D 18. OHSAS readiness

Transcription

1 D 18 Goal 1 Scope and steps 2 Standards and definitions 2.1 Standards 2.2 Definitions 3 Process approach 3.1 Process Management process Realization process Support process 3.2 Process mapping 3.3 Process approach 4 Requirements 4.1 General requirements 4.2 OH&S policy 4.3 Planning Hazard identification Legal and other requirements Objectives and programmes 4.4 Implementation Resources Competence Communication Documentation Control of documents Operational control Emergency situations 4.5 Checking Monitoring and measurement Evaluation of compliance Incident investigation Control of records Internal audit 4.6 Management review Annexes Goal of the module: Readiness for implementation, certification, maintenance and improvement of your occupational health and safety management system so as to be able to: increase satisfaction of interested parties control occupational health and safety risks demonstrate compliance with legal and regulatory requirements 1 / 21

2 PQB D 18 S 1 Scope and steps The first laws on health and safety at work emerged in France in the late nineteenth century. According to the International Labour Organization (tripartite UN agency to promote decent work throughout the world) there are approximately 270 million occupational accidents each year and 160 million cases of occupational diseases in the world. The concept of decent work implies safe work which leads to the economic well-being of people. One proven way to protect workers is to establish an occupational health and safety (OH&S) management system. For France, the integration of occupational risk assessment (related to health and safety of workers) in the management of each company since 2001 is an obligation of the Labour Code (R4121-1). The structure of the OHSAS standard is very close to international standards ISO 9001 and ISO The similarities are numerous and this is one reason for using OHSAS in integrated QSE (Quality, Safety and Environment) management systems. The OHSAS standard is generic as it can be applied to any organization, without limitations about size, activity or type. For this it is sufficient that the occupational health and safety management system (OHSMS) be: determined implemented maintained improved and compliant with o developed OH&S policy o requirements of the OHSAS standard A well-prepared approach is half successful The approach to implementing an OH&S management system goes through several steps. An example of preparation is shown in Figure / 21

3 Figure 1-1. OHSMS preparation Step one contains the determination of the needs and expectations (requirements) of interested parties (internal and external). The involvement of top management at its highest level is truly indispensable. The advice of a consultant is often solicited. A status of the management system (or what exists of it) would be welcome at this stage. An external certification body is chosen. One of the key questions which comes up quickly (step 2) is the need for this decision. If this is really unnecessary or if the estimated costs of the certification approach exceed the available resources, it is better to give up the idea right now. The benefits of implementing an OH&S management system are often: improved image of the organization reinforced staff safety reduced or eliminated incidents increased confidence of interested parties reduced production costs reduced insurance costs better preparation for emergencies the prevention of hazards becoming routine staff is aware, consulted, motivated and proud high level of risk control good practices valorised commitment profitable for all legal OH&S obligations up to date The benefits of the certification of an OH&S management system are often: new customers increased market share increase in sales better financial performance 3 / 21

4 PQB D 18 S More than one and a half million businesses worldwide can not be wrong! The internalization of the spirit of the principles and requirements of a standard significantly improves the overall performance of your business, especially when it is not considered as a constraint. The third step shall determine whether this approach receives the approval of the staff. A communication campaign is launched in-house on the objectives of an occupational health and safety management system (OH&SMS). The staff is aware and understands that without their participation the project cannot succeed. Have confidence, success will come with the involvement and effort of all! The vision (what we want to be), the mission (why we exist) and the business plan of the organization are set. The next step (4) begins with a preliminary analysis of legal and regulatory requirements and continues with the establishment of an outline of the OH&S policy and OH&S objectives. If you do not have a copy of the OHSAS standard, now is the time to get it (cf. sub-clause 2.1 of the present course). Planning is the last step (5) of the project preparation for obtaining OHSAS certification. A reasonable period is between 6 to 12 months (each organization is unique and specific). A management representative is appointed project leader. Top management commitment is formalized in a document communicated to all staff. The establishment and implementation of an OHSAS OH&S management system are shown in figure / 21

