ILO Guidelines On Occupational Safety Systems PDF

International
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ILO Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001
Audit Matrix for the ILO Guidelines
on Occupational Safety
and Health Management Systems
(ILO-OSH 2001)
Programme on Safety and Health at Work

and the Environment (SafeWork)
International Labour Organization
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CH -1211 Geneva 22
Switzerland
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e-mail : safework @ ilo.org

www.ilo.org / safework
ISBN 978-92-2127059-1
9 789221 270591
Programme on Safety and Health at Work and the Environment
(SafeWork)
Audit Matrix
for the ILO Guidelines
on Occupational Safety and Health
Management Systems
(ILO-OSH 2001)
International Labour Office, Geneva

Copyright © International Labour Organization 2013
First published 2013
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Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001)
First published 2013
ISBN 978-92-2-127058-4 (print)

ISBN 978-92-2-127059-1 (web pdf)
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This guide was produced under the project “Linking safety and health at work to sustainable economic
development: From theory and platitudes to conviction and action” (2009-2012), funded by the
Swedish International Development Cooperation Agency (SIDA).
The project promotes the improvement of occupational safety and health for all workers through the
development of global products addressing the methodological and informational gaps in this field,
and through the mobilization of national stakeholders towards the implementation of practical meas-
ures at national, local and enterprise levels. The outputs of the project include training materials,
practical tools and policy guidance to reinforce national and local capacities in occupational safety
and health, and to help constituents design and implement occupational safety and health policies
and programmes.
Preface
Governments, employers and workers now recognize the positive impact on productivity, and on
the reduction of hazards and risks, of introducing occupational safety and health (OSH) manage
ment systems at the organization level.
In 2001 the ILO therefore developed the ILO Guidelines on Occupational Safety and Health
Management Systems, ILO-OSH 2001, to help governments, employers and workers to cont
inually improve their OSH performance.
This user guide has been designed to help auditors in measuring the effectiveness of an
organization’s OSH management system, and should be used in tandem with the Implementation
Guidance for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-
OSH 2001. Auditing is one of the key steps in both implementing an OSH management system
and evaluating its performance. This guide is a practical tool that will help in identifying the
strengths and weaknesses in an organization’s OSH management system, and in highlighting
opportunities for improvement.
By using the guide, auditors will be able to measure an organization’s OSH performance, and
compare it against the 16 items described in ILO-OSH 2001, with a view to identifying weak
nesses, providing solutions for improvement, and continually improving OSH performance.
It would not have been possible to develop this audit guide without the financial contribution
from the Swedish International Development Cooperation Agency (SIDA). Mr Tony Smith,
Manager, Smith EHS Services, drafted the guide. Mr Pavan Baichoo and Mr Tsuyoshi Kawakami
from the ILO SafeWork Programme provided technical contributions for finalizing the contents.
Ms Amélie Schmitt, Chief Technical Adviser of the SIDA-funded project, coordinated the devel
opment of the guide.
I am sure that this guide, in conjunction with ILO-OSH 2001 and the Implementation Guidance
for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH
2001, will provide a valuable set of tools for employers’ and workers’ organizations, as well
as for those responsible for OSH within their organizations, for continually improving their
OSH performance.
Seiji Machida, Director,

SafeWork.
Preface v

Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
User guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Policy9
3.1. Occupational safety and health policy . . . . . . . . . . . . . . . . . . . . . . . 11
3.2. Worker participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Organizing21
3.3. Responsibility and accountability . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.4. Competence and training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.5. Occupational safety and health management system documentation . . . . . . . . 34
3.6. Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Planning and implementation 43

3.7. Initial review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.8. System planning, development and implementation . . . . . . . . . . . . . . . . 49
3.9. Occupational safety and health objectives . . . . . . . . . . . . . . . . . . . . . . 54
3.10. Hazard prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3.10.1. Prevention and control measures . . . . . . . . . . . . . . . . . . . . . . 58
3.10.2. Management of change . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.10.3. Emergency prevention, preparedness and response . . . . . . . . . . . . . . 65
3.10.4. Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
3.10.5. Contracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Evaluation75
3.11. Performance monitoring and measurement . . . . . . . . . . . . . . . . . . . . . 77
3.12. Investigation of work-related injuries, ill health, diseases and incidents,
and their impact on safety and health performance . . . . . . . . . . . . . . . . . 82
3.13. Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.14. Management review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Contents vii
Action for improvement 95
3.15. Preventive and corrective action . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
3.16. Continual improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Appendices105
Appendix 1 – Item 3.2 Worker participation – First worked example . . . . . . . . . . . 107
Appendix 2 – Item 3.2 Worker participation – Second worked example . . . . . . . . . 111
Appendix 3 – Sample audit summary . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Appendix 4 – Pre-audit planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
viii Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems
User guide
This audit matrix has been designed to measure the effectiveness of an organization’s occupa
tional safety and health (OSH) management system and OSH performance, and to compare
them against the Guidelines on Occupational Safety and Health Management Systems, ILO-OSH
2001. It is designed to identify the strengths and weaknesses that exist in an organization’s OSH
management system, and to highlight opportunities for improvement. The matrix incorporates
the requirement to complete a SWOT analysis for each item of the ILO-OSH 2001 guidelines.
This will show the strengths, weaknesses, opportunities and threats that exist within the organi
zation being audited.
The matrix is intended to help auditors measure the 16 items recommended in the ILO-OSH
2001 guidelines, and which make up the OSH management system in an organization:
Policy
– Occupational safety and health policy
– Worker participation
Organizing
– Responsibility and accountability
– Competence and training
– Occupational safety and health management system documentation
– Communication
Planning and implementation

– Initial review
– System planning, development and implementation
– Occupational safety and health objectives
– Hazard prevention
– Prevention and control measures
– Management of change
– Emergency prevention, preparedness and response
– Procurement
– Contracting
Evaluation
– Performance monitoring and measurement
– Investigation of work-related injuries, ill health, diseases and incidents, and their impact on
safety and health performance
– Audit
– Management review
User guide 1
Action for improvement
– Preventive and corrective action
– Continual improvement
In order to assess the OSH management system and OSH performance accurately, the audit
measurements should be honest and accurate. Marks need to be allocated carefully, and should
be given only when the organization closely matches one of the five statements on each hori
zontal line of the matrix. In total, 159 separate lines of statements are used in the matrix, which
provides an overall maximum score of 795 marks.
Although the audit matrix expresses the auditor’s opinions about the OSH management system
and OSH performance, these opinions should, wherever possible, be supported by reliable evi
dence. Auditors need to start the audit with an open mind, and to not pre-judge the situation.
They need to maintain an investigative approach, and seek evidence and draw conclusions that
are supported by facts, wherever possible.
Evidence generally falls into four broad categories:
➔ Documentation. In making the assessments required by the matrix, auditors should use a
wide range of evidence sources. This will include an examination of documents relating to
policies, procedures, processes, organizational communications, incidents and OSH perfor
mance records.
➔ Inquiry. The auditors should ask questions both formally and informally. Many questions
will be asked verbally, in an informal manner. These are often supported by more formal
questions, which might for example be asked in the form of a written request for informa
tion, or as questionnaires and surveys. Auditors should treat evidence gained in this way as
“soft”, because the answers they receive are the opinions of third parties, and may not be
impartial, or may even be given to mislead the auditors.
➔ Observation. Auditors will also collect evidence through what they have heard, seen or
touched during the audit. Observations and physical examinations are very reliable sources
of audit evidence, and carry extra weight because the auditors have gathered the evidence
themselves.
➔ Testing and verification. Auditors will normally perform both system tests on the OSH
management system and checks on the physical work environment, equipment and tools.
This involves checking that the OSH management system and the physical work environ
ment and equipment, tools and safety systems are working as they are supposed to. Auditors
will also need to check that the organization is complying with national and state laws.
The auditors need to conduct interviews with workers, supervisors, managers, senior management,
contractors, contract workers, the safety and health committee, workers’ representatives, and also
other specialist functions such as a company nurse or doctor, or industrial hygienists. Physical
inspections and walk-throughs are also essential, to ensure that the information gained from
documents, records and interviews is true and accurate.
2 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems
How to use the matrix
The basic principle is that, for each of the 159 horizontal lines of the matrix, the auditor will
choose the statement that most closely fits the organization’s status. The auditor will then allocate
a mark that corresponds to the column to which the statement belongs. As explained above, these
lines of statements are grouped in 16 tables, which correspond to the 16 thematic items recom
mended in ILO-OSH 2001.
As an example, let us examine item 3.1, Occupational safety and health policy.
None (1) Poor (2) Fair (3) Good (4) Excellent (5) Rating
The organization The organization The organization The organization The organization
does not have a has a written OSH has an OSH policy has an OSH policy has an OSH policy
written OSH policy. policy, but it does that complies that complies that complies with
not comply with with national laws with national laws all national laws
national laws and and regulations, and regulations, and regulations,
regulations. but does not and also with ILO ILO guidelines,
comply with ILO guidelines. and collective
guidelines. agreements.
The written The policy briefly The policy The policy

OSH policy is outlines the describes the describes the
inadequate, management management management
although it does attitude to OSH attitude to OSH attitude to OSH
provide a limited and a commitment and the total and the prevention
description of to prevention commitment to of injury, illness,
management of work-related protecting workers diseases and
attitudes to OSH. injuries and ill by preventing incidents, and it
health. injuries, ill health, has been agreed in
diseases and consultation with
incidents. workers and their
representatives.
If the organization has no written OSH policy then the correct score would be 1 mark. If the
organization has an OSH policy that meets national laws and regulations and ILO guidelines,
then it would score 4 marks, unless it has also agreed the policy with workers and their repre
sentatives, in which case it would score 5 marks. We then proceed to the second line and again
decide which statement most closely fits the organization’s status. We proceed through each line
in this way until we have completed section 3.1 of the matrix.
In order to make these judgements, auditors need to be able to find reliable evidence that ensures
they can allocate the correct scores. This will allow them to identify the strengths and weaknesses,
and also to identify both opportunities for improvement and possible threats to the business that
need to be brought senior management’s attention. This SWOT analysis will figure in the “audi
tor’s feedback” at the bottom of each scored thematic item.
Two completed samples of item 3.2, Worker participation, are provided in Appendices 1 and 2
as examples of how to use the matrix.
User guide 3
We suggested that an “audit summary” be established at the end of the audit period, which takes
the actual total scores of the organization for each of the 16 items audited and compares them
with the maximum possible scores. A “traffic light” – red, orange or green – can then be allocated
to each of the items, to highlight areas where improvement is necessary. Appendix 3 provides a
completed sample of such an audit summary.
General considerations in preparing pre-audit planning

Auditors need to conduct considerable planning before starting the audit. They need to decide
when the audit should take place, and establish a sensible schedule for the work. They will need
to agree on this workplan with the senior management of the organization being audited, unless
it is an unannounced audit.
Auditors need to plan who they want to interview, what they want to see, and what documents
and records they need to examine. As the audit progresses they may want to talk to people who
were not on their interview list when they made the audit plan.
Auditors should ascertain exactly what documents they will need to examine as part of their audit
preparation. A sample audit preparation document is attached as Appendix 4.
Auditors need to have obtained copies of the relevant national OSH laws (both federal and
state), and have a copy of the ILO-OSH 2001 guidelines, plus documents relating to industry
best practices and the standards expected by certification bodies. They need to have examined the
organization’s OSH policy document to determine whether it meets the requirements of national
OSH laws, regulations, approved codes of practice and the ILO-OSH 2001 guidelines.
Auditors will need to use multiple sources of evidence in order to audit and score the OSH per
formance of an organization accurately. Evidence will come from examining documents relating
to plans, programmes, processes, policies, procedures, rules, records, statistics and data. This
information should tell them what should be happening in the business, and the performance
that is expected. They can measure then performance against these expectations.
Having examined the above documentary sources of information, they then need to measure
whether what was described in the documents is actually happening in reality. Interviews with
senior and middle management, supervisors, workers, contractors, contract workers, and OSH
and medical personnel should help check their understanding of and compliance with the OSH
policy and OSH management system. Interviews should also be held with unions and workers’
representatives, and with safety and health committee members.
Auditors also need to conduct comprehensive observations of the workplace, and look at house
keeping, and the condition of facilities, machinery, equipment, tools, and devices. They should
examine closely all safety equipment and devices, fire and evacuation measures, personal pro
tective equipment (PPE), and the storage and use of hazardous materials. They will use their
observations to identify “at-risk” behaviours, and look at supervision and the organization and
control of work.
Auditors should also look at the procedures for controlling energy sources, machine guarding
and materials handling, and at whether there is an appropriate system for managing change, and
communicating changes to the workforce.
Auditors should examine worker behaviours to identify “at-risk” behaviours. They should check
compliance with standard operating procedures, and that work is being performed in the way
prescribed by the job safety analysis or task analysis. They should question workers to ascertain
their knowledge of OSH policy, procedures and rules. They should also ask workers and supervi
sors about the communication of OSH expectations and OSH results.
Audits must focus on identifying weaknesses and looking for improvements. Where problems
are identified, corrective actions need to be formulated and remedial measures put in place in a
timely manner.
Audits should lead to the correction of weaknesses in the OSH management system and its appli
cation in the workplace. Where weaknesses exist, an improvement plan needs to be formulated
and put into action. Auditors should look to see whether weaknesses identified by previous audits
and inspections have been corrected.
On-site audit activities

The OSH audit is intended to assess and verify the strengths and weaknesses of the OSH man
agement system, and to improve both this system and OSH performance. It is vitally important
that everyone understands the purpose of the audit, and that it is seen as a positive measure to
improve OSH management and performance. This should ensure higher standards of OSH, and
a reduction of incidents and “at-risk” behaviours.
Opening interview
It is normal audit practice to begin the audit with an opening conference with senior site man
agement. This allows the auditors to introduce themselves and explain the audit process. They
will define the scope of the audit, and explain its purpose. They will also discuss the audit sched
ule. The schedule of activities is agreed with senior management, and communicated to each part
of the organization that will be audited.
Auditors are briefed on any hazardous conditions that exist on the site, and on the controls that
are used to protect workers. Auditors need to wear appropriate personal protective clothing and
equipment for their on-site activities. Arrangements need to ensure that these are available, unless
the auditors have their own that provides the same levels of protection.
Auditors and senior management agree a timetable for the exit interview that will be used to
present the preliminary findings of the audit. Site management will be given an agreed amount
of time to examine the preliminary report, and to challenge any audit findings that they disagree
with, or wish to challenge, or on which they need further clarification.
Typically, at the end of the opening interview, auditors will be given an orientation tour of the site
with an explanation of expected safety behaviour, emergency response and evacuation procedures.
OSH control measures and required PPE are explained as well.
Programme assessment and verification

The OSH audit then moves on to programme assessment and verification by starting a com
prehensive review of OSH programme documentation. The auditors will examine policies, pro
grammes, procedures, risk assessments, standards and related documents.
User guide 5
They will examine accident and incident reports, first-aid injury records, safety inspection records,
citations and warnings from regulatory bodies. They will look at previous audit reports, certi
fication assessments, industrial hygiene survey reports, task analysis, job safety analyses (JSAs),
material-handling assessments, process safety management documentation, and risk assessments.
They will examine absence, illness and sickness rates. Supporting statistical data and corrective
action logs should be reviewed.
The documentation review will be followed by a wide range of interviews with plant managers,
departmental managers, supervisors, team leaders, union representatives, safety and health com
mittee members, medical personnel and a wide range of workers. They should be questioned
on their awareness of the OSH programme and its implementation. Auditors should look for
concerns, and for opportunities for improvement.
The auditors should spend sufficient time on examining the workplace, and this will involve
the activities of the various departments. This is when auditors should identify the degree of
acceptance and the quality of implementation of OSH policies, programmes, procedures and
OSH activities.
During an audit the auditors will collect a huge amount of information and data. It will be
impossible for them to remember it all unless they have taken notes as the audit progresses.
So, irrespective of the experience of the auditors, it is absolutely essential that they take detailed
field notes.
Auditors should look at the housekeeping to see whether a clean, tidy, healthy and safe work
environment exists. They should also observe work processes to see whether procedures are fol
lowed, and that hazards have been identified and are properly controlled. If the auditors have
specific concerns, they may require specialist testing to be undertaken, and will then review the
test reports.
Auditors should also spend some time observing both task and non-task-related behaviours.
They should compare the task-related behaviours with those that are described in the task analy
sis, job safety analysis or permit to work.
Exit interview
An exit interview is held with senior and site management in order to share the preliminary
audit results and the observations of the audit team. Site management is given the opportunity
to respond to these findings and observations, and to seek or provide clarification of issues aris
ing from the report. A date is agreed for the receipt of any responses or challenges to the audit
findings that the site management wish to make. The organization is normally thanked for its
cooperation and help, and a date is agreed upon for the delivery of the final report.
Final audit report

