BSBWHS501
BSBWHS501A
Ensure a safe
workplace
Document Name: LG_BSBOHS509A Ensure a safe workplace_CAC_NH&A_LM_Ver 2.1
Created Date: 25 Jan. 14
Document No: Version No: V 2.1 Last Modified Date: 25-Jan-14 © John Bailey 2010 Page Sequence: Page 2 of 161
BSBWHS501A - Ensure a safe workplace
Author: John Bailey
Copyright
Text copyright © 2010 by John N Bailey.
Illustration, layout and design copyright © 2007,2010 by John N Bailey.
Under Australia‘s Copyright Act 1968 (the Act), except for any fair dealing for the purposes of study, research, criticism or review, no part of this book may be reproduced, stored in a retrieval system, or transmitted in any form or by any means without prior written permission from John N Bailey. All inquiries should be directed in the first instance to the publisher at the address below.
Copying for Education Purposes
The Act allows a maximum of one section or 10% of this book, whichever is the greater, to be copied by an education institution for its educational purposes provided that that educational institution (or the body that administers it) has given a remuneration notice to JNB Publications.
Disclaimer
All reasonable efforts have been made to ensure the quality and accuracy of this publication. JNB Publications assumes no responsibility for any errors or omissions and no warranties are made with regard to this publication. Neither JNB Publications nor any authorized distributors shall be held responsible for any direct, incidental or consequential damages resulting from the use of this publication.
Published in Australia by:
JNB Publications
PO Box, 268,
Macarthur Square NSW 2560
Australia.
Document Name: LG_BSBOHS509A Ensure a safe workplace_CAC_NH&A_LM_Ver 2.1
Created Date: 25 Jan. 14
Document No: Version No: V 2.1 Last Modified Date: 25-Jan-14 © John Bailey 2010 Page Sequence: Page 3 of 161
BSBWHS501A -Ensurea safe workplace
Contents Description: .................................................................................................................................................... 8 Introduction ................................................................................................................................................... 8 This Learning Guide covers: ........................................................................................................................... 8 Learning Program .......................................................................................................................................... 9 Additional Learning Support .......................................................................................................................... 9 Facilitation ..................................................................................................................................................... 9 Flexible Learning .......................................................................................................................................... 10 Space ............................................................................................................................................................ 10 Study Resources ........................................................................................................................................... 10 Time ............................................................................................................................................................. 11 Study Strategies ........................................................................................................................................... 11 Using this learning guide: ............................................................................................................................ 11
THE ICON KEY ................................................................................................................................................ 12
How to get the most out of your learning guide .......................................................................................... 13 Additional research, reading and note taking.............................................................................................. 13
PERFORMANCE CRITERIA ............................................................................................................................... 14
SKILLS AND KNOWLEDGE ............................................................................................................................... 16
Required knowledge..................................................................................................................................... 16 Required Skills .............................................................................................................................................. 16
RANGE STATEMENT ....................................................................................................................................... 17
EVIDENCE GUIDE ............................................................................................................................................ 19
1. ESTABLISH AND MAINTAIN AN OHS SYSTEM ............................................................................................. 20
PROLOGUE ........................................................................................................................................................... 20 The Robens model: historical background ................................................................................................... 20 Key recommendations of the Robens Report ............................................................................................... 21 Standards-setting in the post-Robens era .................................................................................................... 21 Specification standards ................................................................................................................................ 22 General duties or principle-based standards ............................................................................................... 22 Performance-based standards ..................................................................................................................... 22 Process-based standards.............................................................................................................................. 23 Risk management approach ........................................................................................................................ 23
1.1 LOCATE AND COMMUNICATE OHS POLICIES WHICH CLEARLY EXPRESS THE ORGANISATION’S COMMITMENT TO IMPLEMENT RELEVANT OHS LEGISLATION IN THE ENTERPRISE ......................................................................................... 24
Development Process and Rationale ............................................................................................................ 25 Integrated systems ....................................................................................................................................... 26 Creating a dynamic system .......................................................................................................................... 26 Elements of a Dynamic System .................................................................................................................... 26 Figure 1: The basic elements of OHSMSs ..................................................................................................... 27 Commitment and policy ............................................................................................................................... 27 Words ........................................................................................................................................................... 28 Deeds ........................................................................................................................................................... 28 Policy-writing tips......................................................................................................................................... 30
1.2 DEFINE OHS RESPONSIBILITIES FOR ALL WORKPLACE PERSONNEL IN ACCORDANCE WITH OHS POLICIES, PROCEDURES AND PROGRAMS .................................................................................................................................................... 31
Organising .................................................................................................................................................... 31 Defining Job Positions .................................................................................................................................. 32 Health and safety manager ......................................................................................................................... 32
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Planning ....................................................................................................................................................... 34 Table 2: A basic planning tool ...................................................................................................................... 34 Identifying what you are required to do ...................................................................................................... 35 Training ........................................................................................................................................................ 36 Finding out where you are in relation to what you are required to do ........................................................ 36 Identifying what activities you need to carry out......................................................................................... 36 Priority.......................................................................................................................................................... 36 1.3 Identify and approve financial and human resources for the effective operation of the OHS system 37 Setting Objectives, Targets and (Key) Performance Indicators .................................................................... 37 Table 3: Dimensions of OHS performance ................................................................................................... 37 Dimensions of performance ......................................................................................................................... 38 Effectiveness, efficiency, economy ............................................................................................................... 38 Table 4: The ways we measure performance ............................................................................................... 38 Table 5: Evaluating the performance of a training program ....................................................................... 38 Indicators ..................................................................................................................................................... 39 Effectiveness Indicators ................................................................................................................................ 39 Table 6: Outcome indicators expressed as equations .................................................................................. 40 Measurement intervals ................................................................................................................................ 40 Analysis ........................................................................................................................................................ 41 Problems with outcome indicators .............................................................................................................. 41 Table 7: Process indicators ........................................................................................................................... 42 Table 8: The four elements expressed as OHS process indicators ................................................................ 43 Key performance indicators (KPIs) ............................................................................................................... 44 The Dashboard Principle .............................................................................................................................. 44 Targets ......................................................................................................................................................... 45 Assigning responsibility, scheduling and resourcing .................................................................................... 45 Table 9: Sample set of indicators and targets .............................................................................................. 46 Implementing ............................................................................................................................................... 47 Monitoring and evaluating .......................................................................................................................... 47 Reviewing and improving ............................................................................................................................. 48 Case Study 1 ................................................................................................................................................. 48
USEFUL WEBSITES .................................................................................................................................................. 50 USEFUL BOOKS AND OTHER PRINT MATERIAL ............................................................................................................. 50
2. ESTABLISH AND MAINTAIN PARTICIPATIVE ARRANGEMENTS FOR THE MANAGEMENT OF OHS ................ 51
2.1 ESTABLISH AND MAINTAIN PARTICIPATIVE ARRANGEMENTS WITH EMPLOYEES AND THEIR REPRESENTATIVES IN ACCORDANCE WITH RELEVANT OHS LEGISLATION ........................................................................................................ 51
Content of statement of policy..................................................................................................................... 51 Policies versus programs and procedures .................................................................................................... 52 Sample health and safety policy .................................................................................................................. 52 Planning Risk Management ......................................................................................................................... 52 Sample OHS policy ....................................................................................................................................... 53 Elements in successful planning ................................................................................................................... 54 Contribution to overall management........................................................................................................... 54 Prerequisites to implementation .................................................................................................................. 54 The people asset .......................................................................................................................................... 55 Setting objectives and targets...................................................................................................................... 55 Assessing results against original objectives ............................................................................................... 56 Case study 2 ................................................................................................................................................. 56 OHS management plans .............................................................................................................................. 57 Roles and Responsibilities of Staff................................................................................................................ 57 Who is responsible for health and safety? ................................................................................................... 57 Responsibilities of top management ............................................................................................................ 58 Responsibilities of line managers and supervisors ....................................................................................... 59 The role of the human resources department .............................................................................................. 59 The health and safety officer or manager .................................................................................................... 60
Document Name: LG_BSBOHS509A Ensure a safe workplace_CAC_NH&A_LM_Ver 2.1
Created Date: 25 Jan. 14
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Table 10: Duty Statement ............................................................................................................................ 61 OHS representatives and committees .......................................................................................................... 63 Selection of representatives ......................................................................................................................... 63 Involvement of unions/union delegates ....................................................................................................... 63 Functions and powers .................................................................................................................................. 64 Rights of OHS representatives and committees ........................................................................................... 64 Functions of OHS committees and representatives ..................................................................................... 65 Composition of OHS committees ................................................................................................................. 65 Training ........................................................................................................................................................ 66 Conducting a health and safety committee meeting ................................................................................... 66 The first aid officer ....................................................................................................................................... 66 Table 11: General duties of a first aid officer ............................................................................................... 67 Contents of first aid box ............................................................................................................................... 68 Responsibilities of employees and other parties .......................................................................................... 68 Other Considerations at the Planning Stage ................................................................................................ 68
2.2 APPROPRIATELY RESOLVE ISSUES RAISED THROUGH PARTICIPATIVE ARRANGEMENTS AND CONSULTATION ................... 71 Case Study 3: ................................................................................................................................................ 72 What is consultation? .................................................................................................................................. 76 What are the benefits of consultation? ....................................................................................................... 77 Case Study 4: ................................................................................................................................................ 77 When is consultation required? ................................................................................................................... 78 How is consultation organised? ................................................................................................................... 78 OHS representatives ..................................................................................................................................... 78 Rights and duties.......................................................................................................................................... 79
2.3 PROMPTLY PROVIDE INFORMATION ABOUT THE OUTCOMES OF PARTICIPATION AND CONSULTATION IN A MANNER ACCESSIBLE TO EMPLOYEES ...................................................................................................................................... 80
OHS Committees .......................................................................................................................................... 80 Consultation policy and principles ............................................................................................................... 80 Table 12: Checklist: How To Conduct an OHS Committee Meeting ............................................................. 82 Dispute resolution ........................................................................................................................................ 83 Table 13: Sample dispute resolution procedure ........................................................................................... 83 Too small? .................................................................................................................................................... 84 Employer's support ...................................................................................................................................... 84 Consultation Training ................................................................................................................................... 85 Information Sharing ..................................................................................................................................... 85 Monitoring, evaluating and reviewing consultation .................................................................................... 86 Summary ...................................................................................................................................................... 86 Useful websites ............................................................................................................................................ 87 Useful Books and Other Print Material ........................................................................................................ 87
3. ESTABLISH AND MAINTAIN PROCEDURES FOR IDENTIFYING HAZARDS, AND ASSESSING AND CONTROLLING RISKS ...................................................................................................................................... 88
3.1 DEVELOP PROCEDURES FOR ONGOING HAZARD IDENTIFICATION, AND ASSESSMENT AND CONTROL OF ASSOCIATED RISKS 88
Managing OHS risk is made up of five basic steps: ...................................................................................... 89 Case Study 4 ................................................................................................................................................. 89 Establishing the Context .............................................................................................................................. 90 Identifying Hazards ...................................................................................................................................... 91 Table 14: How to group hazards to assist checking ..................................................................................... 91 Table 15: Sample page from a hazard register ............................................................................................ 92
3.2 INCLUDE HAZARD IDENTIFICATION AT THE PLANNING, DESIGN AND EVALUATION STAGES OF ANY CHANGE IN THE WORKPLACE TO ENSURE THAT NEW HAZARDS ARE NOT CREATED BY THE PROPOSED CHANGES ............................................... 94
Assessing Risk ............................................................................................................................................... 94 Table 16: Risk assessment matrix ............................................................................................................... 96
3.3 DEVELOP AND MAINTAIN PROCEDURES FOR SELECTION AND IMPLEMENTATION OF RISK CONTROL MEASURES IN ACCORDANCE WITH THE HIERARCHY OF CONTROL ......................................................................................................... 98
ALARP ........................................................................................................................................................... 99
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Table 19: The ALARP principle ...................................................................................................................... 99 Monitoring and Reviewing ......................................................................................................................... 100 Useful Websites.......................................................................................................................................... 102 Useful Books And Other Print Material ...................................................................................................... 102
3.4 IDENTIFY INADEQUACIES IN EXISTING RISK CONTROL MEASURES IN ACCORDANCE WITH THE HIERARCHY OF CONTROL AND PROMPTLY PROVIDE RESOURCES TO ENABLE IMPLEMENTATION OF NEW MEASURES .................................................... 103
Auditing, Inspecting, Monitoring, Measuring, Evaluating and Reviewing ................................................. 103 What Is An OHS Audit?............................................................................................................................... 104 Table 20: Continuous improvement .......................................................................................................... 104 Planning an Audit ....................................................................................................................................... 105 Table 21: Questions to ask and example responses ................................................................................... 105 Developing an OHS audit plan ................................................................................................................... 107 Developing an OHS Audit Tool ................................................................................................................... 108 Table 22: Contractor Safety ....................................................................................................................... 109 Gathering information, data and OHS records .......................................................................................... 110 Reporting On The OHS Audit ...................................................................................................................... 111 Audit finding categorisation and scoring ................................................................................................... 111 Useful websites .......................................................................................................................................... 113
3.5 IDENTIFY INTERVENTION POINTS FOR EXPERT OHS ADVICE ............................................................................ 114 Overview of Process ................................................................................................................................... 114 Figure 23: Questions to ask in the evaluation process ............................................................................... 114 Industry and organisational knowledge .................................................................................................... 115 Recognising potential hazards ................................................................................................................... 115 Knowing standards .................................................................................................................................... 116 Identifying hazards, managing risk and monitoring controls .................................................................... 117 Case Study 5: .............................................................................................................................................. 118 Limited inspection of the workplace .......................................................................................................... 118 Interview people ........................................................................................................................................ 119 Case Study 6: .............................................................................................................................................. 119 Evaluating Effectiveness ............................................................................................................................ 120 Evaluate the effectiveness of a systematic approach in improving OHS performance .............................. 121 Table 24: How to measure OHS performance ............................................................................................ 122 Evaluating Compliance Against Industry-Specific Standards ..................................................................... 123 Table 25: Best plan - OHS obligations and best practice principles .......................................................... 124 Benchmarking between organisations ...................................................................................................... 126 Benchmarking partners .............................................................................................................................. 126 Table 26: Steps in establishing a benchmark project ................................................................................. 127 Teams ......................................................................................................................................................... 127 Useful books and other print material ....................................................................................................... 128
4. ESTABLISH AND MAINTAIN A QUALITY OHS MANAGEMENT SYSTEM .................................................. 129
INTRODUCTION ................................................................................................................................................... 129 4.1 DEVELOP AND PROVIDE AN OHS INDUCTION AND TRAINING PROGRAM FOR ALL EMPLOYEES AS PART OF THE ORGANISATION’S TRAINING PROGRAM ..................................................................................................................... 129
The importance of induction and training ................................................................................................. 130 Practicalities, as well as policies................................................................................................................. 130 Training, as well as induction ..................................................................................................................... 130 Cultural change .......................................................................................................................................... 131 Knowledge transfer .................................................................................................................................... 131 Build social networks ................................................................................................................................. 131 Involve all business units ............................................................................................................................ 131 Immediate induction .................................................................................................................................. 131 General organisational induction training checklist .................................................................................. 135 Job and departmental induction training checklist .................................................................................... 136 Other induction training activities for managerial, executive, field-based or international roles ............. 138 Structuring the induction training plan ...................................................................................................... 138 Table 27: Induction training plan example ................................................................................................ 139
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Induction training plan (name, date, organisation, etc) ............................................................................ 139 Induction training review and feedback..................................................................................................... 139
4.2 UTILISE SYSTEM FOR OHS RECORD KEEPING TO ALLOW IDENTIFICATION OF PATTERNS OF OCCUPATIONAL INJURY AND DISEASE IN THE ORGANISATION ............................................................................................................................... 140
Purpose of the guidelines ........................................................................................................................... 141 MONITORING RECORDKEEPING PERFORMANCE.......................................................................................................... 142
Stages in monitoring recordkeeping performance ..................................................................................... 142 Table 28: Stages ......................................................................................................................................... 142 Recordkeeping failures ............................................................................................................................... 142 Using risk analysis to prioritise activities ................................................................................................... 142 Stage 1: Setting performance objectives ................................................................................................... 143 Table 29: .................................................................................................................................................... 143 Stage 2: Developing performance measures ............................................................................................. 144 Table 30: .................................................................................................................................................... 145 Using other business performance measures to monitor recordkeeping .................................................. 145 Establishing the baseline ............................................................................................................................ 146 Set performance targets ............................................................................................................................ 146 Stage 3: Collecting the data ....................................................................................................................... 147 Table 31: Collection methods. .................................................................................................................... 147 Stage 4: Analysing results .......................................................................................................................... 149 Stage 5: Implementing performance improvements ................................................................................. 149 Stage 6: Reporting and review ................................................................................................................... 149 For records management staff................................................................................................................... 150 For business managers ............................................................................................................................... 150 Monitor system downtime (electronic systems) ........................................................................................ 150 How do you know if you are providing quality records management services? ........................................ 150 Table 32: Examples of performance measures related to particular objectives ........................................ 151
4.3 MEASURE AND EVALUATE THE OHS SYSTEM IN LINE WITH THE ORGANISATION’S QUALITY SYSTEMS FRAMEWORK ...... 153 4.4 DEVELOP AND IMPLEMENT IMPROVEMENTS TO THE OHS SYSTEM TO ACHIEVE ORGANISATIONAL OHS OBJECTIVES .... 155 4.5 ENSURE COMPLIANCE WITH THE OHS LEGISLATIVE FRAMEWORK SO THAT LEGAL OHS STANDARDS ARE MAINTAINED AS A MINIMUM ................................................................................................................................................... 155
The risks of precarious employment .......................................................................................................... 156 Poor information ........................................................................................................................................ 156 Unclear responsibilities .............................................................................................................................. 157 Management response .............................................................................................................................. 157 Basic steps .................................................................................................................................................. 158 The growing federalisation of OHS and workers compensation ................................................................ 159
RESOURCE EVALUATION FORM ................................................................................................................... 161
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BSBOHS509A - Ensure a safe workplace
Description:
This unit describes the performance outcomes, skills and knowledge required to establish, maintain and evaluate the organisation's occupational health and safety (OHS) policies, procedures and programs in the relevant work area in accordance with OHS legal requirements. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Employability skills:
This unit contains employability skills.
Application of unit:
Managers play an important role in ensuring the safety of the workplace and the wellbeing of their staff. This unit applies to managers working in a range of contexts. It takes a systems approach and ensures compliance with relevant legislative requirements.
All those who have, or are likely to have, a management responsibility for OHS should undertake this unit.
It is relevant for those with managerial responsibilities, either as an owner or employee-manager of a business.
Introduction
As a worker, a trainee or a future worker you want to enjoy your work and become known as a valuable team member. This unit of competency will help you acquire the knowledge and skills to work effectively as an individual and in groups. It will give you the basis to contribute to the goals of the organization which employs you.
It is essential that you begin your training by becoming familiar with the industry standards to which organizations must conform.
This unit of competency introduces you to some of the key issues and responsibilities of workers and organizations in this area. The unit also provides you with opportunities to develop the competencies necessary for employees to operate as team members.
This Learning Guide covers:
Establish and maintain an OHS system
Establish and maintain participative arrangements for the management of OHS
Establish and maintain procedures for identifying hazards, and assessing and controlling risks
Establish and maintain a quality OHS management system
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Learning Program
As you progress through this unit you will develop skills in locating and understanding an organizations policies and procedures. You will build up a sound knowledge of the industry standards within which organizations must operate. You should also become more aware of the effect that your own skills in dealing with people has on your success, or otherwise, in the workplace.
Knowledge of your skills and capabilities will help you make informed choices about your further study and career options.
Additional Learning Support
To obtain additional support you may:
Search for other resources in the Learning Resource Centres of your learning institution. You may find books, journals, videos and other materials which provide extra information for topics in this unit.
Search in your local library. Most libraries keep information about government departments and other organizations, services and programs.
Contact information services such as Infolink, Equal Opportunity Commission, and Commissioner of Workplace Agreements. Union organizations, and public relations and information services provided by various government departments. Many of these services are listed in the telephone directory.
Contact your local shire or council office. Many councils have a community development or welfare officer as well as an information and referral service.
Contact the relevant facilitator by telephone, mail or facsimile.
Facilitation
Your training organization will provide you with a flexible learning facilitator. Your facilitator will play an active role in supporting your learning, will make regular contact with you and if you have face to face access, should arrange to see you at least once. After you have enrolled your facilitator will contact you by telephone or letter as soon as possible to let you know:
How and when to make contact
What you need to do to complete this unit of study
What support will be provided.
Here are some of the things your facilitator can do to make your study easier.
Give you a clear visual timetable of events for the semester or term in which you are enrolled, including any deadlines for assessments.
Check that you know how to access library facilities and services.
Conduct small ‗interest groups‘ for some of the topics.
Use ‗action sheets‘ and website updates to remind you about tasks you need to complete.
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Set up a ‗chat line‖. If you have access to telephone conferencing or video conferencing, your facilitator can use these for specific topics or discussion sessions.
Circulate a newsletter to keep you informed of events, topics and resources of interest to you.
Keep in touch with you by telephone or email during your studies.
Flexible Learning
Studying to become a competent worker and learning about current issues in this area, is an interesting and exciting thing to do. You will establish relationships with other candidates, fellow workers and clients. You will also learn about your own ideas, attitudes and values. You will also have fun – most of the time.
At other times, study can seem overwhelming and impossibly demanding, particularly when you have an assignment to do and you aren‘t sure how to tackle it…..and your family and friends want you to spend time with them……and a movie you want to watch is on television….and…. Sometimes being a candidate can be hard.
Here are some ideas to help you through the hard times. To study effectively, you need space, resources and time.
Space
Try to set up a place at home or at work where:
You can keep your study materials
You can be reasonably quiet and free from interruptions, and
You can be reasonably comfortable, with good lighting, seating and a flat surface for writing.
If it is impossible for you to set up a study space, perhaps you could use your local library. You will not be able to store your study materials there, but you will have quiet, a desk and chair, and easy access to the other facilities.
Study Resources
The most basic resources you will need are:
a chair
a desk or table
a reading lamp or good light
a folder or file to keep your notes and study materials together
materials to record information (pen and paper or notebooks, or a computer and printer)
reference materials, including a dictionary
Do not forget that other people can be valuable study resources. Your fellow workers, work supervisor, other candidates, your flexible learning facilitator, your local librarian, and workers in this area can also help you.
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Time
It is important to plan your study time. Work out a time that suits you and plan around it. Most people find that studying in short, concentrated blocks of time (an hour or two) at regular intervals (daily, every second day, once a week) is more effective than trying to cram a lot of learning into a whole day. You need time to ―digest‖ the information in one section before you move on to the next, and everyone needs regular breaks from study to avoid overload. Be realistic in allocating time for study. Look at what is required for the unit and look at your other commitments.
Make up a study timetable and stick to it. Build in ―deadlines‖ and set yourself goals for completing study tasks. Allow time for reading and completing activities. Remember that it is the quality of the time you spend studying rather than the quantity that is important.
Study Strategies
Different people have different learning ‗styles‘. Some people learn best by listening or repeating things out loud. Some learn best by doing, some by reading and making notes. Assess your own learning style, and try to identify any barriers to learning which might affect you. Are you easily distracted? Are you afraid you will fail? Are you taking study too seriously? Not seriously enough? Do you have supportive friends and family? Here are some ideas for effective study strategies.
Make notes. This often helps you to remember new or unfamiliar information. Do not worry about spelling or neatness, as long as you can read your own notes. Keep your notes with the rest of your study materials and add to them as you go. Use pictures and diagrams if this helps.
Underline key words when you are reading the materials in this learning guide. (Do not underline things in other people‘s books). This also helps you to remember important points.
Talk to other people (fellow workers, fellow candidates, friends, family, your facilitator) about what you are learning. As well as helping you to clarify and understand new ideas, talking also gives you a chance to find out extra information and to get fresh ideas and different points of view.
Using this learning guide:
A learning guide is just that, a guide to help you learn. A learning guide is not a text book. Your learning guide will
describe the skills you need to demonstrate to achieve competency for this unit
provide information and knowledge to help you develop your skills
provide you with structured learning activities to help you absorb the knowledge and information and practice your skills
direct you to other sources of additional knowledge and information about topics for this unit.
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The Icon Key
Key Points
Explains the actions taken by a competent person.
Example
Illustrates the concept or competency by providing examples.
Chart
Provides images that represent data symbolically. They are used to present complex information and numerical data in a simple, compact format.
Intended Outcomes or Objectives
Statements of intended outcomes or objectives are descriptions of the work that will be done.
Assessment
Strategies with which information will be collected in order to validate each intended outcome or objective.
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How to get the most out of your learning guide
1. Read through the information in the learning guide carefully. Make sure you understand the material.
Some sections are quite long and cover complex ideas and information. If you come across anything you do not understand:
talk to your facilitator
research the area using the books and materials listed under Resources
discuss the issue with other people (your workplace supervisor, fellow workers, fellow candidates)
try to relate the information presented in this learning guide to your own experience and to what you already know.
Ask yourself questions as you go: For example ―Have I seen this happening anywhere?‖ ―Could this apply to me?‖ ―What if….?‖ This will help you to make sense of new material and to build on your existing knowledge.
2. Talk to people about your study.
Talking is a great way to reinforce what you are learning.
3. Make notes.
Additional research, reading and note taking.
If you are using the additional references and resources suggested in the learning guide to take your knowledge a step further, there are a few simple things to keep in mind to make this kind of research easier.