5 Figure 1-2. OHSMS implementation Step 1 aims to identify and determine the OH&S objectives and programmes. The outline of the OH&S manual is written down (the manual is not mandatory). In step 2 the resources to achieve the OH&S objectives are set. Planning tasks, responsibilities and time frames are established. Internal staff and subcontractors are aware of potential hazards. Training of internal auditors is taken into account. Step 3 allows you to establish early versions of procedures, documents and records related to the OH&S management system with the participation of the maximum number of available persons. Operational control happens in step 4. The activities associated with identified hazards are planned and implemented. Internal and external communications are established and formalized. A legal watch is developed. Emergency situations with potential impacts on occupational health and safety are listed in step 5. The responses (action and reaction) to emergencies are put in place and documented. To conduct the pre-audit of the OHSMS (step 6) documents such as the OH&S manual, procedures and others are checked and approved by the competent authorities. A management review evaluates the compliance with applicable requirements. The OH&S policy and objectives are finalized. An OH&S manager from another company or a consultant can provide valuable feedback, suggestions and recommendations. When the system is accurately implemented and followed, the certification of the OHSMS by an external body is a breeze, a formality (step 7). An appropriate method for evaluating the performance of your OH&S management system is the RADAR logic model of excellence EFQM (European Foundation for Quality Management) with its 9 criteria and overall score of 1000 points. 5 / 21

6 PQB D 18 S 2 Standards and definitions 2.1 Standards The standard BS OHSAS 18001: 2007 Occupational health and safety management systems - requirements is neither an ISO nor a French standard. Many certification bodies (AFAQ, BSI and others) use the standard to certify companies and some were part of the development group (BSI, LRQA...). The specification OHSAS 18002: 2008 Occupational health and safety management systems - guidelines for the implementation of OHSAS 18001: 2007 is the guide for the implementation of the standard. Practical recommendations are in the guidelines ILO - OSH 2001 "Guidelines on occupational safety and health management systems", freely available from International Labour Organisation ILO (pdf, 286 kb, 40 pages). As seen in Annex A of OHSAS : Correspondence between OHSAS 18001:2007, OHSAS :2004 and ISO 9001:2000 there are many similarities in form and content. This shows that a company that developed one of the standards can easily implement a second one. Another demonstration of the close relationship between these management systems is the common standard ISO (2011): Guidelines for auditing management systems. The process approach is one of the basic principles of OHSAS The PDCA cycle (Plan, Do, Check, Act) applies to any process with an OH&S impact as shown in the Deming cycle: Figure 2-1. Deming cycle for continual improvement Plan: prepare the OH&S policy, identify hazards, assess risks, determine objectives and programmes (OHSAS , sub-clauses 4.2 and 4.3) 6 / 21

7 Do: develop, implement processes, procedures, training, prevention, response to emergencies (OHSAS , sub-clause 4.4) Check: compare, inspect, verify, assess, measure the level of objectives, conduct audits (OHSAS , sub-clause 4.5) Act: improve, adjust, adapt, decide, react with actions or find new improvements (new PDCA) (OHSAS , sub-clause 4.6) For more information on the Deming cycle and his 14 points of management theory you can consult the classic book "Out of the crisis" W. Edwards Deming, MIT press, Definitions The beginning of wisdom is calling things by their proper names. Confucius Some terms and definitions used in relation with the OHSMS: Acceptable risk: risk reduced to a tolerable level Accident: undesired event causing death or health and environmental damages Conformity: fulfilment of a specified requirement Continual improvement: process to enhance performance Customer: anyone who receives a product Hazard: situation that could lead to a potential incident Incident: undesired event that could lead to health damages Interested party: person or group that can affect or be affected by an organization Management system: set of processes allowing objectives to be achieved Nonconformity: non-fulfilment of a specified requirement Occupational health and safety (OH&S): everything that can influence the wellbeing of the personnel in a company Occupational health and safety management system: set of processes allowing occupational health and safety objectives to be achieved OHSAS: Occupational Health and Safety Assessment Series Organization: structure that satisfies a need Process: activities which transform inputs into outputs Product (or service): outcome of a process or activity Risk: probability of occurrence of a potential hazard Safety: aptitude to avoid an undesired event Supplier: entity that provides a product In the terminology of management systems do not confuse: accident and incident o an accident is an unexpected serious event o an incident is an event which can lead to an accident anomaly, defect, dysfunction, failure, nonconformity, reject and waste o anomaly is a deviation from what is expected o defect is the non-fulfilment of a requirement related to an intended use o dysfunction is a degraded function which can lead to a failure o failure is when a function has become unfit o nonconformity is the non-fulfilment of a requirement in production o reject is a nonconforming product which will be destroyed o waste is when there are added costs but no value audit, inspection, auditee and auditor o an audit is the process of obtaining audit evidence 7 / 21