The final audit report should include the date and location of the audit, and identify all the par
ticipants who took part in or contributed information for the audit. The report should identify
clearly which parts or activities of the organization were audited.
The report will include the audit findings, results and observations. It will also propose correc
tive actions, and set deadlines by which corrective actions or audit responses are to be completed.
This would include the means of verifying corrective actions.
Audit response
When the audited organization has received the final audit report, it should respond by describing
what corrective actions have been taken and what actions are planned. It is essential that every
weakness, every opportunity for improvement, and every threat identified in the audit report is
subject to corrective actions and improvements. A log should be created that lists all the items that
need to be addressed. This should set the timelines for improvements and corrections of each item
needing such action, with responsibility allocated to a designated person for that action.
Audit closure
The audit file is not normally closed until a closure statement has been prepared. This should
comprise of a listing of the audit findings, together with the corrective actions relating to each
one. Closure occurs only when corrective actions are complete, and have been verified.
User guide 7
Policy
Policy
Item 3.1 Occupational safety and health policy
NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING
A The organization does not The organization has The organization has an The organization has an The organization has an
have a written OSH policy. a written OSH policy, OSH policy that complies OSH policy that complies OSH policy that complies
but it does not comply with national laws and with national laws and with all national laws
with national laws or regulations, but does regulations, and also with and regulations, ILO
regulations. not comply with ILO ILO guidelines. guidelines, and collective
guidelines. agreements.
B The organization does not The written OSH policy The OSH policy briefly The OSH policy describes The OSH policy describes
have a written OSH policy. is inadequate, although outlines the management the management attitude the management attitude
it does provide a attitude to OSH and a to OSH and the total to OSH and the prevention
limited description of commitment to prevention commitment to protecting of injury, illness, diseases
management attitudes of work-related injuries workers by preventing and incidents, and it
to OSH. and ill health. injuries, ill health, has been agreed in
diseases and incidents. consultation with workers
and their representatives.
C The organization does not The OSH policy has not The OSH policy has been The OSH policy has been Workers are encouraged
have a written OSH policy. been agreed with workers agreed with only very agreed in full consultation to participate actively in
or their representatives. limited consultation with with workers and their all aspects of the OSH
workers. representatives. management system,
and are consulted on all
matters relating to OSH
policies.
Policy
11
12
D The organization does not The OSH policy Some elements of the The OSH policy is The focus of the OSH
have a written OSH policy. is not appropriate for the OSH policy are appropriate generally appropriate policy is to find ways to
type or size of business. for the type and size of for the type and size prevent workplace injuries,
business. of business. illnesses and diseases,
and to ensure the welfare
of the workforce.
E The organization does not The OSH policy The OSH policy is not The OSH policy is concise The OSH policy makes
have a written OSH policy. is not written in a concise sufficiently clearly written, and clearly written, and it clear that everyone has
way, and lacks clarity. and is therefore not is understandable by OSH responsibilities,
always understandable by everyone. their performance of
everyone. these duties is monitored,
and people are held
accountable.
F The organization does not The OSH policy is not The OSH policy is The OSH policy is The OSH policy is very
have a written OSH policy. effectively communicated communicated, but is not generally effectively well communicated, and
or easily accessible to readily accessible communicated, and is ensures that the OSH
everyone in the workplace. by everyone in their place readily accessible to management system is
of work. everyone in their place of compatible with or is
work. integrated into the other
enterprise organizational
management systems
G The organization does not The OSH policy fails The OSH policy provides The OSH policy The OSH policy describes
have a written OSH policy. to communicate the some limited descriptions describes the overall in detail responsibilities
responsibilities and of the responsibilities and the responsibilities and and expectations of
Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems
expectations of workers expectations of workers expectations of workers workers and managers,
and managers. and managers. and managers. making it clear that
performance will be
monitored and people held
accountable.
H The organization does not There is no external Very limited The OSH policy is also The OSH policy is also
have a written OSH policy. communication of OSH communication of OSH communicated to all communicated
policy, responsibilities policy responsibilities and contractors, visitors and to external groups and
or expectations. expectations is provided new hires, and is covered the community so that
to external bodies. in worker orientation. they may understand
the organization’s attitude
to OSH.
I* The organization does not The OSH policy is dated, The OSH policy is updated The OSH policy is The OSH policy is
have a written OSH policy. and has not been reviewed only infrequently, and regularly reviewed, reviewed and updated at
or updated for several has not been reviewed or updated, and signed least annually. It is signed
years. updated for the past two by senior management. by senior management
years. and also describes
the cardinal OSH rules
of the enterprise.
OVERALL SCORE FOR ITEM 3.1 OCCUPATIONAL SAFETY AND HEALTH POLICY (max. score for this item is 45)
Auditor’s feedback
Strengths
Weaknesses
Opportunities
Policy
13
14
Threats
Guidance notes
OSH policy is the foundation of an effective OSH management system, and without such a policy, safety and health is not properly managed or assured.
Ideally, the policy should be no more than one A4 page long; it should be concise, and simple to understand by everyone in the organization.
The OSH policy should provide overall direction and guidance relating to occupational health and safety.
It should include a vision statement that encapsulates the organization’s approach to OSH, such as “ OSH FIRST” or “ Maintaining an injury-free workplace”.
OSH policy should be treated as a constant value that will never change, irrespective of changing priorities within the business.
A mission statement should also describe the organization’s overall objective relating to OSH – e.g. to be the safest steel company in the United States.
Management leadership needs to drive the OSH process and add value by eliminating or reducing injuries and illnesses.
OSH policy should set out the principles and guidelines for OSH decisions.
The policy should state clearly top management’s commitment to safety and health.
The policy should have the signature of the president or CEO, or of the most senior manager on the site.
The policy should state the organization’s commitment to compliance with regulatory requirements and collective agreements on OSH.
Workers will be consulted and encouraged to participate in all elements of OSH, and be empowered to act when they identify unsafe conditions or unsafe behaviour.
OSH policy will be regularly reviewed, updated and improved through a continuous improvement process. Review should take place at least annually.
OSH duties and responsibilities will be described, and everyone is held responsible and accountable for their own and their co-workers safety and health.
Policy
Item 3.2 Worker participation
A There is no clear evidence Participation is limited Participation is Management has The management
within the organization of to following OSH encouraged by clearly defined the roles policy and systems
management encouraging rules, procedures, and management, but is and responsibilities of documentation describes
or seeking to involve or get instructions. There is little limited to dealing with individual workers, and the importance of
workers to participate in input by workers in OSH specific OSH problems of the safety and health worker participation and
OSH matters. matters. within the organization. committee. involvement in creating
Management does not a safe and healthy
get involved in planning workplace.
or hazard recognition
activities.
B OSH communication with Management has Management maintains There is regular and The documentation
workers is infrequent, minimum communication a limited amount frequent dialogue with describes specific worker
and tends to involve with workers on OSH of communication workers, and the workers’ participation goals, and
mainly small numbers matters. with workers. This views are regarded as the benefits that are
of workers and be focused communication is being very important. gained for the organization
on supervisors. generally a top-down and its workers. It
process, and little makes safety and health
evidence exists that communications to be
management knows what vital to ensure that every
their workers’ concerns person in the organization
are. understands their roles
and responsibilities.
Policy
15
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C Workers’ safety and health A safety and health The enterprise has The enterprise has The organization ensures
representatives have committee has been established a safety and established a safety and that all changes to the
been appointed but rarely formed, but has no clear health committee that health committee that work environment and
meet. Their role has not role, and meets very conforms and complies conforms and complies procedures are discussed
been defined, and they infrequently. Safety and with the requirements with the requirements with workers and their
have little involvement health representatives of national laws and of national laws and representatives. The
in planning, evaluating have little involvement in regulations, and practice. regulations, and benefits are communicated
or seeking improvement planning. The committee’s role practice. The role of the so that workers can
and solutions to OSH has been defined, committee has been properly understand why
problems. and includes working defined, and includes changes are being made,
with management in hazard recognition and and how these changes will
evaluating, planning and OSH communications. be beneficial. The safety
implementing solutions The committee also and health committee is
and improvements. has an active role in highly involved in all OSH
evaluating OSH changes, matters, and ensures that
and in building worker workers’ concerns are dealt
competences in OSH. with in a timely manner.
D Workers and their There is only minimal There is only limited There is a positive The enterprise ensures
representatives are rarely consultation with workers consultation with workers approach to involving that workers and their
consulted on changes to regarding OSH matters, regarding OSH matters, workers in OSH matters, representatives are
processes and procedures. and changes to processes and changes to processes and this includes consulted, informed and
and procedures. and procedures. consultation on changes to trained on all aspects of
processes and procedures. OSH that impact on their
work and safety.
E The organization makes no The organization makes The organization does The organization makes The organization makes
time available for workers little time available have meetings on a time and resources time and resources
or their representatives to for workers or their regular basis, but these available to allow regular available to allow workers
have meetings inside their representatives to have tend to occur only meetings to discuss OSH and their safety and health
normal working hours. meetings. These are very once per quarter, and issues. Workers have representatives to actively
infrequent; they focus the agenda items for the opportunity to put participate in evaluating,
mainly on issues raised discussion tend to not issues on the agenda for organizing, planning and
by management, and only include issues raised discussion. implementation of actions
rarely on issues raised by by workers or their to improve the OSH
workers. representatives. management system.
F The OSH culture within The OSH culture within The OSH culture in The OSH culture in The OSH culture is
the organization is that the organization fails to the organization is the organization is extremely positive,
safety and health is an properly see the value of indifferent to OSH, and positive, and this has and is valued by both
extra expense, and causes good OSH procedure and takes no really positive encouraged good levels of management and workers.
extra work to be done. practices. This negative initiatives to promote worker involvement and Workers are fully engaged
attitude is transmitted to worker participation or participation. and participate widely on
workers. involvement in OSH OSH matters.
matters.
G Workers feel little Workers accept some Workers see OSH as Workers see OSH as part Workers take ownership
responsibility for OSH responsibility for OSH part of their role and of their responsibilities, of OSH programmes; they
performance. They regard performance, but are not responsibility, and OSH which is stated in apply them diligently, and
it as the responsibility of given the opportunity to is an element in their job their job description. take pride in promoting
the management or the participate fully in OSH descriptions. They are encouraged them. OSH performance
OSH professional. matters. Workers do not receive to make suggestions is subject to a rigorous
Job descriptions do not OSH is not detailed in job feedback or recognition that will improve OSH appraisal process by
detail OSH performance. descriptions. for OSH performance. performance. supervisors and managers.
Workers receive feedback A reward and recognition
on OSH performance, process is in place.
but no formal award or
recognition process exists.
H Workers have received Workers received basic Workers have received Workers have received The organization has
very little information or OSH information and basic OSH training, and basic OSH training and developed and use
training on OSH issues. training at the time of some additional training refresher training. They competence-building
They are unable to state their induction. regarding OSH laws, can state the hazards in tools which ensure that all
the major hazards in their They have received regulation and rules. their workplace. workers have a thorough
work environment, or the no refresher or OSH They are able to They are capable of understanding of OSH
measures to be taken to competence-building identify hazards in their undertaking task analysis concepts and the site-
minimize risks. training, and have limited workplace, and state the to identify hazards, and specific risks that they
understanding of OSH. risks that exist and the are able to evaluate may encounter.
measures to be taken to potential solutions. Workers are capable
minimize these risks. of undertaking hazard
Policy
identification and risk
assessment, and are
able to conduct safety
17
behaviour observations.
OVERALL SCORE FOR ITEM 3.2 WORKER PARTICIPATION (max. score for this item is 40)
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Strengths
Weaknesses
Opportunities
Threats
Guidance notes
In many cases, national laws will mandate that the organization must encourage and nurture worker participation. Even if not mandated by national laws, worker
participation is an essential element of an effective OSH management system, irrespective of the size or type of organization.
Employers should ensure that workers and their representatives are consulted, informed and trained on all aspects of OSH, including emergency arrangements,
associated with their work.
Employers should make arrangements for workers and their representatives to have the time and resources to participate actively in the processes of organizing,
planning, implementation, evaluation and action for improving the OSH management system.
The organization should ensure, as appropriate, the establishment and efficient functioning of a safety and health committee, and the recognition of workers’ safety
and health representatives.
Workers should be actively involved in emergency preparedness, task analysis, safety assessments, evaluation and revision of standard operating procedures, OSH
training programmes and evaluations/audits.
Workers at every level of the organization should be actively involved in the development, implementation and continuous improvement of OSH arrangements.
Worker participation is an essential element of sound OSH arrangements, and ideally workers should be encouraged to assume ownership of the OSH process.
Workers should feel empowered to act immediately if they see unsafe conditions or at-risk behaviours in the workplace, and should have the power to stop work
where they see any situation that could cause harm to people or property.
Good communications are vital to ensure that workers and management are constantly updated on OSH issues and matters.
The organization should ensure that workers have both formal and informal channels to communicate their concerns regarding OSH issues, and to be able to share
their ideas to improve the OSH programme.
Policy
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Organizing
Organizing
Item 3.3 Responsibility and accountability
A No one in the organization Management The organization accepts The organization accepts The organization
has taken responsibility demonstrates little some responsibility for responsibility for OSH and clearly demonstrates its
for OSH or the protection interest in OSH, and OSH, but no overall the protection of workers. acceptance of responsibility
of workers. fail to take overall control is exercised. to protect workers and
responsibility for OSH. others from hazards.
B Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities Roles and responsibilities
have not been defined. have been communicated have been communicated have been communicated have been communicated
verbally, but have not both verbally and in both verbally and in to every worker, both
been documented. writing. When questioned, writing to most workers. verbally and in writing.
Workers pay little regard some workers were unable When questioned, workers Workers were able to
to fulfilling their roles or to state clearly what their were able to describe their describe their roles and
responsibilities. roles and responsibilities roles and responsibilities. responsibilities in detail,
were. and were enthusiastic
about performing these.
C There was no There was no action taken Some workers were Most workers were All workers knew
measurement of by management to make aware of their roles and aware of their roles and exactly their roles and
performance being made, workers accountable for responsibilities. They were responsibilities, and responsibilities, and
and workers were never performing their roles and aware that they would be they knew that some were aware that their
made accountable for responsibilities. observed and measured level of observation and performance was being
their performance. only occasionally, and that measurement would measured. Workers knew
this did not involve every generally be made. that they were held
worker. Workers knew that they accountable, and that
Organizing
would generally be made action would be taken if
accountable for their they failed to fulfil their
behaviour. role to the satisfaction of
23
management.
24
D The enterprise failed to OSH was not seen as OSH was seen as a line OSH was seen as a line OSH was seen as a line
define and communicate a line management management function, management function, management function,
the OSH structure that function, but was placed but, when questioned, and this was welcomed and every worker had a
was in place to manage in the hands of a safety supervisors claimed they by line supervisors and safety and health role and
safety and health. officer. had no time to manage managers. responsibility.
No one was identified Management was safety and health issues. Senior management The organization of
as being responsible for disengaged from the OSH supported line managers, health and safety had
OSH. process, and workers had and ensured that line been communicated and
no clear understanding management was visible understood by all, and
of their duties or and able to identify workers carried out their
responsibilities. where workers were not duties and responsibilities
fulfilling their roles or enthusiastically.
responsibilities. Workers understood
the structure of OSH
management, and who
held authority for different
elements of OSH.
E The supervisors in the Supervisors felt little Supervisors accepted that Supervisors accepted Supervisors accepted they
organization showed no responsibility for health they had responsibility they had a duty to had a major responsibility
interest in health and and safety, and did for OSH, and were willing protect workers from OSH to protect workers from
safety, and focused only not see OSH as a line to perform this duty, but hazards. They actively health and safety hazards.
on maximizing production responsibility. lacked the time to give it involved and encouraged Supervisors and managers
and productivity. the right level of attention. workers in fulfilling scheduled time each day
their OSH duties and to conduct observations,
responsibilities. and to obtain feedback
They scheduled time each from workers regarding
week to observe workers, OSH issues.
and to provide feedback
to workers on their
performance.
F The organization The organization has no The organization has some The organization has The organization has an
has no system that OSH management system elements of an effective an effective OSH integrated approach to
promotes cooperation that is consistently in OSH system in place. management system, providing an effective and
and communication place and being applied. There is good cooperation which is followed by all robust OSH management
between its workers and OSH activity is and communication parts of the organization. system.
management. fragmented, and with some parts of the Good communication Full cooperation and
This means the frequently workers organization. This needs channels exist with all excellent communication
organization fails to and their representatives to be enlarged to reach all parts of the business, and exists within all elements
implement all the do not receive any parts of the business. this ensures that everyone of the organization.
elements of an effective communications relating in the organization is kept This ensures an effective,
OSH management to OSH activities or aware of OSH issues. holistic approach to OSH
system. issues. This results in management.
poor cooperation between
different sections and
groups.
G The organization provides The organization The organization provides The organization provides The organization has
very limited resources provides limited and very funds to provide for basic adequate resources a very comprehensive
for OSH, and this allows inadequate resources for OSH needs. to allow for all normal budget system, which
totally inadequate OSH OSH. Insufficient funds are OSH activities and ensures that adequate
activity. This means there is no made available to allow requirements. These funds resources are available for
Necessary OSH activities budget for necessary OSH major improvements to allow OSH to perform at a OSH efforts.
are not carried out efforts. OSH matters. good level. There is also a
because of a lack of Investment is made each contingency fund to
funding. year to improve OSH, ensure that resources are
and to fund continuous available for non-budgeted
improvement. and emergency situations.
Management states that if
an OSH need is essential,
funds will always be made
available.
Organizing
25
26
H There are serious The process of identifying, The identification, The identification, The organization has an
inadequacies in the eliminating and elimination and control elimination and control of outstanding programme
identification, elimination controlling hazards is not of hazards are not carried hazards is generally dealt for hazard identification
and control of workplace carried out well. out to an appropriate with to a good standard. and risk control, which
hazards. Some risks are not standard. Risks are generally covers processes,
The duty to identify properly recognized, Risks are sometimes not accurately assessed, procedures and human
hazards and assess and are therefore not assessed properly, and and mitigation measures behaviour.
risks has not been made controlled to produce mitigation measures are are used to produce Risk assessments
the responsibility of a acceptable levels of risk. not put in place. acceptable risk levels. use both qualitative
competent person. and quantitative
measurements, and the
results of assessments
are widely communicated
throughout the
organization.
I No senior manager takes A junior manager takes A senior manager has A senior manager A senior manager is
responsibility for OSH, responsibility for OSH been appointed to take takes responsibility authorized to take
or carries out periodic issues, but fails to carry responsibility for OSH. and authority for the responsibility for OSH,
reviews of the OSH out periodic assessments Little time is spent development and and maintains daily
management system. or reviews of the OSH talking with workers and implementation of the contact with workers and
management system. supervisors, and only OSH management system. supervisors.
limited attention is given Regular contact with OSH issues are quickly
to dealing with OSH workers and supervisors assessed and dealt with,
issues. is maintained, and OSH and improvements to the
issues are dealt with. OSH management system
are pursued.
OVERALL SCORE FOR ITEM 3.3 RESPONSIBILITY AND ACCOUNTABILITY (max. score for this item is 45)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
The organization must take overall responsibility for the protection of workers’ safety and health, and provide leadership for OSH activities in the organization.
The organization and its senior management should allocate responsibility, accountability and authority for the development, implementation and performance
of the OSH management system and to achieve OSH objectives.
Structures and processes should be established to:

– ensure that OSH is a line management responsibility, and that this is known and accepted at all levels within the organization;
– define and communicate to members of the organization the responsibility, accountability, and authority of persons who identify, evaluate or control OSH
hazards and risks;
Organizing
– provide effective and visible supervision to ensure the protection of workers’ safety and health;
27
– promote cooperation and communication between members of the organization, including workers and their representatives, to implement the elements
28
of the organization’s OSH management system;
– fulfil the principles of OSH management systems contained in relevant national guidelines, tailored guidelines or voluntary programmes, and ensure compliance
with national OSH laws and regulations;
– establish and implement a clear OSH policy and measurable objectives;
– establish effective arrangements to identify and eliminate or control work-related hazards and risks and promote health at work;
– establish prevention and health promotion programmes;
– ensure effective arrangements for the full participation of workers and their representatives, and of safety and health committees if they exist;
– a person or persons at senior management level is/are appointed with responsibility, accountability and authority for (1) development, implementation, periodic
review and evaluation of the OSH management system, (2) periodic reporting to the senior management on OSH performance and the OSH management system,
(3) promoting the participation of all members of the organization.
Organizing
Item 3.4 Competence and training
NONE POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING
A The organization has The organization The necessary The necessary competence The necessary
not established the has established the competence requirements requirements in OSH have competence requirements
competences required competences required in OSH have been been determined for all in OSH have been
in OSH. for OSH only for high- determined for workers workers and supervisors. determined for all levels
risk operations and tasks within the organization. However, managers have of workers, supervisors
requiring work permits. However, supervisors not been subject to OSH and managers within the
and managers have not competence assessment. organization.
been subject to any OSH
competence assessment.
B No competences Competences relating Competences have Competences have been Competences have
relating to OSH have to OSH have been been documented for documented in writing been documented in
been documented or minimally documented, most workers, but do for all workers and writing for all levels of
communicated. and have not been widely not exist for supervisors supervisors, and have workers, supervisors and
communicated. and managers. They been communicated to managers, and have been
have been only partially them. communicated throughout
communicated. the organization.
C No review system exists. Competences that have Competences have been Competences are Competences are
been determined are not determined, and some are reviewed on a regular reviewed on a regular
subject to an appropriate subjected to appropriate basis, and actions are basis, and actions are
form of regular review and review and updating, taken to ensure that taken to ensure that
updating. but this is not done these competences are these competences
systematically. maintained. are maintained. The
Organizing
organization has a
timetabled programme
for reviews.
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30
D No competences have No competences have Competences have been Competences have Competences have
been established for been established for established for some been established for all been established for all
contractors, or temporary contractors’ personnel, contractors’ personnel, contractors’ personnel, contractors’ personnel,
or casual workers. except for those working and for those working and also for some and also for all temporary
with high-risk operations with high-risk operations temporary and casual and casual workers.
and tasks subject to work and tasks subject to work workers. Contractors’ personnel
permits. permits. are required to attend a
comprehensive orientation
programme.
E A very simple induction An induction programme New workers are provided New workers, those New workers, those
programme exists, but exists for new workers, but with an orientation transferring to different transferring to different
focuses on work methods fails to deal adequately programme that covers duties and workers duties and workers
and task methodology with OSH issues, or to the basic OSH duties returning from long returning from long
and fails to deal with focus on the OSH duties and responsibilities of all periods of absence periods of absence
OSH issues or OSH that are expected of every workers. are provided with a are provided with a
responsibilities. worker. comprehensive orientation comprehensive orientation
programme. programme. Workers sign
a commitment to adhere
to the cardinal OSH rules
for the organization, and
to follow risk mitigation
measures, incident
reporting, etc.
F OSH training is limited OSH training is limited OSH training is provided OSH training is provided OSH training is provided
to on-the-job observation to on-the-job observation to all workers to allow to ensure that workers to ensure that workers
of other workers. of other workers, them to reach their have the competences have the competences
No written training supplemented with some prescribed competence needed to be able to needed to be able to
materials are used, written material. level. complete work safely complete work safely
and training is delivered No documentation system It lacks effective and without risk to their and without risk to their
mainly by verbal is in place to track assessment to guarantee health. health.
communication. progress, or the resulting that the necessary The training is Training is very well
An effective competence OSH competences. competences have been mostly delivered structured, and includes
assessment process does met. through a structured classroom and on-the-job
not exist. programme using verbal modules that develop OSH
communications, written competences. An effective
materials and on-the-job assessment process exists
modules. to measure results.
G The organization does not OSH refresher training is OSH refresher training is OSH refresher training OSH refresher training is
provide OSH refresher rarely provided and, when provided to only part of is provided, but is not provided, and is managed
training. provided, lacks substance the workforce, and is very managed by an effective through a training plan
and quality. often subject to delays. planning process. which ensures that
Scheduling sometimes workers’ competences are
leaves some workers maintained at all times
having prolonged periods during their employment.
without refresher training.
H Most workers do not Some workers do not The organization lacks The organization has some The organization has
have the necessary have the necessary sufficient competent OSH competent OSH personnel sufficient competent OSH
competences to carry competences to carry personnel to be able to to identify, eliminate personnel to identify,
out their duties and out their duties and manage all work-related and control work-related eliminate and control
responsibilities. responsibilities. hazards and risks, or hazards and risks, and to work-related hazards
to implement all the implement most elements and risks, and to fully
elements of the OSH of the OSH management implement the OSH
management system. system. management system.
Organizing
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32
I OSH training is carried out OSH training is carried There is evidence of some Good quality OSH training Training is executed
at a minimum compliance out for some workers, but quality OSH competence- is executed in accordance in accordance with
level, and lacks planning is not planned or focused building training. Planning with OSH needs a strategic plan, and
and improvement plans. on OSH competence exists, but focuses on assessments. Training focuses on the continuous
development and immediate needs. plans exist, but are not improvement of OSH
improvement. totally in line with OSH competences.
strategies or continuous
improvement.
OVERALL SCORE FOR ITEM 3.4 COMPETENCE AND TRAINING (max. score for this item is 45)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
OSH competences should be defined by the employer, who should establish and maintain arrangements and systems to ensure that all persons are competent
to carry out the safety and health aspects of their duties and responsibilities.
OSH training should be based on a training needs assessment that can identify the competences required to satisfy regulatory requirements and to minimize OSH
hazards and risks.
In assessing competence, it is necessary to consider the attitudes, skills, knowledge, experience and practice that workers need in order to be able to perform their
duties and responsibilities safely, and without risks to the health and safety of themselves and of others.
Employers should have in place or have quick access to sufficient OSH competence to be able to identify, eliminate or control work-related hazards and risks,
and to be able to implement an effective OSH management system.
OSH competences should be established for all members of the organization.
OSH training should be provided to all members of the organization, and must be delivered by a competent person.
Employers must provide effective and timely initial training to all new workers, and to workers transferring jobs or returning to work after long periods
of absence.
Employers must also ensure that all contractors’ personnel, temporary and casual workers receive appropriate OSH information and training.
The organization must provide effective and timely refresher OSH training at appropriate intervals.
The effectiveness of OSH training must be evaluated to assess the comprehension and retention of the training.
The OSH training provided should be subject to review by workers and by the safety and health committee, where it exists.
OSH training must be properly documented, and should be appropriate to and consistent with the size and nature of the activity carried out by the organization.
OSH training programmes should be reviewed and modified as necessary to ensure their relevance and effectiveness is updated to reflect any changes which have
happened, and to consider opportunities for improvement.
OSH training should be provided to all participants at no cost, and should be scheduled during working hours.
If the workers in the organization are multilingual, then training must address the different languages of the workforce.
OSH training efforts should be prioritized on activities that have the highest levels of risk, based on the degree of likelihood and severity.
Organizing
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34
Organizing
Item 3.5 Occupational safety and health management system
documentation
A OSH is not treated in a OSH management system OSH management system OSH management system OSH management system
systematic way, and lacks is poorly documented, is partially documented, is fairly well documented, is comprehensively
even basic documentation and is limited to an but fails to meet and sets out with documented.
of the OSH management inadequate written policy requirements as set down reasonable clarity the
system. statement. in the ILO guidelines. policy and objectives for
OSH.
B There is no clear, A very basic process A process for OSH The processes that are Systems and processes
documented process for for managing OSH is management is described, in place to manage OSH that manage OSH
managing OSH. described. but is inadequate. effectively are described effectively are in place,
in some detail. and are described
comprehensively.
C Documentation does not A very basic and OSH management systems OSH systems are well OSH systems
exist that describes the inadequate description are described in moderate described, and the documentation shows that
key management roles and of key management roles detail. The documentation documentation clearly OSH is a demonstrable
responsibilities. and responsibilities exists. shows management roles shows their goals and core business value, and
and responsibilities. objectives. Good progress is aligned with the overall
is shown in the integration corporate objectives. OSH
of OSH into business management systems are
plans and systems. seamlessly integrated into
corporate business plans
and systems.
D There is no systems Very limited OSH Documentation exists Hazards and associated Hazards and associated
documentation that documentation exists that describes some of risks are generally well risks are thoroughly
describes the hazards and relating to the hazards the hazards and risks documented, and have documented, and have
risks that are present in and risks that exist in the that exist within the mostly been subjected been subjected to rigorous
the organization and its organization. organization. to sound assessment and comprehensive
activities. processes. assessment processes.
E The process for The process for identifying Identification of hazards Identification of hazards A rigorous and
identifying, eliminating hazards and risks exists and risks is not always and risks is thoroughly comprehensive process
and controlling hazards is only in an elementary and thoroughly documented. documented and properly exists to document all
not documented. informal way, and is rarely A mixture of formal and formalized, together with OSH hazards and risks.
documented. informal methods is used. mitigation measures. Controls and mitigation
measures are also formally
documented.
F There is a lack of There is very little A moderate amount of Well-documented Comprehensive and well-
documentation of work documentation in place documentation exists information is maintained documented information
systems, operating relating to work systems, relating to work systems, on work systems, exists on systems of work,
procedures and prescribed operating procedures operating procedures operating procedures operating procedures
task methodologies. and prescribed task and task methodologies. and task methodologies. and task methodologies.
methodologies. Some tasks have no Standard operating Standard operating
formal documentation of procedures are used for procedures are used for all
procedures. tasks involving significant tasks.
risks.
G The organization fails The organization The organization The organization The organization
to maintain a recording maintains a very basic maintains a documented maintains a well- maintains a
system to track and recording system to track recording system to track documented recording comprehensive recording
document injuries, ill and document injuries, ill and document injuries, ill system to track and system to track and
health and diseases. health and diseases. health and diseases, as document injuries, ill document injuries, ill
required by national OSH health and diseases, and health, diseases and legal
laws. ensure legal compliance compliance. Data are
and best practice. gathered from both active
Organizing
and reactive monitoring.
35
36
H Workers have little access Workers have no formal Workers have little formal Workers have formal Workers have formal
to information relating to access to information access to information access to a comprehensive access to a comprehensive
OSH matters and OSH relating to OSH. relating to OSH. range of documentation range of documentation
performance. OSH information is OSH information comes relating to OSH and OSH relating to OSH and OSH
provided mainly from mainly from verbal performance data. performance data.
verbal communications communications with In addition, safety Information is accessed
with supervisors. supervisors, safety and health committee by written and electronic
and health committee members are given access communication, and is
members, and other to all OSH information. comprehensive. Regular
workers. Verbal and printed meetings are also held to
materials are used, and give information and get
safety meetings are also feedback.
held.
I The OSH management The OSH management The OSH management The OSH management The OSH management
system does not system does not provide system documents a system describes in some system describes in
describe any process any documented process limited OSH performance detail a process for OSH significant detail a process
for OSH performance of OSH performance measurement system that performance measurement for OSH performance
measurement. measurement. focuses only on reactive that involves both active measurement. This
measurements. and reactive monitoring. involves both active and
reactive monitoring.
J The organization has no The organization has The organization has a The organization has a The organization has a
process in place to control a very limited and basic process to maintain well-developed process for comprehensive and secure
and update OSH systems. inadequate process in and update OSH system controlling, maintaining process to control and
place to control and documentation. and updating documents update documents relating
update OSH systems. relating to the OSH to the OSH management
management system. system.
OVERALL SCORE FOR ITEM 3.5 OSH MANAGEMENT SYSTEM DOCUMENTATION (max. score for this item is 50)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
OSH management system documentation should be established and maintained according to the size and nature of activity of the organization.
OSH management system documentation should cover the OSH policy and objectives of the organization, and the key OSH management roles and responsibilities
necessary for implementation of the OSH management system.
OSH management system documentation should cover the significant OSH hazards and risks arising from the organization’s activities, and the arrangements
for their prevention and control.
Documentation should cover the arrangements, procedures, instructions or other internal documents used in the framework of the OSH management system.
Organizing
The OSH management system documentation should be clearly written, and presented in a way that is understood by those who have to use it. It should be
periodically reviewed, revised as necessary, communicated and readily accessible to all appropriate or affected members of the organization.
37
38
OSH records should be established, managed and maintained locally and according to the needs of the organization. They should be identifiable and traceable,
and their retention times should be specified.
Workers should have the right to access records relevant to their working environment and health, while respecting the need for confidentiality.
OSH records may include records arising from implementation of the OSH management system.
OSH records should be kept in compliance with the requirements of national laws and regulations relating to OSH.
OSH records should be maintained for work-related injuries, ill health, diseases and incidents.
OSH records should be kept of worker exposures, surveillance of the working environment, and workers’ health.
Records should be kept of audits, assessments, inspections, incident investigations, ergonomic assessments and industrial hygiene monitoring.
Documents should be subject to periodic review and will be reviewed on changes to processes, equipment, procedures or other significant change.
Documents should be maintained relating to OSH training and competence building.
OSH records should be the results of both active and reactive monitoring.
OSH systems documentation should cover emergency arrangements and systems to deal with failure modes.
Organizing
Item 3.6 Communication
A The organization has The organization has The organization has A policy exists for both A comprehensive policy
no formal policy for some very basic policies a policy regarding formal and informal exists for both formal and
communicating safety for communicating safety the communication communication of safety informal communication
and health information and health information of safety and health and health information of safety and health
throughout the throughout the information, but it is and data throughout the information and data.
organization. organization. inadequate, and leads organization. Effective communication
to poor communication is in place between
throughout the management and workers.
organization.
B Management makes Management makes some Management makes Management makes Management makes
very little effort to effort to communicate efforts to communicate substantial efforts to substantial efforts to
communicate with workers informally with workers on formally and informally communicate formally and communicate formally and
on safety and health safety and health matters, with workers on safety informally with workers informally with workers
matter, and receives little and receives some and health matters, and on safety and health on safety and health
feedback from workers. feedback from workers. receives feedback from matters. It maintains open matters. It maintains open
workers. communication channels, communication channels,
and encourages workers to and provides feedback to
provide feedback. workers.
C Management uses only Management uses limited Management uses both Management regularly Management uses
very occasional informal informal communications formal and informal communicates the every opportunity to
communications on OSH on OSH matters, and communications importance of OSH by communicate the
matters. very occasional formal on OSH matters. These using a wide range of importance of OSH by a
Organizing
communications. communications are formal and informal wide range of formal and
infrequent. communications. informal communications
and initiatives.
39
40
D The organization has The organization has The organization does The organization Management clearly
very limited collection of limited collection of collect some OSH collects substantial OSH demonstrates its strong
OSH data. There is little OSH information and information and data, information and data, and interest and commitment
communication of the data. There is infrequent but they are inadequate. these are communicated to OSH through an
data collected. communication of the What is collected is to both management and open process of two-
data collected. communicated to workers, using two-way way formal and informal
management, and little formal and informal communications. These
feedback is received from pathways and channels. communications involve
workers. the written and spoken
word, plus actions that
reinforce the messages.
E There is no formal There is an informal There is a simple formal There is an effective and A comprehensive,
process for receiving, process for receiving, process for receiving, timely formal process for effective and timely
documenting and documenting and documenting and receiving, documenting process exists for
responding appropriately responding to internal and responding to internal and and responding to receiving, documenting
to internal and external external communications, external communications. internal and external and responding to
communications. but the process is prone communications. internal and external
to error. communications.
F Internal and external Lines of communications Internal and external Internal and external Internal and external
communication pathways exist primarily through communication pathways communication pathways communication pathways
and channels are very supervisors, and and channels exist, but and channels are used on and channels are used
limited, and are rarely there is little direct are used infrequently for a regular basis for OSH on a frequent basis for
used for OSH matters. communication with OSH matters. matters. A two-way flow OSH matters. An open
management. of OSH communications and frank two-way flow
is established. of OSH communications
is established between
workers, supervisors and
managers.
G Internal communication Internal communication Internal communication of Internal communications Internal communications
of OSH information and of OSH information OSH information and data of OSH information of OSH information
data is kept at a minimum is limited, and is not is not generally circulated and data are shared by and data are shared by
level. circulated to all levels to all levels and functions some relevant levels all the relevant levels
and functions of the of the organization. and functions of the and functions of the
organization. organization. organization.
H Management rarely Management rarely The organization has a The organization has an The organization has a
responds to internal responds to internal and communication process effective communication comprehensive and
communication of OSH external communications that ensures some of process that ensures effective communication
information and data. of OSH information the concerns, ideas and that the concerns, ideas process that ensures that
and data. inputs of workers and inputs of workers all the concerns, ideas
and their representatives and their representatives and inputs of workers and
on OSH are received on OSH matters are their representatives on
and considered. received, considered, and OSH matters are received,
responded to. considered and responded
to.
OVERALL SCORE FOR ITEM 3.6 COMMUNICATION (max. score for this item is 40)
Strengths
Weaknesses
Opportunities
Threats
Organizing
41
42
Guidance notes
Arrangements and procedures should be established and maintained for receiving, documenting and responding to both internal and external communications
related to OSH in a timely manner.
Organizations should ensure that internal communications of OSH information can flow effectively between the relevant levels and functions of the organization.
The organization should make sure that the concerns, ideas and inputs of workers and their representatives on OSH matters are received, considered and responded
to in a timely manner. Workers and their representatives should be encouraged to communicate any concerns they have about OSH matters.
Both formal and informal channels and pathways should be established that will provide effective two-way communication and feedback.
Verbal and written communications should be suitable for the intended audience, and should include a feedback loop.
A methodology should be established that allows anonymous reporting or communication where workers might be afraid to communicate OSH issues because
of possible consequences.
Communication practices must be in compliance with local and national laws and regulations.
A reliable and effective process needs to be in place to maintain a record of external and internal communications relating to OSH matters.
Where legal requirements require OSH documentation to be maintained for a long period of time, archives may need to be set up to keep the documents safe
and secure.
Planning
and implementation
Item 3.7 Initial review
A A formal OSH No formal and effective An OSH management An effective OSH A comprehensive
management system does OSH management system system is partially in management system is in and effective OSH
not currently exist within is in place at present. place, but certain key place, and is fairly well management system is in
the organization. Some elements of a elements are missing. documented. place, is operating well,
There is no systematic management system exist. Documentation of the and is well documented.
management of OSH. system is missing.
B The organization appears Management accepts Management accepts Management accepts the Management accepts the
uninterested in OSH, that there are gaps the need to start a need to create an effective need to create an effective
and has not taken any and weaknesses in the process to create an OSH OSH management system OSH management system
steps to identify or management of OSH, but management system. that complies with that fully complies with
analyse its current OSH have not yet implemented national and local laws national and local laws
processes, procedures and a process to deal with and regulations. and regulations, and is
performance. this. in accordance with ILO
guidelines.
C Currently the organization The organization is The existing OSH The OSH management The OSH management
has taken no action to preparing to take action management system is system has been assessed system has been assessed
begin to examine its to start an assessment currently being viewed by by competent personnel, by competent persons,
current performance and process to examine its competent personnel, and and documentation is and has been thoroughly
identify improvement OSH performance and the first steps are being in the process of being documented.
opportunities. methods. taken to identify current completed.
performance.

