o%ectives& even if only %y internal notification5
@hile the 'asic reAuirements and aims of health and safety management remain$ the
impetus of producing and reviewing an annual plan acts as a 'usiness focus" /t also
ena'les organisations to demonstrate to employees and other sta+eholders how (H&S
management is 'eing developed" )ll employees should 'e aware of the o'jectives"
+. 4lace the management of OH!S as a prime responsi%ility of line management& from the
most senior eecutive to first line supervisory level
/ncluding a safety o'jective as part of the annual management performance review
reinforces this responsi'ility as well as maintaining an individual focus on your specific
safety targets"
,. To ensure that the policy statement is understood& implemented and maintained at all
levels in the organisation
)ny policy statement should 'e clear and concise and related to the activities of the
organisation" 5ffective communication to staff at all levels throughout the organisation isvital" /nitial induction training should 'e used to demonstrate to new staff from day one
the genuine commitment of the organisation to (H&S management"
-. 6mployee involvement and consultation to gain commitment to the policy and its
implementation.
/nvolving employees is often neglected" /n most$ if not all industries$ employees wish to
contri'ute$ positively to (H&S management to reduce the li+elihood of costly incidents
and2or claims" )t the end of the day$ they recognise that (H&S needs to 'e managed
cost;effectively to maintain the security of their employment and the Auality of their wor+;
environment"
8. 4eriodic revie$ of the policy& the management system and audit of compliance to policy
(H&S management cannot 'e compartmentalised" /t must evolve continually as part of
overall management philosophy to meet changing 'usiness demands$ new legislation
and new technology$ as well as maintaining the complete involvement of all employees"
. 6nsure that employees at all levels receive appropriate training and are competent tocarry out their duties and responsi%ilities.
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/t is a common misconception that the only employees needing training are those
wor+ing at the sharp end" #his is not the case0 management at all levels need to
understand their responsi'ilities and 'e competent to underta+e the tas+s they are
reAuired to perform"
#raining must 'e appropriate to the needs of each employee and to the positive 'enefit
of the organisation"
#raining should not 'e a :one;off 'ut tailored to 'usiness demands and supported 'y
appropriate refresher courses to maintain standards$
/,"nnin -or H%",t! & S"-%t' M"n"%$%nt
-rom the outset$ it is essential that there is commitment at the highest level within the
organisation to the (H&S management system" #he planning process should 'e 'ased on a
proactive approach$ identifying those areas of ris+ that are not tolera'le$ and putting in place
controls wherever this is deemed to 'e necessary" 1lanning for (H&S involves0
/dentifying reAuirements for the system ; what needs to 'e done
Setting clear performance criteria ;what is to 'e done
/dentifying who is responsi'le ; who gets it done
Setting time scales I when it should 'e done 'y
/dentifying the desired outcome ;what should 'e the result
=oth =S!! and (HS)S 3!!3 identify three +ey areas which need to 'e addressed
during the planning stage"
Ri#8 A##%##$%nt "nd M"n"%$%nt
#he intent of this reAuirement is so that the organisation can appreciate all significant (H&S
ha?ards facing it using the process of ris+ management" #his is descri'ed in full in another
part of this course"
1*
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L%", r%9uir%$%nt#
#he organisation should identify all legal reAuirements applica'le to it as well as any other
industry or company specific reAuirements to which it su'scri'es
H%",t! & S"-%t' O%cti%# "nd /ror"$$%#
Health and safety o'jectives are a major part of a management system and are defined as
6the goals in terms of H!S performance that an organisation sets itself to achieve and
should %e /uantified $herever practica%le7"
(H&S ('jectives should 'e set annually" 5.amples of types of an (H&S o'jective include0
#he introduction of additional features into the (H&S management system %e"g" permit
to wor+ systems for specific tas+s$ strategic (H&S safety training for supervisors etc"
#he improvement of e.isting features$ or the constancy of their application across the
organisation %e"g" accident reporting$ communication of standard procedures etc""
#he elimination or the reduction in freAuency of particular undesired incidents %e"g"
reduce accidents 'y !J$ remove all ha?ardous material etc"
Suita'le indicators should 'e defined for each o'jective" #hese indicators should allow for
the monitoring of the implementation of the o'jectives"
-ormal action plans should 'e drawn up for each (H&S o'jective that has 'een identified"
#hese should form the 'asis of the 'usiness plans for each forthcoming year"
#he (H&S action plans should identify the0
/ndividuals who are responsi'le for the deliverance of the o'jectives across the
organisation and2or within each operation
Karious tas+s that need to 'e underta+en in order to meet each o'jective"
#hese action plans should 'e developed in consultation with the responsi'le person%s"