8 PQB D 18 S o an inspection is the verification of the conformity of a process or product o an auditee is the one who is audited o an auditor is the one who conducts the audit audit programme and plan o an audit programme is the annual planning of the audits o an audit plan is the description of the audit activities calibration and gauging o calibration is the verification of a value found related to a standard (troy weight) o gauging is the positioning of reference marks control and optimization o control is the achievement of an objective o optimization is the search for the best possible results customer, subcontractor and supplier o a customer receives a product o a subcontractor provides a service or a product on which a specific work is done o a supplier provides a product effectiveness and efficiency o effectiveness is the level of achievement of planned results o efficiency is the ratio between results and resources follow-up and review o follow-up is the verification of the obtained results of an action o review is the analysis of the effectiveness in achieving objectives inform and communicate o to inform is to give someone meaningful data o to communicate is to pass on a message, to listen to the reaction and discuss organization and enterprise, society, company o organization is the term used by the ISO 9001 standard as the entity between the supplier and the customer o enterprise, society, company are examples of organizations process, procedure, product, activity and task o a process is how we satisfy the customer using people to achieve the objectives o a procedure is the description of how to conform to the rules o a product is the result of a process o an activity is a set of tasks o a task is a sequence of simple operations Remark 1: the use of OHSAS and ISO 9000 definitions is recommended. The most important thing is to determine for everyone in the organization a common and unequivocal vocabulary. Remark 2: the customer can be also the user, the beneficiary, the trigger, the ordering party, the consumer. Annex 05 specifies the frequency of use of certain keywords contained in the OHSAS standard. For other definitions, comments, explanations and interpretations which you don t find in this module and in annex 06 you can consult: ISO 9000: Quality management systems. Fundamentals and vocabulary, (ISO, 2005) 8 / 21

9 Introduction and support package: Guidance on the Terminology used in ISO 9001 and ISO 9004 (Document ISO/TC 176/SC 2/N 526R2, 2008) Books for further reading on OH&S systems: Thomas Anton, Occupational Safety and Health Management, McGraw Hill, 1989 Willie Hammer, Occupational Safety Management and Engineering, Prentice hall, 1989 David Goetsch, Occupational Safety and Health, Prentice Hall, 1996 Joe Kauzek, OHSAS 18001: Designing and Implementing an Effective Health and Safety Management System, Government Institutes, 2007 David Smith et al, Managing Safety the Systems Way: Implementing BS OHSAS 18001:2007, BSI Standards, 2008 Naeem Sadiq, OHSAS Step by Step: A Practical Guide, IT Governance Publishing, / 21