Always make a note of the author‘s name, the title of the book or article, the edition, when it was published, where it was published, and the name of the publisher. If you are taking notes about specific ideas or information, you will need to put the page number as well. This is called the reference information. You will need this for some assessment tasks and it will help you to find the book again if needed.
Keep your notes short and to the point. Relate your notes to the material in your learning guide. Put things into your own words. This will give you a better understanding of the material.
Start off with a question you want answered when you are exploring additional resource materials. This will structure your reading and save you time.
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BSBOHS509A - Ensure a safe workplace
Element Performance Criteria
1. Establish and maintain an OHS system
1.1 Locate and communicate OHS policies which clearly express the organisation‘s commitment to implement relevant OHS legislation in the enterprise
1.2 Define OHS responsibilities for all workplace personnel in accordance with OHS policies, procedures and programs
1.3 Identify and approve financial and human resources for the effective operation of the OHS system
2. Establish and maintain participative arrangements for the management of OHS
2.1 Establish and maintain participative arrangements with employees and their representatives in accordance with relevant OHS legislation
2.2 Appropriately resolve issues raised through participative arrangements and consultation
2.3 Promptly provide information about the outcomes of participation and consultation in a manner accessible to employees
3. Establish and maintain procedures for identifying hazards, and assessing and controlling risks
3.1 Develop procedures for ongoing hazard identification, and assessment and control of associated risks
3.2 Include hazard identification at the planning, design and evaluation stages of any change in the workplace to ensure that new hazards are not created by the proposed changes
3.3 Develop and maintain procedures for selection and implementation of risk control measures in accordance with the hierarchy of control
3.4 Identify inadequacies in existing risk control measures in accordance with the hierarchy of control and promptly provide resources to enable implementation of new measures
3.5 Identify intervention points for expert OHS advice
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4. Establish and maintain a quality OHS management system
4.1 Develop and provide an OHS induction and training program for all employees as part of the organisation‘s training program
4.2 Utilise system for OHS record keeping to allow identification of patterns of occupational injury and disease in the organisation
4.3 Measure and evaluate the OHS system in line with the organisation‘s quality systems framework
4.4 Develop and implement improvements to the OHS system to achieve organisational OHS objectives
4.5 Ensure compliance with the OHS legislative framework so that legal OHS standards are maintained as a minimum
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Skills and Knowledge
Required knowledge
application of the hierarchy of control (the preferred order of risk control measures from most to least preferred, that is, elimination, engineering controls, administrative controls, personal protective equipment)
hazard identification and risk management
relevant legislation from all levels of government that affects business operation, especially in regard to OHS and environmental issues, equal opportunity, industrial relations and anti-discrimination
reporting requirements.
Required Skills
analytic skills to analyse relevant workplace data in order to identify hazards, and to assess and control risks
communication skills to consult with staff and to promote a safe workplace
problem-solving skills to deal with complex and non-routine difficulties
technology skills to store and retrieve relevant workplace data.
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Range Statement The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
OHS legislation will depend on state/ territory legislation and requirements, and will include:
common law duties to meet general duty of care requirements
regulations and approved codes of practice relating to hazards in the work area
requirements for establishment of consultative arrangements including those for health and safety representatives, and health and safety committees
requirements for effective management of hazards
requirements for provision of information and training including training in safe operating procedures, procedures for workplace hazards, hazard identification, risk assessment and risk control, and emergency and evacuation procedures
requirements for the maintenance and confidentiality of records of occupational injury and disease
Control of associated risks may include:
administrative
counselling/disciplinary processes
elimination
engineering
housekeeping and storage
issue resolution
OHS records maintenance and analysis
personal protective equipment
purchasing of supplies and equipment
workplace inspections including plant and equipment
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Organisational health and safety record keeping may relate to:
audit and inspection reports
workplace environmental monitoring records
consultation e.g. meetings of health & safety committees, work group meeting agendas including OHS items and actions
induction, instruction and training
manufacturers' and suppliers' information including dangerous goods storage lists
hazardous substances registers
plant and equipment maintenance and testing reports
workers compensation and rehabilitation records
first aid/medical post records
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Evidence Guide The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
detailed knowledge and application of all relevant OHS legislative frameworks
establishment and maintenance of arrangements for managing OHS within the organisations' business systems and practices
identification of intervention points for expert OHS advice
principles and practice of effective OHS management in a small, medium or large business.
Context of and specific resources for assessment
Assessment must ensure:
access to appropriate documentation and resources normally used in the workplace.
Method of assessment A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
analysis of responses to case studies and scenarios
assessment of written reports
demonstration of techniques
direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate
review of OHS policies, information provided on the OHS system, information about the outcomes of participation and consultation provided to employees
oral or written questioning to assess knowledge of OHS and OHS legislation
evaluation of OHS induction and training
review of OHS record keeping system.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
other OHS units
units from the Diploma of Management.
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1. Establish and maintain an OHS system
1.1 Locate and communicate OHS policies which clearly express the organisation‘s commitment to implement relevant OHS legislation in the enterprise
1.2 Define OHS responsibilities for all workplace personnel in accordance with OHS policies, procedures and programs
1.3 Identify and approve financial and human resources for the effective operation of the OHS system
Prologue
The Robens model: historical background
In 1972, a British Government Committee of Inquiry into Health and Safety at Work chaired by Lord Robens released a ground-breaking report (the Robens Report) calling for a new approach to the regulation of occupational health and safety.
The Robens Report identified a number of major flaws in the existing OHS legislation.
In the Committee‘s view, there was ―too much law‖ regulating occupational health and safety. Much of this law had been developed in a ―piecemeal fashion decade after decade‖. Overwhelmed dutyholders struggled to navigate a complex maze of prescriptive and technical provisions – in the Committee‘s view, a problem that contributed to ―apathy‖ about health and safety issues. Furthermore, maintaining and updating this body of law was ―an endless and increasingly hopeless task‖; thus, the legislation was incapable of responding to technological, social and economic change.
Furthermore, existing law reflected a preoccupation with physical hazards and overlooked ―equally important human and organisational factors‖, such as the impact of work systems on the attitudes and behaviour of people in the workplace.
There was no over-arching legislative framework: responsibility for the administration of the various health and safety law was split between the various regulatory agencies. Some workplaces had obligations under several jurisdictions, while others were not covered at all. The separate inspectorates did not share knowledge and expertise.
The legislation did not afford protection to all workers or provide for the participation of workers in achieving safe and healthy workplaces.
It failed to impose sufficiently stringent penalties and was rarely used as the basis for prosecution
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Key recommendations of the Robens Report
The Robens Report proposed a number of reform objectives. It called for “the creation of a more unified and integrated system to increase the effectiveness of the State’s contribution to safety and health at work”. All OHS legislation was to be brought together under a single enabling Act, which would establish broad procedures and standards, to be administered by a single regulatory agency and inspectorate.
The Report also advocated a transition from the traditional command-and- control regime to a self-regulating system, founded upon:
―the acceptance and exercise of [responsibility for OHS] at all levels within industry and commerce, particularly by directors and senior managers‖; a systematic, rather than ad hoc, approach to prevention; provision for greater employee participation in improving and maintaining health and safety, because ―real progress is impossible without the full cooperation and commitment of all employees‖. In this scheme, the State would relinquish its punitive role in order to stimulate attitudinal change and encourage preventative action. The Robens Committee recommended that the new Act should -
enunciate ―the basic and overriding responsibility of the employer to provide a safe working system including safe premises, a safe working environment, safe equipment, trained and competent personnel, and adequate instruction and supervision‖;
be limited to essential matters, such as the administration of the statute, a general regulation-making power and provisions dealing with offences and penalties; prescribe general duties only. Detailed provisions would be relegated to regulations and guidance; cover all workplaces, work processes, hazards and categories of worker; and
impose duties on ―upstream‖ parties (such as designers, manufacturers and suppliers) in recognition that OHS risks are best controlled at their source.
Standards-setting in the post-Robens era
In the years following the Robens Report, OHS legislation in most Western industrialised nations has moved away from prescriptive or specification standards, towards Robens-style general duties (or principle-based standards), performance-based standards and process-based standards. It should be noted that these standards are ―ideal-types‖; most contemporary OHS legislation relies upon a mix of standards – depending on the policy objective to be achieved.
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Specification standards
Specification standards have the virtue of spelling out precisely the actions a dutyholder must take in a given situation. Thus, it is clear to dutyholder and inspector alike whether or not a standard has been breached. Specification standards are an appropriate approach where there is a single, commonly agreed, means of controlling a hazard or risk.
Specification standards, however -
set only minimum health and safety standards and do not encourage innovative or cost-effective solutions;
cannot provide for a continuous cycle of improvement;
quickly become obsolete and are difficult to keep up-to-date; and
are more effective in regulating static, physical hazards typical of factories (such as inspections of boilers or ventilation requirements) than more subtle hazards associated with the social organisation of work (such as musculoskeletal disorders or stress).
General duties or principle-based standards
A general duty articulates an all-encompassing principle that can be applied to every workplace and allows dutyholders the freedom to develop their own solutions to particular OHS problems. Unlike specification standards, general duties do not readily become obsolete. While often classed as performance-based standards, general duties focus on broad social objectives and allow the dutyholder substantial discretion in achieving compliance.
At the same time, it is often argued that the breadth and flexibility of a general duty creates significant ambiguity and uncertainty for dutyholders and inspectors. A general duty does not articulate a desired performance outcome (that is, the goal to be achieved), nor is it possible to determine clearly whether compliance has been achieved until the matter has been tested in court.
Performance-based standards
A performance-based standard establishes the outcome required, but leaves to the dutyholder the choice of concrete measure(s) to achieve that outcome. The performance standard may be loosely specified, in which case the dutyholder will be required to make qualitative judgments, or tightly specified, in which case the dutyholder will need to employ quantitative measures of performance – which in some cases may involve highly-specified modelling methodologies. Performance standards are articulated in terms of the problems they are intended to solve – for example, the severity of risk, the likelihood of injury in the event of an incident, and the number of organisations and/or persons affected
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Performance standards facilitate technological innovation, enable the dutyholder to adopt the most cost-effective solution and focus preventative efforts on specific hazards and workplace contexts.
On the other hand, performance standards do not necessarily encourage consideration of integrated/holistic approaches to the control of OHS risks. And, like general duties, performance standards involve a degree of uncertainty. In the case of rare and catastrophic events, performance cannot be directly measured; instead, it must be predicted, making implementation more problematic.
Process-based standards
Process-based standards stipulate a series of steps or a process to be followed in order to eliminate or reduce risks associated with particular OHS hazards. The most familiar is the three-step risk management process: hazard identification, risk assessment and risk control
The strength of process-based standards lies in their capacity to address organisational factors – albeit only in relation to individual hazards.
Risk management approach
The conventional three-step risk management model, comprising hazard identification, risk assessment and risk control has been important in modernising the management of workplace health and safety, and is mandated in most hazard-based regulations made under the Act.
The risk management process has for many years been considered an essential component of the systematic approach to the control of workplace hazards and risks. Thus, not surprisingly, many submissions to the Review recommended that the model be adopted in the Act itself. For example, one submission argued that the introduction of a general duty to identify, assess and control all hazards would make the legislation ―more streamlined, clearer, less cumbersome and less ambiguous‖. Others did not share this view, commenting that the regulations provide the best scope for industry - or hazard-specific risk management processes.
One submission in particular raised questions about ―inflexible adherence‖ to the risk management model. Reflecting on his extensive experience in the field, Brian Bottomley
(website:http://www.workcover.vic.gov.au./dir090/vwa/home.nsf/pages/OH SAct_review 158)
observed that, while pertinent to many common physical hazards, the model is not necessarily appropriate for subtle, multi-factorial hazards such as musculoskeletal disorders, fatigue, and occupational violence and bullying. The use of the risk management model may, he says, encourage the misconception that all hazards are simple, objectively observable and derived from a single source. He argues that psychosocial hazards are not well served by a natural science model and would be better served by methods that ―tap the human experience of risk and injury‖.
Further, the application to these hazards of probabilistic risk assessment methodologies may “generate a risk management practice based on false certainty‖. These methodologies do not deal particularly well with the compounding effects of the multifarious factors associated with a psychosocial hazard such as fatigue. Where hazards are complex and
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recalcitrant to definition, the hazard identification and risk assessment phases can overlap, causing confusion. It becomes very difficult to estimate the likelihood and severity of the risk. In these circumstances, a “universal precautions‖ approach may be preferred.
Bottomley also submits that, in the case of risks for which there are well- known and universally-accepted risk controls, there is little point in requiring an employer to perform a risk assessment – especially given the frequency with which many become entangled in a ―risk assessment web‖, never to make it as far as putting risk controls in place. In these circumstances, it is more sensible and cost-effective to require the employer to simply implement the particular risk control via prescriptive regulation.
Finally, Bottomley notes that the sequential emphasis of the conventional risk management model can obscure the iterative nature of actual risk management processes.
1.1 Locate and communicate OHS policies which clearly express the organisation’s commitment to implement relevant OHS legislation in the enterprise
An effective and useful OH&S system must address the social, organisational and physical aspects of the organisation. Primarily, it should be considered as a synergistic and dynamic web of operations. It should be synergistic because any group of people working together and interacting with their environment produces a greater effect than the sum of their individual actions. It is this 'greater effect' that we should be concerned with when contemplating the OH&S of the organisation. As a manager your primary motive will be to develop a 'greater effect' that is positive rather than negative. Too often the 'greater effect' culminates in the negative result of injury or disease. The strategies you design and implement within your system must support the goal of developing a 'greater effect' that is positive.
The dynamic nature of work and interaction generates the energy which drives the organisation. If the energy is negative because of poor communications and lack of consultation the 'greater effect' is more likely to be negative. The synergistic effects of multiple hazards can result in injury, disease, low morale and lower productivity-not to mention the costs associated with workers compensation and loss of work hours. A useful system will include strategies that create positive energy and transform negative energy into positive. It will promote and capitalise on this positive energy creating strong, clear channels of communication throughout the network of the organisation.
Policy development is an integral and formative aspect of any OH&S system. It is imperative that policy is constructed within both an ethical and legislative framework. As a manager you must be fully acquainted with the relevant OH&S legislation and codes of practice within your state and territory. Whilst this is an imperative it is the ethical considerations which add integrity to the system and engender the respect of the workforce.
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Development Process and Rationale
Adopting and developing a systematic approach needs consultation with managers, employees and their representatives and other possible stakeholders, such as contractors. For such a consultation to be effective, OHS training is critical. Plainly, those managers and workers directly involved must have a certain minimum level of OHS knowledge if they are to assist. A committee could be used to develop an OHSMS with the assistance of an OHS consultant. Again, a suitable industry model would be a good starting place; it could then be adapted to local circumstances.
It is important to make sure that the reasons for adopting a systematic approach are made explicit. These may be moral concerns, legal and customer requirements or brand and image considerations. Such reasons will be expressed in the OHS policy, which, in turn, identifies what the specific requirements or standards for the system will be. These reasons will be used when monitoring, evaluating and reviewing the OHSMS.
The factors influencing the design of a particular system also need to be discussed. They would include
the benefits of any resulting certification
the organisational structure
the level of management commitment to OHS
the suitability of management style
the degree of OHS knowledge and skills
workplace (safety) culture
industrial relations considerations
the capacity of current consultation and communication processes
the interface and overlap with existing management systems, for example, quality, environment, performance management, finances, operations
the resources and organisational capacity available to make it work
the nature of work processes, hazards and level of risk
the abilities and constraints of the workforce to participate and make a systematic approach effective, for example, literacy, numeracy, diversity, special needs.
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Integrated systems
Whichever OHSMS you eventually develop and use, it should be part of the overall management system of the organisation and sit comfortably alongside other systems. Like other systems, it should form part of the planning, goal setting, budgeting, organising, implementing, monitoring, measuring and reviewing processes undertaken to ever improve performance. Putting the ‗management‘ in OHSMS is achieved by identifying the OHS responsibilities, accountabilities and authority of each and every one in the organisation, from the CEO to the receptionist. For more information on this, see the section on `Organising', below. Often, an OHSMS is linked closely with quality or risk management systems and may have environmental concerns attached to it. Whatever the links, OHS becomes a seamless part of business activity by being organised as an important business system alongside others.
Creating a dynamic system
Like other management systems, an OHSMS should not be mechanical. It should he a dynamic system, involving the whole workplace in continuously improving its health and safety and responding to changes. Continuous monitoring and regular reviews of the OHS program by the OHS committee can ensure that the OHSMS is dynamic and responsive.
The remainder of this section deals with the elements of an OHSMS in more detail and how each element can be integrated into the overall management system.
Elements of a Dynamic System
OHSMSs contain the following basic elements.
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1 Commitment and policy
2. Organising
6. Reviewing and improving
3. Planning
5. Monitoring and evaluating
4. Implementing
Figure 1: The basic elements of OHSMSs
As you might imagine, OHSMSs are not usually found in very small organisations, where their administration would involve too much time and effort. In these smaller establishments, scaled-down solutions are appropriate.
Commitment and policy
The starting point is a commitment by management to OHS. Fortunately, most general managers express some form of verbal commitment that at least gives you an opportunity to build upon.
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Words
Management commitment is expressed in words and deeds. The verbal commitment takes the primary form of a written OHS policy document - usually one page - committing the organisation to certain goals and principles and signed off by the head of the organisation's As everything else flows from the policy - planning, organisation, funding and activity - the wording is significant and careful attention should be spent on its content. It should be remembered it will be displayed throughout the organisation and could be submitted as evidence in court.
Aspects to consider in an OHS policy include
a reflection of the relevant objective from the organisation's overall mission, vision and core values - how does OHS fit in
a commitment to
provide a healthy and safe workplace and effective return-to-work programs for the injured
measurable objectives and ongoing improvement
compliance with relevant OHS law and the highest standards in OHS
consultation with staff at all levels to achieve policy goals
consistently identify, evaluate and control hazards
an expression of the OHS responsibilities of all key stakeholders, for example, workers, supervisors, managers.
Importantly, the policy should be endorsed by employees (normally through the OHS committee) as cooperation is needed for implementation. The policy also needs to be reviewed periodically to ensure that it is relevant and up-to-date. The date of last review should be indicated on the policy itself. Finally, the policy should be displayed prominently and headlined in training and induction.
Deeds
To demonstrate real commitment, the organisation needs to implement the policy through OHS management activities such as planning and reviewing, consulting, communicating, resourcing, recognising and rewarding good OHS performance. Apart from the policy, commitment can be shown by management walking the walk, for example, taking part in inspections, participating in fire and emergency drills, discussing health and safety at regular meetings, following up promised corrective activity and modelling appropriate behaviour in the workplace. Finally, each activity needs to be reported and communicated to staff as part of marketing OHS to them. People need to be aware and reminded of the priority management attaches to OHS by deeds, rather than by management merely putting up safety posters.
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Gaining Management Commitment
An individual approach by the health and safety manager is a useful way of developing wider management commitment.
Know Thy Customer
First understand what the issues are for the managers you are addressing. Different managers have various agendas and different understandings of what OHS is all about. Don't assume that the managing director, the financial officer, the marketing manager, the human resource director and the chief operations officer all have the same issues or understanding. Recognise your audience as individuals and listen to what each of their problems are - OHS or non-OHS - remembering all the while that they are working under time and resource constraints.
Listen And Hear
It may be OHS issues they are directly concerned about - a rash of incidents, a near miss, increased compensation costs or a compliance issue. Other problems may be related to OHS, but not be OHS issues directly, such as productivity lags, absenteeism (including unpunctuality) or corporate culture. Many will be issues that bear no relation to OHS - a supply problem, dysfunctional staff member or forthcoming merger, for example. Listen to the managers and respect their experience and understanding, even if you don't agree.
Remove The Pain
Where you have the skills and resources - and the manager is amenable - prepare a proposal to help them with a significant OHS or OHS-related problem that you are confident of succeeding at. In the first instance, work with those individuals who have the most influence in the organisation, usually the CEO or managing director. Otherwise, build up your credibility with others on the management team. Above all, only pick those problems that you are sure of solving; do not add to the manager's workload and make sure that the improvement can be clearly identified. Having consulted and gained endorsement, then deliver. Document the project and, where appropriate, publicise it internally and possibly externally in, say, your OHS network. The managing director may wish to use it as a marketing tool.
Commitment to OHS by managers grows incrementally with each successful project. With that commitment, senior management is more comfortable with OHS and will make sure that line management make it their responsibility too. In this way, the health and safety manager does not become the OHS sheriff.
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Policy-writing tips
Here are some useful tips to help you along the policy-writing path:
Tip 1. Use the four “C”s
Make sure you have been:
o Concise in content
o Consistent in format
o Clear in interpretation
o Complete in detail
Tip 2. Do’s and Don’ts of policy writing
Do use supportive language that is employee friendly
Don’t get carried away with legal jargon
Do build up a rapport with your readers
Don’t be confrontational
Do use plain English Don’t be discriminatory
Do take a cooperative approach Don’t write an encyclopaedia
Do emphasise that your organisation is a working partnership between management and employees for the benefit of all
Do be objective
Tip 3. Format
Using the following headings may help you to construct your policies in a logical format:
1. Rationale
2. Outcomes
3. Guidelines
4. Conclusion
5. Or, you may choose to develop a format of your own.
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1.2 Define OHS responsibilities for all workplace personnel in accordance with OHS policies, procedures and programs
Organising
To implement policy and demonstrate commitment, OHS activity first needs to be organised and people need to know their roles within it.
Identification of OHS responsibility, accountability and authority
With any job, we all need to know
what our responsibilities or duties are
to whom we are accountable and what we are accountable for, that is, what are the standards by which we are measured
what authority we have to carry out our responsibilities.
These need to be written down somewhere, such as in the job description or contract, and fully understood. So it is with OHS. Our health and safety responsibility, accountability and authority must also be documented for the OHS policy to be implemented by everyone.
How responsibilities, accountabilities and authority are identified will depend on
the position held and the tasks carried out
what corporate OHS policy and the law requires
the hazards associated with the job.
Example 1
The head of the purchasing department is responsible for the purchase of all goods and services. The head is accountable to the chief financial officer for ensuring that all supplies or contracts are checked so that they meet the relevant health and safety standards and those receiving or using the goods or services have been informed of any associated hazards and know how to control them. The purchasing head will need the authority to cancel services, return products or refuse delivery.
Example 2
The fleet manager is responsible for the leasing, maintenance and allocation of company vehicles. The manager is accountable to the chief administrative officer for ensuring that all the vehicles used meet the latest safety standards, are properly maintained, that drivers are licensed and trained in safe loading procedures and that accident and incident notification procedures are in place. The fleet manager must have the right to take any action to make sure all of this happens, such as taking the vehicle off the road or suspending the driver from further use of company vehicles.
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Responsibility, accountability and authority begin with the managing director or CEO and cascade through the organisation, including to contractors. Everyone then knows what they are supposed to do as part of their OHS responsibility, to what standard and what action they may take to ensure that their OHS duties are fulfilled. This needs to be documented, regularly reviewed and checked to see that everyone with an OHS responsibility is complying with corporate OHS policy and the law.
As a good test, imagine an accident has occurred and it has reached court. Can it be demonstrated clearly that, before it reached this stage, everything had been done to ensure that everyone knows what their OHS responsibilities are, what standards must be met and what power they have to carry out their responsibilities?
Defining Job Positions
Some positions have specific legal responsibilities attached to them, for example, controller of a workplace, while others are more general. In Queensland, for example, the job description or supporting documentation ought to reflect the duties set out for all workers in section 36 of the Workplace Health and Safety Act 1995 (Qld), namely,
A worker or anyone else at a workplace has the following obligations at a workplace
(a) to comply with the instructions given for workplace health and safety at the workplace by the employer at the workplace and, if the workplace is a construction workplace, the principal contractor for workplace health and safety at the workplace;
(b) for a worker-to use personal protective equipment if the equipment is provided by the worker's employer and the worker is properly instructed in its use;
(c) not to wilfully or recklessly interfere with or misuse anything provided for workplace health and safety at the workplace;
(d) safety of any person at the workplace;
(e) not to wilfully injure himself or herself.
Health and safety manager
The principal role of the health and safety manager is to assist the organisation, its managers and employees to promote health and safety in the workplace in line with corporate policy and the law. This normally includes
reporting to the senior management team on OHS matters
conducting safety inspections
providing administrative support for consultative arrangements
preparing the OHS program
developing risk management strategies and monitoring their progress
establishing appropriate information and training programs
reporting and assisting in the investigation of incidents
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administering workers' compensation and rehabilitation.
As part of the management team, the OHS manager also has obligations to inform other managers and the CEO of changes to OHS legislation and codes of practice and to contribute to the reporting of OHS matters to senior managers. Health and safety managers ought to participate in benchmarking their approach to the management of OHS and in sharing information within their industries (we will discuss benchmarking briefly later)
Example
QUEENSLAND'S WORKPLACE HEALTH AND SAFETY OFFICERS (WHSOS)
Under Queensland law, employers or principal contractors at certain types of workplaces with more than 30 employees must appoint a qualified Workplace Health and Safety Officer. They are to provide expert advice to employers to help them meet their obligations under the Workplace Health and Safety Act 1995 (Old) and must be trained to identify health and safety hazards and help implement risk assessments in the workplace. The functions are specified in the regulation (see section 93 of the Workplace Health and SafetyAct 1995 (Old) and section 30 of the Workplace Health and Safety Regulation 1997 (Old).