I$(,%$%nt"tion & O(%r"tion
-or successful implementation and operation of an (H&S management system the following
reAuirements should 'e addressed"
1+
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Ro,%# "nd R%#(on#ii,iti%#
)t all levels within the organisation$ people need to 'e aware of their roles and
responsi'ilities" )ccording to =S!! the following aspects should 'e addressed0
3 /ndividual (H&S responsi'ilities should 'e clearly defined" @here jo' descriptions
are used it may 'e appropriate to include such responsi'ilities"
)ll personnel should 'e given the authority and resources %including time necessary
to carry out their responsi'ilities"
F )ppropriate arrangements should e.ist where'y people are held accounta'le for
discharging their responsi'ilities"
Reporting relationships should 'e clear and unam'iguous"
@here personnel appraisal systems e.ist (H&S responsi'ilities should 'e included"
Tr"inin & Co$(%t%nc%
#he Auarry should have effective procedures for ensuring the competence of personnel to
carry out their designated functions" )ccording to =S!! the (H&S management system
should include0
3" Systematic identification of the competencies reAuired 'y each employee and the
training needed to remedy any shortfall"
" 1rovision of training identified as 'eing necessary in a timely and systematic
manner>
F" )ssessment of individuals to ensure that they have acAuired and maintain the
+nowledge and s+ills necessary for the level of competence reAuired"
" #he maintenance of appropriate training2s+ills records"
5nsuring the training and competence of employees is also a specific reAuirement of the
Quarries Regulations$ 3444 %Regulation 4"
Con#u,t"tion & Co$$unic"tion
#he organisation should encourage participation in$ and support for$ (H&S$ from all those
affected 'y its operations$ 'y a process of consultation and communication" =S!! states
that organisations need to ensure that they have effective arrangements for0
)" /dentifying and receiving relevant (H&S information from outside the
organisation including0
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3" ew$ or amendments to legislation>
" /nformation necessary for the identification of ha?ards and evaluation and
control of ris+s>
F" /nformation and developments in (H&S management practice"
=" 5nsuring that pertinent (H&S information is communicated to all people in the
organisation who need it" #his reAuires arrangements to0
3" Determine information needs>
" 5nsure that these needs are met$ 'earing in mind the legal reAuirement
that relevant information has to 'e provided in a form and manner that is
comprehensi'le to the person receiving it"
F" 5nsure that information does not just flow from the top down$ 'ut also
from the 'ottom up and across the various parts of the organisation"
" )voiding restricting (H&S items to dedicated (H&S meetings 'y
including them on the agenda of a variety of meetings wherever
appropriate"
" Report ha?ards and shortcomings in (H&S arrangements>
C" 5nsuring that relevant information is communicated to people outside the
organisation who reAuire it"
D" 5ncouraging feed;'ac+ and suggestions from employees on (H&S matters"
4ocu$%nt"tion
#he organisation should document$ and maintain up;to;date sufficient documentation to
ensure that its (H&S management system can 'e adeAuately understood and effectively
and efficiently operated"
#his reAuirement will 'e covered later in the course as it is analogous to Regulation < of the
Quarries Regulations$ 3444 which reAuire the production of a health and safety document"
O(%r"tion", Contro,
#he organisation should esta'lish and maintain arrangements to ensure that activities are
carried out safely" #hese arrangements should 'e 'ased on the results of the ris+
assessment$ and any health and safety o'jectives that have 'een defined" Depending on the
results of the ris+ assessment these arrangements could 'e in the form of instructions$ rules
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and procedures$ which are a specific reAuirement of the Quarry Health and Safety Document
%Regulation
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#he num'ers trained in (H&S
um'er of ris+ assessments
completed
5.tent of compliance with ris+
controls
@or+place e.posure levels
1ersonal protective eAuipment use"
Reactive monitoring should 'e used to investigate$ analyse and record (H&S
management system failures$ including accidents and incidents" 5.amples of
reactive monitoring data include0
Ensafe )cts
Ensafe conditions
ear misses
Lost time accidents
Major accidents & fatalities
Sic+ness a'sences
Criticisms made 'y regulatory agency staff
Complaints made 'y mem'ers of the pu'lic"
In%#ti"tin Accid%nt# "nd Incid%nt#
(rganisations should have procedures for 'oth the reporting and investigating of accidents
and incidents" #he prime purpose of these procedures should 'e to prevent further
occurrence of the situation 'y identifying and dealing with the root causes" )ccident and
/ncident /nvestigation is covered later in this course"
Auditin
(H&S auditing is a process where'y an organisation can review and continuously evaluate
the effectiveness of their (H&S management system"
Safety auditing is a positive and proactive means of chec+ing the safety performance of an
organisation" #he general principals of auditing 'elow are 'ased on those given in (HS)S
3!!"