10 PQB D 18 S 3 Process approach 3.1 Process The word process comes from the Latin root procedere = go, development, progress (Pro = forward, cedere = go). Each process transforms inputs in outputs creating added value and potential nuisances. A process has three basic elements: inputs, activities, outputs. A process can be very complex (launch a rocket) and relatively simple (audit a documented procedure). A process is: repeatable foreseeable measurable definable dependent on its context responsible for its suppliers A process is determined among others by its: title and type purpose (why?) beneficiary (for whom?) scope and activities initiators documents and records inputs outputs (intentional and not intentional) constraints resources: o human o material objectives and indicators person in charge (owner) and actors (participants) means of inspection (monitoring, measurement) mapping interaction with other processes risks and potential deviations opportunities for continual improvement A process review is conducted periodically by the process owner. The components of a process are shown in figure 3-1: 10 / 21

11 Figure 3-1. Components of a process Figure 3-2 shows an example that helps to answer some questions: which materials, which documents, which tools? (inputs) which title, which activities, requirements, constraints? (process) which products, which documents? (outputs) how, which inspections? (methods) what is the level of performance? (indicators) who, with which competences? (human resources) with what, which machines, which equipment? (material resources) Figure 3-2. Some elements of a process Often the output of a process is the input of the next process. You can find some examples of process sheets in the document pack D / 21

12 PQB D 18 S Any organization (company) can be considered as a macro process, with its purpose, its inputs (customer needs and expectations) and its outputs (products/services to meet customer requirements). Our preference is to identify a process using a verb (buy, produce, sell) instead of a noun (purchases, production, sales) to differentiate the process from the company's department or procedure and recall the purpose of the process. The processes are (as we shall see in the following paragraphs) of management, realization and support type. Do not attach too much importance to process categorizing (sometimes it's very relative) but ensure that all the company's activities fall at least into one process Management processes Management processes are also known as piloting, decision, key or major processes. They are part of the overall organization, elaboration of the policy, deployment of the objectives and all required checks. They are the glue of all the realization and support processes. The following processes can be part of this family: develop strategy develop policy deploy objectives plan the OHSMS acquire and manage human resources establish process ownership identify hazards manage risks conduct management review conduct an audit communicate improve measure satisfaction of interested parties Realization processes The realization (operational) processes are related to the product, increase the added value and contribute directly to customer satisfaction. They are mainly: design and develop purchase produce apply control means inspect (verify) receive, store and deliver control nonconformities investigate incidents implement preventive and corrective actions prevent emergencies Support processes 12 / 21

13 The support processes provide the resources necessary for the proper functioning of all other processes. They are not directly related to a contribution of the product's added value, but are still essential. The support processes are often: control documentation analyse risks study hazards provide training acquire and maintain infrastructure keep the legal watch up to date manage inspection means keep accountability manage staff 3.2 Process mapping The process mapping is par excellence a multidisciplinary work. This is not a formal requirement of the OHSAS standard but is always welcome. The 3 types of processes and some interactions are shown in figure 3-3: 13 / 21

14 PQB D 18 S Figure 3-3. Process house Examples of interested parties: investors, customers, employees, suppliers, society. Do not underestimate the costs associated with hazards and risks. The mapping among other things lets you: obtain a global vision of the organization identify the beneficiaries (customers), flows and interactions define rules (simple) for communication between processes To obtain a clearer picture you can simplify by using a total of about fifteen core processes. A core process can have several sub-processes, for example a process "develop the OHSMS" can contain: develop strategy develop policy manage risks plan the OHSMS 14 / 21

15 deploy objectives acquire resources establish process ownership improve Two other process examples (design, figure 3-4 and produce figure 3-5): Figure 3-4. Design process 3.3 Process approach Figure 3-5. Produce process 15 / 21

16 PQB D 18 S Simple solutions for now, perfection for later The process approach contributes enormously to the efficient management of the organization. Process approach: management by the processes to better satisfy customers, improve the effectiveness of all processes and increase global efficiency The process approach included during development, implementation and continual improvement of an OH&S management system allows one to achieve objectives that are related to satisfaction of interested parties as is shown in figure 3-6. Figure 3-6. Model of an OHSMS based on process approach and continual improvement Process approach: emphasizes the importance of: o understanding and complying with interested parties requirements o prevention so as to react to unwanted elements such as: incidents accidents o measuring process performance, effectiveness and efficiency o permanently improving objectives based on pertinent measurements o process added value relies on: o methodical identification o interactions o the sequence and o process management which consist of: determining objectives and programmes 16 / 21