Whatever those duties are, the responsibility for health and safety lies with the organisation and all its employees - CEO, managers, supervisors and staff - not just with the health and safety manager. This is made clear in the law and should be made clear in the policy. Health and safety managers need to remind themselves and others of this fact, otherwise, they may be solely identified with health and safety responsibility and the (impossible) task of implementing it by themselves. OHS activity must be owned by the line managers involved and not be or be seen to be owned by the health and safety manager or any other individual.
Similarly, the arrangements by which employees and management consult on OHS should not lessen the responsibilities of everyone else. Consultative arrangements are there to assist, not to take over OHS responsibilities.
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Planning
With everyone's OHS role specified, you can begin to plan the implementation of the OHS policy. A documented plan or program based on an understanding of what is required is needed to direct implementation.
A very basic planning tool is represented below, with the example of a partially successful organisation. It only deals with a few aspects of the OHS program. Whether you are starting from scratch or not, the general steps remain the same.
Table 2: A basic planning tool
What we need to do (that is,
requirements, standards,
benchmarks)
Where we are What we need to do to fill any gap
Priority (critical, major, minor)
What are our objectives,
targets, performance
indicators
Who is going to do what, when and with which
resources?
Have hazards identified, risks assessed and controlled in all the workplaces. (ref: company OHS handbook, s.5)
Hazards have been identified in the last 6 months, risks assessed and controls implemented for HO and 4 depots.
3 depots are regularly non- compliant.
Have relevant depot supervisors complete hazard identification and risk assessments.
Train depot supervisors in risk management (RM).
Major Completed documentation by end of December 2004.
RM training completed by end of November.
Logistics manager and depot supervisors – week commencing 15/11/04.
HS manager to conduct RM workshop week commencing 1/11/04.
HS manager to check with LM manager 7/1/05.
HS manager to check with all sites to ensure activity occurs regularly.
Provide safe access and egress. (ref: Building Code of Australia)
All passageways, exits and entries compliant except two emergency doors in dispatch area open inwards.
Arrange with landlord for alteration of doors.
Major 100% compliant by end of November.
Facilitie manager- wk commencing 1/11/04 HS manager to check with F manager 3/12/04.
Have an alcohol policy in place (ref: NH&MRC Australian Alcohol Guidelines).
No policy and procedures in place at all; two related incidents reported 2002.
Have OHS medical provider prepare policy for discussion by OHS committee.
Minor Policy prepared and endorsed at next
February's OHS committee meeting and placed on intranet.
OHS manager to contact offsite medical provider first week November 2004, and liaise with communications manager.
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Identifying what you are required to do
Everything flows from the OHS policy. The policy should state what the general requirements are, which can include
complying with the law
meeting any company-specific standards
enterprise agreements with unions
Australian standards
industry best practice.
Where the organisation spans a number of jurisdictions and providing there is no conflict, use the highest standards. Jurisdictions provide regulations, codes and guidance material to explain in greater detail what is required. Industry or Australian standards will have specific requirements. Corporate policy may have even more stringent standards. It is then a matter of listing the specific program requirements in headline form (in the first column). You don't need to repeat the detail, but be sure to refer to the documentation to be used.
In addition to having an OHS policy and organising OHS responsibilities and consultation, which we have discussed, the following requirements would be found in an OHSMS:
training management and workers in OHS
gathering OHS information, collecting data, analysing data and managing records
identifying hazards and managing risk
health and safety policies and procedures (P&Ps) to deal with hazards peculiar to the specific workplace, for example, manual handling, stress, alcohol, motor vehicles, confined spaces
inspecting workplaces
promoting health
preparing for emergencies
notifying, reporting and investigating incidents
auditing health and safety
providing medical and first aid
compensating and rehabilitating injured workers.
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Training
Training in OHS needs to be given to all workers appropriate to their position. As with all jobs, competencies need to be identified and procedures put in place to make sure that workers have the necessary competencies and that they are maintained. Consultation with managers and workers can help define the required competencies and verify that everyone has them to the level required. Managers should have a system in place to ensure that the required competencies - OHS and non-OHS - are in place and maintained. There are specific legal requirements for the training of health and safety representatives.
Finding out where you are in relation to what you are required to do
The next step is to assess how far current organisational arrangements and activities match the requirements. Information can be gathered from documentation, records, interviews, inspections, surveys and databases. Managers, supervisors, employees and their representatives need to be involved to provide information and confirm reports.
Basically, you need to carry out an internal audit documenting your evidence and findings. Specific regulations, codes of practice and guidance material should be able to tell you what to look for.
Identifying what activities you need to carry out
There are requirements that are being met and requirements that need further attention. Both sorts of activities - maintenance and gap-filling - make up the OHS program.
You can expect to find gaps between what should be and what is. The size of the gap will vary and some will be able to be fixed relatively easily. Others may suggest a program seriously in need of special attention. In discussion with those affected, identify how the gap can best he closed and if OHS specialists or technical advisers are required to help close it. If closing the gap involves significant costs, set out all the options, their comparative effectiveness and full costing to provide reasons for the preferred option.
Priority
All the activities that make up an OHSMS are important to health and safety. It is a matter of attending to the gaps without neglecting the other activities that is the tricky part.
In terms of the consequences for the organisation and employees, some gaps will appear more serious or basic than others. Establish some priorities based on an estimate of the probable consequences for everyone if the activity does not take place. A simple triage - critical, major and minor - should be used to order and schedule gap-filling activities while fulfilling the other requirements.
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1.3 Identify and approve financial and human resources for the effective operation of the OHS system
Setting Objectives, Targets and (Key) Performance Indicators
Before setting objectives, targets and indicators, we must ask why we measure performance in the first place, as this will tell us how to measure. The three main reasons for measuring performance are to
1. identify the level of existing performance to help set goals and strategy
2. identify progress against goals to see how we are going, possibly review strategy and, sometimes, goals
3. identify outcomes against goals to see how we went, identify areas for improvement and, often, reward (or punish) those involved.
By measuring, we are able to manage our performance, able to make clear our goals and plan to achieve them. We can then see how we are going and make any necessary changes. Finally, we can see if we achieved our goals and how we could improve next time around. And, if we did well enough, we would hope to be rewarded. Measurement, then, motivates us.
The link between measurement and motivation is worth emphasising. Measuring effectiveness not only highlights areas for attention; it can also be a boost if we are doing well (or a source of sleepless nights if we aren't). By being linked to pay incentives, awards or, more often, personal achievement and professional recognition, measurement drives performance.
Table 3: Dimensions of OHS performance
Example: Safety training course
Term Definition Example
Goals (or objectives,4 aims, purposes, ends)
Targets
What you want to achieve
What you want to achieve in measurable terms
Safer handling of hazardous substances.
20% improvement in safety audit rating by the end of the year.
Inputs (money, time, energy, people, facilities, material, information)
What you use in trying to achieve your goals
8 weeks of my time, $10 000 of my budget, 150 supervisor days.
Processes, activities What you do to achieve your goals
Planning, organising, training, assessing.
Outputs (products, services)
What you complete or produce in order to achieve your goals
Provided 5 two-day courses on hazardous substances to 75 supervisors together with 75 handbooks.
Outcomes (or results, effects, consequences)
What you actually achieve by your output - in relation to your goals and targets
Safer handling of hazardous substances, 30% improvement in safety audit rating at the end of the year.
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Dimensions of performance
If measurement is good for us, how do we measure? To understand how to measure OHS performance, we need to understand the dimensions of performance (see above).
The distinction some people have difficulty with is the difference between outputs and outcomes. The outcome of your intended goal or the purpose of your activity may not turn out to be what you wanted, for example, people may not be handling hazardous substances any better. This is likely to be a result of your output - what you put out into the world -not being what was needed to achieve the desired outcome. In this example, training courses and handbooks may not have been what was needed, but instead, better labelling or using non-hazardous substitutes. The output may not have been effective in achieving your goal. Outputs and outcomes, then, are very different.
Effectiveness, efficiency, economy
In general, we measure performance in three ways
Table 4: The ways we measure performance
Effectiveness Did you achieve your goals? Were you successful?
Efficiency Did you make the maximum use of the time and resources provided to you? Did you avoid waste?
Economy Did you use the least amount of time and resources necessary?
Putting together the two sets of terms gives us.
Table 5: Evaluating the performance of a training program
Economy Did we need
to go to this
expense?
Efficiency
Did we use the time and resources allocated in the most efficient way and not waste them?
Goal Safer handling
Target 20 improvement in
safety audit rating by the end
of the year
Inputs
$10000 + 8 weeks time
Processes planning,
organising, training,
assessing
Outputs
5 training courses + 75 handbooks
Outcome
30% improve- ment in
safety audit rating at the end of the
year
Effectiveness Were we effective in achieving the goals as measured by the outcomes?
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Indicators
To measure things, we use indicators or measures. To measure our weight, we use kilograms; for distance, we use metres or kilometres.
Using the order found in Table 4, economy indicators are used to measure the amount of the inputs - the amount of money, time, material, people and resources used. As a health and safety manager, your economy indicators would include your OHS budget; the number of full- time-employee days used in the OHS program or the cost of your suppliers, for example, your compensation and rehabilitation costs.
Efficiency indicators are used to measure the processes of converting the inputs into outputs. The more output per unit of input means greater efficiency. Efficiency indicators are usually expressed as a ratio or equation - x kilometres per 1 litre of petrol or they could include, say, the number of people trained per $1000 of your budget.
Value-for-money or cost-effectiveness measures the cost of producing effective outcomes. If you could have achieved the same effective outcomes at less cost, say, by having someone else doing the training or simply using better labelling, then you were not being cost-effective. However, first your outcomes must be effective in meeting your goals (see below).
Such indicators are usually not difficult to identify or use when you as the health and safety manager have to report on your own performance. On the other hand, measuring the effectiveness of an organisation's OHS performance can be tricky.
It is important to remember that the purpose of measuring OHS performance is to compare the present state of affairs with the past and with the targets we have set for ourselves. Has the organisation been effective in making any headway and getting closer to achieving its OHS goals and targets? Where can we improve? This is the point of looking for indicators of effectiveness.
Effectiveness Indicators
Some organisations measure their performance by outcomes, the number of lost time injuries or illnesses over a set period, usually, a year. Others also use the number of working days lost over a period. However, because the number of workers employed or hours worked during a period may vary, many prefer to use rates such as lost time injury frequency rates (LTIFR), lost time injury incidence rates (LTIIR), average lost time rates (ALTR).
Because these rates directly measure failure they are called negative outcome indicators.
Such indicators are straightforward, relatively easy to apply and widely accepted. Used internally, they can help identify hot spots. Rates can be tracked over time as well as benchmarked against comparable industry or occupation rates. You can use them to set targets, for example, by reducing the LTIFR by 30 per cent for the next calendar year.
To keep the rates standard, the number of cases of injury or disease includes those resulting in lost time of one day or shift or more during the specified period. The `number of workers' is defined as the average number of workers who worked in the recording period. People who were
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absent from work on paid or unpaid leave for the entire period should be excluded from this calculation. In the case of incidence rates, it may be useful to break down the category of `workers' into employees and contractors, full-time and casuals, male and female, blue-collar and white collar or other categories in order to get more information. Otherwise, frequency rates are more commonly used.
The `number of hours worked in the period' refers to the total number of hours worked by all workers in the recording unit including, for example, overtime and extra shifts. Where incidence rates can be influenced by the number of full-time, part-time or casual workers, the frequency rate focuses on the hours exposed to hazards, however many are actually employed.
Table 6: Outcome indicators expressed as equations
Lost time injury frequency rate
Number of lost time injuries or illnesses in the period x 1 000 000
Number of hours worked in the period
Lost time injury incidence rate
Number of lost time injuries or illnesses in the period x 100
Number of workers employed
Average lost time rate
Number of working days lost in the period
Number of lost time injuries or illnesses in the period
The `average lost-time rate' measures the severity of the incidents being experienced by workplaces over time. The `number of working days lost' refers to the total number of working days - irrespective of the number of hours that would normally have been worked each day - that were lost as a result of the injury or disease for any individual incident up to a maximum of 12 months. For the purposes of calculating the average lost-time rate, occurrences that result in a fatality should be assigned a time lost of 12 months (220 standard working days). The focus here is not on the number of incidents, but on the severity of their impact.
Measurement intervals
Rates can be calculated at intervals that best meet the individual organisation's needs. Medium to large size employers (that is, those who have 200 or more employees) may benefit from calculating rates on a monthly and a cumulatively monthly basis. Individual monthly totals and rates can be derived from counting those incidences that occurred in a particular month and the corresponding time lost in respect of those cases in that month. Cumulative monthly data can be derived by adding the total number of incidences for a specific period, such as 12 months, and the total time lost that corresponds to those cases for that period. Smaller-size employers need only calculate totals or rates on a 6 monthly or annual basis as rates calculated more frequently are likely to be meaningless due to the influence of random factors.
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Analysis
Measurement rates are of limited value when used in isolation. Analysing the rates in conjunction with each other provides workplaces with more complete information. This is particularly so for frequency and average lost-time rates, which, when examined together, give a more accurate measure of the number of incidents and time lost as they relate to the level of exposure to risk.
Large organisations will need to keep data to compare rates over time and identify seasonal trends. For small businesses that generally experience few incidences of injury or disease, time series analysis will be largely meaningless due to the random nature of events. Data may also be aggregated to cover all the operations of a firm or broken down to check performance of individual units.
Analysis using external data can be useful. Comparing your organisation's rate with government-produced industry rates or with information from your insurer may be able to tell you how well you are going in comparison with others and how serious your OHS problems are, which could, in turn, motivate management. However, the aim of continually improving is only really helped by measuring your own performance and setting realistic goals and strategies. Rates measuring incidence, frequency and average cost together with other indicators should be directed towards self- improvement and not just finding your position on some league table.
Problems with outcome indicators
While such indicators make good sense and should be used, they are not sufficient on a number of scores.
Such indicators tend to encourage underreporting, either by supervisors trying to make their sections look good or by employees trying to protect their continued employment.
They don't tell you whether your strategy or management system is responsible or not for the outcome. You may have a low rate of LTIs, for example, but there may have been a lot of lucky escapes. The workplace could still be an accident waiting to happen.
Even where accidents occur and are reported, such goals and indicators focus on the injury and not necessarily the potential seriousness of the accident. Had, for example, others been nearby at the time, the impact could have been much worse. Again, you are not given enough information.
Similarly, negative indicators don't capture incidents, that is, where no time or money is lost, but where the consequences could have been enormous.
Negative indicators don't always pick up occupational diseases in which there is a prolonged latency period. The statistics may show a decline in time off work for a period, but much later the figures may suddenly spike as a disease takes hold, for example, with occupational cancer.
Outcome indicators tend to reinforce reactive rather than preventative action. Action focuses on dealing with yesterday's problems and not what may lie ahead.
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As most outcome indicators are negative, they focus on the downside of OHS activity. The fact that you didn't have as many accidents this year as last year is good, but it doesn't necessarily make you feel inspired.
Importantly, such indicators focus on only one aspect of human concern, the need to be safe and secure. They do not tell whether the workplace is satisfying the wider range of psychological and social needs that make up our well-being. For such reasons, we need additional indicators to supplement the negative outcome ones.
You need indicators telling you whether the system you have put in place is actually working and likely to achieve immediate and final goals. You must go upstream from outcomes and look at the processes you are using to promote health and safety. You need process indicators (see table below). An analogy may help. To arrive home safely, you must drive safely. The processes of following the rules of the road and not exceeding the speed limit indicate that you are likely to be driving safely (immediate goal) and will achieve your goal of arriving home safely (final goal). The same applies to OHS.
Table 7: Process indicators
Identify nature of agent or condition
Select a suitable measuring technique
Determine from regulations / standards whether monitoring is required
Develop collection methodology
Determine whether any exposure standard is involved
Carry out sampling
Assess workplace size and environmental conditions
Collect data, analyse, evaluate
Determine scope of monitoring
Report findings and recommendations
Fortunately, finding OHS process indicators is not too hard. Simply imagine that you were sent in to check whether the organisation was doing all it could to promote health and safety in the workplace. Which activities would you look for, given the risk profile of your organisation?
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Using the four elements of the OHS model, you might come up with a list such as this (see table 8).
If you saw these sorts of activities established and being done well, then you would expect the workplace to be a safe and healthy one. These processes are indicators that OHS is alive and well.
Table 8: The four elements expressed as OHS process indicators
Element Sample indicators
Commitment OHS placed on the agenda of business meetings regularly
OHS forms part of performance measurement for all employees
resourcing of OHS is sufficient
Consultation OHS committee meets regularly
OHS newsletter produced monthly
decisions acted upon promptly
OHS System OHS policy and program documented and communicated
hazard identification and risk management done regularly
risk controls reviewed systematically
incidents notified, reported and recorded according to procedures
Culture reporting incidents is rewarded
lessons learnt are communicated
work-life balance program is being used by carers
In addition to process indicators, you may also wish to use input indicators, such as the percentage of plant (machinery, tools and equipment) purchased or hired according to safe design principles, of contractors screened for OHS performance or new entrants with licensed qualifications. These input indicators would tell you that you are less likely to be introducing or importing risk.
Finally, you may wish to use output measures: percentage of employees given OHS training by the organisation, the quality and coverage of the safe operating procedures produced by the organisation or the quality of the investigation reports.
In any case, you are looking for those indicators that will tell you whether the workplace is safe or healthy, given the particular hazards and risks facing the organisation.
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Key performance indicators (KPIs)
The problem is not so much finding performance indicators - input, output, outcome or process indicators - but settling on which are your key performance indicators. A useful principle for assembling your KPIs is to think in terms of a car dashboard.
The Dashboard Principle
Ask Yourself
What sort of gauges, meters or warning lights do you need to assist you to manage?
Is the information provided relevant to the objective (OHS), accurate and up-to-date?
Do you have confidence in those gauges, meters and warning lights?
Have you enough? Have you too many -a flight deck?
Which are essential? Which are used most?
Once identified, then see if the indicators can be represented graphically on one side of a single sheet of landscape A4 paper and arranged to reflect priorities and associations.
Are the gauges designed appropriately? Which, for example, of barcharts, pies and dials or other graphic representations are more suitable?
Are they self-explanatory, requiring the absolute minimum of words and numbers?
Are priorities reflected, for example, in the size or position?
Are they arranged together logically, reflecting associations?
If the number of indicators makes the page too crowded, cut back. Keep working at it, testing it - consulting -with other drivers until you are satisfied.
Such a dashboard not only functions as a simple presentation tool, but also serves to help you remember key performance information (and help to make you sound as if you are on top of things). Most of all, it is an important test of your management focus. Remember, that we measure to help us manage.
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Targets
Once you have decided on your performance indicators, you need to devise some targets and use them. In assigning targets, use the SMARTA principle - make your targets Specific, Measurable, Achievable, Relevant, be given a Timeframe and Agreed upon.
A sample set of indicators with targets and mid-year progress report is provided below.
Assigning responsibility, scheduling and resourcing
Once the objectives have been identified, it is a matter of management assigning responsibilities, scheduling the activities and providing resources according to any priorities.
All of these factors need to be consolidated by management into a draft plan for discussion and implementation. Management and employees, usually within the framework of the OHS committee or its equivalent, need to read, discuss, possibly amend and, finally, endorse the plan. They need to be clear how it was drafted, the thought processes involved and the evidence underlying the decisions that were made to reach the plan. Management and employees have to be confident of achieving the objectives. If possible, involve a subcommittee in preparing the plan. Often, preparing a plan will mean taking last year's plan as the base document and amending it in the light of its review. In any case, agreement would be helped by prior subcommittee discussion.
Resourcing or budgeting for the OHS program should be prepared by management on a careful estimate of the required inputs (people, money, OHS information, training, equipment, etc.) and their costs for activities to be successful. The health and safety manager should be involved.
Among the bigger upfront costs will be
workers' compensation insurance
salaries and administrative costs for the health and safety unit (manager, support staff, superannuation, payroll tax, office, furniture, equipment, travel)
training.
The finance officer or cost accountant may be needed to help, depending on the size of the total activity required, particularly if it involves capital purchases. Estimates of any downtime may need to be made if significant amounts of training are required. Where the money comes from will depend on the financial management system used by the firm.
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Table 9: Sample set of indicators and targets
Type of indicator
Indicator Target at end of year
Year to date
On target?
Input Contractors screened for OHS performance
100% 85% N
Process Senior management team meetings receive and discuss OHS reports and act on issues arising
100% of all meetings
100% Y
Committee members attend meetings
90% attendance over the year
95% Y
Manager and supervisor
OHS training
95% by end of year
60% Y
Workplace hazard inspections
OHSMS audit rating
Climate survey rating
55, as set out in OHS program
20% improvement
Top 20 percentile
35
Due
Nov.
Due
Nov.
Y
N/A
N/A
Outcome Frequency rate (LTIFR) 30% reduction
31% Y
Incidence rate (LTIIR) 30% reduction
35% Y
Medical and rehabilitation costs 30% reduction
32% Y
Notes
1. Draft outcome targets for the organisation as a whole may be set prior to or after planning all the OHS program activities. The targets are set as each process or activity is planned.
2. In the example, the OHSMS audit and Climate Survey ratings are included as process indicators as they measure the quality of processes or activities.
3. Reporting against the OHS KPIs should go into the annual report alongside other business KPIs.
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The important points are that OHS be specifically budgeted for and that there should be sufficient resources as pledged in the OHS policy. So, for example, the OHS training budget, along with other items, such as human resource training for managers and supervisors, professional development and so forth, must form an identifiable part of the total training budget.
Implementing
To be most effective, occupational health and safety management planning should be integrated into the organisation's business plan. As well as ensuring that the appropriate resources (human, physical, financial) are available, the implementation phase should include continued attention to the responsibilities and accountabilities required for OHS management. Although the ultimate responsibility lies with senior management, all staff in the organisation have an active role to play in the management of OHS. While the health and safety manager will advise and provide support, it is the responsibility of the workers, supervisors, line management, senior management and the managing director to implement the plan. Implementation should not be the responsibility of the health and safety manager nor should it be seen to be.
Monitoring and evaluating
The monitoring and evaluation of the effectiveness of all the OHSMS activities is a form of pulse-taking. You are checking to see, first of all, if such activities are happening and whether they are achieving their objectives or are likely to achieve their objectives. What is the performance level of our OHSMS? Do we need to make changes? Is the pulse there? Is it strong? If it is weak, what do we prescribe?
It is worth emphasising that the monitoring and evaluation process applies to all activities comprising the OHSMS, not simply hazard identification and risk management activities. So the policy needs to be checked to see, for example, if it is properly communicated to all staff. The OHS committee needs to monitor how well information is shared among members and decisions acted upon. The allocation of OHS responsibilities, accountabilities and authority needs to be monitored to see that it is appropriate, reflects changes to the work being undertaken and to the law. And so it goes throughout the entire OHSMS.
The method of monitoring and evaluating will vary according to the nature of the activities and the associated objectives, targets and performance indicators. Those methods need to be discussed, agreed upon and documented. The main considerations are as follows.
Who will do the monitoring (technical assistance may be required)?
What equipment, data, information or procedures are required?
When will it be done and how often?
How will it be reported, by whom and to whom?
Monitoring and evaluation reports are then made directly up the line to more senior management for any comment. These, then, are referred to the health and safety manager and the OHS committee. The point of such procedures should be clear - to ensure that OHS remains the ultimate responsibility of management.
As monitoring and evaluation will provide information on how the particular OHSMS practices are going, they also reveal whether the larger OHS
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goals for the organisation as a whole are being met or are likely to be met. If, for example, hazard identification and risk management practices are being carried out effectively, then the chances of improving workers' health are increased
Reviewing and improving
Developing an improvement strategy means identifying the specific actions that need to be taken to meet any system shortcomings - ineffectiveness, unsuitability - and realistic ways of improving upon current levels of performance.
The review will need the attention of the OHS committee. If possible, the committee should spend time away from the workplace to listen to activity performance reports and discuss ways of improving performance. The CEO should be invited to open any workshop, to show commitment to OHS and indicate what changes or challenges face the organisation that will have an impact on OHS. Invite the CEO back to hear the outcomes. The health and safety manager can assist by gathering information on best practice in similar firms or industries, while managers and workers can be encouraged to come up with their own recommendations. Providing they are done professionally, techniques such as brainstorming and using de Bono's six hats technique can be useful. The use of external third-party facilitators can also be effective in opening people's imagination to possible improvements.
Whatever process is used, it needs to have input from management and workers before recommended changes are adopted. In many organisations these days, this consultation would occur using the intranet.
The most important point is that there should be no performance complacency as that is precisely the time things go wrong. It is important to continue to question the way things are done and find ways to do them better. The process of change and improvement never stops.
As this section has demonstrated, managing OHS information is critical to a systematic approach. The next section outlines the principles of OHS information management.
Case Study 1
THE CLUB ZERO PROJECT
Club Zero was an initiative funded by NSW WorkCover to facilitate the implementation and evaluate the effectiveness of OHS management systems in small to medium businesses in the fabricated metal product industry. The project targeted small business, as research has shown that small businesses have higher injury rates than large ones and lower legislative compliance.
The Club Zero project used a before and after design and involved two groups of 10 companies located in southwest Sydney (one group in the Ingleburn-Minto area and the other in the Bankstown-Milperra area).
The underlying principle for Club Zero is the need for small to medium businesses to be able to network in respect of OHS and reduce the time and cost involved in complying with legislative requirements and improving OHS. The project methodology involved four steps:
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1. establishment of a baseline measure of the OHSMS (or lack thereof)
2. development of industry sector-specific OHSMS guidelines
3. a six-month implementation phase
4. an audit phase using questions derived from the OHSMS guidelines for fabricated metal products.