Sc!%du,in
)n annual plan should 'e prepared for carrying out internal safety audits" #he safety audit
should cover the entire operation which is su'ject to the (H&S management system$ and
assess compliance with (HS)S 3!!3" )udits should 'e carried out according to a written
procedure$ and only 'y competent independent personnel" #he results of the audits should
'e recorded and reported to management" ) review should 'e carried out 'y management
and effective corrective actions%s ta+en$ where necessary"
(0
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M"n"%$%nt Su((ort
-or (H&S auditing to 'e of value$ senior management should 'e fully committed to the
concept of auditing and its effective implementation within the organisation " #his includes a
commitment to consider audit findings and recommendations and to ta+e appropriate action
as necessary$ within an appropriate time" (nce it has 'een agreed that an audit should 'e
carried out it should 'e completed in an impartial way" )ll relevant personnel should 'e
informed of the purposes of auditing and the 'enefits" Staff should 'e encouraged to co;
operate fully with the auditors and to respond to their Auestions honestly"
Audit#
)udits provide a comprehensive and formal assessment of the organisation,s compliance
with (H&S procedures and practices" #he end result of an audit should include a detailedwritten assessment of (H&S procedures$ the levels of compliance with procedures and
practices and should where necessary identify corrective actions"
Auditor#
(ne or more persons may underta+e audits" ) team approach may widen the involvement
and improve co;operation" #hey should 'e independent of the part of the organisation or the
activity that is to 'e audited"
)uditors need to understand their tas+ and 'e competent to carry it out" #hy need to have
the e.perience and +nowledge of the relevant standards and systems they are auditing to
ena'le them to evaluate performance and identify deficiencies" )uditors should 'e familiar
with the reAuirements set out in any relevant legislation" /n addition$ auditors should 'e
aware of and have access to standards and authoritative guidance relevant to the wor+ they
are engaged in"
4"t" co,,%ction "nd int%r(r%t"tion
#he techniAues and aids used in the collection of the information will depend on the nature
of the audit 'eing underta+en" #he audit should ensure that a representative sample of
essential activities is included in the audit and various personnel should 'e interviewed"
Relevant documentation should 'e e.amined" #his may include"
(H&S management system documentation
(H&S 1olicy statement
(H&S emergency procedures
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1ermit to wor+ systems and procedures
Minutes of (H&S meetings
)ccident2/ncident Reports and records
#raining records
Reports or communication with the enforcing authority
@herever possi'le chec+s should 'e 'uilt into the system to help to avoid misinterpretation
or misapplication of audit records"
Audit r%#u,t#
)t the end of the audit$ and 'efore su'mitting their report$ the auditor or the )udit team
should hold a meeting with the responsi'le manager of the audited area" #he main purpose
of such a meeting is to communicate the results of the audit to the responsi'le manager in
order to ensure that it is understood and agreement is reached" Minutes should 'e +ept of
such meetings"
#he content of the final audit report should 'e clear$ precise and complete" /t should 'e
dated and signed 'y the auditor" /t should$ depending on the case$ contain the followingelements0
#he audit o'jectives and scope
the particulars of the audit plan$ identification of the mem'ers of the auditing team
and the audited representative$ dates of audit and identification of the area su'ject to
audit>
#he identification of reference hand'oo+s used to conduct the audit>
#he cases of non conformance"
#he auditors assessment of the degree of conformity to (HS)S 3!!3
#he a'ility of the (H&S management system to achieve the stated (H&S o'jectives
#he results of all audits should 'e fed 'ac+ to all relevant parties as soon as possi'le to
allow corrective actions to 'e ta+en" )s many employees as possi'le"$ including the
employee safety representative where selected$ should 'e consulted on activities in their
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area during each audit" )n action plan of agreed remedial measures should 'e drawn up
together with identification of responsi'le persons$ completion date$ and reporting
reAuirements" -ollow;up monitoring arrangements should 'e esta'lished to ensure
satisfactory implementation of the recommendations"
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