45
46
D No review has been The organization has an The organization has The organization has had a The organization has
undertaken to ensure intention to carry out a a compliance review comprehensive compliance had a comprehensive
compliance with national compliance review in the planned as part of the review to ensure that it compliance review to
and local laws. future. OSH management review complies with national ensure that it complies
that is currently under and local laws and with national and local
way. regulations, guidelines laws and regulations, and
and programmes. with ILO guidelines.
E The organization does not The organization has in The organization has in The organization has in The organization has in
have a process in place to place an informal and place a process to identify, place an effective process place a comprehensive
identify satisfactorily all inadequate process for anticipate and assess to identify, anticipate and effective process
the hazards and risks to identifying hazards and some of the hazards and assess hazards to identify, anticipate
safety and health. risks to safety and health. and risks to safety and and risks to safety and and assess hazards
health arising from the health arising from the and risks to safety and
existing or proposed work existing or proposed work health arising from the
environment and work environment and work existing or proposed work
organization. organization. environment and work
organization.
F The organization does not The organization has an The organization has an The organization has an The organization has a
have in place a process ineffective and inadequate inadequate process that efficient process to ensure comprehensive and highly
to determine whether process to determine is intended to ensure that planned and existing efficient process to ensure
planned and existing whether planned and that planned and existing controls and mitigations that planned and existing
controls and mitigations existing controls are controls are adequate to are adequate to eliminate controls and mitigations
are adequate to eliminate adequate to eliminate eliminate OSH hazards hazards, and to control are adequate to eliminate
hazards and control risks. hazards and control risks. and control OSH risks. and reduce risks. hazards, and to control
and reduce risks.
G The organization provides Workers’ health is not Workers’ health is Workers’ health is Workers’ health is
no surveillance of workers’ checked on a regular monitored for only a monitored through a monitored through a
health. basis, and no records are small proportion of the surveillance process that surveillance process that
kept. workforce, and only where is compliant with national is compliant with national
it is mandatory under and local laws. It also and local laws. It also
national or local OSH follows the ILO-OSH 2001 follows ILO guidelines ILO-
laws. guidelines Section 3.12. OSH 2001 Section 3.12.
Off-the-job health hazards
are also monitored.
H Workers are not consulted Workers are rarely Management maintains Workers and their Workers and their
on OSH matters. consulted or involved in a limited communication representatives are representatives are
establishing or reviewing with workers regarding consulted on the process consulted and involved in
OSH systems, procedures the establishment, review of reviewing and improving the process of reviewing
and processes. and improvement of OSH OSH systems, procedures OSH systems, procedures
systems, procedure and and processes. and processes. They
processes. are consulted on all
proposed improvements
to OSH, including setting
performance standards
and targets.
OVERALL SCORE FOR ITEM 3.7 INITIAL REVIEW (max. score for this item is 40)
Strengths
Weaknesses
Opportunities

47
48
Threats
Guidance notes
The organization’s existing OSH management system and the relevant arrangements made under this system should be subjected to an initial review to establish
a baseline position. This will be used to plan and measure future performance.
Where no OSH management system exists, or the organization is newly established, the initial review should be used to establish an effective OSH management
system.
The initial review should be carried out by competent persons, who should consult with workers and/or their representatives.
The review should identify the currently applicable national laws and regulations, national guidelines, tailored guidelines, voluntary programmes
and any other requirements to which the organization subscribes.
The initial review should identify, anticipate and assess hazards, and evaluate the risks to safety and health arising from both the existing and the proposed work
environment and work organization.
The review should determine whether the planned or existing controls are adequate to eliminate hazards and control risks.
The initial review should analyse the data provided from worker’s health surveillance.
The initial review should be comprehensively documented in writing.
The review should become the basis for making decisions regarding the implementation of the OSH management system.
The initial review provides a baseline assessment, which can be used to measure improvements of the organization’s OSH management system through
the continuous improvement model.
The initial review provides information that is necessary to be able to choose strategies and tactics to bring about improvements, and to plan, implement and review
actions and measure results.
Item 3.8 System planning, development and implementation
A The organization has not No formal and effective Management accepts the Management has Management recognizes
taken any steps to identify OSH management system need to start the process recognized the need to the need to create
the current systems, exists at present. The to create an effective OSH create an effective OSH an effective OSH
processes and procedures process to plan, develop management system. The management system management system
that are in place. No plans and implement one has current system fails to that fully complies with that fully complies with
have been formulated to not yet been started. comply with national and national and local laws national and local laws
address this issue. local laws. and regulations, and has and regulations, and
started an implementation is also in alignment
process. with ILO guidelines.
Implementation is in
progress.
B No systems Limited documentation is The existing OSH Documentation exists that Documentation exists that
documentation is being captured and maintained management system has describes the existing describes the existing
maintained that describes that describes existing been documented in some OSH management OSH management system
existing systems, systems, processes and detail. Information relating system. The organization in detail. The organization
processes and procedures. procedures. to legal compliance collects and maintains collects and maintains
with national and local up-to-date data regarding up-to-date data regarding
regulations has not been legal compliance with legal compliance with
collected or maintained. both national and local both national and local
regulations. regulations. It also
monitors compliance with
ILO guidelines.

49
50
C Planning is conducted Planning is conducted Effective planning is The existing OSH The existing OSH
at its most basic level. at a basic level. It is conducted for some management system management system is
It is reactive by nature, mostly reactive by nature, elements of the business, meets a reasonable already well developed,
and focuses on problem and focuses mainly on but does not focus standard. The organization and complies with existing
solving. It has no focus on problem solving rather adequately on creating is committed to planning national and local laws
creating an effective OSH than creating an effective an effective OSH in order to improve its and ILO guidelines.
management system. OSH management system. management system. existing OSH management A continuous improvement
system to be totally process is in place, and
compliant with national there is also a process
and local regulations. in place to ensure
that opportunities for
improvement are sought.
D The organization has The organization has The organization has The organization has The organization has a
no OSH performance a very limited OSH put some performance defined a wide range comprehensive set of OSH
measurement system performance measurement measurement methods of OSH performance performance measurement
in place. system in place. OSH in place. These are used measures. These are measures in place.
performance is rarely for planning future OSH used to set performance Performance objectives
measured. This is rarely improvements. objectives for a wide range are consistently used
used for planning. of OSH activities. for a wide range of OSH
activities.
E No planning process exists Existing planning Although a planning A planning system is A comprehensive planning
that allows for adequate processes do not allow for system is in existence in existence for some system already exists, and
and appropriate OSH adequate or appropriate for some elements of elements of the business. this provides adequate
planning. OSH planning. the business, it does It does provide adequate and appropriate OSH
not provide adequate or and appropriate OSH planning for the entire
appropriate OSH planning planning for these parts of organization.
for the entire organization. the organization, but not
for the entire activities of
the organization.
F No clear definitions Very limited definitions Some definitions of Most definitions of the Comprehensive definitions
are in place for the of the organization’s OSH the organization’s OSH organization’s OSH of the organization’s OSH
organization’s OSH objectives exist. objectives exist. These objectives exist. These are objectives exist. These are
objectives. are insufficient and generally sufficient and sufficient and adequate to
inadequate, and fail to adequate to allow priority allow priority setting and
provide a clear picture setting and quantification quantification.
that would allow priority in most cases.
setting and quantification.
G No measurement Very few measurement Limited measurement A wide range of A comprehensive range of
criteria exist that would criteria are in operation criteria are in operation, measurement criteria OSH measurement criteria
allow measurement of that would allow and these allow some is in operation. These is in use. These are used
performance against OSH any measurement of measurement of OSH are consistently used to measure and quantify
objectives. performance against OSH performance against OSH to measure OSH OSH performance against
objectives. objectives. performance against OSH OSH objectives.
objectives.
H No technical support, Totally inadequate Limited technical support, Technical support, human A very wide range of
human or financial technical support, human human and financial and financial resources technical support, human
resources are made and financial resources resources are made are made available and financial resources
available for OSH planning are made available available for OSH planning for OSH planning and are made available
and implementation. for OSH planning and and implementation, but implementation, and these for OSH planning and
implementation. are insufficient. are generally sufficient. implementation, and
these are sufficient to
meet the needs.
I No OSH performance A few OSH performance A limited number of OSH A wide range of OSH A comprehensive range
objectives exist. objectives exist, but fail to performance objectives performance objectives of OSH performance
define responsibilities and exist, but in some exist, and they generally objectives exist, and they
clear criteria indicating cases they fail to define define responsibilities and define responsibilities and
what is to be done, by responsibilities and clear clear criteria indicating clear criteria indicating
whom, by when. criteria indicating what is what is to be done, by what is to be done, by
to be done, by whom, by whom, by when. whom, by when.

when.
51
52
J OSH planning The OSH planning The OSH planning The OSH planning The OSH planning
arrangements are arrangements in arrangements in arrangements in this arrangements in this
non-existent in this this organization are this organization are organization are generally organization are effective
organization. inadequate, and do not inadequate, and do adequate, and comply and sufficient, and comply
comply with the ILO not comply with all the with most of the elements with all the elements
guidelines. elements covered by the covered by the ILO covered by the ILO
ILO guidelines. guidelines. guidelines.
TOTAL SCORE FOR ITEM 3.8 SYSTEM PLANNING, DEVELOPMENT AND IMPLEMENTATION (max. score for this item is 50)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Planning should be used to create an OSH management system that ensures compliance with national laws and regulations.
It should also support all the elements of the organization’s OSH management system, and the continual improvement of OSH performance.
The results and data from the initial review and subsequent reviews should be used in a planning process that is adequate and appropriate, and provides protection
of safety and health at work.
The OSH objectives of the organization should be clearly defined, and priorities should be set and quantified.
In preparing the plan, each performance objective must be considered and clear performance criteria be defined. Responsibilities must be defined, and there must
be indicators showing what must be done, by whom, and by when.
Criteria must be established to measure accurately whether OSH performance objectives have been satisfactorily achieved.
The organization must ensure that adequate and appropriate resources are provided, including human and financial resources and technical support.
The OSH planning arrangements of the organization must cover the development and implementation of all the OSH management system elements as described
in Chapter 3 of the ILO-OSH 2001 guidelines.

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54
Item 3.9 Occupational safety and health objectives
A No OSH objectives have A small number of OSH A moderate number of A wide range of OSH A comprehensive range of
been formulated. objectives have been OSH objectives have been objectives have been OSH objectives have been
formulated, but these formulated, but these are formulated, and they are formulated, and they are
are not aligned with the not fully aligned with the generally aligned with the totally aligned with the
organization’s OSH policy. organization’s OSH policy. organization’s OSH policy. organization’s OSH policy.
B No OSH objectives have Existing OSH objectives Existing OSH objectives Existing OSH objectives Existing OSH objectives
been formulated. have not been based on have been based on the have been based on the have been accurately
the findings of the initial findings of the initial or findings of the initial or based on the findings of
or subsequent reviews. subsequent reviews. They subsequent reviews. They the initial or subsequent
are not always specific are generally specific to reviews. They are specific
to the organization, or the organization, and to the organization, and
appropriate to its size and appropriate to its size and appropriate to its size and
the nature of its activity. the nature of its activity. the nature of its activity.
C No OSH objectives have Existing OSH objectives Existing OSH objectives Existing OSH objectives Existing OSH objectives
been formulated. fail to ensure compliance generally ensure generally ensure consistently ensure
with all relevant national compliance with national compliance with national compliance with national
laws and regulations. laws and regulations. laws and regulations. laws and regulations.
They are also consistent They are also consistent
with the technical and with the technical and
business obligations of the business obligations of the
organization. organization.
D No OSH objectives have Existing OSH objectives Existing OSH objectives Existing OSH objectives Existing OSH objectives
been formulated. are not sufficiently are in some cases are in most cases are in every case
focused on the continual focused on the continual focused on the continual focused on the continual
improvement of workers’ improvement of workers’ improvement of workers’ improvement of workers’
health and safety. health and safety. health and safety. health and safety.
E No OSH objectives have Existing OSH objectives Existing OSH objectives Care is taken to ensure Considerable care is
been formulated. are in many cases are in some cases that OSH objectives are in taken to ensure that
unrealistic and unrealistic, and therefore most cases realistic, and OSH objectives are in all
unachievable. unachievable. have a reasonable chance cases realistic, and are
of being achieved. confidently expected to be
achievable.
F No OSH objectives have Existing OSH objectives Existing OSH objectives Existing OSH objectives Existing OSH objectives
been formulated. are rarely documented. are generally documented, are regularly documented, are thoroughly and
but are not communicated but are not always regularly documented,
to all relevant functions or communicated to all and are communicated to
levels of the organization. relevant functions or all relevant functions and
levels of the organization. levels of the organization.
G No OSH objectives have OSH objectives are not OSH objectives are not Most OSH objectives are All OSH objectives are
been formulated. written as performance written as performance written as performance written as performance
objectives, and fail to objectives that indicate objectives that clearly objectives that clearly
indicate clearly how the clearly the expected indicate what the indicate what the
required outcomes can be standards or the measures organization wants to organization wants to
achieved. to be used to indicate that achieve, and how it achieve, and how it
the objectives have been intends to measure intends to measure
achieved. whether the objectives whether the objectives
have been achieved. have been achieved.
H No OSH objectives have OSH objectives exist, OSH objectives reviewed, OSH objectives are Considerable effort is
been formulated. but are rarely reviewed, evaluated and updated on reviewed, evaluated and made to ensure that
evaluated or updated. a random basis. updated on a regular all OSH objectives are
basis. Some effort is made reviewed, evaluated and
to seek improvements updated on a regular
in OSH protection, basis. Every effort is made
and to improve OSH to seek improvements
performance. in OSH protection,
and to improve OSH

performance.
55
OVERALL SCORE FOR ITEM 3.9 OCCUPATIONAL SAFETY AND HEALTH OBJECTIVES (max. score for this item is 40)
56
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
OSH objectives must be consistent with the organization’s safety and health policy.
OSH objectives should be based on the initial or subsequent reviews.
OSH objectives should allow easy and reliable measurement to establish whether they have been met.
OSH objectives should be specific to the organization, and should be appropriate to and in accordance with the size and nature of activity of the organization.
OSH objectives should be appropriate to the complexity of the activities undertaken by the organization.
OSH objectives should be consistent with all relevant and applicable national laws and regulations.
OSH objectives should be in alignment with the technical and business obligations of the organization relating to OSH.
OSH objectives should be focused on continuous improvement of workers’ OSH protection, and on achieving the best OSH performance.
In setting OSH objectives, it is essential that they are both realistic and achievable.
OSH objectives must be properly documented and communicated to all relevant functions, and through all levels of the organization.
OSH objectives should be periodically evaluated and reviewed, and updated where necessary.
OSH objectives should take the elements of safety and health policy and facilitate their transfer into operational use.