Due to the inherent danger in working metal at high speed the fabricated metal industry is recognised as hazardous.
Jamie Clapham, the general manager of K J Clapham Metal Spinners Pty Ltd, one of the firms involved, documented Clapham's experience in a case study. It demonstrates the significant improvements made to OHS performance in a four-year period, which the owners attribute to their increased commitment to OHS, implementation of their OHSMS and participation in the Club Zero project.
So in Summary
Planned, systematic approaches to OHS pay dividends to workers and employers and enjoy widespread support from labour, industry and the government.
Occupational health and safety systems (OHSMSs) are used to provide a systematic approach to OHS in many organisations. An OHSMS is made up of linked management practices aimed at improving workplace health and safety and complying with the law. OHSMS models should be tailored to the specific needs of the organisation.
An OHSMS contains certain basic elements
OHS policy committing management
consultation
organisation of OHS responsibility, accountability and authority
planning to implement the OHS policy - its requirements and the activities needed to fulfil them
implementation of the plan by management and workers as part of their responsibilities
monitoring and evaluating the system
regularly reviewing and improving it.
Measuring OHS performance requires a combination of negative and positive indicators.
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Useful websites
The Clapham case study, which is a useful discussion of OHSMSs, can be found at <www.workcover.nsw.gov.au/Publications/pdf/ohsms.pdf>.
The National Occupational Health & Safety Commission developed guidelines for writing OHS policy. These can be found at <www.nohsc.gov.au/ohsinformation/databases/practicalguidancematerial/g /002667.htm>.
Warwick Pearse's work on the Club Zero project can be found at <www.workcover. nsw.gov.au/Publications/pdf/ohsms.pdf>.
Useful Books and Other Print Material
Australian and New Zealand standards and guidelines on occupational health and safety should be referred to in order to develop a systematic approach to OHS. AS/NZS 4804:1997, Occupational health and safety systems - General guidelines on principles, systems and supporting techniques with guidance for use together with AS/NZS 4801:2001, Occupational Health and Safety management systems - Specification.
de Bono, E. 2001, Six Thinking Hats, Penguin, Harmondsworth.
Pearse, W., Gallagher, C. & Bluff, L. (eds) 2000, Club Zero: Implementing OHS management systems i n small to medium fabricated metal product companies, proceedings of the First National Conference, Crown Content, Melbourne, pp. 83-99, is useful for a discussion of the Club Zero project. This volume contains a number of discussions of OHSMSs, including the Clapham case study.
Although audit tools are not OHSMSs, they imply a model upon which the tool is built. Jurisdictions and commercial providers have developed such audit tools, the most well known being SafetyMAP created by WorkSafe (Victoria), TriSafe (Queensland) and SABS (South Australia).
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2. Establish and maintain participative arrangements for the management of OHS
2.1 Establish and maintain participative arrangements with employees and their representatives in accordance with relevant OHS legislation
2.2 Appropriately resolve issues raised through participative arrangements and consultation
2.3 Promptly provide information about the outcomes of participation and consultation in a manner accessible to employees
2.1 Establish and maintain participative arrangements with employees and their representatives in accordance with relevant OHS legislation
The logical first step in managing health and safety risks is for top management to issue a policy statement on occupational health and safety. The policy should state that the organisation accepts responsibility for the safety and health of its employees and should set out management's goals, responsibility, accountability and participation in the safety/health function. The statement should aim to enlist the support of all employees, and should express support for OHS representatives and committees. It should not create a situation where what is said cannot (or fails to) be implemented at all organisational levels, otherwise the policy will lose credibility with the workforce.
A "team" approach between management and employees in the formulation of the policy statement will provide an opportunity for workers to relate to the statement and also help develop a relationship of mutual trust.
Content of statement of policy
1. Expression of management's objectives and intentions.
2. A set of general guidelines to the health and safety function (not to be confused with more specific procedures).
3. Acceptance of primary responsibility for the health and safety function by top management.
4. Expression of support for health and safety representatives and/or the workplace safety committee.
5. Outline of authorities and responsibilities of all employees at all levels.
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The policy must be publicised, either by distribution to employees, display on noticeboards or announcement. It is important to talk to people as well as making communications in writing. Some workers may not be attuned to attending to written communications, either because English is not their first language, or they are disadvantaged in terms of functional literacy, or they are inundated with written communications, or for some other reason. Where there are workers who do not read or speak or understand English well, it is important to provide multilingual translations or convey the information by other means, e.g. verbal explanation and demonstration.
Policies versus programs and procedures
A distinction needs to be drawn between the role of a policy (as a general statement of intention and objectives), a program (a set of detailed steps that explain how the policy is to be implemented), and procedures (which may include safety rules or work method statements for particular tasks). The OHS risk management program will describe the organisation's plans for addressing particular issues. For example, a program on hearing conservation may cover testing procedures, noise reduction and use of ear-muffs and it may be supported by a set of specific instructions.
Sample health and safety policy
See the sample health and safety policy below. This is an example of an organisation's policy, to show what items could be included. Alterations can be made to cater for each organisation's different circumstances.
In large organisations, it may be a good idea for line managers to countersign the policy, as it emphasises local responsibility and improves the status of these managers where safety and health matters are concerned.
Planning Risk Management
The planning process
To meet the overall goals of the organisation's policy, specific objectives and targets need to be established during the planning phase. This entails setting performance standards, which should cover both organisational procedures and the control of specific risks. Information arising from the planning process is therefore essential for effective implementation.
For example, in planning risk management objectives, information may be sought on current industry standards with regard to the control of specific risks in that sector. This information will be extremely useful later in indicating hazards, which should be checked for during workplace risk identification exercises. Equally, statistical information on industry accident rates may be useful in determining the priority of risks during the risk assessment phase.
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Sample OHS policy
It is this organisation's policy that each of its employees shall be provided with a safe and healthy place in which to work, and that our work practices will not compromise the health or safety of others present at the workplace, for example, contractors, visitors or other non- employees.
To achieve this policy, management will make every reasonable effort in the areas of hazard identification, risk assessment and control, as well as health preservation and promotion. These aspects of working conditions will be given top priority in company plans, procedures, programs and job instructions. In conjunction with this policy, a series of programs, procedures, and rules on specific individual health and safety matters will be prepared and issued. Health and safety at work is both an individual and shared responsibility of all employees. The following areas of responsibility are essential to the success of the policy:
1. Top management. Senior management is required to actively pursue the goals set out in the first two paragraphs of this policy through the following approaches:
(a) devising and administering a comprehensive OHS risk management program
(b) holding regular senior staff and supervisors' meetings to discuss health and safety performances, and
(c) taking effective action to provide and maintain safe and healthy working conditions for all employees and others affected by the undertaking.
2. Supervisors. Supervisors will be held accountable for working conditions under their control and for the extent of information, instruction, training and supervision given on safety and health matters to employees. They are to provide the initiative and follow- up action to maintain this policy within their own sections.
3. All employees. Employees share responsibility for their own safety and that of their co-workers and others affected by work practices. The success of safety and health program ultimately rests on the willingness of everyone to cooperate and work collectively with a "team spirit".
The workplace health and safety committee/health and safety representative shall be supported by management and employees.
Reducing work-related injury and disease, as well as related insurance costs, will permit the company to be more competitive in its industry, thus helping to safeguard jobs.
Signed ………………………………. Date ………………………………
(Chief Executive Officer)
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Elements in successful planning
To plan effectively for risk management, employers should be familiar with:
the legal duties to employees, contractors, members of the public and others who might be at risk as a result of the organisation's activities
relevant industry health and safety standards, and other OHS guidance material, such as guidance notes or safety guides
the availability of in-house health and safety advice and support
access to relevant outside services and organisations that may be able to provide advice and assistance (such as government agencies, training consultants, emergency services and statutory authorities), and
the principles of risk management.
This requires organisations to make sure they identify, and have access to up-to-date versions of all the legal and other requirements applicable to the organisation. It also requires the development and documentation of procedures to identify assess and control risks to health and safety.
Contribution to overall management
The process of deciding on the safest way to undertake the organisation's work activities expands management's understanding of the advantages and disadvantages of the various options. There are always some ways of working which are safer than others. Safe working methods must be defined before they can be followed, so risk management planning activities can raise managers' awareness of issues such as:
the benefits of developing and defining safe work procedures
prevailing health and safety risks associated with the types of plant, substances and processes existing at the workplace
current industry practice with regard to the control of risks
OHS implications of introducing new processes or production methods, and
new technology available in areas such as plant safety devices, alternative substances to currently used hazardous chemicals, personal protection and work systems (for example, automation and access control).
Prerequisites to implementation
Certain matters should be resolved during the planning process. Prior implementing a risk management program the employer should:
identify the need for information on health and safety issues and ensure that it is disseminated as required
ensure that effective methods of communication are established and used to promote safety awareness at all levels, and
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ensure that arrangements are in place (and that they are properly used) to achieve effective consultation between management and employees on health and safety issues.
The people asset
Effective management of health and safety risks requires engagement of upper management and the entire organisation. The selection of competent personnel as core participants is another critical factor. The responsibilities the health and safety manager, OHS committee, OHS representatives, management team leaders and others involved in specific tasks within process must be clearly defined during the planning process. All of these people must be provided with sufficient information and training to undertake their individual roles effectively.
The steps required to achieve objectives should be planned and the plan broken down into tasks that can be allocated to identified individuals or groups. These tasks must be matched to individual competencies and must conform to overall organisational systems and planning.
For example, an overall objective to reduce strain injuries will require many supervisors and managers in the organisation to understand the individual tasks required of staff. Their abilities and capacities in terms of workload must be matched to the tasks allocated. In addition, they must be provided with sufficient information, training and support (including time and resources) to carry out their tasks efficiently.
Setting objectives and targets
Clearly formulated objectives give the organisation a clear vision for what is to be achieved as well as a way to evaluate its OHS performance.
The objectives will depend on the program and the workplace. What is important is that the objectives chosen are measurable, rather than vague statements. Performance objectives should be based upon the "SMARTA" principle, that is, they should be specific, measurable, achievable, relevant, given a time frame, and agreed.
For example, "a better place to work" or "cleaner air in the laboratory" are not measurable objectives. Better choices would be "a 30% reduction in labour turnover within 12 months" or "reducing the concentration of compounds X, Y and Z in the laboratory atmosphere to below the National Occupational Health and Safety Commission's published exposure limits".
Where the program is one of ongoing improvement, a time frame should be specified. In some cases improved productivity, or increased safety with no loss of productivity, can form part of the objective.
While objectives state what is intended to be accomplished, targets define the performance level within a time frame. The extent to which objectives are met is then measured by performance indicators.
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For example, in an effort to eliminate or reduce back injuries or other strain or sprain injuries associated with lifting, moving or carrying loads, an organisation could adopt the following objective, target and performance indicator:
Objective: Eliminate manual handling injuries.
Target: Assess risks and introduce measures to control all manual handling risks, by [date].
Indicator: Proportion of manual handling risks assessed and for which control measures have been implemented.
Assessing results against original objectives
The reason for setting measurable objectives is to enable the outcome of a program to be assessed, and to make any changes that are shown to be necessary.
Case study 2
A hazardous substances safety program
The objectives of a hazardous substances safety program were agreed to be:
catalogue and prepare MSDSs (material safety data sheets) for all chemicals and other hazardous substances at the workplace
adequately label all chemical storages at the workplace
ensure that showers and eye-baths are available at all locations where they may be needed, and
reduce the atmospheric level of specified chemicals to below agreed levels.
Six months was set as the target time for achieving these objectives.
At the end of six months a survey of all chemicals and other hazardous substances in the workplace had been carried out, and all chemical storage had been labelled in accordance with the NOHSC's guidelines. Showers and eye-baths had been placed within easy access of all major chemical usage areas at the workplace.
Measurements of the specified chemicals showed that atmospheric levels had in fact been reduced to below internationally accepted exposure standards However, MSDSs had not been compiled for some of the chemicals that were catalogued. The reason for this was a delay in getting information from certain chemical supply companies. It was decided to put pressure on the companies to supply the necessary information, and to investigate other suppliers if information was not forthcoming within two months.
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OHS management plans
To achieve its objectives and targets, the organisation can create and use an OHS management plan. The plan is the key to the successful implementation of the OHS management system.
OHS management plans should describe the means by which the targets will be achieved. Typically, they include time frames and personnel responsible for implementing the organisation's policy.
The plan can focus on specific elements of the organisation's operations, for example, on manual handling risks, or on the design of equipment, work systems and individual jobs. Where appropriate and practical, the plan may include a consideration of production and maintenance. This may be undertaken for current or new activities, products and services.
For installations or significant modifications of work processes, the OH&S management plan may address the planning of the change, the design construction, commissioning and operation of the proposed new process. The plan should also address matters such as decommissioning of plan and disposal of substances. Procedures should be established to ensure that plans are reviewed at regular and planned intervals, and amended if necessary.
Roles and Responsibilities of Staff
This section describes the roles and responsibilities of the various types of staff involved in an organisation's OHS functions.
The use of these types of staff will depend on the organisation's own circumstances — its size, dispersion of employees, type of work, control systems for hazardous processes, quantities of dangerous materials in use, incidence of shiftwork, working conditions, proximity to outside health and medical care, and other individual aspects relevant to its style of leadership and organisational structure.
All employees at the workplace should be made aware of the various safety and health staff and the functions of each. This information should be included as part of induction training.
Who is responsible for health and safety?
The final responsibility for occupational health and safety lies with the person who is ultimately in charge of the workers, such as a CEO. Particular OHS responsibilities can be delegated, and persons held accountable.
The authority delegated to carry out health and safety responsibilities must operate in the same way as other management functions. It begins at the top level with an approved written policy statement, procedures, rules and instructions that, once issued, must have some type of performance assessment system to measure compliance and personal accountability.
To carry out the health and safety function effectively, the degree of authority delegated must equal the amount of responsibility given. For example, those who are accountable for the health and safety of
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workers in a particular area must have the authority to redesign work processes in that area. While this is relatively straightforward for organisations that employ workers on their own premises, it is more difficult when the employer is a labour hire company whose workers are hired out to other organisations.
The courts have held that in this case the employer, that is, the labour hire company, still shares responsibility for the safety of workers who are employed at other organisations. In this situation the labour hire company as well as the "host employer" are both responsible for the workers' health and safety.
Many organisations evaluate health and safety performance as one aspect of performance when considering possible promotion opportunities. Frequently, financial loss due to accidents, injuries and damage may equal or exceed the organisation's profit for the same period. Therefore it is advisable that these losses and results be included in all relevant reports, including annual reports to shareholders.
It is important to remember that the exercise of health and safety responsibilities has a flow-on effect to other aspects of the company's overall health. For example, the growth in socially responsible investment funds means that good OHS performance may represent a potential business development opportunity (or risk).
Responsibilities of top management
Senior management are responsible for an organisation's strategic planning in relation to occupational health and safety. This will mean determining the resources (finances, staff, time and access to consultants) that are to be devoted to health and safety. What constitutes adequate resources may be contentious, with employees and management expressing conflicting views. Senior management will be required to make the final decision and must take responsibility for an organisation's health and safety performance.
Other top management functions relevant to health and safety include:
determining which safety programs are to receive priority
monitoring the outcome of an organisation's health and safety programs
ensuring compliance with legislation, awards and standards .
endorsing the formulation of appropriate rules, procedures and methods for the workplace
ongoing and effective dissemination of OHS information and promotion of health and safety awareness in the workplace, and
commitment by personal example.
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Responsibilities of line managers and supervisors
Line managers and supervisors must accept as an integral part of their duties the responsibility for implementing and administering health and safety procedures at the workplace.
Supervisors/managers will have overall management responsibility for their sections, and the basic functions of planning, organising (including staffing leading and controlling apply to the safety issue. Responsibilities include the following:
overall supervision of employees to ensure the health and safety of the worker, the public and the consumer
hazard identification and assessment and control of risks
implementation of particular safety programs
on-the-job training and instruction
efforts to motivate employees to comply with safe work practices, including specific directives when giving orders
accident investigation and correct reporting
issue of and ensuring correct use and maintenance of appropriate personal protective clothing and equipment
submission of reports and recommendations/suggestions about hazard controls, workplace procedures, etc, to more senior management, when these issues are outside their scope of authority, and
decision-making regarding job design, workplace layout and (possibly) recruitment, where they have this authority.
Where the organisation has full-time health and safety staff this staff will provide a support or back-up role to managers and supervisors, but will not have the responsibility of the latter transferred to them.
The role of the human resources department
The role of a human resources department within an organisation is one of a service/advisory/strategic function, not a line management function. Frequently, the health and safety function is administered by the human resources department, where it is often one of the "extra duties" added to that function. Where this is the case, a specific time allocation must be given to enable those duties to be carried out. Otherwise, this function will be given less time due to other pressures until it becomes a function in name only. Furthermore, it should be clearly understood that the human resources department's activities in administering the health and safety function do not lessen the responsibility of line managers or supervisors, nor do they replace the requirement for employers to consult with workers.
Where the human resources department is given the task of administering or resourcing the health and safety function, some or all of the duties set out in Table10 should be performed by that department. In this situation it will be worthwhile to build up a list of outside contacts and sources of technical and health and safety information, as it is likely that this type of assistance will be required.
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Human resources personnel may participate in a workplace health and safety committee.
It is also appropriate for this department to be aware of the functions of occupational health and safety staff and of training available in this area. The department may be required to coordinate training for staff.
The health and safety officer or manager
Where organisations employ full-time OHS staff, these are usually known as the "health and safety officer (or manager)", or sometimes the function is performed by a "safety, health and environment manager". These designations are tending to replace "safety officer" and the narrower focus that title implies.
As can be seen from the list of the person's likely duties below, the job is mainly an administrative and advisory one (that is, a staff position). The officer/manager should report directly to top management, which takes required in a possible emergency. For example, if the supervisor were not readily available, and a dangerous situation arose in which an accident could occur, action must be taken to prevent injury and damage. Normally however, the position will have no formal authority over line managers or supervisors.
The duty statement below is a sample relating to a large public sector organisation.
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Table 10: Duty Statement
Duties of a health and safety officer/manager
1. Conducts inspections personally or in company with executives and supervising officers, specialist consultants, or health and safety representatives /committee members to ensure the observance of health and safety standards and for the purpose of discovering unsafe or unsatisfactory conditions and practices before personal injury occurs. The health and safety officer/manager should be able to identify and qualify/quantify risks of injury or disease from occupational hazards and determine possible control measures.
2. Reports any unsafe and unsatisfactory conditions, procedures or operations to the supervisor or executive in charge (note that authority to order cessation of work in a dangerous situation must receive serious consideration, particularly where there is legislative provision for the cessation of work deemed to be unsafe
3. Acts as adviser to executive and supervisory staff and employees in all matters concerning prevention of accidents, injury, hazard, disease and the promotion of health and safety. Monitors the organisation's overall safety performance in order to report this to senior management.
4. Receives and reviews all reports of accidents, incidents, injuries potential hazards or "near misses". All such reports should reach the health and safety officer as quickly as possible. Prepares reports and recommendations to management and/or safety committees/ representatives.
5. Investigates selected accidents, hazards or "near misses", as distinct from the obligatory investigation made by supervisory staff, and recommends the appropriate action to prevent a recurrence.
6. Maintains an injury record system generally in accordance with legislation and relevant standards.
7. Attends all meetings of health and safety committees, and staff meetings or conferences when health and safety matters are discussed or considered
8. Organises health and safety training of staff and employees in conjunction with executives and supervisors. Institutes health and safety promotion campaigns to create and maintain an interest in health and safety at all levels. Conducts or arranges health and safety induction courses for new employees.
9. Identifies necessary resources and is aware of the availability of specialist support advice. Where medical or nursing staff are not immediately available on the premises, ensures that first aid facilities are adequate and maintained in satisfactory condition. Also makes arrangements with ambulance, casualty and medical services to be available as required.
10. Monitors and advises — on changes to legislation and award provisions relevant to health and safety, as well as the OHS implications of changes
11. Reviews, monitors and updates health and safety manuals, rules/ procedures, etc.
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12. Encourages compliance with safe work practices through distribution of information and training resources such as websites, publications, posters, warning signs, videos, etc. This material can be either general (such as an induction handbook) or on specific topics (such as handling harmful chemicals, manual handling, etc).
13. Liaises with the organisation's insurance company or broker. This person may be involved in liaison in a workplace rehabilitation program (assisting in evaluating the effectiveness of programs, etc).
14. Stays abreast of health and safety strategies within the particular industry.
15. Carries out or organises research into safety and health matters as required by the organisation.
16. Answers enquiries from management, supervisors and employees.
17. Evaluates health and safety products and systems, and advises management on their suitability and application to the organisation.
The health and safety professional should have the training to be able to recognise most of the types of hazards that exist, and be able to learn by both studying the workplace and consulting other sources of information. Good liaison between the health and safety officer and supervisors is essential as the health and safety officer could lack the technical background of the supervisor.
The qualifications relevant for OHS officers or managers are set out in Appendix A
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OHS representatives and committees
Employee consultation is required in all Australian jurisdictions, and this is mostly done through health and safety representatives and workplace OHS committees. Through these mechanisms, employers and workers can jointly tackle OHS problems, and employees can express safety concerns to management and provide management with information which they may not otherwise obtain on potential safety problems at the workplace. Active health and safety representatives and committee members will be able to generate an interest in safety throughout the area that they represent.
Generally the legislation sets out the method of selecting a representative or committee, as well as their powers and functions.
Selection of representatives
Health and safety representatives and committees typically act for one particular group of employees. These groups will often be the various departments or geographical areas within an organisation, but they may also be chosen along other criteria such as shiftworking arrangements or commonality of the hazards faced by particular employees. In smaller organisations it may be sufficient to have only one health and safe representative.
To ensure employees' confidence in OHS representatives and committee members, and to guarantee that they remain accountable to the group, OH&S representatives and committees should be elected by those they will represent.
An appointment for a period of at least two years is desirable, because of the training necessary and the period required for individuals to familiarise themselves with their role. However, there is also some advantage in rotation of employees through the position of OHS representative, because of the experience and awareness that it creates in the employees concerned.
Involvement of unions/union delegates
An issue that arises in relation to OHS representatives and committees whether workgroups should be determined along the lines of union membership and whether union delegates should become health and safety representatives or committee members. Clearly, the health and safety of employees is a major union concern; however, health and safety issues should not become mixed up with more general employer/employee matters.
In workplaces that have poor industrial relations records, it may be best not to determine workgroups along union lines. To do so could encourage safety issues to be thought of as an extension of industrial relations issues, and may lead to an adversarial approach in relation to the safety issues that do arise.
There is no overwhelming argument either in favour of or against having union delegates as OHS representatives and committee members. In addition to the risk of merging OHS and general industrial relations issues, where one person occupies both positions, he/she may not be able to give sufficient time and energy to either. On the other hand, a good union delegate will already have the necessary negotiation and consultation skills required to succeed as a representative or committee
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member. In reality, a popular and effective union delegate is likely to be elected as a representative or committee member (if he/she wishes to take on the additional workload), whilst a poorly performing delegate will not be.
Functions and powers
The crucial functions of health and safety representatives and committees are to provide a mechanism for employers to consult employees about health and safety, to convey employee safety concerns to management and to represent employees in relation to the improvement of workplace health and safety.
In order to carry out the function of health and safety representative effectively, the following powers are regarded as essential (in each state, these powers are prescribed to a greater or lesser degree).
Rights of OHS representatives and committees
The right to know about health and safety at the workplace. This means suitable training must be given to representatives and committee members. It also means access to information that the employer has relating to potential dangers at the workplace. Representatives and committee members should be allowed to keep up to date with safety developments in the relevant area (courses, subscriptions to journals, tours of similar workplaces).
The right to inspect the workplace. It is important that representatives and committee members conduct regular inspections of the area they represent. A checklist may be useful. The right to investigate an accident or dangerous occurrence is also usually prescribed by the legislation.
The right to participate in health and safety activities. Representatives and committee members should have input into the OHS policies adopted at the workplace. They should be informed of any new equipment or processes that are being considered. The legislation may also provide a right to be present at any interview between the employer and an employee concerning a safety matter.
In some states health and safety representatives are given the power to direct employees to cease work where the workplace is considered to be unsafe, and the right to serve the employer with a provisional improvement notice where the representative considers that there is a breach of legislative requirements. In these situations the representative should first consult with the employer in an attempt to solve the problem.
The functions of workplace health and safety committees and representatives are advisory and educational, not decision-making. Management's ultimate authority, and that of supervisors, must not be undermined by the committee. Therefore, a committee can make recommendations to persons who do have the authority to implement them.
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Functions of OHS committees and representatives
These functions are:
to enable rank and file workers to take an active part in the promotion of a healthy and safe workplace
to give employees the understanding necessary to assess the feasibility of proposed risk control measures
to obtain the benefit of the great store of knowledge and experience possessed by many employees regarding health and safety aspects of the work they perform by obtaining feedback from them
to review measures taken to ensure the health and safety of persons at the workplace
to investigate matters brought to the employer's attention which a committee member or employee considers to be unsafe or a risk to health (resolution of that may involve recourse to an inspector, appointed under the relevant Act, to inspect the workplace)
to assist in the development of recording systems for incidents and hazardous situations and to promote among employees an understanding of such matters as accident causation by reviewing recent accidents.
to assist in the development of a safe working environment and safe system of work
to assist in the formulation and effective implementation of an organisation‘s overall occupational health and safety policy
to monitor measures taken to ensure the proper use, maintenance and (if necessary) replacement of protective equipment, and
to make recommendations to the employer regarding health and safety matters.