17 directing related activities analysing obtained results permanently undertaking improvements allows one to: o better view inputs and outputs and their relationship o clarify roles and responsibilities o judiciously assign necessary resources o break down barriers between departments o decrease costs, delays, wastes and ensures in the long run: o control o monitoring and o continual improvement of processes Process approach is not: crisis management ("You will not solve the problems by addressing the effects") blaming people ("Poor quality is the result of poor management." Masaaki Imai) priority to investments ("Use your brain, not your money." Taiichi Ohno) 17 / 21

18 PQB D 18 S 4 OH&S requirements 4.1 General requirements (Requirements 1 to 7) In the simplified diagram in figure 4-1 you can see the purpose of an OHSAS OH&S management system: Figure 4-1. Purpose of an OHSAS OHSMS The requirements of the OHSAS standard, in clause 4, are shown in figure 4-2: 18 / 21

19 Figure 4-2. OHSAS requirements The company top management puts in place an OH&S management system (which meets the requirements of OHSAS ) in order to improve its OH&S performance. For this: hazards are identified risks are assessed legal and other requirements are identified processes, procedures and existing documents are analysed history of emergency situations, incidents and nonconformities is evaluated necessary resources are determined a training programme is created objectives are set programmes implementing the policy and achieving objectives are developed The scope of the OHSMS is established, is appropriate to the workplace (cf. OHSAS , sub-clause 3.23) and is documented. The OHSMS is documented and appropriate to the culture of the company and is continually improved. The health, safety and work conditions committee contributes to: 19 / 21

20 PQB D 18 S health and safety protection of employees prevention of occupational risks continual improvement of working conditions strict compliance with legal and regulatory requirements on hygiene, health and safety at work involvement of staff in all prevention actions Good practices top management regularly monitors the OH&S objectives and programmes commitments of top management regarding the prevention and continual improvement are widely distributed the OHSMS is integrated with the quality management system without redundancies Bad practices the scope of the OHSMS is not clearly set the OHSMS is not up to date (new processes not identified) process owner not formalized 4.2 OH&S policy (Requirements 8 to 20) OH&S policy: statement by top management allowing the establishment of OH&S objectives After a risk assessment and an initial audit top management at its highest level develops the occupational health and safety policy (cf. figure 4-3). Figure 4-3. Develop policy process Policy is appropriate to the nature and extent of the risks in the company. It is consistent with the vision of the company - improving the health, safety and working conditions of staff. The OH&S policy: provides the framework for setting OH&S objectives and associated programmes 20 / 21

21 includes a commitment to: o compliance with legal and other requirements o risk prevention o provision of resources o training and awareness and o continual performance improvement is a privileged place of social dialogue in the company takes into account the analysis and feedback from past incidents Policy is: realistic harmonized with other company processes understandable documented implemented reviewed periodically (cf. 4.6) communicated to all levels and publicly available Good practices OH&S policy matches the available resources and associated objectives methods of internal and external communication are presented in the OH&S manual needs and expectations of interested parties are established through on-site meetings, surveys, round tables and meetings the declaration of commitment of the director is shown at a few key locations Bad practices the OH&S policy is not updated the OH&S policy is undated the OH&S policy is not signed by the director the objective of reducing incidents, displayed in the business plan, is not included in the OH&S policy tracks on risk prevention are missing in the OH&S policy the OH&S policy is not posted outside the office of the director top management commitment does not contain objectives some objectives are not measurable no objectives of continual improvement in the OH&S policy communication of OH&S policy to interested parties is not determined in any document 21 / 21