57
58
Hazard prevention – Item 3.10.1 Prevention and control measures
A No system is in place to An informal system A formal system exists for A well-developed system A comprehensive and
identify hazards and risks exists that is supposed identifying hazards and for identifying hazards and robust system for
to workers’ safety. to identify hazards and evaluating risks relating to evaluating risks relating to identifying hazards and
evaluate risks relating to workers’ safety and health. workers’ safety and health evaluating risks relating to
health and safety. This system is not totally is in place. This system is workers’ safety and health
The system in place is not effective. working effectively. is in place. This system is
fit for purpose. operating very effectively.
B Very few preventive Preventive and protective Preventive and protective Preventive and protective Preventive and protective
and protective measures measures are mostly in measures are in operation, measures are in operation, measures are in operation,
are in operation. operation, but are not but do not always adhere and generally adhere to and strictly follow the
Personal protective dealt with consistently to the following prescribed the following prescribed following hierarchy:
equipment (PPE) is and do not provide hierarchy: hierarchy: • Eliminate the hazard.
sometimes issued to effective protection. • Eliminate the hazard. • Eliminate the hazard. • Control the hazard or
workers, but is not always PPE is sometimes issued • Control the hazard or • Control the hazard or risk at source.
appropriate or does not to cover risks, and other risk at source. risk at source. • Minimize hazards and
control the risks properly. protective measures are • Minimize hazards and • Minimize hazards and risks by using safe
only rarely used. risks by using safe risks by using safe work systems and
work systems and work systems and administrative controls.
administrative controls. administrative controls. All residual hazards
Most residual hazards All residual hazards and risks are controlled by
and risks are controlled by and risks are controlled by appropriate PPE.
appropriate PPE. appropriate PPE.
C Hazard prevention and Hazard prevention and Hazard prevention and Hazard prevention and Hazard prevention and
control procedures or control procedures or control procedures or control procedures or control procedures or
arrangements have rarely arrangements have been arrangements have been arrangements have been arrangements have
been established. established, but fail to established for most widely established. These been comprehensively
Where they do exist, they control all hazards. Where hazards. These are in are in most cases adapted established. These are
are in most cases not they do exist, they are some cases adapted to to the particular hazards adapted to the particular
adapted to the hazards frequently not adapted to the particular hazards and risks that exist and hazards and risks that
and risks that exist and the hazards and risks that and risks that exist and are encountered by the exist and are encountered
are encountered by the exist and are encountered are encountered by the organization. by the organization.
organization. by the organization. organization.
D No review or modification No formal review or Hazard prevention and Hazard prevention and Hazard prevention and
process is in place to modification process control procedures or control procedures or control procedures or
ensure that hazards exists to ensure that the arrangements are reviewed arrangements are reviewed arrangements are reviewed
and risks are identified, measures to identify, and modified infrequently. and modified as necessary and modified as necessary
assessed and controlled. assess, and control on a regular basis. on a frequent basis.
hazards and risks are
updated and improved.
E The organization generally The organization at The organization mostly Hazard prevention and Hazard prevention and
fails to follow or comply times fails to follow follows or complies with control procedures or control procedures or
with good practice or comply with good good practice or national arrangements generally arrangements comply fully
or national laws and practice or national laws laws and regulations comply with national with national laws and
regulations relating to and regulations relating relating to hazard laws and regulations, and regulations, and reflect
hazard identification, to hazard identification, identification, assessment reflect good practice. good practice.
assessment and control. assessment and control. and control.
F No system is in place Hazard prevention and Hazard prevention and Hazard prevention and Hazard prevention and
to identify hazards and control procedures control procedures or control procedures or control procedures
risks to workers’ safety. or arrangements are arrangements frequently arrangements generally or arrangements
There is no consideration inadequate, and fail to consider the current state consider the current state systematically consider
of the current state of consider the current state of knowledge, information of knowledge, information the current state of
knowledge, information of knowledge, information and reports from labour and reports from labour knowledge, information
and reports from labour and reports from labour inspectorates, and other inspectorates, OSH and reports from labour

inspectorates, or any other inspectorates, and other appropriate sources. service organizations and inspectorates, OSH
appropriate source. appropriate sources. other appropriate sources. service organizations and
59
other appropriate sources.
OVERALL SCORE FOR ITEM 3.10.1 PREVENTION AND CONTROL MEASURES (max. score for this item is 30)
60
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Hazards and risks to worker’s safety and health should be identified and assessed on an ongoing basis. Preventive and protective measures should be implemented
in the following order of priority:
(a) Eliminate the hazard or risk.
(b) Control the hazard or risk at source, through the use of engineering controls.
(c) Minimize the hazard or risk by the design of safe work systems, organizational or administrative control measures.
(d) Where residual hazards or risks cannot be controlled by collective measures, the employer should provide for appropriate personal protective equipment,
including clothing, at no cost, and implement measures to ensure its use and maintenance.
Hazard prevention and control procedures or arrangements should be established, and should:
(a) be adapted to the hazards and risks encountered by the organization;
(b) be reviewed and modified, if necessary, on a regular basis;
(c) comply with national laws and regulations, and reflect good practice;
(d) consider the current state of knowledge, including information or reports from organizations, such as labour inspectorates, OSH services and other appropriate
services and sources.
Hazard prevention – Item 3.10.2 Management of change
A There is no system There is no formal system A system exists There is a formal system There is a formal system
within the organization in place that effectively to capture internal that captures internal and that captures all internal
to capture internal or captures internal or and external changes, external changes. This and external changes.
external change. external change. but it is not consistently is widely used, and is This is extensively
used. generally effective. used throughout the
organization, and
has proved to be very
effective.
B Internal changes in Internal changes in Internal changes in An effective system A highly effective
respect of staffing, respect of staffing, respect of staffing, exists that generally system exists that
new processes, new processes, new processes, captures most internal captures all internal
working procedures or working procedures or working procedures or changes in respect of changes in respect of
organizational structure, organizational structure, organizational structure, staffing, new processes, staffing, new processes,
including acquisitions including acquisitions including acquisitions working procedures or working procedures or
and mergers, are not and mergers, are not and mergers, are captured organizational structure, organizational structure,
captured or factored into systematically captured from time to time, and including acquisitions including acquisitions
a management of change or factored into a are then factored into a and mergers. The changes and mergers. All changes
programme. management of change management of change are then factored into an are then factored into an
programme. programme. effective management of effective management of
change programme. change programme.

61
62
C External changes, External changes, Most external changes, An effective system A highly effective
including changes including changes including changes exists that generally system exists that
to national laws to national laws to national laws captures all external captures all external
and regulations, or and regulations, or and regulations, or changes, including changes, including
improvements in improvements in improvements in OSH changes to national laws changes to national laws
OSH knowledge and OSH knowledge and knowledge and technology. and regulations, and and regulations, and
technology, are not technology, are not are captured, evaluated improvements in OSH improvements in OSH
evaluated or factored into systematically captured, and factored into a knowledge and technology. knowledge and technology.
a management of change evaluated or factored into management of change All changes are factored Continuous improvement
programme. a management of change programme. into an effective changes are tracked,
programme. management of change and all changes are then
programme. factored into a highly
effective management of
change programme.
D When internal or external When internal or external When internal or external An effective system exists A highly effective system
changes are implemented, changes are implemented, changes are implemented, that ensures that internal exists that ensures that
there is no system in there is no effective there is a system in or external changes internal or external
place that demands system in place that place that demands are generally subjected changes are always
that a workplace hazard demands that a workplace that a workplace hazard to a workplace hazard subjected to a workplace
identification and risk hazard identification and identification and risk identification and risk hazard identification and
assessment be carried out. risk assessment be carried assessment be carried out. assessment. risk assessment.
out.
E There is no system There is no formal or There is a system There is an effective There is a robust and
in place to ensure effective system in place in place that should system in place that highly efficient system
that workers, their that ensures that workers, ensure that workers, is used regularly to in place that ensures
representatives, and their representatives, their representatives, ensure that workers, that workers, their
the safety and health and the safety and and the safety and their representatives, representatives, and
committee are informed health committee are health committee are and the safety and the safety and health
or consulted regarding consistently informed consistently informed health committee are committee are consistently
changes. or consulted regarding and consulted regarding consistently informed informed and consulted
changes. changes. This is not and consulted regarding regarding changes. This
consistently used. changes. is extensively used, and
is also communicated to
contractors’ personnel.
F The organization does not The organization has a The organization has The organization has an The organization has an
have in place an effective system that could allow a system that can effective system that can outstanding system that
system for communicating communication of internal communicate all internal be used to communicate is used to communicate
internal and external and external changes to and external changes to all internal and external all internal and external
changes to everyone who everyone affected. This everyone who may be changes to everyone who changes effectively to
may be affected. system is very rarely used. affected. This system is may be affected by the everyone who may be
not frequently used. change. This system is affected by the change.
used frequently. This system is used in
respect of all changes.
OVERALL SCORE FOR ITEM 3.10.2 MANAGEMENT OF CHANGE (max. score for this item is 30)
Strengths
Weaknesses
Opportunities
Threats

63
64
Guidance notes
The impact on OSH caused by internal and external changes should be evaluated, and appropriate steps should be taken before the changes are introduced.
Internal changes are those such as staffing, new processes, working procedures, organizational structures or acquisitions.
External changes are those that are brought about because of changes in national laws or regulations, organizational mergers, or developments and improvements
in OSH knowledge and technology.
A workplace hazard identification and risk assessment should be carried out before any modification or introduction of new work methods, materials, processes,
tools or machinery.
Such an assessment should be carried out in consultation with and involving workers and their representatives, and the safety and health committee.
Implementation of a “decision to change” should ensure that all affected members of the organization are properly informed and trained.
Changes that could affect external organizations (such as the fire brigade, contractors or suppliers) should be communicated to these bodies as appropriate.
Hazard prevention – Item 3.10.3 Emergency prevention,
preparedness and response
A No emergency prevention, No formal arrangements Basic formal arrangements Formal arrangements for Comprehensive and
preparedness or response for emergency prevention, for emergency prevention, emergency prevention, robust arrangements
arrangements have been preparedness or response preparedness and preparedness and exist for emergency
established or maintained. are in place except for a response are in place, response are in place, prevention, preparedness
small number of portable but are not regularly and these are regularly and response, and these
fire extinguishers. maintained. These maintained. An effective are regularly maintained.
minimally identify the system is in place to An effective system is in
potential for accidents prevent OSH risks place to prevent OSH risks
and emergencies. associated with accident associated with accident
and emergency situations. and emergency situations.
These arrangements are These arrangements are
appropriate for the size entirely appropriate to
and type of the business. the size and type of the
organization’s business.
B No information, The only information Most workers understand The organization has The organization has a
communication or provided is the telephone the basic things they a formal and effective comprehensive emergency
coordination is provided number of emergency are required to do in an emergency plan in place plan in place that focuses
to protect persons in the services. Instructions emergency situation. that focuses on emergency on emergency prevention,
event of an emergency. for the operation of the Evacuation procedures are response. Workers are preparedness and
portable fire extinguishers communicated to all, and generally well informed response. All workers are
are provided. reporting of emergency on what they are required fully informed on their

situations to management to do in the event of an duties and responsibilities
is also generally emergency and in the in the event of an
understood. reporting of such events. emergency.
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66
C The only information Information is provided The organization A formal emergency Comprehensive emergency
provided is the telephone on external emergency provides information plan has been prepared plans have been prepared
number of emergency services, including and instructions relating that provides detailed that provide detailed
services (if at all). the local accident and to communicating with information on contacting information on contacting
No emergency lighting or emergency hospital. Fire local emergency response local emergency response local emergency response
exit signage is in place. exit signs and emergency services and the relevant providers, and this has providers. These
lighting are in place. authorities. been communicated to arrangements have been
the workers. communicated to and
are understood by the
workforce.
D No first aid or medical The organization has a The organization has a The organization has The organization has a
assistance is provided; small number of workers good number of workers an adequate number of doctor and nurse and
firefighting equipment who are trained first who are trained first workers who are trained a medical service clinic
is not adequate, and is aiders and are capable aiders, and are capable first aiders, and are to deal with any minor
poorly maintained. of providing basic first of providing basic first capable of providing injuries or illness caused
aid and resuscitation. aid and cardiopulmonary basic first aid and CPR. through emergency
They are capable only resuscitation (CPR). They also have a nurse or situations. They also have
of handling very minor A nurse is also available physician available to deal workers trained in first aid
injuries to a few people. to deal with medical with injuries and medical and CPR, including the
issues. These people are issues. The medical use of automated external
capable only of handling help and facilities are defibrillation. The medical
very minor injuries to a adequate for the size and help and facilities are
few people. type of the organization’s more than adequate for
business. the size and type of the
organization’s business.
E No training is provided Limited basic training on Basic training on Extensive training is A wide range of training
to workers on emergency emergency response is emergency response is provided to workers on is provided to workers on
prevention, preparedness provided as part of the provided at the induction emergency response; this response to emergency
or response, and no induction programme for of new workers, and starts at induction and is situations. Exercises and
exercises are undertaken new workers. No exercises refresher training is then refreshed at regular drills are undertaken
to test responses to or drills are undertaken, provided occasionally. intervals. Exercises and at least twice per year.
emergency situations. and no refresher training Exercises and drills drills are undertaken at Joint training exercises
is provided. are undertaken, but least once per year, and are arranged with local
only involve occasional address typical emergency emergency response
evacuation drills. situations. services.
F The organization has The organization has The organization has The organization The organization has
not sought cooperation very little cooperation established some cooperates with very close cooperation
from external emergency with external emergency cooperation with the external emergency with external emergency
services or other bodies. It services, and is poorly external emergency services regularly and services and bodies.
is very poorly prepared to prepared to deal with any services and responders. effectively. Occasional Reciprocal emergency
deal with any emergency. serious emergency. Preparation for joint emergency response arrangements are
emergencies needs to be planning meetings are in place with neighbouring
improved. held with neighbouring organizations. Close
organizations and local cooperation is in place
external emergency with ambulance services
service providers. and accident and
emergency hospitals.
OVERALL SCORE FOR ITEM 3.10.3 EMERGENCY PREVENTION, PREPAREDNESS AND RESPONSE (max. score for this item is 30)
Strengths
Weaknesses
Opportunities

67
68
Threats
Guidance notes
Emergency prevention, preparedness and response arrangements should be established and maintained. The arrangements should identify the potential
for accidents and emergency situations, and address the prevention of OSH risks associated with them. These arrangements should be appropriate to the size
and nature of activity of the organization.
The organization should ensure that the necessary information, internal communication and coordination is provided to protect all people in the event
of an emergency at the worksite.
The organization should provide information and communication with the relevant competent authorities, the neighbourhood, and emergency response services.
The organization must be able to address first-aid and medical assistance needs, as well as firefighting and evacuation of all people at the worksite.
The organization must provide relevant information and training to all members of the organization, at all levels, including regular exercises in emergency
prevention, preparedness and response procedures.
Emergency prevention, preparedness and response arrangements should be established in cooperation with external emergency services and other bodies where
applicable.
Hazard prevention – Item 3.10.4 Procurement
A Procurement is not Procurement does not Formal procurement An effective procurement A comprehensive
subject to any formal consistently follow procedures are in place, policy is in place, and procurement policy is
procedures procedures to ensure that but are not consistently this lays down procedures in place, and this lays
or controls. OSH is considered in followed. This sometimes that require that OSH down procedures that
procurement decisions. means that OSH is not be considered. These must be followed. These
considered in procurement procedures are generally procedures are followed
decisions. followed. at all times, and ensure
that OSH is considered in
procurement decisions.
B OSH requirements for In most instances, OSH OSH requirements An effective procedure A comprehensive
the organization have not requirements for the for the organization is in place to ensure procedure is in place
been identified, evaluated organization have not have generally been that OSH requirements to ensure that OSH
or incorporated into been identified, evaluated identified, evaluated for the organization requirements for the
purchasing and leasing or incorporated into and incorporated into have generally been organization have been
specifications. purchasing and leasing purchasing and leasing identified, evaluated identified, evaluated
specifications. specifications. and incorporated into and incorporated into
purchasing and leasing purchasing and leasing
specifications. specifications.
C The organization totally The organization regularly The organization generally The organization has an The organization has a
fails to consider national fails to consider national considers national laws effective process that highly effective process
laws and regulations, or its laws and regulations, or its and regulations, and its requires that national laws in place that ensures
own OSH requirements, own OSH requirements, own OSH requirements, and regulations and its that national laws and
prior to the procurement prior to the procurement prior to the procurement own OSH requirements regulations and its own

of goods and services. of goods and services. of goods and services be considered prior to the OSH requirements are
but this is not done procurement of any goods considered prior to the
69
consistently. and services. procurement of goods and
services.
70
D There is no system in There is not a consistent The organization has a The organization has The organization has a
place to check that and effective system system in place to check an effective process in robust and highly effective
items procured are safe in place to check that that items procured are place to ensure that process in place to ensure
or comply with the OSH items procured are safe safe and comply with the all goods and services that all goods and services
requirements for their use. or comply with the OSH OSH requirements for procured conform to procured conform to
requirements for their use. their use. However, this OSH requirements OSH requirements and
does not always happen and standards before they standards before they
before they are put are used. are used.
into use.
E There is no system There is no system in There is a system in place An effective system A highly effective
in place to update place to regularly update to update procurement is in place to system is in place to
procurement requirements procurement requirements requirements resulting update procurement update procurement
resulting from changes resulting from changes from changes or requirements, and to requirements, and to
or improvements in OSH or improvements in OSH improvements in OSH ensure compliance with ensure compliance with
specifications, standards, specifications, standards, specifications, standards, OSH specifications, OSH specifications,
or the organization’s own or the organization’s own and the organization’s own standards, and the standards, and the
OSH requirements. OSH requirements. OSH requirements. This organization’s own OSH organization’s own OSH
is only occasionally used, requirements. This is requirements. This is
however. generally used. consistently used.
OVERALL SCORE FOR ITEM 3.10.4 PROCUREMENT (max. score for this item is 25)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Procedures should be established and maintained to ensure that OSH requirements for the organization are identified, evaluated, and incorporated into purchasing
and leasing specifications.
An effective process needs to ensure compliance with OSH requirements, and purchasing and leasing specifications.
The organization should have in place a process to ensure that the requirements of national laws and regulations, and its own OSH requirements, are identified prior
to the procurement of goods and services.
Effective arrangements should be made to ensure that items procured are in conformance with OSH requirements before they are used.