Composition of OHS committees
Ideally, the workplace health and safety committee consists of representatives of several levels of management, with at least 50% of the members be elected employee representatives. The inclusion of a senior management representative will give the committee status and authority as long as manager has the authority to make decisions. The size of the organisation along with the number of separate departments within the organisation, may determine the size of the committee. Note that a committee of more than eight or 10 people will tend to become unworkable. The legislation in most cases provides a guide to the composition of the committee, as well as the method of selecting the employee representatives.
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Training
Adequate training of health and safety representatives and committee members is crucial to their successful functioning in the role. Generally, legislation states that they must be granted time off without loss of pa) attend accredited training courses. Training courses are available through government departments, union bodies and private agencies.
An effective OHS representative or committee can help realise the benefits which are the aim of employee consultation but, conversely, there is possibility that the committee will become simply a "talkfest", rather than a forum for actually generating improvements. There is also the risk that committee will become entwined in general industrial relations issues. This can be overcome by having a strong chairperson and by setting agendas (see below).
Conducting a health and safety committee meeting
Timing of meetings should be arranged according to the organisation's own needs and workloads. They should be frequent enough to avoid an excess number of topics having to be discussed at each meeting.
A suitable time for conducting meetings could be either one hour before lunch or one hour before finishing time, thus providing an automatic time limit on meetings.
Typical duties of committee members are set out below;
1. Chairperson: arrange for meeting venue and time, review previous minutes and materials for meeting, arrange program, notify all members of above items and make other arrangements as necessary.
2. Secretary: prepare and distribute minutes, prepare agenda, forward recommendations and deal with correspondence.
3. Members: attend all health and safety meetings, report all hazards and instances of unreported injuries, accidents or near misses, contribute ideas and suggestions, work safely and endeavour to influence others, and carry out other duties as delegated.
The first aid officer
Occupational health and safety legislation generally requires employers to provide first aid facilities in their workplaces. Industrial awards may contain a similar requirement. The scale of facilities required varies with the number of employees and the type of workplace.
Employers should ensure they are familiar with the details applying in their state or territory. This information is available from OHS authorities.
First aid facilities include:
a properly stocked first aid box (as to contents, see below)
a stretcher
a shower and/or eye-bath (where chemical hazards are present), and
a first aid room (large organisations only).
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Several employees should be trained in first aid, with one of them placed in charge of first aid facilities (including stock and maintenance). Many awards prescribe a first aid allowance to be paid for performing this duty.
First aid officers should hold an appropriate (and current) certificate. First aid courses are conducted by both the Australian Red Cross and the St John Ambulance Association. The names and locations of the current first aid officers should be well publicised throughout the organisation.
Provision of first aid facilities should be regarded as a minimum requirement, even if the organisation has no other form of occupational health facilities or service.
In an organisation that has its own occupational health service, first aid facilities should still be available at appropriate locations in case of emergencies or very minor injuries that do not require the attendance of occupational health staff and to cover work times when OHS service staff are not in attendance, e.g. shiftwork, weekends.
Occupational health staff should supervise the first aid staff in charge of these facilities and oversee the maintenance and stocking of first aid boxes, etc. First aid staff should still be appointed from the shop, office, and construction site or factory floor.
Table 11: General duties of a first aid officer
1. Dispense and control items from first aid cabinet.
2. Ensure cabinet supplies are adequate.
3.
Treat minor wounds and injuries, such as applying dressings, stopping bleeding and treating burns.
4. Deal with fits/fainting.
5. Resuscitation.
6. Record accident/injury details in accident book.
7. Arrange further assistance if required.
8. Advise top management immediately of any serious or potentially serious accident for which treatment has been required.
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Contents of first aid box
Advice on first aid facilities may be obtained from state health departments. Legislation and regulations in each state should be consulted, as in some cases a list of minimum contents is set out. At the same time, there may be peculiarities of the individual work location which mean that extra items are needed. This information can be obtained from the health and safety survey.
Responsibilities of employees and other parties
Employees also have responsibilities under OHS legislation. Generally, the law requires them to take reasonable care of their own and others' health and safety, as well as to cooperate with systems established and not misuse anything provided to protect health and safety. They should also report hazards or OHS problems to their supervisors, and follow safe working procedures.
In addition, they should understand and contribute to the risk management process, by taking part in the identification and assessment of risks, and by helping to monitor the effectiveness of control measures.
Other parties with OHS roles and responsibilities include designers and manufacturers of plant (that is, machinery, equipment and appliances) to be used at work, suppliers of hazardous substances to be used at work, and people installing or erecting or dismantling workplace plant or equipment. These parties must ensure the plant or substances they design, manufacture, supply, or install are safe to use when properly used. They must also make available information about the safe use of the plant or substances they supply. For example, manufacturers of equipment must provide manuals or instructions setting out information such as maintenance required for safe use, and suppliers of workplace chemicals must make available material safety data sheets which provide specified information about precautions for safe use, first aid and other related matters.
Occupational health and safety professionals such as occupational physicians, occupational health nurses, occupational hygienists, ergonomists and others can also assist with many aspects of OHS risk management.
Other Considerations at the Planning Stage
The effect of job design
It is important to understand the potential effects of job content and job design in order to identify any risks arising from these aspects of work.
Employees may quickly lose interest in a boring, mundane, monotonous job (particularly one over which they have little control or discretion). The likely results of such situations are dissatisfaction with a job and alienation. This in turn may lead to consequences such as lack of attention, tiredness, daydreaming/distraction, lack of care, errors and even sabotage. The adverse effects on safety, costs and productivity are obvious, and they can be compounded by other unsafe or unhealthy aspects of the working conditions.
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Many factors may contribute to unsatisfactory job design and content, including:
lack of control over the job, a particular problem with assembly-line situations and where technological enhancement results in "de- skilling" and/or where the operator has to meet the pace set by the new technology
inability to use potential and initiative
lack of "relevance" of work — the worker is unable to see the point of the work or its end product
lack of variety in work tasks, a problem that can often be overcome by introducing job rotation
a mismatch between job needs and opportunities with individual ability, skills and aspirations
social isolation, and,
lack of feedback and recognition on the job.
Basically, these add up to a conflict between the needs of the employee and the needs of the organisation and may result simply from an unimaginative approach, or through management being unaware of potential problems. Consultation with employees through health and safety representatives or health and safety workplace committees on matters such as the implementation of changes may obviate many such problems.
When designing jobs and allocating employees to them, attempts should be made to align individual and job needs as much as possible. Popular techniques include job enlargement and enrichment schemes, attitude surveys, forms of employee participation in decision making, quality circles and the use of autonomous or semi-autonomous workgroups. Remember that the more interested and satisfied an employee is with the job, the more chance there is that the job will be performed efficiently and safely.
Ergonomics
Ergonomics may be defined as the scientific study of the physical relationship between people, the equipment they use and their general environment. As an applied science, ergonomics is involved with the design of equipment and working environments that enable the best use of human capabilities without exceeding human limitations.
Ergonomics can be critically important for preventing back injuries and other musculoskeletal disorders to recognise the impact of ergonomics on workers' wellbeing. For example, the managing the risk of back injuries and other strains and sprains, as well as overuse injuries.
As indicated by the definition, ergonomics covers a wide range of workplace aspects — especially location, comfort, layout and ease of use. In any health and safety survey the layout of each workplace should be considered. The employees concerned can usually provide information on aspects of design or layout which are not user-friendly.
As ergonomics is a very complex science, it is advisable to seek expert advice when purchasing or installing new equipment, instituting new work processes or changing the workplace layout.
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Personal observation of and interviews with employees prior to introducing change or purchasing new equipment provides useful information to highlight deficiencies — a health and safety representative and/or committee provides a mechanism for consultation for such purposes.
Catering for employees with disabilities
An important part of health and safety is to ensure that the workplace is safe and convenient for any current physically disabled employees (or suitable for future ones). This refers to a wide range of disabilities and is a consideration that may become more relevant with an increasing emphasis on the rehabilitation of employees. As what will be required varies according to the circumstances of each individual, it is only possible to provide general guidelines on what needs to be considered.
Important information to be aware of includes state building regulations and AS 1428: Design for access and mobility.
Items to be considered include:
building layout — parking, ramp entrances, doors, lifts, washrooms, level entrances and adjacent floor levels
work layout — desks, shelves, drawers, chair adjustment, work- benches, and
work equipment — a wide range of equipment specially designed for disabled people (such as those with sight disabilities or limb amputations) is available.
Advice is available from manufacturers of equipment and organisations involved with disabled people. It can also be helpful to consult the employee, who is in a very good position to know what he/she can and cannot do, and what assistance is needed.
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2.2 Appropriately resolve issues raised through participative arrangements and consultation
Consultation, in which everyone's knowledge and cooperation is required, is critical to the success of occupational health and safety. Consultation,' a form of employee participation in decision making, is also termed `industrial democracy'. Governments have run hot and cold on industrial democracy as it appears to challenge managerial prerogatives, but governments have also recognised the clear dividends that come from OHS consultation and so, on health and safety issues, have made it a legal requirement for employers to consult with their employees.
Formal consultation is only part of the picture; informal, day-to-day consultation in its broadest form should be standard management practice. In an important sense, formal consultative arrangements are there to see that information sharing and clear communication are genuine and two-way so that decision making in general is improved. Consultation outside these formal requirements needs to occur as part of day-to-day operations provided everyone is trained to deal with the issue and has sufficient information and equipment to do so. Informal consultation can include employee meetings, gathering input for safety audits, hazard identification and risk assessment processes, communicating hazard alerts, carrying out surveys using checklists, holding tool-box meetings, sending intranet emails and requesting feedback on procedures.
Formal consultation is there to ensure that such day-to-day operations promote health and safety and do not endanger workers. Formal consultation, especially, in larger organisations, is designed to overcome the shortcomings of a suggestionbox approach and an open-door policy. Formal consultation reinforces a systematic approach to health and safety.
Finally, consultation over OHS is an important step towards industrial democracy, giving workers a say over matters that affect their lives. In challenging traditional managerial prerogatives, it provides a model for reviewing how organisations and society can be managed in a more democratic way.
In this section, we explain what formal consultation requires, its benefits, the roles and responsibilities of committee members and representatives, the conditions for it to be effective and how to monitor, evaluate and review OHS consultation.
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Case Study 3:
Danum Engineering: A healthier, safer future
The following story illustrates the benefits of consultation. It is based on one of a number of studies done by the then Worksafe Australia (NOHSC) in 1991.
Danum Engineering set up as a toolmaking operation at North Shore, Geelong, in 1957. Still at the same location, the company has expanded into fabrication and erection, plant installation and maintenance, shutdown and maintenance labour, mechanical contracting, hire labour and machining work.
Danum now has two other permanent worksites, the Corio Shell Refinery and Point Henry Alcoa plant, as well as temporary locations. Of its 66 employees, 11 are in administration; all tradespeople are male. Danum's workers are covered by the Metals and Engineering Workers' Union and the Federation of Industrial, Manufacturing and Engineering Employees.
Taking control
Ten years ago Danum Engineering was facing a depressed market and high Workcare premiums. Today the market is just as tight - but not Danum's profits. The mechanical contracting company from Victoria drastically reformed its occupational health and safety (OHS) practices and now it's a better place to work, is more competitive and more profitable.
If we were still paying the levels of premium for workers' compensation that we were 10 years ago we may not be in business.
- Company director
It took Danum, a family-owned company, 10 years of commitment to get it right. Danum's company director, managers and workers designed an OHS plan that built safety into the company's priorities.
The whole process [OHS reform] has helped in all areas, it hasn't just helped in safety. It's helped in understanding each other better; in industrial relations, in quality, in meeting deadlines, in all aspects of our business.
- Company director
Danum hasn't had a serious lost time injury for more than 16 months, while the average for similar companies is five per year. But it wasn't always like that.
THEN - There was a division between them and us
Every time there might have been an incident or an accident or whatever, it was either management blaming the guy - it's his fault that he's done it - or guys on the floor blaming management because they contributed to it.
- Site manager
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NOW - Health and safety belongs to everyone
Safety committee- consists mainly of employees, who oversee safety policy and practices throughout the company. If something can be done more safely the safety committee will see that it happens.
Safety effort recognition scheme-teams made up of tradespeople, supervisors and office staff work together in the scheme. The team with no accidents after six months wins a trophy for their favourite charity.
Final straw
'OHS' was one of the buzz terms of the 1980s. New legislation was in the wind and people were starting to take safety seriously. Yes, in 1986 at Danum, there was one serious accident for every five shop floor workers. Because of the company's poor OHS performance, Workcare premiums were skyrocketing, morale was low and lost time was affecting production.
A worker at a nearby site was killed on the job. Soon after, one of Danum's cherry pickers hit overhead power lines. It was pure luck the driver wasn't killed or seriously injured, but he could have been. And that's when Danum started to take safety more seriously.
We felt we couldn't keep going the way we were going.
- Company director
THEN - `[If] someone had an accident, oh well, bad luck. Patch it up and get on with the work.'
- Company director
Their reaction was, 'Say a little prayer and thank God no one died.'
- Shop steward
NOW - It's OHS practices that prevent accidents and health problems.
A safety action plan is drawn up each year. It maintains existing effective strategies and outlines new ideas, training courses and ways of measuring Danum's OHS performance.
Job start Every working day begins with a meeting. Hazards, risks and precautions are discussed before anyone opens their tool box.
Job task analysis: Safety when doing large or unusual jobs is not left to chance. Everyone involved sits down to talk through the risks. This way risks are identified and controlled.
Training and safety days are set aside to increase tradespeople, administrative staff and management's OHS knowledge and skills.
Long road ahead
The time for change had come; however, Danum realised that, if change was ever going to happen, both management and staff had to be involved and committed. They brought everyone together to talk about safer work practices.
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Give your employees plenty of scope ... give them the chance to put plenty of input and they'll get right behind it.
- Shop steward
The company invested time, effort and money in the changes. A safety committee was set up, safety gear bought, new ways of doing things were tested and a safety management plan (SMP) developed.
This SMP is now the blueprint for all work practices at Danum's sites. Ten years down the track new employees, old hands, managers and workers are committed to following comprehensive OHS practices.
The objective is to talk about safety at 7.30 in the morning, before you open your tool box ... the same [as putting] on their safety boots or overalls.
- Site manager
Safety is a part of every manager, supervisor and employee's routine.
THEN - No one kept statistics on injuries, so nobody had any idea how poor safety standards were affecting the company.
NOW - Consultation and communication happens at every level.
Injury statistics are converted into graphs, displayed on noticeboards and discussed. This way it's easy to see safety trends over time.
Safety newsflash bulletins are posted on noticeboards to alert workers to onsite risks and notify of accidents at other sites.
A monthly newsletter is distributed in pay packets. In this way, everyone is assured of being able to keep up with safety achievements and problems.
Trying times
But there's no gain without pain. At first there was suspicion between workers and management. Neither side trusted the other's motives.
Anything like that, in the early stages there's always a bit of mistrust - what are they after and are they fair dinkum about it? We've found once things got rolling and issues came up and they were rectified and improved, that the sincerity was there.
- Company director
Initially, Danum's new work practices cost them business. They couldn't compete with companies who were taking shortcuts with OHS, but they held their ground.
Eventually, Danum's high standards have become a competitive advantage.
It makes us a lot more competitive, a lot more viable and a lot more attractive to our clients. Clients want to deal with companies that have a good safety record and good performance ... we're a lot more marketable.
- Company director
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THEN - Production was all that mattered
Getting the job done, getting it done when the client wanted it done, and safety wasn't considered.
- Company director
NOW - Production and safety go hand in hand
The safety managementp/an is the company's code of practice. The plan is implemented on a day-to-day basis by everyone.
Safety manual Everyone has one, written by, and for, Danum employees. Secrets of success
Danum wouldn't be where it is today if management and staff hadn't worked together. Everyone has to be committed to making their workplace safer.
We've created a culture where people aren't scared to tell the boss they've slipped over and hurt their back, because they know that it'll be investigated and possibly it'll prevent one of their mates from slipping over and hurting their back.
- Company director
Changes weren't made without consultation. There was no need to rush into things. Danum realised it was a learning process for everyone and that it takes time.
From the beginning everyone talked about OHS. It was a real issue, not just a bulletin on a noticeboard. Danum continuously improves its OHS performance with a range of strategies. This keeps everyone interested and involved in the program.
There is no magic way to change poor OHS practices, but the pot of gold at the end of the (rainbow] makes it worthwhile.
It can make work a lot more enjoyable and make work easier.
- Site manager
Wake up. The world's a nice place if you're fit and healthy.
- Health and safety representative
*** National Occupational Health and Safety Commission, Worksafe Australia 1992, from the series OHS: building best practice
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What is consultation?
Consultation is information sharing and discussion with the objective of gaining greater understanding by and agreement between all parties involved in an issue. The underlying assumption of the requirement to consult is that OHS issues are best resolved through meaningful and effective consultation within the organisation.
In contrast, some consider consultation to be merely informing people in advance about, for example, an upcoming change to the workplace without letting all the people affected by the decision have a say in how that change is to be implemented. However, if there is no real intention or effort to reach agreement among all the parties concerned, this is not real consultation at all, rather, it is a warning or a notice. Consultation must be a two-way street in which employees are given the opportunity to consider the issues and have their opinions heard and valued.
Consultation is often contrasted with negotiation where negotiation is understood as a formal and often adversarial bargaining process involving representatives from management and, in the case of employees, normally, their union representatives. Normally, agreements resulting from negotiation are signed by both parties and lodged with an industrial court.
While there is usually some form of informal negotiation during consultation, the consultation under discussion here is not negotiation in the strict sense outlined above. Although union representatives may be involved and the agreements must be binding, there is no use of the formal industrial process.
Where consultation over health and safety does not result in consensus, any resulting dispute may have to be resolved in other ways, usually by submission to a third party, an expert, an inspector or an industrial court. A consultation policy should make clear how disputes are to be resolved and incorporate any legal requirements or industrial agreements (see below).
Consultation should not be seen as shifting management's legal responsibilities to the OHS committee or other consultative framework. Rather, consultation enables the parties to better exercise their duty of care while the legal duties remain unchanged.
Consultation is not restricted to employees, but applies also to contractors and labour hire. A firm using contractors must consult on the OHS issues contractors may face, for example, on the most appropriate way to remove toxic materials from the workplace or how best (and safest) to maintain hazardous plant or equipment. Similarly, principal contractors are obliged to consult with subcontractors. As a general rule, wherever and whenever you exercise control over work, you need to consult on OHS with those involved, whether they are employees, contractors or labour hire.
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What are the benefits of consultation?
Consultation is not simply a legal requirement; it is also a means of improving decision making and, as a result, health and safety.
1. Consultation provides an opportunity for finding better solutions to workplace health and safety issues using the experience and knowledge of the workforce.
2. With the improved understanding brought about by consultation comes a greater commitment to OHS. As a result, implementation becomes easier.
3. Consulting improves morale and industrial relations by showing concern for all parties involved in the process.
4. Consulting provides a model and the skills for addressing other operational and industrial matters.
5. With better health and safety and improved industrial relations, there is the real potential for increases in productivity.
There are costs, such as time and energy, and some usually minor financial costs involved in consultation, which are clearly offset by the benefits of well-managed consultation.
Case Study 4:
South Australia's Review of Consultation (2001)
The following is an overview of the of the findings from a review of OHS consultation in South Australia. The review also summarises the findings into what promotes effective consultation and what are the barriers.
First and foremost, the review found that effective OHSW workplace consultative and participative arrangements lead to improved OHSW as determined by the cost of workers' compensation. Broadly speaking, the rate of workers' compensation claims incidence for companies with HSRs and/or Health and Safety Committees is higher than for those without them as indicated by aggregated WorkCover data. The focus groups and consultative workshop indicated that the higher reporting rate was possibly due to a greater OHSW awareness that HSRs and Health and Safety Committees give to both management and employees. Employees in organisations with formal consultative processes in place tend to believe that they have someone to go to and that reporting injuries and illness is acceptable and non-threatening. Management and workers understand employees' rights, and there are better reporting mechanisms. Together these result in an increase in injury and illness reporting. Participants in the review suggested that organisations with poor consultative mechanisms might experience under-reporting of claims.
On the other hand, aggregated WorkCover data indicates that the cost of injuries in workplaces with HSRs/Health and Safety Committees is lower than in those without such arrangements. The survey, focus groups and consultative workshop indicate that this is due to a combination of factors. Firstly, that preventative mechanisms are likely to be more effective in these organisations and secondly, that injuries
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and illnesses are likely to be reported early and acted upon before they become intractable.
As one of the roles of Health and Safety Committees is overseeing rehabilitation - getting ill or injured workers back on the job - the cost of injury and illness is lessened as a result. Improved morale, a workplace where people feel 'cared about' and improvements in productivity were also identified as advantages of effective OHSW consultation and participation. Productivity improvements were seen to arise from OHSW consultation because practical solutions to problems could be found through this mechanism. People also identified that they took their OHSW knowledge and applied it away from the workplace; in their homes and leisure activities. This was seen to reinforce a positive attitude to OHSW in the workplace.
** Working Together. A review of the effectiveness of the health and safety representative and workplace health and safety committee system in South Australia, WorkCover Corporation, 2001
When is consultation required?
Consultation is typically required in the following instances:
when risks are to be assessed or assessments are being reviewed
when decisions are to be made on control measures
when monitoring procedures are to be introduced or altered
when decisions are to be made about the adequacy of facilities
when changes are being proposed to premises, systems of work or to plant or substances used for work
when decisions are to be made about the consultative procedures.
How is consultation organised?
Depending on the particular legislation, consultation may be achieved through
elected OHS representatives
a committee established jointly by the employer and employees
other agreements made by the employer and employees
any combination of these.
OHS representatives
An employee who is a workplace health and safety representative has an additional role to his or her normal work responsibilities, which is to represent the OHS interests of fellow employees to the employer. Through their representatives, employees can participate in decisions concerning OHS in the workplace.
The basic structure for a system of participation via workplace OHS representatives is one representative for each group of employees. Procedures for determining the number of groups needed in the workplace to ensure that everyone's interests are adequately represented may be guided by legislation. As well, there is usually
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provision for the election of deputies to act in the absence of the representatives.
To ensure employees' confidence that their interests are being adequately represented and that the representative is accountable to the members of each group, the health and safety representative must be elected only by those they will represent. Some legislation imposes specific requirements on the selection of an OHS representative. In Western Australia, for example, the employee must have a certain length of experience in the workplace. There are usually specific grounds and procedures for disqualification of a person holding this position.
Under the terms of the legislation OHS representatives and/or committee members are not personally liable for acts or omissions. OHS representatives, as well as other employees, who raise a complaint in relation to health or safety, are protected from discrimination or dismissal arising from their activities as representatives or committee members.
Three essential rights are promoted to ensure the effectiveness of the role of the OHS representative. They are
the right to know about risks in the work environment
the right to participate in the day-to-day identification, assessment and control of risks
the right to refuse unsafe work, that is, to refuse to work in conditions known or believed to be unusually dangerous, without fear of repercussion.
Rights and duties
Generally, the rights of OHS representatives include permission to
conduct workplace inspections
accompany an inspector on an inspection
require an employer to establish an OHS committee (in some jurisdictions)
be present at interviews between an inspector and an employee on OHS matters.
The employer will generally be required to
permit access to certain categories of information
consult with the representative on certain matters
permit the representative to take time off work to undertake relevant training
provide such facilities and assistance as are necessary to enable the representative to carry out the relevant functions and duties.
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2.3 Promptly provide information about the outcomes of participation and consultation in a manner accessible to employees
OHS Committees
The main purpose of an OHS committee is to make recommendations to the employer about health and safety matters that affect the people in the committee members' workplace. In establishing a committee, legislation may dictate its composition, method of election and roles and responsibilities.
In some jurisdictions, such as Victoria, Queensland, South Autralia and the Commonwealth, employers must take steps to set up an OHS committee if requested to do so by an OHS representative. The time in which this must take place is also usually specified.
Consultation policy and principles
To lay the framework, a policy statement needs to be developed that indicates the commitment to consultation and which contains matters such as
a simple definition or understanding of what consultation is
the purpose and goals of consultation on OHS
when it should occur
when changes affecting health and safety are proposed
throughout the course of risk management
when facilities for the welfare of workers are being decided
the principles governing consultation
how consultation will occur
reviewing consultation.
As a general framework document, the policy statement should not go into the specific procedures of consultation, but it should have enough detail for everyone to understand the implications. It should be signed by the head of the organisation to indicate management's commitment to the policy statement. Normally, the policy statement is a one page document and, once signed, is displayed in an appropriate location at the worksite. The OHS committee should review the policy annually.
Consultation might cover commercially sensitive information, for example, new product lines or proposed acquisitions. Management must have the trust and agreement of everyone that such matters remain confidential. Specific agreements may need to be struck to cover commercial-in-confidence or other sensitive matters, such as individual privacy. The policy statement may refer to the need for such confidentiality.
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How the consultation is organised and the procedures governing it should be first set by the goals of OHS consultation - what, precisely, do you want to achieve? - and then, by examining the
size and structure of the organisation - is it local, national, multinational, statebased?
the ownership of the organisation - public, private, not-for-profit?
industry or industries involved
the work carried out - what kind of processes, products and services are involved and, hence, what are the issues?
work organisation - nine to five, shift, central office, depots, warehouses?
nature of the workforce - what are the male:female and blue- collar:white collar ratios, high:low literacy levels? is the workplace unionised?
As far as possible, committee composition ought to reflect the broad workforce - males and females, white-collar and blue-collar - with management representatives being in the minority. In this way, the committee hears as much as possible of the issues affecting everyone, people can see their face at the committee level and broad consensus can be better achieved.
To enable everyone to feel that this is a genuine form of industrial democracy the chair of the committee should be an employee representative. In some jurisdictions, this is a legal requirement. For the same reason, the chair ought to be rotated regularly or at the minimum a limited term should be set.
Procedures such as the scheduling of meetings, due notification periods, leave arrangements, training and resourcing may also be spelt out. If there are other consultative or negotiating forums, such as a works council or industrial democracy committee, then the relation of the OHS committee to these organisations needs to be made clear.
The health and safety manager is the main administrative support for the formal consultation, usually organising the meetings, calling for agenda items and drafting the agenda, providing background papers, taking minutes and reporting to the senior management team.
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Table 12: Checklist: How To Conduct an OHS Committee Meeting
The minutes of the last meeting are reviewed and approved as an accurate record, or amended as necessary.
The meeting hears a report back on any matters listed for action in the minutes of the last meeting.
The meeting works through the agenda in a business-like fashion. Avoid getting bogged down on minor points (which may be able to be addressed outside the meeting with a report back to the OHS committee) and sidetracked by issues not on the agenda (the OHS committee can consider these issues in general business or at the next meeting, as agreed).
DURING THE MEETING
All OHS committee members need to
focus on resolving problems by considering the appropriate recommendations to put to management
support the chairperson by ensuring that the meeting keeps on track and doesn't get bogged down.
AT THE END OF THE MEETING
All OHS committee members must be responsible for the following.
Ensure that there are clear outcomes from the meeting. Establish action items and responsibilities. (What has been decided? Who is going to follow through on the decision? When will that happen?)
Agree on a date and place for the next meeting.
Spend a few minutes evaluating the meeting. (Did the meeting follow the set down agenda? Was the desired outcome achieved? Are there clear action items and responsibilities?)
AFTER THE MEETING
The chairperson, with the assistance of the employer and/or other OHS committee members as appropriate, should ensure that
minutes of the meeting are written up
people responsible for actioning items are clear on what the OHS committee expects them to do
the meeting minutes are distributed to OHS committee members
the meeting minutes are displayed in the workplace where employees are likely to see them (if an employer has remote locations, it is still important to keep employees notified).
NSW WorkCover Code of Practice on OHS Consultation, 2001, Schedule 2
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Dispute resolution
The role of committees and reps in resolving disputes is especially useful for the health and safety manager. Apart from reducing the potential workload, it is the most effective way of resolving problems at the earliest stage; that is, as long as everyone is properly trained, skilled and committed to the procedures.
A sample dispute resolution procedure is outlined in the diagram below, in which the role of the committee and the H&S rep are identified. In addition to making clear the steps to be taken, it enables problems to be solved at the workplace level as far as possible, freeing the OHS committee to focus on the larger problems.
Table 13: Sample dispute resolution procedure
Problem is identified by worker and reported to manager/supervisor
Problem is identified by worker and reported to manager/supervisor
Problem is not resolved
Worker reports problem to OHS rep who takes it up with manager/supervisor and then, if necessary, senior management.
OHS rep reports problem to OHS committee
Problem is not resolved
Problem is not resolved
OHS committee calls in third party – inspector, expert – to adjudicate
Problem is resolved
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If the procedure is followed and the problem remains unresolved, it could become a matter for the industrial courts. While severe, this would be an extremely rare occasion.
Too small?
If the business is not large enough to have a health and safety committee, the requirement to consult with employees can be shown using other methods, such as
gaining agreement on health and safety issues with employees
receiving union endorsement for policies
issuing agenda items prior to holding regular meetings
holding and documenting regular meetings
notifying employees of OHS matters, discussing them and minuting the talks.
Employer's support
Fundamentally, the effectiveness of a committee will depend on the support it receives from the employer. Indicators of support would include
demonstrated commitment and support from senior and middle management
consultative arrangements are established and budgeted for
management representatives having the power to make decisions and valuing the opinions of others
provision of administrative support, for example, secretarial support
sharing of information in a timely fashion
provision of appropriate time off and support to reps in order that they may carry out their functions as reps and responsibilities as employees
availability of requisite training for consultation and specific OHS matters, for example, hazard identification and risk assessment
prompt implementation of decisions, and as agreed
promotion of the committee's activities throughout the organisation
access to facilities, such as meeting rooms and support resources.
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Consultation Training
OHS consultation training focuses on
how to ensure effective and meaningful consultation
how to systematically manage health and safety.
The law and regulations provide details on training that must be provided to OHS committee members and representatives. The training must be undertaken as soon as possible after the election of committees
or representatives. The employer must consult about the arrangements for training of OHS committees and representatives (and members in other agreed arrangements), with regard to
training needs
when training will occur
who should deliver training
how the training will be delivered (that is, should all members and representatives be trained together).
When deciding whether workers who have previously undertaken approved training need to undertake training again, you should consider
how long ago the training was undertaken
legislative changes that have occurred since the original training
differences between the learning outcomes of the original training course and the current required outcomes.
Training must be provided by suitably accredited trainers.
The description of the topics, learning aims and participant learning outcomes are usually defined in the regulations or code of practice and must be covered in the training.
Information Sharing
Special attention needs to be paid to any barriers to individuals or groups seeking OHS information and data or to raising identified issues. These may include language, literacy and numeracy, employees' special needs, such as caring responsibilities, shift work and rostering arrangements, contractual arrangements, timing of information provision, workplace organisational structures (for example, geographic, hierarchical) and workplace culture related to OHS. Management needs to be prepared to make recommendations that will address any identified barriers, such as the timing and venue of meetings, tailored training and the adoption of culturally sensitive protocols.
The OHS committee should be marketed internally, as should the procedures necessary to raise OHS issues or request information.
The committee must identify exactly what it needs to achieve its goals - what kind of information, data, reports, records, documents are needed and in what format. Nowadays and in most organisations, much of this information - policies and procedures, the OHS program, health and safety information, safe operating procedures, hazard reports, risk analyses, controls, manufacturers' manuals and specifications - can be put on the local intranet.
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If the intranet is not available, alternative methods of communicating on OHS would be suitable, including regular face-to-face meetings, interviews, noticeboards, signs, posters, brochures, letters, memos, reports, photographs, maps, plans, audiovisual methods, such as videos, CDs and newsletters. The value of the content and method of communicating on OHS will need to be reviewed on a regular basis. Clearly, the amount of consultation will need to be measured against other job requirements.
Above all, a sense of trust and mutual respect must be produced through the consultative process.
Monitoring, evaluating and reviewing consultation
A method of monitoring, reviewing and evaluating the consultative arrangements needs to be agreed on and needs to be done against the goals of consultation as set out in the policy or constitution for the committee. Criteria could include
active participation by all
level of informed discussion
quality of information sharing
timely implementation of decisions, which could be used as indicators.
Input could include anecdotal and structured feedback from the workplace and management. A survey of a representative portion of management and employees could be used. A half-yearly review and an end of year review may be conducted, perhaps using an external facilitator or consultant for the purpose.
The results of the review should be communicated to the workforce together with any recommended changes.
Effective consultation begins with the development and implementation of a systematic approach to OHS in the workplace. We will turn our attention to this third element of the OHS model in the next section.
Summary
Consultation is information sharing and discussion carried out with the objective of achieving greater understanding and agreement. Consultation over health and safety is, then, critical to its success as decisions must be built on the experience, knowledge and commitment of everyone involved.
The law requires employers to consult on OHS and specifies when such consultation should occur.
The law sets out the arrangements for consultation and the procedures for setting them up, such as the election of health and safety representatives.
Rights and duties for health and safety representatives are specified in the law.
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The effectiveness of consultation relies heavily on the commitment of management to its success.
Monitoring, evaluating and review processes need to be carried out.
Useful websites
As the specific requirements for consultation vary from jurisdiction to jurisdiction, referral to the authorities' website for information is needed. For example, the powers of the health and safety representatives have been increased in some jurisdictions to issue stop-work orders under certain circumstances. The codes of practice and guidance material will walk you through the specific legal requirements.
There are several practical applications of successful consultation in OHS. See, for example, Best Practice Studies on the ASCC website at <www.nohsc.gov.au/>.
Useful Books and Other Print Material
Bohle, P. & Quinlan, M. 2000, Managing Occupational Health and Safety (see especially section 10), Macmillan, Melbourne.
Markey, R. et al. (eds) 2001, Models of Employee Participation in a Changing Global Environment: diversity and interaction, Aldershot, Ashgate. A useful starting point on the many books and articles on this topic is this collection by Australian historian Ray Markey.
Sheriff, B. 2003, `Workplace OHS consultation: legal and practical issues', in Australian Master OHS and Environmental Guide, CCH, Sydney; see also Y. Berger, `Working communications' in this title.
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3. Establish and maintain procedures for identifying hazards, and assessing and controlling risks
3.1 Develop procedures for ongoing hazard identification, and assessment and control of associated risks
3.2
Include hazard identification at the planning, design and evaluation stages of any change in the workplace to ensure that new hazards are not created by the proposed changes
3.3 Develop and maintain procedures for selection and implementation of risk control measures in accordance with the hierarchy of control
3.4
Identify inadequacies in existing risk control measures in accordance with the hierarchy of control and promptly provide resources to enable implementation of new measures
3.5 Identify intervention points for expert OHS advice
3.1 Develop procedures for ongoing hazard identification, and
assessment and control of associated risks
Employers must make sure that their workplaces are free from hazards that could cause injury or illness to their employees or to other people in the workplace, such as customers or visitors. The law requires employers to use a risk management approach to ensure that their workplaces are safe for everyone who enters there.
The 'hazard' is the dangerous situation. The 'risk' is the likelihood and consequence of the hazard affecting people and property.
`Risk management' is the term given to the systematic identification of hazards, the assessment of risks posed by the hazards and the control of those risks, either by eliminating the hazard entirely or by minimising the risk.
Managing risk is proactive in that it tries to prevent injury from occurring by dealing with hazards before they can cause any harm. It also applies to future as well as current arrangements. Whenever changes to the workplace are proposed or whenever new information on work processes comes to light, the risks to health and safety must be identified and managed. It is an approach that is used widely in OHS law.
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WESTERN AUSTRALIA
3.1 Identification of hazards, and assessing and addressing risks, at workplaces
A person who, at a workplace, is an employer, the main contractor, a self-employed person, a person having control of the workplace or a person having control of access to the workplace must, as far as practicable
(a) identify each hazard to which a person at the workplace is likely to be exposed;
(b) assess the risk of injury or harm to a person resulting from each hazard, if any, identified under paragraph (a); and
(c) consider the means by which the risk may be reduced.
WA Occupational Safety and Health Regulations, 1996
Risk management, then, is a core element of any OHS program together with other activities such as training, health promotion and injury management. As part of the OHS program, it forms a central element of the larger OHS management system.3 OHS risk management should be part of the day-to-day risk management that organisations use to deal with potential deviations from planned activities, such as IT backup, preventative maintenance, plant and equipment testing and business continuity planning.
Managing OHS risk is made up of five basic steps:
1. establishing the context - determining the boundaries, the criteria or the standards
2. identifying the hazards - what could go wrong and how
3. assessing the risks - what is the likelihood and what are the consequences (what are the priorities)
4. controlling the risks - eliminating or minimising the risk
5. monitoring and reviewing.
In this section we look at these five basic steps in more detail, using Australian Standard AS/NZS 3360:2004 Risk Management as the basis.`' The following fictitious case study is used to illustrate the steps.
Case Study 4
Handy Foundry
Handy Foundry has been operating as a family business since 1974. The business employs approximately 80 people in the manufacturing and marketing of ferrous castings, the bulk of which are for automotive and transmission use. All the workers in manufacturing are labour hire.
At the dressing room or shotblast area, a labourer is required to load, by hand only, a ball mill with ferrous castings, principally disk brakes, for discharge to a cleaner where they are deburred, removed of sand and sorted into bins.
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This is done from a standing position but requires some reaching, bending over into the container to pick up the disk brakes and carrying to the ball mill where they are thrown into the input feed of the mill. The disk brakes are loaded individually in loads of 40 at a time over approximately 12-minute cycles. The minimum weight is 4 kilograms, the maximum 13.5 kilograms. There are approximately three to four loads per hour. The standard day is eight hours and overtime is worked from time to time.
The process is batch operated, while the system of work and plant layout are open ended, thereby allowing a variation in duties, capacity to split into rest periods and share responsibilities.
Establishing the Context
To begin, a risk management plan needs to be developed that identifies the purpose, principles, scope, people involved, their roles and the implementation schedule.
It cannot be emphasised too much that the planning and subsequent activities need to be carried out in consultation with workers and their representatives as well as with the managers and supervisors.
An important aspect of the plan will be the standards or criteria to be used to assess risk and determine controls and there are legal requirements, such as the regulations dealing with specific hazards - noise, manual handling, confined spaces, hazardous substances, working from heights, etc. - to be taken into consideration
Antidiscrimination law and policy must also be respected to ensure that the workplace is safe for and accommodating to all. Examples include machine guards that workers of differing height and size are capable of operating, signage must be suitable for people of various backgrounds and appropriate workstations, access and egress need to be available for people with disabilities. Ensuring that OHS risk management meets the needs of everyone in the workplace is made much easier by consulting directly with workers who are affected. Again, in OHS, effective communication is just as important as technical knowledge.
There may also be corporate requirements that set higher standards or address operational hazards in more detail than the law does, which may occur, for example, in a factory using good manufacturing practice (GMP) standards. If you have a quality assurance program, consult the program directors to see whether the standards or criteria are going to have an impact on OHS.
Finally, there are judgements regarding high, medium and low risk and tolerable risk that need criteria to guide them. Definitions and examples of what these mean should be agreed upon by all parties concerned and clearly set out in the documentation.
Once these judgements are made, the organisation should then be grouped into workplaces for risk management purposes, usually locations or functional groups, for example, purchasing, maintenance. This provides boundaries and helps to identify individual activities. In addition, some workplaces, say, a quarry, will be more risky than others, say, the accounts department, so establishing context is important before planning and setting priorities.
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As part of the planning process for implementing risk management, managers, supervisors and health and safety representatives will need to be trained beforehand in the risk management process and the use of a hazard register.
A very basic hazard register format is set out below in Table 14, which contains some hazard information related to the foundry case study.
A spreadsheet format is useful for data collection and analysis. More detailed hazard registers can be developed.
Identifying Hazards
A hazard is simply a situation that has the potential to harm people physically or psychologically. The hazards in each workplace, then, need to be located and identified. The risk is the possible outcome - the likelihood and consequence - of a person being exposed to the hazard. Risks are assessed after the hazards have been first identified.
Hazards can be grouped to assist checking.
Table 14: How to group hazards to assist checking
Physical heat, cold, noise, radiation
Chemical carcinogens, poisons, skin irritants
Ergonomic poorly designed workstations, manual handling
Biological infectious diseases, HIV
Social, psychological stressful work conditions, sexual harassment, violence, bullying
Mechanical and electrical faulty tools, machinery
General categories in the sample hazard register have been subdivided slightly.
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Table 15: Sample page from a hazard register
Hazard code: PE (plant and equipment), E (electrical), C (chemical), MH (manual handling), OOS (occupational overuse syndrome), B (biological), P (psychological), (N) noise, WE (working environment)
Severity: 1 - first aid only; 2 - reversible health effects; 3 - irreversible health effects; 4 - fatality
Probability: 1 - not within next 30 years; 2 - within next 5-30 years; 3 - within next 1-5 years; 4 - within 12 months Risk = severity x probability: high = 9-16; medium = 6-8; low = 1-4
Workplace: Foundry
Inspection date: 4.10.09 Inspector: R Atkins
process hazards potential injury severity probability risk control resp. person imp. date check
shotblast PE-guard damaged
knock/abrasion 2 3 Medium replace guard
Thomson 11.10.04 4.11.09
grinders WE-dust damaged lungs 3 3 High upgrade exhaust
Thomson 4.12.04 4.1.10
grinders E-extension cords
fall/abrasion 2 3 Medium rewire Thomson 4.11.04 11.11.09
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There are two ways of identifying hazards - desktop information collection and onsite inspection. Both are necessary. Desktop collection includes
information collected from your own organisation such as incident statistics, inspections, audits, job safety analyses (JSAs), investigation reports, compensation cases and insurance claims
information on hazards associated with the types of work conducted by your organisation.
Information can be gathered from
suppliers, for example, of hazardous substances, who must give you MSDSs that will provide you with risk management information; information can also be gathered from those who supply plant and equipment
relevant regulations, codes of practice and guidelines; under Queensland's Workplace Health and Safety Regulation 1997, for example, there are specific requirements for dealing with hazards relating to construction, hazardous substances, noise, asbestos, lead, confined spaces and others; other jurisdictions have similar requirements
health and safety authorities and other organisations such as Australian Standards and the Australian Safety and Compensation Council (ASCC); the former NOHSC produced, for example, national standards on manual handling, plant, major hazard facilities, noise, hazardous substances, dangerous goods, HIV/AIDS, hepatitis B and safe working in confined spaces, information about all of which can be found on the ASSC website (see `Useful websites' at the end of the section). Such information helps to focus your workplace hazard identification.
In the case study, the relevant desktop information might have included previous reports of injuries, inspections and audits. Jurisdictions have regulations dealing specifically with manual handling and would pick up the National Standard for Manual Handling produced by the National Occupational Health and Safety Commission and the National Code of Practice. Definitions, standards, checklists and advice are provided with these documents.
Using the hazard register form, identify the workplace, the date of inspection and the name of the person responsible for inspecting. In the columns, first list the processes, making sure that the list is complete. Consider what happens in different situations, such as maintenance, cleaning, power failures; normally, the supervisor could provide you with the details. Then, list the hazards associated with each process. To identify hazards, ask the supervisor or workers the following questions.
What can happen?
When and why?
How and why?
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You should use what desktop information you have gathered on possible hazards in the workplace to add to the list of hazards and use as question prompts.
When identifying hazards you are looking principally for immediate potential causes of injuries or illnesses. These may include inadequate controls as well as no controls at all. Workplace factors, such as inadequate training, working procedures, instruction, supervision or information to deal with the hazards may also be identified as contributing to the immediate danger.
You may then wish to confirm the completeness and accuracy of the answers by reviewing the activities making up the process and asking yourself what could go wrong. `What if (someone did X)?' or `How could people be injured?' or 'What would you warn a trainee about?'
In the case study, the principal hazard is manual handling. As with foundries, there would be a number of other hazards, such as noise, heat, fumes, dust and metal projectiles.
This can be a long process; however, before anyone signs off the list, they must be sure that the list is accurate. Workers and supervisors in the area should be able to tell you when that limit has been reached.
In most codes of practice there are checklists that can assist you with not only hazard identification, but also with the assessment of risks as well as selecting the appropriate controls.
Finally, list the potential injuries that could occur as a result of each hazard. This list of possible outcomes would occur in the course of identifying the hazards, but always double check.
The risk in the case study is that of musculoskeletal injuries - strains to the back, neck, shoulder and arms.
3.2 Include hazard identification at the planning, design and evaluation stages of any change in the workplace to ensure that new hazards are not created by the proposed changes
Assessing Risk
Having identified the hazards in the workplace, the next step is to assess the risk they pose to people. This means
1. Risk analysis
(a) gathering details on the hazard to see how it could lead to injury or disease, for example, monitoring the atmospheric contaminants to see how they could lead to illness, or identifying the movements or postures that could lead to back problems
(b) assessing how big the risk is given any existing precautions or what are termed `controls', for example, how many people, how likely they are to be affected and how badly affected.
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By analysing the risk, you are assessing the effectiveness of any controls put in place to control the hazard. A very high-risk workplace is one where things are certain to go wrong and have the severest consequences for everyone involved. A very low-risk workplace is one where things rarely go wrong and, if they did, only one or two people would require some minor first aid.
2. Risk evaluation - comparing the size of the risk with your risk criteria (for example, is it too high to tolerate or low enough not to worry about).
Note that the two steps - risk analysis and risk evaluation - are distinct. Some workplaces may have, for example, different risk criteria and standards, which means that what was tolerable in one workplace was not in another.
In analysing the size of the risk, estimates of severity (impact) and probability (likelihood) are made on the basis of
the experience of those involved
data from your organisation's experience
information you may obtain from your insurer, government agencies or industry bodies.
While hazards are being identified, estimates should also be made of what could go wrong and how likely should now be noted. Consideration needs to be made of the numbers of people expected to be exposed to the hazard together with the frequency and duration of exposure to the hazard. As numbers, frequency and duration increase, so too does risk. You should consider the types of people likely to be exposed - experienced and inexperienced employees, contractors, cleaners and visitors - as this will affect the risk assessment. Finally, your jurisdiction's OHS law, regulations and codes of practice may require you to consider factors specific to certain hazards. With excavation, for example, consideration should be made of
the fall or dislodgement of earth and rock
the instability of the excavation or any adjoining structure
the inrush or seepage of water
unplanned contact with utility services, for example, electricity cables and gas main
the placement of excavated material
falls into excavations
the movement and positioning of heavy plant and equipment affecting the excavation
ground vibration affecting the stability of the excavation
vehicle movement
excessive noise from the operation of machinery and plant
manual handling injuries
changes to excavation conditions.
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The OHS authorities have developed guidance material for assessing the risks of a wide range of hazards.
Assessing the risk tells how effective the current controls are and what factors affect the size of the risk. Knowing these factors helps in developing any necessary improvements to the controls.
Among the factors affecting the risk of injury in the case study is the position of the disk brakes in the container, which force the worker to bend over and pick them up. There are no controls to prevent injury.
The point of making estimates of the size of the risk is not to make precise scientific calculations, but to determine priorities and assess the time, money and effort needed to manage the risk. In the example of the hazard register above, numbers have been assigned to rate severity and probability on a range of 1 to 4. Severity is rated using the nature of the injury and probability on the estimate of how soon one could expect the incident or injury to occur.
To estimate the likelihood or probability, you may prefer a simple scale of
1. highly unlikely - could happen but probably never will
2. unlikely - could happen, but only rarely
3. likely - could happen occasionally
4. very likely - could happen frequently.
The severity and probability ratings assigned to the incident or injuries are then multiplied to provide a total risk rating and ranked as `high', `medium' or `low'.
Many people like to represent the calculation in the form of a matrix with axes of probability and severity.
Table 16: Risk assessment matrix
S e
v e
ri ty
I m
p a
c t
4 Medium Medium High High
3 Low Medium High High
2 Low Low Medium Medium
1 Low Low Low Medium
1 2 3 4
Probability/likelihood
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The method used in the example is only one simple method. More sophisticated versions may be used to help assess risk and determine priorities.
In the case study, the probability of musculoskeletal or strain injury would be high (3 or 4) and the impact severe but not fatal (3), making the overall risk rating high and, based on normal criteria, an urgent priority.
At the end of the risk assessment, you have a list of those hazards that, according to your criteria or standards, need action in some order of priority. Logically, you would give priority to those with the highest rating and look at how you could control the associated risk.
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3.3 Develop and maintain procedures for selection and implementation of risk control measures in accordance with the hierarchy of control
The next step is to develop and maintain procedures for selection and implementation of risk control measures in accordance with the hierarchy of control. There is a hierarchy of controls ranked according to their effectiveness in controlling hazards at their source:
elimination
substitution, for example, less hazardous substances, better designed equipment and workstations, job redesign
isolation, for example, barriers, enclosures, remote handling, protective gates
engineering controls, for example, guards, ventilation
administrative controls, for example, reducing exposure by rotating jobs or limiting access, training
personal protective clothing and equipment, for example, hard hats, safety boots, goggles, ear muffs.
The preference is always for elimination. However, if that is not practical because alternatives are unavailable or prohibitively expensive, then other methods of reducing the risk need to be explored, beginning with substitution and following on down the hierarchy. Personal protective equipment (PPE) is the last resort and is, by itself, the least effective method. Among other reasons for this is that people find this type of equipment difficult or awkward to wear and maintain.
Specific hazards, such as lead, noise and manual handling, may have regulations governing the methods of risk control. Check with authorities. Controls can then include
physical devices, such as guards, barriers, ear muffs, alarms
policies and procedures
processes that are safer than those currently used.
Hazard controls should not impose unnecessary limitations on the employment of women, people from non-English-speaking backgrounds and those with disabilities. Rather, they should widen employment opportunities. Identifying hazards, assessing the risk and settling on controls needs to take into consideration the whole range of potential employees. Raising the issue and consulting with workers is the key here. If the job is not safe for others to do, it is probably not safe for anyone else to do either.
While the effectiveness of the control is a key consideration, the control should be commensurate with the risk, which is where cost comes in. If the risk is high, then the expense of controlling the risk is easier to justify. But as the risk reduces, then the cost in money, time and effort must suit the level of risk. There is no precise formula operating here, but instead, an understanding of what is tolerable. Industry standards tend to have a large part to play in determining whether a proposed control is insufficient, appropriate or excessive. Importantly, courts look to those standards if specific regulations do not apply. The point is that
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people and organisations are willing to tolerate some risk for the benefits that may be produced - productivity, comfort and enjoyment. People are willing to strike a balance and tolerate risk, but only if everything has been done to reduce the risk to as low as reasonably practicable.
ALARP
To understand the balance between risk and cost - money, time and effort - some have used the ALARP principle. ALARP is an acronym for 'as low as reasonably practicable', which is demonstrated in the figure below.