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72
Hazard prevention – Item 3.10.5 Contracting
A The organization has No formal arrangements Arrangements do exist Arrangements do exist Comprehensive
no arrangements to exist to ensure that the to ensure that the to ensure that the arrangements exist
ensure that its own OSH organization’s own OSH organization’s own OSH organization’s own OSH to ensure that the
requirements or equivalent requirements or equivalent requirements or equivalent requirements or equivalent organization’s own OSH
are applied to contractors are applied to contractors are applied to contractors are applied to contractors requirements or equivalent
or their workers. or their workers. and their workers. These and their workers. These are applied to contractors
are not always followed. are generally closely and their workers. These
followed. are diligently followed.
B No selection and No formal selection A very basic selection and An effective formal A robust and highly
evaluation process is and evaluation process evaluation process exists selection and evaluation effective system exists
in place to ensure that is in place to ensure to ensure that contractors process exists to to select and evaluate
contractors chosen that contractors chosen chosen to perform ensure that contractors contractors. This ensures
to perform work are to perform work are work are competent, chosen to perform that contractors chosen
competent, or will comply competent, or will comply and will comply with work are competent, to perform work are
with the organization’s with the organization’s the organization’s OSH and will comply with competent, and will comply
OSH requirements. OSH requirements. requirements. the organization’s OSH with the organization’s
requirements. OSH requirements.
C There is no effective There is infrequent There is some regular, Regular ongoing Extensive ongoing
ongoing communication and limited ongoing ongoing communication communication and communication and
or coordination between communication and and coordination between coordination between coordination exists
appropriate levels of the coordination between appropriate levels of the appropriate levels of the between appropriate levels
organization and the appropriate levels of the organization and the organization and the of the organization and
contractor before work organization and the contractor before work contractor occur before the contractor before work
commences. contractor before the work commences. work commences. This commences. This includes
commences. includes problem solving establishing cardinal OSH
and reinforcement of OSH rules and reinforcing OSH
requirements. requirements.
D Hazards and the Hazards and the Hazards and the measures Hazards and the measures Hazards and the measures
measures to prevent measures to prevent to prevent and control to prevent and control to prevent and control
and control them are and control them are them are not fully or them are generally them are fully and very
not communicated to poorly and ineffectively effectively communicated effectively communicated effectively communicated
contractors before work communicated to to contractors before work to contractors before work to contractors before work
commences. contractors before work commences. commences. commences.
commences.
E No arrangements exist for Informal arrangements Formal arrangements exist Effective formal Comprehensive formal
the reporting of work- exist for the reporting for the reporting of work- arrangements exist for arrangements exist for
related injuries, ill health, of work-related injuries, related injuries, ill health, the reporting of work- the reporting of work-
diseases or incidents ill health, diseases diseases and incidents related injuries, ill health, related injuries, ill health,
among contractors’ and incidents among among contractors’ diseases and incidents diseases, incidents and
workers while performing contractors’ workers while workers while performing among contractors’ near-misses among
work for the organization. performing work for the work for the organization, workers while performing contractors’ workers.
organization. and are generally work for the organization.
complied with. These are closely
monitored to ensure
compliance.
F The organization does The organization does not The organization does The organization does The organization provides
not provide any relevant provide sufficient relevant provide some relevant generally provide relevant excellent relevant
workplace safety and workplace safety and workplace safety and workplace safety and workplace safety and
health hazard awareness health hazard awareness health hazard awareness health hazard awareness health hazard awareness
and training to contractors and training to contractors and training to contractors and training to contractors and training to contractors
or their workers before or their workers before and their workers before and their workers before and their workers before
work commences, or as it work commences, or as it work commences, and as work commences, and as work commences, and as
progresses. progresses. it progresses. it progresses. it progresses.
G There is no effective There is little and There is limited effective There is effective A robust programme
monitoring of contractors’ ineffective monitoring monitoring of contractor’s monitoring and control exists to monitor and
OSH performance of contractor’s OSH OSH performance and of contractors’ OSH control contractors’ OSH
or activities on site. performance on site, and activities on site. Some performance and activities performance. Contractors

Contractors work without contractors work with little supervision and control of on site. Corrective are regularly observed and
any supervision or control. supervision or control. contractors exists. actions are taken when evaluated. Deviations are
OSH procedures are not not tolerated.
73
followed.
OVERALL SCORE FOR ITEM 3.10.5 CONTRACTING (max. score for this item is 35)
74
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Arrangements should be established and maintained for ensuring that the organization’s safety and health requirements, or at least the equivalent, are applied
to contractors and their workers.
Arrangements should be established for contractors working on site, and should include OSH criteria in the procedures for evaluating and selecting contractors,
and to allow competence and capability to be established before the contract is awarded.
There should be effective, ongoing communication and coordination between appropriate levels of the organization and the contractor before they commence work.
This should include provisions for communicating hazards, and the measures to prevent and control them.
Arrangements should be established for reporting work-related injuries, ill health, diseases and incidents among the contractors’ workers while performing work
for the organization.
Relevant workplace safety and health hazard awareness and training for contractors or contractors’ workers should be provided before work commences
and as it progresses, as necessary.
The OSH performance of contractors’ activities on site must be regularly monitored to ensure that they follow site OSH procedures and arrangements.
If a contractor is allowed to subcontract work, then exactly the same OSH requirements must be met by the subcontractor as those imposed by the organization
on the contractor.
Evaluation
Evaluation
Item 3.11 Performance monitoring and measurement
A No procedures exist to Very basic procedures Procedures exist to A range of procedures A wide range of
monitor, measure or exist to monitor, monitor, measure and exist to monitor, procedures exist to
record OSH performance. measure and record OSH record OSH performance, measure and record OSH monitor, measure and
performance, but these but these are outdated, performance on a regular record OSH performance
are inadequate, and are and have not been basis. A process exists on a regular basis. A
not regularly used. reviewed for some time. to develop, establish formal process exists
and review many of the to develop, establish
measurements to be and review all the
taken. measurements to be
taken.
B No one has been made No one has been made The responsibility for An effective process A comprehensive process
responsible, accountable, responsible or accountable monitoring, measuring exists for monitoring, exists for monitoring,
or has the authority for monitoring OSH and recording OSH measuring and recording measuring and recording
for monitoring OSH performance. performance is not OSH performance. OSH performance.
performance. allocated to all levels Responsibility, Responsibility,
in the management accountability and accountability and
structure. authority have been authority for this have
allocated for this at been allocated at every
different levels of level of the management
management. structure.
C No performance indicators A very limited number of A modest number of A wide number of OSH A comprehensive OSH
have been developed. performance indicators performance indicators performance indicators performance measurement
have been developed. have been developed, have been developed, and system exists that
These are not entirely and are in use. They fail are in use. They measure measures all aspects of
Evaluation
appropriate to the size and to measure all aspects of most aspects of OSH OSH performance. The
type of business. OSH performance, and are performance, and are performance indicators
77
not all appropriate to the appropriate to the size and are totally appropriate to
size and type of business. type of the organization’s the size and nature of the
business. organization’s business.
78
D No performance indicators Existing performance Existing performance Existing performance A thorough set of
have been developed or indicators are mostly indicators are generally indicators are varied, qualitative and
are in use. qualitative in nature, and qualitative in nature, and and are a mixture quantitative OSH
generally are not based are not sufficiently based of qualitative and performance indicators
on the organization’s on the organization’s quantitative measures that are in place that cover
identified hazards and identified hazards and are generally based on the all aspects of OSH
risks. risks. organization’s identified performance, and focus
hazards and risks. strongly on the identified
hazards and risks of the
organization.
E No performance indicators Existing performance Existing performance Existing performance Existing performance
have been developed or indicators fail to measure indicators measure only a indicators generally indicators measure all
are in use. all the commitments few of the commitments measure most of the the commitments made
made in the OSH policy made in the OSH policy commitments made in the in the OSH policy and
and objectives. and objectives. OSH policy and objectives. objectives.
F No performance indicators Performance monitoring Performance monitoring Performance monitoring A comprehensive range of
have been developed or and measurement are and measurement are and measurement exist performance monitoring
are in use. focused on reactive focused on reactive using both active and and measurement is
monitoring, and fail monitoring and historic reactive monitoring. used for both active and
to look for active or data, and fail to look Detailed records are kept, reactive monitoring.
preventive solutions. for active or preventive and data are analysed Detailed records are kept,
solutions. to establish trends and and data are analysed to
preventive solutions. find solutions to improve
future performance.
G No performance indicators Performance monitoring Existing performance Existing performance Existing performance
have been developed or provides only limited monitoring provides monitoring provides monitoring provides
are in use. feedback on OSH some feedback on useful feedback on complete and very
performance, since not OSH performance. The OSH performance. useful feedback on
enough appropriate monitoring often fails The monitoring shows OSH performance. The
measurements are made. to determine whether whether arrangements for monitoring shows clearly
arrangements for hazard hazard identification, risk whether arrangements for
identification, risk assessment and control hazard identification, risk
assessment and control are working effectively. assessment and control
are working effectively. are working effectively.
H No performance indicators Active monitoring is rarely Active monitoring is used Active monitoring is Active monitoring is
have been developed or used to track achievement occasionally to check generally used to track constantly used to track
are in use. of specific plans, progress in achieving achievement of specific achievement of specific
performance criteria or specific plans and plans, performance plans, performance
objectives. performance criteria and criteria and objectives. criteria and objectives.
objectives.
I No systematic process Surveillance of the Surveillance of the Surveillance of the Extensive surveillance of
exists to actively monitor working environment working environment working environment the working environment
the working environment. and inspection of work and inspection of work and inspection of work and inspection of work
systems, premises, plant systems, premises, plant systems, premises, systems, premises, plant
and equipment are done and equipment are done plant and equipment and equipment is done
occasionally, but are not systematically, but are are done frequently and very frequently and
done systematically. not done with sufficient systematically. systematically.
frequency.
J There is no active Rudimentary active Active surveillance of An effective system for A comprehensive system
monitoring of workers’ surveillance of workers’ workers’ health is regularly the active surveillance for the active surveillance
health, and no process is health is carried out only carried out for those of workers’ health is of workers’ health is
regularly used to prevent for those exposed to high exposed to high hazards. applied in a regular and applied in a regular and
or control health hazards. hazards. No screening is provided systematic way for most systematic way for all
for any other workers. workers. workers.
K The organization fails The organization The organization is The organization complies The organization fully
to comply with national generally complies with generally compliant with with and in some ways complies with and
laws and regulations most national laws and all national laws and exceeds the requirements exceeds the requirements
or good OSH practices regulations. A practice of regulations relating to of national laws and of national laws and
relating to collecting OSH minimal compliance is in the collection of OSH regulations relating regulations relating
performance data. place, and only basic data performance data. to OSH performance to OSH performance
are collected. measurement. measurement.
Evaluation
79
80
L Reactive monitoring is Reactive monitoring is The organization The organization has an The organization has
used at times to capture used generally to capture has a basic system effective system that a very comprehensive
work-related injuries, work-related injuries, for monitoring monitors incidents, system that monitors
ill health, disease and ill health, disease and OSH performance injuries, ill health and incidents, injuries, ill
incidents. This is not incidents. These data measurement. However, sickness, damage and health and sickness,
systematically maintained, are not systematically only high-severity injuries losses. Monitoring is damage and losses.
and the data collected are maintained, and are are tracked. Damage systematically carried out, Monitoring is
unreliable. incomplete, since only and incidents are rarely and the data collected systematically carried out,
high-severity events are reported. are generally used to and the data collected are
captured. investigate OSH failures used to investigate OSH
and seek improvements. failures. The monitoring
is used to find remedial
measures, and is a key
element of continuous
improvements.
ITEM 3.11 PERFORMANCE MONITORING AND MEASUREMENT (max. score for this item is 60)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Procedures to monitor, measure and record OSH performance on a regular basis should be developed, established, implemented, and periodically reviewed.
Responsibilities, accountabilities and authorities for monitoring should be allocated at different levels in the management structure.
The selection of performance indicators should take into account the size and nature of activity of the organization, and the OSH objectives.
Both qualitative and quantitative measures appropriate to the needs of the organization should be considered. These should:
(a) be based on the organization’s identified hazards and risks, the commitments in its OSH policy and its OSH objectives;
(b) support the organization’s evaluation processes including the management review.
Performance monitoring and measurement should:

(a) be used as a means of determining the extent to which OSH policy and objectives are being implemented and risks are controlled;
(b) include both active and reactive monitoring, and not be based only upon work-related injury, ill health, disease and incident statistics;
(c) be recorded.
Monitoring should provide:

(a) feedback on OSH performance;
(b) information to determine whether the day-to-day arrangements for hazard and risk identification, prevention and control are in place, and are operating
effectively;
(c) the basis for decisions about improvement in hazard identification and risk control, and the OSH management system.
Active monitoring should contain the elements necessary to have a proactive system, and should include:
(a) monitoring the achievement of specific plans, established performance criteria and objectives;
(b) the systematic inspection of work systems, premises, plant and equipment;
(c) surveillance of the working environment, including work organization;
(d) workers’ health surveillance, where appropriate, through suitable medical monitoring or follow-up of workers for early detection of signs and symptoms of harm
to health, to determine the effectiveness of prevention and control measures;
(e) compliance with applicable national laws and regulations, collective agreements and commitments on OSH that the organization has subscribed to.
Reactive monitoring should include the identification, reporting and investigation of:
(a) work-related injuries, ill health (including monitoring of aggregate sickness absence records), diseases and incidents;
(b) other losses, such as damage to property;
Evaluation
(c) deficient safety and health performance, and OSH management system failures;
(d) worker rehabilitation and health restoration programmes.
81
82
Evaluation
Item 3.12 Investigation of work-related injuries, ill health, diseases
and incidents, and their impact on safety and health performance
A Investigations are Only incidents involving Incidents involving lost All incidents involving All incidents are
conducted only for lost time, injury or time, injury or damage are injury or damage, or near- investigated, and are
work-related serious significant damage investigated. miss events, are subject subjected to a very
injury cases. These are subjected to a very to investigation, and are thorough and systematic
investigations focus on the elementary form of closely studied to identify examination to identify
apportioning of blame. investigation. root causes. root causes.
B There is no process in There is no effective Cases of ill health and Ill health and diseases are Ill health and diseases
place that captures or system in place to identify diseases are supposed generally reported, and are consistently reported,
investigates ill health or ill health and diseases, to be reported and are also investigated to and are thoroughly
diseases to determine or to determine whether investigated. However, establish whether they are investigated to establish
whether these are work these are work related. a significant proportion caused by work-related whether they are caused
related. of such cases are not issues. by work-related issues.
reported, and therefore are
not investigated.
C There is no system in There is no effective The system in place An effective system exists A very thorough and
place to examine incidents system to examine for the reporting and that does investigate all comprehensive system
to establish whether reported incidents to investigation of incidents types of incident, and exists that does investigate
the OSH management establish whether the frequently fails to it does try to establish all types of incidents. It
system has failed or has OSH management system seriously examine whether whether a failure or explores the root causes in
been inadequate in these has failed or has been the OSH management inadequacy in the OSH detail, and looks closely to
circumstances. inadequate in these system failed or was management system was establish whether a failure
circumstances. inadequate. a main or contributing or inadequacy in the OSH
factor. management system was
a main or contributing
factor.
D The organization does not The organization does The organization does The organization has The organization has
have competent persons have a competent person have competent persons competent persons competent persons
to carry out incident to carry out incident to carry out incident to carry out incident to carry out incident
investigations. investigations relating to investigations relating investigations relating investigations relating
workplace injuries, but to workplace injuries. It to workplace injuries. to workplace injuries. It
does not have competent has access to external They also use competent also has a comprehensive
persons relating to disease providers for disease and health professionals and team of competent health
or ill-health issues. ill-health issues, but these industrial hygienists to professionals and industrial
are very rarely used. identify and investigate hygienists to identify and
disease and ill-health investigate disease and ill-
issues. health issues.
E The organization The organization The organization does The organization consults The organization consults
does not publish or communicates the results not consult with the with the safety and widely with the safety and
communicate the results of any investigations into safety and health health committee to find health committee and
of any investigations into very serious workplace committee on the results solutions that would workers to find solutions
workplace injuries, ill injuries, ill health or of investigations into prevent a recurrence which that would prevent
health or disease. There is disease to the safety workplace injuries, of the issues being a recurrence of the issues
no worker participation in and health committee. ill health or disease. investigated. It also being investigated. It
this process. There is little worker It does communicate communicates the also communicates
participation in this the final results of its final results of the the final results of the
process. investigations. Worker investigations, and investigations, and
participation is limited. encourages worker ensures that corrective
participation. actions are identified.
F Corrective actions are Corrective actions are Corrective actions are Corrective actions that Corrective actions that
rarely taken, since rarely taken, since root generally taken where have been agreed with have been discussed and
root causes are rarely causes are frequently not root causes have been the safety and health agreed with the safety
identified. identified. established. However, committee and workers’ and health committee and
root causes are very rarely representatives are workers’ representatives
established for very minor generally taken quickly, to are implemented quickly,
and near-miss incidents. ensure that events do not to ensure that events do
recur. not recur. A follow-up
Evaluation
process checks that the
corrective actions have
83
been implemented and
are working.
84
G Reports from external Reports received from Reports received from Reports received from Reports received from
investigative agencies, external investigative external investigative external investigative external investigative
including inspectorates agencies, including agencies, including agencies, including agencies, including
and social security inspectorates and social inspectorates and social inspectorates, social inspectorates, social
institutions, are given security institutions, are security institutions, are security institutions, security institutions,
some attention only given attention if they given less attention than insurers, certification insurers, certification
if they involve breaches involve breaches of OSH internal investigations bodies and professional bodies and professional
of OSH laws or financial laws. unless there are breaches advisers are generally advisers, are always acted
penalties. of OSH laws. acted on in the same way on with rigor equal to that
as internal investigations. of internal investigations.
OVERALL SCORE FOR ITEM 3.12 INVESTIGATION OF WORK-RELATED INJURIES,ILL HEALTH AND DISEASES (max. score for this item is 35)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Investigation of the origin and underlying causes of work-related injuries, ill health, diseases and incidents should identify any failures in the OSH management
system, and should be documented.
Such investigations should be carried out by competent persons, with the appropriate participation of workers and their representatives.
The results of such investigations should be communicated to the safety and health committee, where it exists, and the committee should make appropriate
recommendations.
The results of investigations, in addition to any recommendations from the safety and health committee, should be communicated to appropriate persons
for corrective action, included in the management review, and considered for continual improvement activities.
The corrective action resulting from such investigations should be implemented in order to avoid repetition of work-related injuries, ill health, diseases and
incidents.
Reports produced by external investigative agencies, such as inspectorates and social insurance institutions, should be acted upon in the same manner
as internal investigations, taking issues of confidentiality into account.
Evaluation
85
86
Evaluation
Item 3.13 Audit
A No internal or external Occasional internal Internal audits are carried Internal and external A comprehensive process
audits are carried out on a audits are carried out out on a periodic basis audits covering the of internal and external
periodic basis. infrequently on a random covering some parts of the entire organization are audits covering the entire
basis, and fail to cover all organization. These audits carried out on a periodic organization is carried out
parts of the organization. are generally not subject basis. These audits are on a regular basis. These
These internal audits to an effective planning scheduled in the audit- audits are scheduled in
focus on the physical state and scheduling process. planning process to the audit-planning process
of the workplace, and ensure that each part of to ensure that every part
fail to measure the OSH the organization is audited of the organization is
management system. at least every three years. audited at least every two
years.
B No audit policy or No formal internal audit An internal audit policy An effective audit policy A very effective and
programme exists in the policy or programme exists and programme is in and programme is in efficient audit policy and
organization. in the organization. effect, but fails to ensure effect that ensures auditor programme is in effect
auditor competences. competences. The audit that ensures auditor
The audit scope, audit scope, audit methodology, competences. The audit
methodology, scheduling scheduling and reporting scope and methodology
and reporting are not are defined. are regularly reviewed.
clearly defined. Scheduling and reporting
are clearly defined and
documented.
C No internal or external Internal audits fail to The audit methodology The audit methodology The audit methodology in
audits are carried out to measure compliance with in use fails to measure in use is generally use is highly effective in
ensure compliance with the OSH management performance accurately effective in measuring measuring performance
any of the elements of the system elements. against many of the performance against against all elements of
OSH management system. elements of the ILO-OSH most of the elements the the OSH management
management system ILO-OSH management system as described in
guidelines. system guidelines, or an the ILO-OSH management
appropriate subset of guidelines.
these elements.
D No audits are carried out. There is no external External audits are External audits are External audits are
validation of carried out at least every carried out at least every carried out at least every
measurement of 5 years to ensure that 5 years to ensure that 3 years to ensure that
the audits. the measurement criteria the measurement criteria the measurement criteria
used for internal audits of used for internal audits of used for internal audits of
some elements of the OSH all elements of the OSH all elements of the OSH
management system are management system are management system are
consistent with those used consistent with those used consistent with those used
by other organizations in by other organizations in by other organizations in
the same industry. the same industry. the same industry.
E No measurements are The measurements taken The measurements taken The measurements taken The measurements taken
taken that would establish from both internal and from both internal and from both internal and from both internal and
whether the organization external audits, and external audits, and external audits, and external audits, and the
is meeting its OSH policy the conclusions drawn the conclusions drawn the conclusions drawn conclusions drawn from
or objectives. from these audits, are from these audits, are from these audits, are these audits, are used
rarely used to establish sometimes used to generally used to establish widely and consistently
or confirm that the establish and confirm and confirm that the to establish and confirm
organization is meeting that the organization is organization is meeting that the organization is
its OSH policy and meeting its OSH policy its OSH policy and meeting its OSH policy
objectives. and objectives. objectives. and objectives.
Evaluation
87
88
F No measurements are The information provided The information provided The information provided The information provided
taken and no information from internal and from internal and external from internal and external from internal and
is provided to workers to external audits is rarely audits is sometimes audits is generally external audits is always
gain worker participation communicated to workers. communicated to workers, communicated to workers, communicated to workers,
in OSH. but is rarely used to gain and is used to gain full and is used to gain full
worker participation in worker participation in worker participation in
OSH. OSH. OSH.
G No audits are carried out The audits that are The audits undertaken The audits undertaken The audits undertaken
and no process exists occasionally undertaken are sometimes used are generally used are consistently used
to identify compliance are rarely used to confirm to confirm that the to confirm that the to confirm that the
with national laws and that the organization organization complies organization complies organization complies
regulations relating to complies fully with fully with national laws fully with national laws fully with national laws
OSH. national laws and and regulations relating and regulations relating and regulations relating to
regulations relating to to OSH. to OSH. OSH and also OSH best
OSH. practices.
H No audits are carried out, Audits are only Audits are sometimes Audits are generally used Audits are systematically
and no process exists occasionally used to used to identify to identify opportunities used to identify
to identify and correct identify opportunities for opportunities for for improvement, and opportunities for
weaknesses or make improvement. improvements, and to drive continual improvement, and to drive
improvements. to drive continual improvement. continual improvement
improvement. and best practice.
I No audits are carried out The correction of Improvements and the Improvements and the Improvements and the
and no process exists identified weaknesses correction of identified correction of identified correction of identified
to identify and correct is not given sufficient weaknesses are not weaknesses are generally weaknesses are monitored,
weaknesses or make attention or implemented sufficiently monitored monitored, and corrective and corrective actions
improvements. quickly enough. There and generally not taken actions are mostly taken are taken in a timely
is very little focus on quickly enough. No within a reasonable time. manner. These are subject
improvements. effective follow-up system These are subject to to a systematic follow-
exists. a follow-up process to up process to ensure
ensure completion. completion.
J The organization does Only internal auditors Auditors are selected Auditors are generally Auditors are rigorously
not have any competent are used, and these from time to time, but carefully selected to selected to ensure
auditors, or utilize external have not received audit their competences are not ensure their competence, competence, and also that
competent auditors. training. They lack the sufficiently assessed. and are mostly they are independent of
competences needed to independent of the the activity being audited.
conduct audits. activity being audited.
OVERALL SCORE FOR ITEM 3.13 AUDIT (max. score for this item is 50)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Arrangements to conduct periodic audits should be established to determine whether the OSH management system and its elements are in place, adequate,
and effective in protecting the safety and health of workers and preventing incidents.
Evaluation
An audit policy and programme should be developed that includes a designation of auditor competence, audit scope, the frequency of audits, audit methodology
and reporting.
89
90
The audit includes an evaluation of the organization’s OSH management system elements or a subset thereof, as described in the ILO-OSH 2001 guidelines:
3.1 OSH policy
3.2 Worker participation
3.3 Responsibility and accountability
3.4 Competence and training
3.5 OSH management system documentation
3.6 Communication
3.7 Systems planning, development, and implementation
3.8 Prevention and control measures
3.9 Occupational safety and health objectives
3.10 Hazard prevention
3.10.1 Prevention and control measures
3.10.2 Management of change
3.10.3 Emergency prevention, preparedness, and response
3.10.4 Procurement
3.10.5 Contracting
3.11 Performance monitoring and measurement
3.12 Investigation of work-related injuries, ill health, diseases and incidents and their impact on OSH performance
3.13 Audit
3.14 Management review
3.15 Preventive and corrective actions
3.16 Continual improvement
The audit should also consider any other audit criteria or elements that may be appropriate.
The audit should identify whether the OSH functions are integrated into the overall business functions and management of the organization.
The audit should identify where conflicting goal and objectives exist within the organization.
The audit conclusions should determine whether the implemented OSH management system, elements or a subset thereof:
(a) are effective in meeting the organization’s OSH policy and objectives;
(b) are effective in promoting full worker participation;
(c) respond to the results of OSH performance evaluation and previous audits;
(d) enable the organization to achieve compliance with relevant national laws and regulations;
(e) fulfil the goals of continual improvement and best OSH practice.
Audits should be conducted by competent persons, internal or external to the organization, who are independent of the activity being audited.
Audit results and conclusions should be communicated to those responsible for corrective actions.
Consultation on all stages of the workplace audit, including the selection of auditors and the analysis of results, should be subject to worker participation.
Evaluation
Item 3.14 Management review
A No management reviews Management reviews Management reviews of Management reviews Comprehensive

are made of OSH are made of OSH OSH performance are of OSH performance management reviews
performance, and no performance very rarely. made infrequently to and OSH strategy are of OSH performance
performance objectives There is no planning or evaluate OSH strategy and made at least annually. and OSH strategy are
are set. clear definition of OSH performance. Performance Performance objectives for made at least quarterly.
performance objectives. objectives for OSH lack OSH are set in reasonable Performance objectives
detail and planning. detail, and are used to for OSH are set in detail,
plan OSH activities. and are used to plan OSH
activities.
B No effort is made to Little effort is made to Some effort is made to Significant effort is Major attention is given to
evaluate or identify the evaluate or identify the evaluate and identify the made in evaluating and evaluating and identifying
need for changes or to need for changes or to need for changes or to identifying the need for the need for changes or
correct deficiencies in the correct deficiencies in the correct deficiencies in changes or to correct to correct deficiencies
OSH management system. OSH management system. the OSH management deficiencies in the OSH in the OSH management
system, OSH policy and management system, OSH system, OSH policy and
objectives. policy and objectives. objectives.
C No management reviews Management reviews Management reviews are Systematic and effective Comprehensive
are undertaken, and there are carried out very rarely undertaken, and are management reviews management reviews
is no follow-up process on occasionally by junior generally carried out by are regularly carried out, are planned and carried
corrective actions. managers and supervisors. junior managers. Senior and are usually done by out regularly by senior
Senior managers are not managers are occasionally middle management and managers.
involved in this process. involved in this process. occasionally by senior
Evaluation
management.
91
92
D Management provides Management provides Management provides Management provides Management

no feedback direction, little feedback direction, some feedback direction, regular feedback direction, provides regular and
and fails to determine and fails to determine but fails to determine and generally determines comprehensive feedback
OSH priorities. They fail OSH priorities properly. OSH priorities properly. OSH priorities properly. direction, and determines
to plan or set continual There is a lack of There is a lack of There is a planning OSH priorities properly.
improvement objectives, planning, and a failure to planning, and a failure to process to set continual There is an effective
or take performance set continual improvement set continual improvement improvement objectives. planning process that sets
measurements. objectives. objectives. continual improvement
objectives.
E No management reviews Management reviews Management reviews are Management reviews Management reviews
are undertaken that would are rarely conducted by conducted infrequently are generally conducted are systematically and
allow management to management. They fail to by management, by management, regularly conducted by
monitor OSH performance. fully consider leading and and consider OSH and consider OSH senior management,
lagging OSH performance performance indicators performance indicators and consider OSH
indicators. such as incidents, such as incidents, performance indicators
injuries, ill health, audit injuries, ill health, audit such as incidents,
findings and incident findings and incident injuries, ill health, audit
investigations. investigations. findings and incident
investigations.
F No management There is little The management review Management review Management review
reviews are undertaken, communication of findings are sometimes findings are generally findings are systematically
and there is no the findings of the communicated to communicated to communicated to
communication regarding management review to the safety and health the safety and health the safety and health
OSH performance to the safety and health committee, workers, and committee, workers, and committee, workers, and
the safety and health committee, workers, or those responsible for the those responsible for the those responsible for the
committee, workers, or those responsible for the relevant element of the relevant element of the relevant element of the
those responsible for the relevant element of the OSH management system. OSH management system. OSH management system.
relevant element of the OSH management system. Supervisors and managers
OSH management system. are told to discuss
the findings with their
workers.
G No management reviews Management reviews are Management reviews Management reviews Management reviews are
are undertaken or rarely documented, and are generally formally are usually formally always comprehensively
documented. are communicated only on documented, but are documented, and are documented, and are
a need-to-know basis. communicated only on a communicated to all those communicated formally
need-to-know basis. concerned. to all those concerned.
The review is subject to
quarterly review until all
issues have been resolved.
OVERALL SCORE FOR ITEM 3.14 MANAGEMENT REVIEW (max. score for this item is 35)
Strengths
Weaknesses
Opportunities
Threats
Evaluation
93
94
Guidance notes
Management reviews should:

(a) evaluate the overall strategy of the OSH management system, to determine whether it meets planned performance objectives;
(b) evaluate the OSH management system’s ability to meet the overall needs of the organization and its stakeholders, including its workers and the regulating
authorities;
(c) evaluate the need for changes to the OSH management system, including OSH policy and objectives;
(d) identify what action is necessary to remedy any deficiencies in a timely manner, including adaptations of other aspects of the organization’s management
structure and performance measurement;
(e) provide the feedback direction, including the determination of priorities, for meaningful planning and continual improvement;
(f) evaluate progress towards the organization’s OSH objectives and corrective action activities;
(g) evaluate the effectiveness of follow-up actions from earlier management reviews.
The frequency and scope of periodic reviews by the employer or the most senior accountable person of the OSH management system of the organization should be
defined according to its needs and conditions.
The management review should consider:

(a) the results of work-related injury, ill health, disease and incident investigations, performance monitoring and measurement, and audit activities;
(b) the additional internal and external inputs as well as changes, including organizational changes, that could affect the OSH management system.
The findings of the management review should be recorded and formally communicated to:
(a) the persons responsible for the relevant element(s) of the OSH management system so that they may take appropriate action;
(b) the safety and health committee, workers and their representatives.
Action
for improvement
Item 3.15 Preventive and corrective action
A No system exists to No effective system is A very basic system is An effective system is A comprehensive
implement preventive in place to implement in place to implement in place to implement system is in place and
or corrective actions preventive or corrective preventive and corrective preventive and corrective is very effective in
required as a result of actions required actions required actions required implementing preventive
OSH management system as a result of OSH as a result of OSH as a result of OSH and corrective actions
audits, management management system management system management system required as a result of
reviews and other forms audits, management audits, management audits, management OSH management system
of OSH performance reviews and other forms reviews and other forms reviews and other forms audits, management
monitoring. of OSH performance of OSH performance of OSH performance reviews and other forms
monitoring. monitoring. monitoring. of OSH performance
monitoring.
B No process exists to No adequate process A very basic process An effective process A comprehensive and
identify and analyse the exists to identify and exists to identify and exists to identify and highly effective process
root causes of non- analyse the root causes analyse the root causes analyse the root causes exists to identify and
conformity with OSH of non-conformity with of non-conformity with of non-conformity with analyse the root causes
regulations or OSH OSH regulations or OSH OSH regulations and OSH regulations and of non-conformity with
management system management system OSH management system OSH management system OSH regulations and
requirements. requirements. requirements. requirements. OSH management system
requirements.
C No process is in place An inadequate process A very simple process is A generally effective A highly effective and
for initiating, planning, is in place for initiating, in place for initiating, process is in place for reliable process is in place
implementing or checking planning, implementing planning, implementing initiating, planning, for initiating, planning,
the effectiveness of and checking the and checking the implementing and implementing and
corrective and preventive effectiveness of corrective effectiveness of corrective checking the effectiveness checking the effectiveness

actions. and preventive actions. and preventive actions. It of corrective and of corrective and
is not fully effective, and preventive actions. preventive actions.
97
needs improvement.
98
D No proper methods exist Although some A number of methods are An effective and generally A highly reliable and
for documenting any documenting of corrective used from time to time to reliable process exists to effective process is in
corrective or preventive or preventive actions takes document any corrective document most corrective place to systematically
actions, or changes to the place, it is not systematic, or preventive actions or preventive actions document any corrective
OSH management system. reliable, or adequate for or changes to the OSH or changes to the OSH or preventive actions
purpose. management system. management system. or changes to the OSH
management system.
E Preventive and protective A few preventive and Some preventive and A substantial range of A comprehensive range of
measures to eliminate or protective measures exist protective measures exist preventive and protective preventive and protective
reduce hazards and risks to eliminate or reduce to eliminate or reduce measures exist to measures are in place
are totally inadequate. hazards and risks, but hazards and risks, but eliminate or reduce exist to ensure the
are in need of substantial need to be improved. hazards and risks. elimination or reduction of
improvement. hazards and risks.
F Preventive and protective The correct hierarchy The correct hierarchy The correct hierarchy of The correct hierarchy of
measures fail to follow of prevention and of prevention and prevention and correction prevention and correction
the correct hierarchy of correction measures is correction measures is measures is generally measures is always
prevention and correction rarely followed. PPE is sometimes not followed. followed. Occasionally followed. PPE is used
measures, and rely overly frequently used where PPE is frequently used PPE is used where more only as a last resort, and
on personal protective a more appropriate where more appropriate appropriate hierarchy where more appropriate
equipment (PPE). hierarchy measure could hierarchy measures could measures could be used. hierarchy measures cannot
be used. be used. be used.
OVERALL SCORE FOR ITEM 3.15 PREVENTIVE AND CORRECTIVE ACTION (max. score for this item is 30)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Arrangements should be established and maintained for corrective and preventive actions resulting from OSH management system performance monitoring
and measurement, OSH management system audits, and management reviews.
These arrangements should include:
(a) identifying and analysing the root causes of any non-conformities with relevant OSH regulations and/or OSH management systems arrangements;
(b) initiating, planning, implementing, checking the effectiveness of and documenting corrective and preventive actions, including changes to the OSH
management system itself.
When evaluation of the OSH management system or other sources shows that the preventive and protective measures for hazards and risks are inadequate,

or are likely to become inadequate, they should be addressed according to the recognized hierarchy of prevention and control measures and be completed
and documented, as appropriate, and in a timely manner.
99
100
Item 3.16. Continual improvement
A The organization shows no The organization shows The organization shows The organization shows The organization is
interest or commitment only minimal interest modest interest or interest and a visible extremely interested and
to the continual or commitment to the commitment to the commitment to the very highly committed
improvement of OSH continual improvement of continual improvement of continual improvement of to the continual
performance. OSH performance. OSH performance. OSH performance. improvement of OSH
performance.
B No baseline assessment A baseline assessment A baseline assessment A baseline assessment has A comprehensive
has been conducted to has been conducted, has been conducted to been conducted to show system of assessments
show current performance, but is very much out show current performance, current performance, and is conducted to show
and no improvement plans of date, and fails to and this has been this is updated regularly. baseline positions,
have been established. cover all aspects of updated occasionally. Improvement plans have intermediate waypoints
current performance. Improvement plans have been established for most and also OSH objectives
Improvement plans have been established for some aspects of performance, and targeted outcomes.
not been established. aspects of performance. and revised objectives are These are used to
formulated. develop and implement
improvement plans.
C Opportunities to identify Little attention is paid Opportunities for There exists a significant There is a very high
improvements that to the opportunities improvements that commitment to finding level of commitment
could be made to OSH for improvements that could be made to OSH opportunities for to identifying and
management systems and could be made to OSH management systems and improvements to the quickly implementing
OSH performance are management systems and OSH performance are OSH management system improvements to the OSH
ignored. OSH performance. only rarely given sufficient and OSH performance. management system and
attention and priority. Improvements are OSH performance.
generally quickly
implemented.
D Existing weaknesses that Weaknesses that have Weaknesses that have Weaknesses that have Any weaknesses in the
have been identified in the been identified in the been identified in the been identified in the OSH management system
OSH management system OSH management system OSH management system OSH management system or OSH performance are
and OSH performance are and OSH performance and OSH performance get and in OSH performance subject to detailed review
ignored, and improvement are given little attention, attention, but are rarely are, in general, quickly and improvement plans.
plans are not formulated. and are rarely quickly quickly improved. rectified and improved. These improvements are
improved. implemented very quickly
and effectively.
E No OSH performance OSH performance OSH performance OSH performance OSH performance
improvement objectives improvement objectives improvement objectives improvement objectives improvement objectives
are formulated. are occasionally are only infrequently are generally included in are always included in the
formulated, but are included in the the organization’s plans organization’s plans and
rarely included in the organization’s plans and and objectives. objectives.
organization’s plans or objectives.
objectives.
F Feedback and complaints Feedback and complaints Feedback and complaints Feedback and complaints Feedback and complaints
received from workers received from workers and received from workers received from workers received from workers
and their representatives their representatives are and their representatives and their representatives and their representatives
are ignored, and generally ignored, and are generally considered, are generally considered are always given
improvements have not improvements are rarely but improvements are not quickly. Improvements are immediate consideration.
been implemented. implemented. always implemented. normally taken to correct Improvements are
the issues raised. implemented quickly to
deal with the issues raised.
G No benchmarking process No effective system of A rudimentary system An effective system of A comprehensive system
exists that would allow benchmarking exists. The of benchmarking exists benchmarking exists that of benchmarking exists
comparisons of OSH only benchmark of OSH that measures only measures performance that measures OSH
performance and methods performance and methods historic internal data against comparable performance against
with those of external is against published and published external external organizations comparable external
organizations. statistics, and is restricted statistics. and any inter-organization organizations and any inter-
to lost-time incidents. operations. organization operations.

Measurements are made of
both leading and lagging
101
performance indicators.
102
H No effort is made to Little effort is made to A modest effort is made Substantial effort is made Every effort is made to
adopt even basic levels ensure the quality of the to ensure that the OSH to ensure that the OSH ensure that the OSH
of OSH management. Very OSH management system. management system is management system is management system is in
poor OSH performance No awareness of best aligned with best practice, in line with best global line with global practice,
is common, and shows no practice exists, and OSH and that satisfactory and practice, and that good and that outstanding OSH
improvement. results are low and show improving OSH results are OSH results are achieved. performance is achieved.
little improvement. achieved. Progressive improvements Substantial improvements
are expected and planned are expected and targeted
each year. each year.
OVERALL SCORE FOR ITEM 3.16 CONTINUAL IMPROVEMENT (max. score for this item is 40)
Strengths
Weaknesses
Opportunities
Threats
Guidance notes
Arrangements should be established and maintained for continual improvement of the relevant elements of the OSH management system, and of the system
as a whole.
These arrangements should take into account:

(a) the OSH objectives of the organization;
(b) the results of hazard and risk identifications and assessments;
(c) the results of performance monitoring and measurements;
(d) work-related injury, diseases, ill health and incident investigations, and the results and recommendations of audits;
(e) the outcomes of the management review;
(f) recommendations for improvement from all members of the organization, including the safety and health committee, where it exists;
(g) changes in national laws and regulations, voluntary programmes and collective agreements;
(h) new relevant information;
(i) the results of health protection and promotion programmes.
The safety and health processes and performance of the organization should be compared with those of others, to improve safety and health performance.

103
Appendices
Appendix 1
Item 3.2 Worker participation – First worked example
A There is no clear evidence Participation is limited Participation is Management has The management 3
Management does not a safe and healthy
get involved in planning workplace.
or hazard recognition
activities.
B OSH communication with Management has Management maintains There is regular and The documentation 3
mainly small numbers of matters. with workers. This views are regarded as the benefits that are
workers and be focused on communication is being very important. gained for the organization
supervisors. generally a top-down and its workers. It
Appendices
107
108
C Workers’ safety and health A safety and health The organization has The organization has The organization ensures 2
D Workers and their There is only minimal There is only limited There is a positive The organization ensures 3
work and safety.
E The organization makes no The organization makes The organization does The organization makes The organization makes 2
F The OSH culture within The OSH culture within The OSH culture in the The OSH culture in The OSH culture is 3
the organization is that the organization fails to organization is indifferent the organization is extremely positive,
safety and health is an properly see the value of to OSH, and takes no positive, and this has and is valued by both
extra expense, and causes good OSH procedure and really positive initiatives encouraged good levels of management and workers.
extra work to be done. practices. This negative to promote worker worker involvement and Workers are fully engaged
attitude is transmitted to participation or involvement participation. and participate widely on
workers. in OSH matters. OSH matters.
G Workers feel little Workers accept some Workers see OSH as Workers see OSH as part Workers take ownership 2
the management or the participate fully in OSH descriptions. They are encouraged them.
OSH professional. matters. Workers do not receive to make suggestions OSH performance is
Job descriptions do not OSH is not detailed in job feedback or recognition that will improve OSH subject to a rigorous
detail OSH performance. descriptions. for OSH performance. performance. appraisal process by
Workers receive feedback supervisors and managers.
on OSH performance, A reward and recognition
but no formal award or process is in place.
H Workers have received Workers received basic Workers have received Workers have received The organization has 3
Appendices
assessment, and are
109
OVERALL SCORE FOR ITEM 3.2 WORKER PARTICIPATION: 21 (max. score for this item is 40)
110
Strengths
The organization is generally compliant with national OSH laws relating to worker consultation and participation.
Workers do receive basic OSH training, and are trained to understand OSH laws, regulations and rules.
Management does encourage worker participation in dealing with specific OSH issues and concerns.
Weaknesses
The OSH culture within the organization fails to inspire workers to take positive initiatives to promote and encourage OSH in the workplace.
Participation by the workforce is very limited, and encouragement by management is generally lacking.
There is not enough time allocated for safety meetings, which are generally held infrequently, and fail to focus on workers’ OSH concerns and issues.
Opportunities
Management could create a more positive safety culture, which would encourage the full engagement of the workforce in OSH matters and issues.
A safety and health committee exists, but fails to fulfil its purpose and potential, and is failing to engage with the total workforce.
Major benefits would be gained by getting workers actively involved in OSH through task analysis and safety assessments, etc.
Threats
There is a concern that OSH hazards may not be identified because workers are not engaged or may feel that they have no responsibility to identify hazards.
The failure to clearly assign roles and responsibilities may result in a lacking of OSH planning, and that no clear process exists for hazard identification.
Failure to develop OSH competences of the workforce is likely to be a major block to the continuous improvement of OSH within the organization.
Appendix 2
Item 3.2 Worker participation – Second worked example
A There is no clear evidence Participation is limited Participation is Management has The management 4
It does not get involved a safe and healthy
in planning or hazard workplace.
recognition activities.
B OSH communication with Management has Management maintains There is regular and The documentation 5
mainly small numbers of matters. with workers. This views are regarded as the benefits that are
workers and be focused on communication is being very important. gained for the organization
supervisors. generally a top-down and its workers. It
Appendices
111
112
C Workers’ safety and health A safety and health The organization has The organization has The organization ensures 4
D Workers and their There is only minimal There is only limited There is a positive The organization ensures 5
work and safety.
E The organization makes no The organization makes The organization does The organization makes The organization makes 3
F The OSH culture within The OSH culture within The OSH culture in the The OSH culture in The OSH culture is 4
the organization is that the organization fails to organization is indifferent the organization is extremely positive,
safety and health is an properly see the value of to OSH, and takes no positive, and this has and is valued by both
extra expense, and causes good OSH procedure and really positive initiatives encouraged good levels of management and workers.
extra work to be done. practices. This negative to promote worker worker involvement and Workers are fully engaged
attitude is transmitted to participation or involvement participation. and participate widely on
workers. in OSH matters. OSH matters.
G Workers feel little Workers accept some Workers see OSH as Workers see OSH as part Workers take ownership 3
the management or the participate fully in OSH descriptions. They are encouraged them.
OSH professional. matters. Workers do not receive to make suggestions OSH performance is
Job descriptions do not OSH is not detailed in job feedback or recognition that will improve OSH subject to a rigorous
detail OSH performance. descriptions. for OSH performance. performance. appraisal process by
Workers receive feedback supervisors and managers.
on OSH performance, A reward and recognition
but no formal award or process is in place.
H Workers have received Workers received basic Workers have received Workers have received The organization has 3
Appendices
assessment, and are
113
OVERALL SCORE FOR ITEM 3.2 WORKER PARTICIPATION: 31 (max. score for this item is 40)
114
Strengths
The organization makes extensive efforts to encourage worker participation, with clearly written goals and expectations.
Workers and their representatives are consulted, informed and trained on OSH and the OSH issues that impact on their work and workplace.
The OSH culture within the organization is very positive, and is highly valued by both workers and the management.
Weaknesses
There is not enough time allocated for safety meetings, which need to be held more frequently and allow time to discuss workers’ OSH concerns and issues.
OSH performance could be improved if workers were to take a higher level of ownership of the OSH process.
The development of OSH competences needs to be given higher priority and be widened.
Opportunities
A positive OSH culture exists within the organization, shared by workers and management, and this allows OSH improvement opportunities to be taken.
There exists the opportunity to get workers to take greater ownership of the OSH process and programme.
Insufficient attention is currently placed on developing the OSH competences of the workforce.
Threats
Failure to develop the OSH competences of the workforce is likely to be a major block to the continuous improvement of OSH within the organization.
Failure to allow sufficient time for regular and necessary OSH meetings may result in a deterioration of the OSH culture of the organization.
Continuous improvement of OSH will not be possible unless attention is given to developing workers OSH competences.
Appendix 3
Sample audit summary
Scored items Title Maximum possible score Actual score Traffic light
3.1 Occupational safety and health policy 45 45 100%
3.2 Worker participation 40 28 70%
3.3 Responsibility and accountability 45 30 66%
3.4 Competence and training 45 15 33%
3.5 Occupational safety and health management system documentation 50 42 84%
3.6 Communication 40 20 50%
3.7 Initial review 40 30 75%
3.8 System planning, development and implementation 50 42 84%
3.9 Occupational safety and health objectives 40 38 95%
3.10.1 Hazard prevention: 30 20 66%

Prevention and control measures

Management of change

Emergency prevention, preparedness and response

Procurement

Contracting
Appendices
3.11 Performance monitoring and measurement 60 48 80%
115
Scored items Title Maximum possible score Actual score Traffic light
116
3.12 Investigation of work-related injuries, ill health disease and incidents, 35 20 57%
and their impact on safety and health performance
3.13 Audit 50 20 40%
3.14 Management review 35 20 57%
3.15 Preventive and corrective action 30 27 90%
3.16 Continual improvement 40 34 85%
Total score 795 553 69%
Key
0% to 49%: RED
50% to 69%: ORANGE
70% and over: GREEN
Appendix 4
Pre-audit planning
Assessment item Documentation review Interviews/Questions Observations Test
3.1
OSH policy
3.2
Worker participation
3.3
Responsibility / accountability
3.4
Competence and training
Appendices
117
118
3.5
OSH Management system
documentation
3.6
Communication
3.7
Initial review
3.8
System planning,
development
and Implementation
3.9
OSH objectives
3.10.1
Prevention and control
3.10.2
Management of change
3.10.3
Emergency prevention,
preparedness and response
3.10.4
Procurement
3.10.5
Contracting
Appendices
119
120
3.11
Performance monitoring
and measurement
3.12
Investigation of work-related
injuries, ill health, diseases
and incidents. Impacts
on OSH performance
3.13
Audit
3.14
Management review
3.15
Preventive
and corrective action
3.16
Continual improvement
International
Labour
Office
Geneva
ILO Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001
Audit Matrix for the ILO Guidelines
on Occupational Safety
and Health Management Systems
(ILO-OSH 2001)
Programme on Safety and Health at Work

and the Environment (SafeWork)
International Labour Organization
Route des Morillons 4
CH -1211 Geneva 22
Switzerland
TeL. + 41 22 7996715
Fax + 41 22 7996878
e-mail : safework @ ilo.org

www.ilo.org / safework
ISBN 978-92-2-127059-1
9 789221 270591

ILO Guidelines On Occupational Safety Systems PDF

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ISBN 978-92-2-127058-4 (print)

 ILO Cataloguing in Publication Data

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 Seiji Machida, Director,

Planning and implementation 43

Planning and implementation

None (1) Poor (2) Fair (3) Good (4) Excellent (5) Rating

The written The policy briefly The policy The policy

General considerations in preparing pre-audit planning

On-site audit activities

Programme assessment and verification

Final audit report

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Structures and processes should be established to:

NONE POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

OSH competences should be established for all members of the organization.

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Documents should be maintained relating to OSH training and competence building.

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

Planning and implementation

The initial review should be comprehensively documented in writing.

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

Planning and implementation

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

OSH objectives should be based on the initial or subsequent reviews.

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Planning and implementation

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Performance monitoring and measurement should:

Monitoring should provide:

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

A No management reviews Management reviews Management reviews of Management reviews Comprehensive

D Management provides Management provides Management provides Management provides Management

Management reviews should:

The management review should consider:

NONE (1) POOR (2) FAIR (3) GOOD (4) EXCELLENT (5) RATING

Action for improvement

Action for improvement

ILO Cataloguing in Publication Data

Photocomposed in Switzerland JMB

Seiji Machida, Director,

Planning and implementation 43