The width of the cone indicates the size of risk and the cone is divided into bands. When risk is close to intolerable, the expectation is that the risk will be reduced unless the cost is grossly disproportionate to the benefits gained. Where risks are close to the negligible level then action may only be taken to reduce risk where benefits exceed the costs of reduction. The concept of practicability in ALARP contains within it the ideas of practicality (Can something be done?) as well as the costs and benefits of action or inaction (Is it worth doing something in the circumstances?). These two aspects need to be balanced carefully if the risks the organisation is treating are related to an expressed or implied duty of care.
Table 19: The ALARP principle
Risk Management Guidelines Companion to AS/NZS 4360:2004, Standards Australia International, Sydney
In the case study, the preferred option is elimination by using an overhead crane that would feed steel bins of castings directly to the ball mill. Individual handling would be removed entirely.
In the interim, there may be the option of hiring a conveyor but the castings would still have to be loaded and the conveyor may not be of the required strength or size. Such an option would be described as altering or substituting the original process.
Generally intolerable
region
ALARP or tolerable region
Broadly acceptable
region
Risk cannot be accepted except in extraordinary circumstances
Drive risks towards the broadly Acceptable Region
Residual risk tolerable only if further risk reduction is impracticable
Risk reduction not likely to be required as resources likely to be grossly disproportionate to the reduction achieved
Increasing Risk
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Another temporary measure is to reduce the exposure. Workers could be rotated through the job possibly with two labourers working in tandem to take care of heavier castings. Rest breaks would be enforced and overtime allocated only to those who had not worked in the area in the previous 24 hours. Manual handling training would be given for all workers in the interim period. These would be considered administrative controls.
Finally, any changes to controls, interim or long term, need to be written into the Standard Operating Procedures.
Implementation dates for the control measures need to be specified, as does the person responsible. Dates to check the implementation also need to be recorded so that monitoring and reviewing to ensure continuous improvement can take place.
Monitoring and Reviewing
The final step is monitoring the workplace and the controls to see, first of all, that the implementation of the controls took place, that they were effective and if any follow-up action is required. Second, there is a need with any workplace to conduct regular checking and ongoing monitoring to ensure continuous improvement. It is important that both these tasks be identified as a local management responsibility, not that of the health and safety manager. The responsibilities and accountabilities, as well as any performance measures, found in the manager's job description should make this clear.
The risk management plan should be reviewed at least annually to see whether the context needs changing, the hazards have all been identified, their risk assessment is accurate and the controls are effective. Regular reviews should occur as workplaces, jobs and personnel change.
A third form of monitoring and reviewing is the conduct of an audit of the risk management program. This may be carried out as an external audit by contracting with professional health and safety auditors or internally using a team of trained auditors seconded from elsewhere within the organisation to look with fresh eyes at a different section of the business. Such audits normally focus on assessing whether the risk management system complies with corporate and legal requirements.
This last step of monitoring and reviewing is often underdone, putting the original investment of time, money and energy at risk. Records should be kept not only for monitor and review reasons but also for reporting to senior management and publicising the lessons learned within the organisation. Where OHS targets have been set for managers, such stories send a powerful message and increase commitment to effective risk management.
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Note
When reviewing risk management measures, it is useful to select some - or all - and cost them to identify the net benefit (or loss) over a certain timeframe - one or two years. Benefits could include improved productivity, reduced insurance costs, less turnover, administration and so on. The company financial officer or accountant may be able to help. Some benefits may not be capable of being quantified but as long as they can be confirmed, use them to market health and safety.
The general principles of risk management apply to a wide variety of hazards; however, each hazard has its own peculiarities. As one example, we look in the following section at managing the risk associated with plant.
So to summarise the preceding section;
Managing risks in the workplace systematically is a fundamental part of any OHS program and general organisational risk management.
Risk management forms the basis for modern OHS law. Codes of practice use a risk management framework to deal with specific hazards.
Risk management depends critically on effective consultation and communication with managers and workers at every step.
The basic steps are
identifying the context for risk management activities - the scope and standards to be used
identifying the hazards associated with each of the work processes
assessing the level of risk according to the likelihood of the hazard causing an incident and the severity if it did
controlling the risk either by eliminating it entirely or minimising it using the hierarchy of controls
monitoring and reviewing the activities to continuously improve OHS performance and successfully market OHS.
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Useful Websites
The ASCC and the former NOHSC, whose website address is <www.nohsc.gov.au/>, produced several national standards, which list includes manual handling, plant, major hazard facilities, noise, hazardous substances, dangerous goods, HIV/AIDS and hepatitis B, safe working in confined spaces and manual handling. Information about these workplace issues can be found at this website.
The UK Health and Safety Executive's `Five Steps to Risk Assessment' is another attempt to put risk management in simple terms. It can be found at <www.hse.gov.uk/risk/index.htm>.
Useful Books And Other Print Material
NSW WorkCover, Hazpak, NSW WorkCover, Sydney, is one example of a popular guide to basic risk management written to assist with compliance with basic risk management (phone order from 1300 799 003). Other government health and safety authorities have produced many valuable guides on applying risk management to OHS.
Shaw, J., Chase, R., Moore, L. & Toohey, J. 1994, `Risk assessment and management',
Occupational Health and Safety Best Management Practice, Harcourt Brace, Sydney. Standard AS/NZS Risk Management 4360:2004 and associated Guidelines produced by Standards Australia Global provide the recognised framework for risk management and is readily applicable to OHS. However, it is not an OHS standard.
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3.4 Identify inadequacies in existing risk control measures in accordance with the hierarchy of control and promptly provide resources to enable implementation of new measures
Regular monitoring and review of risk control measures provides valuable feedback for the identification of inadequacies in existing procedures. It is essential that risk control measures are audited regularly and inadequacies are addressed according to the hierarchy of controls.
Organisations need to be audited - checked regularly - to see whether their OHS management system meets required legal and corporate standards and where it may be improved. An independent professional auditor - or a team of auditors - can be hired to perform this task as an external audit. Alternatively, people trained from within the firm may do it as an internal audit. The health and safety manager may audit the organisation; however, if the safety manager is the auditor, it may be seen as a conflict of interest and not providing enough independence. Generally, it is preferable to use the fresh eyes of someone not working in the company or the division being audited.
After gathering information, usually by onsite inspections, interviewing and examining records and data, the auditors report their findings to management, provide a score and highlight areas for improvement. By evaluating the OHSMS and identifying areas for improvement, audits assist the organisation to continually improve its performance.
OHS auditing is a skill that requires proper training and considerable experience. This section provides only general information on planning an audit, documenting the plan, preparing an audit tool, gathering information, data and records, performing the audit and, finally, reporting the audit.
Auditing, Inspecting, Monitoring, Measuring, Evaluating and Reviewing
OHS auditing, inspecting, monitoring, measuring, evaluating and reviewing should not be confused.
Auditing is the process conducted to check if the required OHS system activities - training, notification of incidents, managing risk, etc. - meet the standards.
Inspecting is to look for hazards and checking the controls.
Monitoring is to observe and record over a period of time anything of relevance to health and safety.
Measuring is to gauge if goals and standards are being met.
Evaluating is to judge whether you did well.
Reviewing is to try to find ways to improve.
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Plan
Review Set
Goals
Measure and
Evaluate
Implement
OHSMS
What Is An OHS Audit?
An OHS audit is simply a regular check of the OHS system to see whether it meets legal and organisational standards. Is the organisation doing everything it is supposed to be doing as required by law and the firm's standards? An audit may be done to get a snapshot of what is going on at a particular moment, as, for example, part of a due diligence check to see if everything complies or, further, as part of a program of continuous improvement. We will assume that OHS auditing, as part of the OHSMS, is designed to help the organisation continuously improve its OHS performance.
Suitably trained internal or external auditors use an audit tool, a type of checklist, to assess whether all the required activities are there and in good working order. They gather information and data, inspect workplaces and conduct interviews, after which they prepare a report identifying those areas that comply with the standards and those that don't. For areas that don't comply, the auditors recommend actions that need to be taken and highlight any critical areas. Often, they provide a score.
The audit process may be conducted with a preliminary audit in order to prepare the organisation for a complete audit, after which, surveillance audits of special areas may be carried out.
The focus of an OHS audit is on the system used to promote health and safety. The main system elements are set out below.
Table 20: Continuous improvement
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Planning an Audit
Audits generally form part of an audit program. Depending on the nature and size of the organisation, audits are programmed over a set period - one, two, three years. The program needs to be a rolling program so that over the period the whole organisation gets audited against all the OHS system requirements.
For planning most audit programs a documented risk analysis is used. Where are the critical areas? They could be facilities, functions, business divisions, operational units or projects. Is it purchasing? The facility at Port Lincoln? The warehouse? The new bridge construction? These areas form your priorities and are audited more often than others during the period of the audit program. The program then needs to be reviewed annually as circumstances change.
TIP
If your organisation has an internal audit team to deal with other business matters, such as financial, IT, quality, environment or performance audits, contact them to see how they go about business. They should be happy to share their experience and provide advice.
The audit program, together with the documentation supporting it, then needs to be discussed with management and employees and, finally, endorsed by the OHS committee, if you have one. It may also be endorsed by a relevant board committee. Endorsement gives the auditors authority to open doors.
Individual audit plans then emerge out of the program. Plans deal with the specific areas or sites using some or all of the OHS system requirements in each case. To prepare each plan, a number of questions need to be asked.
Table 21: Questions to ask and example responses
1 Scope
What exactly are you auditing?
Which OHS system requirements are you checking - all or some?
Which parts of the organisation are you checking if the requirements are being met - all or some? Specify boundaries - space, time, function.
Safety procedures for hiring of contractors and labour-hire by human resource and purchasing departments in Tasmania and Victoria over current financial year.
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2 Objectives
Why are you auditing?
Specific outcomes.
To determine whether or not the procedures used conform to the company's policy, duty of care and specific obligations to contractors and labour-hire, and, if not, what action needs to take place.
3 Standards
What are you using to measure?
OHS legislation, Australian or international standards, standards developed by OHS authorities, industry standards, standards developed internally by the organisation or by commercial organisations.
Company policy and procedures, Victorian and Tasmanian OHS Acts, and relevant regulations and codes of practice.
4 Strategy
What do you need to do to achieve the audit objectives?
hold meetings
carry out inspections
examine documentation
conduct surveys
interview
analyse
provide findings
corroborate
Two 3-day site visits at the Victorian and Tasmanian regional offices to
hold meetings with regional director, finance and human resource managers examine the contracts and procedures for tendering
meet local supervisors at four representative sites where contractors and labour hire are used interview a small sample of contractors and labour hire analyse and prepare a report.
5 Requirements
What do you need to complete the audit?
Management system documentation, including policies and procedures, position descriptions and duty statements
Documented or online company policy and procedures, relevant OHS Acts, regulations and codes of practice.
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5 Requirements (continued)
Operational documentation, including completed forms, schedules, checklists, log books, minutes of meetings, action plans, maintenance reports and health surveillance records, training materials and records.
Information and data should include changes since last audit, such as any new equipment, processes, products, substances or projects.
Claims, legal reports, complaints, hazard logs and incident and injury reports, enforcement notices and actions.
Reports and management reviews.
Previous management system reports and industry risk profiles.
Equipment.
Trained professionals.
Time for interviews, inspections, analysis, reporting back.
Access to management, other people in control of the workplace, supervisors, employees and other parties across a range of levels and roles, including OHS representatives, OHS committee members, design personnel and, where appropriate, contractors, customers or clients.
Copies of organisational charts of the departments, documented procedures, statistics detailing number and nature of contractors and labour hire used during current financial year, sample contracts.
Contact details of HR directors and finance directors.
Contact details of line managers using contractors and labour hire.
Contact details of contractors and labour-hire staff
Audit tool.
Time to meet management, staff and contractors, labour hire.
In planning an audit, be prepared for reasons or excuses for delays, inability to provide the required information and lack of time or access. The potential for any of these incidents to occur means that you need to have fall-back plans that will enable you to collect the required objective evidence or as much as possible. Any adjustments to the plan or limitations set on the evidence gathering should be noted in the final report. If, however, you are meeting insurmountable obstacles, you need to report on why the audit was not carried out and arrange for another time. For this reason, it is very important to obtain the authority of senior management and the OHS committee for commencing the audit program.
Developing an OHS audit plan
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The audit plan is developed, documented and submitted to the area or site management as a draft for comment and detailing the
scope of audit
standards to be used
personnel involved and the audit team manager or lead auditor
access and facilities - keys, passes, room, phones and computer
timelines
meetings to be scheduled, people to be interviewed; normally an introductory and final meeting are held with management with end- of-day briefings held throughout the course of the audit
locations to be inspected
information and data required to be on hand
any sampling methodology, including statistical measures.
As it is a rare manager who enjoys being audited, particular attention should be paid to
identifying the benefits to management (What concerns them?)
minimising the impact on the operations of the area being audited
providing plenty of advance warning
assuring management of your respect for confidentiality
reaffirming that a draft report will be submitted to local management for comment before submission to senior management.
After receiving feedback and modifying the agreed draft, the next step is to develop or adapt an audit tool. As a courtesy, it should be forwarded to the local manager beforehand.
Developing an OHS Audit Tool
An audit tool is a type of checklist that is used to record whether elements of the OHS management system conform to the required standards. Having a prepared audit tool is a systematic way of checking the OHSMS and provides consistency when different teams use it at different times, that is, of course, once everyone is trained to use it in the same fashion.
If you don't have an audit tool already it is probably easier to adapt an existing one to your organisation's needs and your particular OHSMS. There are many audit tools, such as the International Safety Rating System and the National Safety Council of Australia's FiveStar audit standard. OHS authorities have produced tools such as Victoria's SafetyMAP, Queensland's Tri Safe, South Australia's SABS self- assessment tool, the Commonwealth Planned Investigation Program and NSW's Premium Discount Scheme tools. Your industry association may be able to help.
The audit tool is usually constructed with headings taken from the OHS system, such as policy, commitment, resourcing, and so forth. Under
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each of these headings, the specific requirements or criteria of the system are spelt out.
Below is Table 22 , Contractor Safety, a sample adapted from a corporate audit tool.
Point 6.3, Contractor safety, is the OHSMS element being audited; points 6.3.1, 6.3.2 and 6.3.3 are the audit criteria. The criteria specify the standard to be met and must be accurate.
A scoring system is provided with 0 indicating nothing in place, 1 and 2 indicating partial compliance and 3 indicating full compliance. Sometimes a simple `Yes' or 'No' may be used.
The aids suggest ways of collecting evidence and the notes section is for observations or references that enable the auditor to make findings. Other evidence, such as spreadsheets, copies of procedures, photos and interview notes need to go together with the rest of the audit tool as the basis for the audit report.
With such an audit tool - and agreement for and training in its use - you have the opportunity to assess the organisation consistently across units and over time. Done well, you will be able to use the tool to measure progress and compare performance reliably, accurately and comprehensively.
Table 22: Contractor Safety
6.3 Contractor safety
6.3.1 OHS performance is a criterion in the location's contractor selection process
0 1 2 3 N/A
6.3.2 Contractors/subcontractors have an OHS program consistent with company standards and local regulations
0 1 2 3 N/A
6.3.3 Location informs all contractors of specific rules, hazards and risks and vice versa
0 1 2 3 N/A
Auditor's aids
Review contractor selection criteria.
Check site's review process of contractor safety.
Check any available documentation to ensure adequate exchange of information. What process is used?
Auditor's notes
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Now that you have an audit tool and a plan, you are ready to gather the required information.
Gathering information, data and OHS records
Before the audit actually begins any remaining issues concerning the audit plan should be negotiated. An initial meeting with local management should take place to confirm the plan and enable the audit team to make themselves familiar with the worksite from the outset.
In auditing it is important that a wide range of sources is used to gather an objective picture. Procedures may be merely words or pieces of paper that people are not aware of, understand or use. You only find this out by talking to different people or examining records, checking manuals, sampling and observing.
When evidence is unavailable, alternative methods may need to be identified and planned for in order to address the gap, such as
interviewing
alternative sampling methodologies
discussion groups
surveys
observation
alternative information and data
modified audit checklists.
Where you identify non-conformances or discrepancies, where the required activity is not there or up to standard, it is important that the reasons and evidence be carefully noted. For this reason, the audit report should be viewed as a piece of engineering, in which the findings are carefully built on solid facts and not hearsay or assumptions. Wherever possible, look for additional evidence to corroborate facts and conclusions. The strength of the finding should reflect the strength of the supporting evidence. Records of evidence and findings should be progressively documented in an appropriate format and retained. Similarly, the information gathering should be sensitive to the needs for security, confidentiality, impartiality and equity. The collection of all information and data should be carried out ethically.
It is useful at the end of each day to debrief the local management, present any concerns and observations; ask for comments and clarifications and update them on the progress of the audit to assure them that the schedule is being met. Any hazards identified during the audit should be reported promptly to the appropriate people, including the workplace health and safety representative. Finally, an exit meeting with key personnel and stakeholders where summary audit findings and recommendations are presented should be arranged.
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Reporting On The OHS Audit
A draft report is prepared for comment as soon as possible after the audit. Typically, a health and safety audit report contains the following headings:
Executive summary
Introduction
Audit process
Scope
Strengths and weaknesses
Findings against standards or criteria
Scoring, if used.
As audit reports are sensitive, objective evidence - information, data, observations, measurements, tests - they should he presented with clear and concise findings. The benefits of adopting the audit report recommendations should be clearly set out. Where you can expect challenges, build your case carefully.
The audited site then has the chance to comment on the draft report. Once the site has made any comments, the lead auditor then prepares a final version of the report and sends it to the site and senior management for final comment and response.
Audit finding categorisation and scoring
Each finding is categorised in terms such as `Critical', `Major' or `Minor' and is given a numerical score. The numerical score is tallied and the site is assigned a level, say, on a scale of 1-10. The score and level achieved are normally provided in the executive summary of the draft audit report and located at the end of the final report.
In some situations, for example, in internal audits, the audit team may have the power to see that the recommendations are acted upon, in which case, the site manager would send the audit leader an answer to the report with an action plan to close the findings. The site management would then report to the lead auditor the status of the action plan: closed findings, works in progress, problems, etc. If necessary, a visit to the site might take place to assess the problems encountered. After a set period, a follow-up audit to reassess the OHS situation of the site can be decided on.
AUDITORS, NOT CONSULTANTS
It is important to recognise that an OHS audit deals with the OHS system. It is not intended as an OHS consultancy. The role of the auditoris to assess the system, see where it meets the standards and where it doesn't. Their training as auditors means that they will point out any gaps and recommend ways to fill them. Those recommendations may be brief and summary. It is up to (site) management to find the best ways and means of complying with these recommendations.
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WARNING
It is important to emphasise that compliance with the audit criteria doesn't assure compliance with the law, particularly when you are using limited criteria or when the audit scope is restricted. Nor does an audit rule out action by a regulatory authority. A successful audit does not mean you are necessarily meeting your OHS goals (see section 14). However, if you do comply, you are more likely to be legal and on your way to meeting those goals. In this way, it may help in any defence, should the need to make one arise.
Section Summary
An OHS audit is a check of the OHS system to see whether the required legal and corporate activities are there and are being implemented properly. In this way, audits assist the organisation to continuously improve.
The audit program should be planned to cover all parts of the OHS system as it applies to the organisation in its entirety.
The auditors must be trained and can come from within the firm or contracted from outside.
The key factors to be considered in planning an audit are the scope, the specific objectives, the standards or criteria to be used for each site, a strategy to meet the objectives and the requirements to complete the audit, such as site information, meetings, etc.
The plan needs to be developed carefully to ensure cooperation from local management. It should have support from senior management and be endorsed by the OHS committee.
Audits use tools or checklists to evaluate compliance against each one of the criteria or requirements. These ensure thoroughness and consistency.
Gathering information should be done carefully to ensure robust findings.
Information gathering should be done ethically.
A draft report highlighting areas for improvement should be provided to the site manager for comment before a final report is developed and sent to local and senior management.
To close any gaps, follow-up activity is normally required with action plans submitted by local management to the lead auditors.
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Useful websites
Two standards are often referred to in OHS audits. One is AS/NZS 4801:2001 - Occupational Health and Safety Management Systems - Specification with guidance for use. This standard specifies requirements - auditable criteria - for an OHS management system.
The other is AS/NZS 4804:2001 - Occupational Health and Safety Management Systems - General guidelines on principles, systems and supporting techniques. This standard provides guidance on the development and implementation of OHS management systems and principles and their integration with other management systems.
One way of better understanding OHS auditing is to examine the audit tools developed by some of the OHS authorities. They reflect slightly different purposes, such as possible certification and workers' compensation premium discounts.
All these audit tools can be found on the following websites.
Commonwealth - Planned Investigation Program at <www.comcare.gov.au/publications/>.
New South Wales - Premium Discount Scheme Audit Tool at <www.workcover.nsw. gov.au/Publications/WorkersComp/>.
Queensland - TriSafe at <www.whs.qld.gov.au>.
South Australia - SABS self-assessment tool at <www.workcover.com/sabs>.
Victoria - SafetyMAP at <www.workcover.vic.gov.au>.
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3.5 Identify intervention points for expert OHS advice
In the previous section, we provided a general overview of planning an audit, documenting the plan, preparing an audit tool, gathering information, data and records, performing the audit and, finally, reporting the audit. In this section, we dig deeper to show how to evaluate the effectiveness of systematic approaches to hazard identification, risk management and OHS monitoring, to judge whether there has been any improvement as a result and to assess what the level of organisational compliance is and how it might be improved. Again, we will use an OHS management system (OHSMS) as representative of a systematic approach.
As an illustration, we will assume the site being audited is a mail-order house employing people with disabilities, who work at tasks such as inserting, folding, collating, plastic wrapping, laser printing and sorting for delivery to Australia Post.
The company employs a mixture of skilled tradespeople and labour-30 people on the shop floor, 12 of whom are in managerial and administrative positions, such as account supervisors. Most of the workforce is unionised and a safety committee operates.
The hours are standard, but overtime is often required. There is no shift work.
The main issues are the chemicals in the plastic wrapping and uneven control over the number of orders to be handled, which sometimes leads to stressful deadlines.
Overview of Process
Preparation
The steps in evaluation can be presented as questions that take the following order.
Figure 23: Questions to ask in the evaluation process
What is the requirement?
What are the standards?
Where are we now?
Where are the gaps?
What do we need to do?
1 Identify hazards.
2 Manage risk.
3 Monitor controls.
Regulations, codes of practice, industry standards.
Examine inhouse documentation
Inspect workplace.
Interview management and employees.
Compare the activity with the standards.
Fill the gaps in priority order.
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Industry and organisational knowledge
To evaluate the effectiveness of hazard identification, risk management and the monitoring of controls, you will need a good understanding of what the organisation does - the main processes, materials and technology it uses, skills required, work organisation, products and services. Having wider industry knowledge is a clear advantage because it enables you to comprehend the documentation, anticipate the issues, know what to look for, ask pertinent questions and understand replies and test them. Clearly, in the case study above, someone who has experience or is familiar with mail-order postal work would be useful.
Recognising potential hazards
Along with an understanding of the industry and the organisation, you also need to have an understanding of the range of potential hazards that could affect the organisation or workplace. These may include hazards such as
plant
chemical
biological
dangerous goods
physical - heat, cold, noise, vibration, radiation
psychosocial
ergonomic or manual handling
working at height
working environment - including the potential for electrocution, drowning
fire, explosion
pressure
slips, trips, falls
moving parts.
In the case study, the hazards include plant, chemicals, stress (psychosocial), manual handling and moving parts.
Your industry knowledge may already be sufficient, but if it is not you should be helped by information provided by the organisation. Such information would include the injury or health history of the workplace, including near misses. Especially helpful are any correlations, such as injuries with hours of work, seasonal activity or the arrival of new trainees. Other information could include prior reports by inspectors, consultants, loss controllers, planning material, risk assessors, engineers, technicians and the OHS committee.
It should be remembered that hazards can pose risks to third parties, such as contractors, apprentices, maintenance staff and delivery people. Knowing this will affect not only your the identification of the hazards, but also their assessment and management.
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In the case study, for example, lockout devices for folding and inserting machinery would be needed for safe maintenance.
Knowing standards
You will need copies of the applicable standards (or online access to them). In some cases, the standards specify the activities required, not only to identify hazards, but also assess the risk presented by them, the controls or methodology to be used to identify controls, the monitoring of controls and their evaluation and review. Such standards may be found in the law, regulations and codes or legal instruments such as licences. They may also be best practice industry standards or company requirements, such as good manufacturing practice.
The details found in standards may specify when hazard identification should occur, for example, when
hiring staff, for example, pre-employment examinations
examining staff periodically and on return to work
purchasing and leasing
contracting and subcontracting
designing or altering processes and products
handling products
transferring or terminating processes and products
storing
maintaining
undergoing capital projects (various stages)
transporting
disposing
travelling, for example, overseas.
In the case study, it would be useful to contact the company making the folder-inserter or the OHS authority to identify the standards.
Standards may also require specific methodologies to be used for hazard identification as well as risk assessment and risk control, such as
qualitative risk assessment
what-if analyses based on checklists
process safety review
fault tree analysis
event tree analysis
cause—consequence analysis
failure modes and effects analysis
hazard and operability study (HAZOP) using guide word techniques
energy models
human reliability analysis
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risk mapping tools.
The use of the methodologies and associated techniques, such as environmental monitoring and fire risk assessment, may require special training or specialist assistance.
Once you have this information, you will be able to answer the question - What are the standards relevant to the requirement? - in the first instance, identifying hazards.
In the case study, hazardous substance regulation would deal 'with the potential hazards of fumes emanating from handling plastic to wrap orders.
An audit tool of the type discussed in the previous chapter should be used to identify the key standards to be used and ranking levels (0, 1, 2, 3 or Y, N)
Identifying hazards, managing risk and monitoring controls
We will concentrate now on the requirements necessary to identify hazards, to manage risk and to monitor controls. How would one evaluate the effectiveness of the organisation's activities in these areas?
Using the example of the mail-order house, you will need to carry out the following procedures.
Examine documentation
You need to see the documented policy and procedures for identifying hazards in general or with respect to the specific issues of the factory, for example, hazardous substance, plant safety and manual handling. You will also need similar documentation on how risk assessments are carried out and how the controls are developed and monitored for their effectiveness.
Documentation could include material such as hazard registers, job safety analyses, risk assessments, manuals, safe operating procedures and incident notification records. It would be almost impossible to ensure that hazard identification, risk assessments and risk control plans were comprehensive and complete - that is, that they involved the relevant people and looked at all relevant factors - without keeping some record of that process, such as hazard registers, job safety analyses, risk assessments and risk control plans. In addition to facilitating compliance with legal requirements, the recording of risk management activities enables easy referral, follow-up and review.
Where disabled workers are involved, as in the case study, the documentation covering risk assessment will be critical.
It is then a matter of comparing the existing documentation with that which is required by the relevant standards.
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Issues that you encounter could be these.
Comprehensiveness - does the documentation cover all the required steps (consultation?) and deal with all the hazards?
Timelines and quality - is the documentation up-to-date and well maintained? By whom and how often?
Suitability - is the documentation understandable to those who are going to use it?
Availability and use - is the documentation located at point of use? Is there a record of use?
Outcomes - do people produce the required hazard identification documentation?
Case Study 5:
At the factory in the case study, some of the standards relating to documentation could include the following.
The organisation documents procedures or work instructions for the safe handling, transfer and transport of hazardous substances and dangerous goods.
Comprehensive health and safety information on all hazardous substances and dangerous goods is readily accessible at the point of use.
There are permit to work procedures for high-risk tasks, such as folders-inserters, printers and wrappers.
Plant and equipment is maintained and a record is kept, which includes relevant details of inspections, maintenance, repair and alteration of plant.
There is a documented process that requires the organisation to identify potential health and safety hazards (including public safety hazards), assess the potential risks and determine appropriate risk control strategies before it accepts a contract to supply its goods or services to others.
Limited inspection of the workplace
Another task you will also need to do is a limited inspection of the workplace in order to gather an indication of whether the hazards have been identified and the risks managed appropriately. As the purpose of an audit is not to inspect for hazards, but to look for and examine the OHS practices required to identify hazards, this needn't be a complete inspection, but it should involve a walkthrough in a number of key areas. Poor housekeeping or manual handling practices, for example, would be immediate indicators of perhaps a wider failure in hazard identification.
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Interview people
Finally, you will need to interview managers, supervisors, employees and health and safety representatives to find out what they actually know about keeping the site compliant or if the site is in compliance. The interviewing should be representative and in conditions where people may speak openly.
Case Study 6:
In relation to hazard identification procedures, questions to ask could be these.
Are the people directly involved aware of the procedures?
Have they been trained or instructed in the procedures?
Are the procedures being used as they should be?
Do the people directly involved know where to obtain information on hazards?
What tools for the identification of hazards do they use? Tools may include workplace inspections
investigations into past incidents
use of specialists or research and information task analysis.
People need to be asked when they last carried out any hazard identification activity and, if so, to recount or demonstrate what they actually did. Critically, do they know what the hazards are? What sources have been used to identify the hazards? Are employees encouraged to identify hazards? If so, what is the evidence to show that they do?
Whatever the methodology used, staff or consultants working with the organisation's methodology must understand how it is used and should have undertaken some instruction or training in the process. Different methodologies are useful for different purposes, so the staff or consultants should be aware of the strengths and weaknesses of each the methodologies used. The findings that result from the research into the existence and quality of the information sources, their use and application need to be set out with the evidence.
So far, we have talked only of hazard identification. A similar range of key questions should be asked in relation to risk assessment and control.
How do you deal with the risks associated with the storage of hazardous substances?
What risk assessment tools do you use? Are they appropriate?
How do you use them? Are they being used appropriately?
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How do you know whether the controls are effective? What if they are not?
How often do you check that the controls are used?
What measures do you take if there are any incidents or concerns in relation to the storage of hazardous substances?
Likewise, a similar range of questions could be about manual handling risks in the case of assembling and packaging kits.
Evaluating Effectiveness
Hazard identification and risk management
After examining the documentation, inspecting and interviewing, a picture of how effective the activities of identifying hazards, managing risk and monitoring controls are should emerge. The gap - and there is usually some gap - can be evaluated according to the urgency with which the gap must be filled. Some corrective activity will be critical because of the current, large risk. Other risks can be attended to in the short or medium term.
Health and safety management system
An assessment should be made of how effective the organisation is in monitoring and reviewing the OHSMS. The organisation needs to schedule regular opportunities to revisit the entire hazard identification, risk assessment and risk control process. When control measures fail to work as expected or incidents occur, there must be a check made to determine whether the process was followed correctly or whether the actual process itself is inadequate. Verification could be achieved by a complete system internal audit or audits of parts of the system at more frequent intervals. Management needs to be asked the procedures for review, the measures and targets set and what has been done as a result. Documents would include
plans that schedule a review of the hazard identification, risk assessment and risk control process
minutes of meetings that recorded discussion about the process used for a particular issue
review documents that report on the effectiveness of the process.
It is expected that the OHS committee will be a good source of information in answering questions such as these.
How is each element of the OHSMS monitored and reviewed (methodologies)?
How frequently?
Who does it and what is their training?
What information and data are used?
How has it been reported?
What have been the results?
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CHANGE MANAGEMENT
In terms of evaluating the effectiveness of an OHSMS, focus should not only be on the elements of the system, but should also be on its comprehensiveness. One area that is often overlooked is change management.
Organisations - indeed, most people - tend not to handle change as well as they could. This is especially the case when it comes to the effects on OHS. Risk is increased during change due to
unexpected situations
changes to systems of work that have not been properly thought through
movement of personnel
training that lags behind the change
increased use of contractors, even if temporary
additional pressure on everyone during transition.
In its plans for change, every organisation should include a process for identifying and managing the possible impacts on health and safety. Procedures should be established to ensure that actions that create or modify facilities
or processes are properly evaluated to determine the OHS impact.
One example would be the case of capital projects involving a transfer of operations, in which, at each defined stage, there should be OHS reviews, including
scope definition
project development
basic engineering
detailed engineering
construction
commissioning and qualification.
The health and safety manager should be responsible for providing technical resources and expertise to the project managers on OHS issues. This should occur at the earliest stage and certainly prior to the decision to go ahead and spend money.
Evaluate the effectiveness of a systematic approach in improving OHS performance
It is one thing to see if all the requirements are there and working - or not, but has the OHS performance improved? Is the workplace safer and healthier as a result?
In section 4 we said OHS performance could be measured according to the following criteria.
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Table 24: How to measure OHS performance
Type Example
Inputs plant items meeting safe design standards (%)
new entrants with required licensed qualifications (%)
contractors screened for OHS performance (%)
Activities or
processes
hazard identification and risk management (quality)
incident reporting (quality, reliability)
OHS consultation (quality)
Outputs employees trained in OHS (%, quality)
documented safe operating procedures (quality, coverage)
investigation reports (quality)
Outcomes lost time injuries (LTIFR)
absenteeism (%)
job satisfaction (rating)
Clearly, there is no one indicator, no single thermometer, that tells you whether the workplace is safer and healthier now than it was, say, one year ago. Some indicators might be more significant than others - your key performance indicators - depending on the nature of the business. Specific targets may or may not have been met in certain areas. Still, no one indicator tells the whole story.
If, however, we were to see an overall improvement across the broad range of (key) indicators, we would be justified in talking of progress. It would be valid to conclude that the workplace was safer and healthier. We might even be able to gauge whether the improvement was significant. But even then, we could only be sure if the measures were accurate - told the true story - and reliable - told the true story consistently and couldn't be manipulated.
All of this means that the information and methodology used in measuring must meet the required standards - they must be accurate, timely and relevant. The methodology must be appropriate and the results valid. How, for example, do we measure the quality of workplace consultation precisely, accurately and consistently? Should it be by recorded feedback from OHS committee members? The number of decisions acted on within a specified timeframe? The level of staff awareness on key OHS developments? Who collects the information? What tools are used? When, and how often? Are staff trained to use the tools?
An independent check or audit of the measure or indicator and how information and data is collected and analysed is required.
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It is clear from the amount of potential work involved that only a number of key indicators can be used and maintained. They should be discussed and endorsed by the OHS committee as part of its (major) role in overseeing the OHS program. Once agreed upon, the measurement results should be examined and a report made to everyone on the effectiveness of the OHS management system. The report format should be made standard and easily understood.
WARNING
The OHS performance may have changed due to factors other than the OHSMS activities. Risky processes may have been sold off or discontinued. A new division or product line could have been acquired. Accounting for any change should be done carefully.
Evaluating Compliance Against Industry-Specific Standards
A version of evaluation of the organisation's OHS system is against agreed benchmarks, such as industry-specific standards. In some respects, this is the most valuable form of evaluation because of its specific relevance and application. The point is to collect those industry standards and use them to develop a tool to evaluate your organisation's practice against them. In some cases, your industry association or OHS authority will be able to assist.
The following example, developed by NSW WorkCover for the textile and clothing manufacturing industries to deal with plant safety issues, is a very useful model for other industries. The modules can be downloaded from the NSW WorkCover site (Publications/Plant).
Best plant - safety benchmarks in the textile and clothing manufacturing industries
Best Plant, an information package produced by NSW WorkCover, comprises 15 modules for suppliers and users of plant in the manufacturing sector. The modules describe health and safety statutory obligations and best practice principles for the purchase, sale, installation, commissioning, operation, service and maintenance of plant.
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Table 25: Best plan - OHS obligations and best practice principles
Module Main features
Assessment or accreditation provisions
Describes a generic assessment process that is applicable to a broad range of end users, as well as formal and informal accreditation processes.
Audit provisions Requires users to rank their performance by using the audit scorecard, which is based on the best practice benchmarks for the sale, purchase, installation and commissioning of plant. Performance measures provide a ready reckoner for assessing the comprehensiveness of health and safety plans, practices and culture.
Contractor prequalifications
Designed to assist machinery manufacturers, machinery agents and textile and clothing manufacturers to screen the health and safety practices of potential contractors when installing and commissioning plant and equipment. A questionnaire and evaluation tool is provided to assist parties engaging contractor services to determine the most suitable contractor for the job by ensuring that their health and safety cultures are closely aligned.
Contract specifications Provides a typical range of questions that can be asked to assist all parties in the textile and clothing plant supply chain to prepare a contract that gives due consideration to health and safety issues.
Information provisions Ensures that purchasers of plant are provided with sufficient, good quality information to enable the processes of installation, commissioning and operation of plant to be safely and effectively carried out.
Legal obligations Sets out legal obligations with regard to plant and implements the necessary policies and procedures in the workplace in order to satisfactorily meet their duty of care obligations. A series of `Could I be liable?' questions and answers seeks to demonstrate possible liability scenarios as they apply to plant manufacturers, machinery agents and textile and clothing manufacturers.
Non-conformance control provisions
Includes a ready reckoner for the control of non-conforming plant and the services associated with its installation and commissioning.
Describes the responsibilities of the different parties in the plant supply chain with respect to non-conformance control measures.
Explains what has to be done in order to implement a system of non conformance control in the workplace.
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Module Main features
OHS management system
Explains the essential components of a structured health and safety management system and explains how to set up and implement a health and safety management system in the workplace.
Project management A six step approach to project management is provided, highlighting the critical planning activities involved in each stage.
Record keeping Points out some of the do's and don'ts of record keeping, as well as listing the types of records that should be kept on plant.
Registration and inspection provisions
Sets down the statutory requirement for registration of plant design and inspection of items of plant in the state of New South Wales as at March 1999.
Describes the registration provisions outlined in the National Standard for Plant NOHSC:1010.
Risk management Points out the stages at which risk management should be undertaken, from initial requests for capital expenditure through the installation, commissioning and operation phases.
Supplier prequalification
Sets out the principles of supplier prequalification and its application in the textile and clothing manufacturing sector.
Testing provisions Outlines how plant is tested and who is responsible for the conduct of tests. The ready reckoner makes suggestions about the type of tests to be conducted on plant. This is followed by a five step approach to testing.
Training provisions Provides a system for the planning and conduct of training, as well as highlighting the various training responsibilities of all parties in the textile and clothing plant supply chain.
Evaluating performance is only one step on the path to improving performance. While it is possible to use inhouse experience and external expertise, such as consultants, to further improve, some organisations use the process of benchmarking themselves against other organisations. In this way, they hope to speed up the learning process.
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Benchmarking between organisations
Benchmarking allows you to assess the activities and service performance of your enterprise against those who have attained best practice. The most useful form of OHS benchmarking is qualitative, which involves processes and procedures and enables you to adapt findings to suit your own organisation. By contrast, numerical or quantitative benchmarking, for example, comparing outcome figures or rates (LTIFRs), may show areas for improvement, but not how to get there. That requires people to analyse the way in which they carry out work and to set out what steps, tools, time, standards and the like are used. The activity of handling compensation cases, for example, can be quite intensive and costly, making it a good candidate for benchmarking against those who have a reputation for excellence. To analyse the activity accurately needs training in techniques such as process flow charting and cause and effect analysis (fish bone charts) and various problem-solving tools.
The scope of OHS benchmarking may be big - the entire OHS management system - or small, as in the case of compensation. Newcomers are advised to start with a small project to develop a clear understanding of the issues and build confidence. As benchmarking requires time and resources, management is more likely to endorse a gradual approach. Management will also want to see a return on their investment, which means you need to be careful in your identification of those projects that will have a recognisable impact. Eventually, benchmarking could be applied to OHS in other areas such as maintenance, training, purchasing, work system design, engineering design and production planning. In any case, a benchmarking project, like any other project, needs to be carefully examined, include terms of reference and be properly managed. The process is set out in Table 26
Benchmarking partners
A key element is the selection of a benchmarking partner, usually found through networks or identified by external parties such as consultants, industry associations or insurers. For an organisation to become a benchmarking partner, it must be willing to share its experience, which will involve some cost to their time and resources. But direct industry competitors often rule themselves out because they fear the potential for industrial spying. What is in it for a benchmarking partner is the consideration of seeing any effort to reduce workplace injuries as worthwhile and the opportunity to skite their leadership and brand. Benchmarking partners needn't come from the same industry; indeed, oftentimes the most interesting lessons can come from best practitioners in different areas of the economy. In the end, it depends on the areas being benchmarked.
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Table 26: Steps in establishing a benchmark project
Step 1 Establish benchmarking project
Step 2 Select teams and train them
Step 3 Identify processes to benchmark
Step 4 Analyse your own processes
Step 5 Select benchmarking partners
Step 6 Build relationships and conduct visits
Step 7 Analyse performance gaps and develop improvement strategies
NOHSC 1999, Benchmarking Occupational Health and Safety
Other conditions for successful benchmarking by both partners include
a commitment, particularly from senior management, to OHS benchmarking (time, resources)
a commitment to a preventive and systematic approach to OHS
use of consultation.
Teams
Teams enable a range of expertise, experience and representation to be involved. Benchmarking teams should
involve management and employee representatives with the required expertise in the areas being benchmarked
limited to six at the maximum
receive training in the required skills and knowledge.
An important by-product of benchmarking is the training and experience acquired by those involved. While it can be tricky and resource- consuming, benchmarking can be very beneficial and not just for OHS performance.
The importance of industry-specific benchmarks has been highlighted as were the benefits of benchmarking against best practice as methods of improving performance.
Even so, things could still go wrong. In the next section, we look at emergency procedures.
SUMMARY
To be most effective, evaluating an organisation's systematic approach to OHS requires knowledge of the industry and organisation.
Evaluation requires a thorough understanding of the standards relevant to the scope of the evaluation.
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Examination of the business's documentation must be supplemented by an inspection of the workplace and interviews with staff.
There is no one measure or indicator of OHS performance. It is necessary to use a range of upstream and downstream indicators - checked for accuracy, relevance and reliability - to evaluate whether the workplace is safer and healthier as a result of using a systematic approach.
Evaluation of an OHSMS and its contribution to OHS performance must lead to improvements if it is to be worthwhile.
A valuable source of information on how to further improve is to use industry specific standards as benchmarks. Networks, industry associations and OHS authorities should be used to identify the main standards.
Another valuable source is to compare activities and performance against those of organisations that have demonstrated best practice. As benchmarking with a different organisation requires time, training and resources and can he tricky, it is best to begin with a small project to build confidence and trust.
Useful books and other print material
The audit tools mentioned in `Useful websites' in the previous section contain standards for hazard identification, risk management and monitoring. However, you will need to check them against current legal requirements and codes of practice before using them in any evaluation process.
OHS performance measurement has been affected by developments in general business performance measurement as well as quality systems.
Balridge National Quality Program. Developed by the U.S. National Institute of Standards and Technology, this is another example of the application of upstream indicators to business performance measurement and management.
Montague, S. 1997, The Three R's of Performance, Performance Management Inc., Ottawa. This title provides a widely used framework for performance measurement.
NSW WorkCover 1999, Best Plant- Safety Benchmarks in the Textile and Clothing Manufacturing Industries. This is an excellent example of turning a process of evaluation into a process of improvement simply by using detailed industry standards.
NOHSC 1999, Benchmarking Occupational Health and Safety, Australian Government Publishing Service, Canberra. This document provides useful guidance for those wishing to undertake OHS benchmarking.
Norton, D. & Kaplan, R. 1996, The Balanced Scorecard: Translating Strategy into Action, Harvard Business School Press, Boston. A classic.
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4. Establish and maintain a quality OHS management system
4.1 Develop and provide an OHS induction and training program for all employees as part of the organisation‘s training program
4.2 Utilise system for OHS record keeping to allow identification of patterns of occupational injury and disease in the organisation
4.3 Measure and evaluate the OHS system in line with the organisation‘s quality systems framework
4.4 Develop and implement improvements to the OHS system to achieve organisational OHS objectives
4.5 Ensure compliance with the OHS legislative framework so that legal OHS standards are maintained as a minimum
Introduction
As a manager you are required to review and assess your OH&S system. Effectively, at this stage you will have developed a system and will be in the process of checking how well it is operating. This is a rigorous procedure that includes auditing the system and objectively identifying how well it aligns with OH&S legislation. A strategic assessment will take on a multi-layered approach including data collection from health and safety records for the identification of patterns of occupational injury and disease.
You will need to be aware of your organisation's Quality Systems framework in order to make improvements where necessary.
4.1 Develop and provide an OHS induction and training program for all employees as part of the organisation’s training program
Induction and training programs are essential components of any OH&S system. They not only educate employees about the system but also serve as a springboard to participative arrangements amongst your workforce. Developing a common] understanding of your organisation's OH&S goals and requirements is paramount amongst your employees. It must not be taken for granted that all employees are aware of necessary OH&S information. Discrepancies in understanding can lead to communication breakdown and possible accident and injury. As a manager you must develop clear criteria for quality induction and training programs.
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Your programs must:
meet clearly defined goals and objectives
have an identifiable approach based on your OH&S philosophy
comply with relevant legislation
provide follow-up assessment to ensure what is learned is put into practice.
The importance of induction and training
As a manager it is vital that you recognise that induction and training is just the beginning of a process which should culminate in safe work practice. Learning is not provided for learning's sake; but for the welfare of all members of the organisation and if an integral part of the communications network within the workplace.
Staff induction activities are designed to provide new-starters with the information they need, as well as getting them up to speed on how the organisation works.
Induction processes are vital to ensuring that new staff are productive as quickly as possible, and should play a key role in knowledge management initiatives.
Despite this, most organisations have inadequate or ad-hoc staff induction processes, with many relying solely on staff just ‗working it out as they go‘.
Having investigated induction processes in a number of different organisations, this briefing outlines our suggestions for making staff induction a valuable and effective process.
Practicalities, as well as policies
Staff induction often focuses on the corporate policies: safety, security, anti-discrimination, etc. This is useful information, if not the most interesting to participants.
Beyond policies, staff induction should also cover practicalities. This includes:
how to conduct common administrative tasks (changing a phone number, obtaining a business card, ordering stationary)
what key information systems exist (such as the intranet)
how to get around the building (security, floor plans)
Training, as well as induction
When new IT systems are introduced, such as a new intranet or transactional system, training is often provided. Beyond these initial training sessions however, there may be little or no further training provided. This is even more relevant for OH&S systems and policies.
New starters who missed this initial training are therefore left unsupported and untrained. To address this, resources must be set aside to provide ongoing training for new staff, or for staff who have moved between different areas of the organisation.
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Cultural change
New starters are unfamiliar with the environment and processes of the organisation, so it is the ideal time to induct them into the ―new‖ way of working.
In this way, new starters can be ―shaped‖ in order to achieve cultural change, such as:
encouraging the intranet to be used as the primary information source
overcoming the ―silos‖ within the organisation, by providing a holistic view of the organisation
Knowledge transfer
By formalising knowledge transfer, or providing a more rigorous framework for informal transfers, new starters can be provided with the information they need to conduct their work.
Build social networks
One of the main frustrations for new starters is not knowing who to contact in the organisation if they have a question. This is reflected in the comments of long-serving staff: ―Well, I‘ve been here for 10 years, so I just know who to go to‖.
Staff induction can specifically address this, by introducing the new starter to key people in the organisation.
Approaches such as mentoring or ‗buddying‘ are particularly valuable in addressing these issues.
Involve all business units
Staff induction is not just a human resources issue. Instead, induction activities should be developed with the involvement of all relevant business units (such as security, IT, assets, etc), to ensure that new starters are given a complete picture.
Immediate induction
Finally, induction must be provided very shortly after the new staff person starts with the organisation. There is little value in only holding induction seminars every few months, as the new starter will have already been forced to have struggled through for themselves
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Induction Training is absolutely vital for new starters. Good induction training ensures new starters are retained, and then settled in quickly and happily to a productive role. Induction training is more than skills training. It's about the basics that seasoned employees all take for granted: what the shifts are; where the notice-board is; what's the routine for holidays, sickness; where's the canteen; what's the dress code; where the toilets are. New employees also need to understand the organisation's mission, goals, values and philosophy; personnel practices, health and safety rules, and of course the job they're required to do, with clear methods, timescales and expectations.
On the point of values and philosophy, induction training offers a wonderful early opportunity to establish clear foundations and expectations in terms of ethics, integrity, corporate social responsibility, and all the other converging concepts in this area that are the bedrock of all good modern responsible organisations. See also love and spirituality in organisations: trainers and new starters - anyone - can bring compassion and humanity to work. The starting point is actually putting these fundamental life-forces on the workplace agenda.
Professionally organized and delivered induction training is your new employees' first proper impression of you and your organization, so it's also an excellent opportunity to reinforce their decision to come and work for you.
Proper induction training is increasingly a legal requirement. Employers have a formal duty to provide new employees with all relevant information and training relating to health and safety particularly.
As a manager for new employees it's your responsibility to ensure that induction training is properly planned. Even if head office or another 'centre' handles induction training - you must make sure it's planned and organised properly for your new starter. An induction training plan must be issued to each new employee, before the new employee starts, and copied to everyone in the organisation who's involved in providing the training, so the new starter and everyone else involved can see what's happening and that everything is included. Creating and issuing a suitable induction plan for each new starter will help them do their job better and quicker, and with less dependence on your time in the future. Employees who are not properly inducted need a lot more looking after, so failing to provide good induction training is utterly false economy.
As with other types of training, the learning can and development can be achieved through very many different methods - use as many as you need to and which suit the individuals and the group, but remember that induction training by its nature requires a lot more hand-holding than other types of training. Err on the side of caution - ensure people are looked after properly and not left on their own to work things out unless you have a very specific purpose for doing so, or if the position is a senior one.
As with other forms of training there are alternatives to 'chalk and talk' classroom-style training. Participation and 'GAAFOFY' methods (Go Away And Find Out For Yourself) can be effective, particularly for groups and roles which require a good level of initiative. Here are some examples of training methods which can be used to augment the basics normally covered in classroom format:
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on the job coaching
mentoring
delegated tasks and projects
reading assignments
presentation assignments
attending internal briefings and presentations, eg 'lunch and learn' format
special responsibilities which require obtaining new skills or knowledge or exposure
video
internet and e-learning
customer and supplier visits
attachment to project or other teams
job-swap
shadowing (shadowing another employee to see how they do it and what's involved).
Be creative as far as is realistic and practicable. Necessarily induction training will have to include some fairly dry subjects, so anything you can do to inject interest, variety, different formats and experiences will greatly improve the overall induction process.
Induction training must include the following elements:
General training relating to the organisation, including values and philosophy as well as structure and history, etc.
Mandatory training relating to health and safety and other essential or legal areas.
Job training relating to the role that the new starter will be performing.
Training evaluation, entailing confirmation of understanding, and feedback about the quality and response to the training.
And while not strictly part of the induction training stage, it's also helpful to refer to and discuss personal strengths and personal development wishes and aspirations, so that people see they are valued as individuals with their own unique potential, rather than just being a name and a function. This is part of making the job more meaningful for people - making people feel special and valued - and the sooner this can be done the better.
For example the following question/positioning statement is a way to introduce this concept of 'whole-person' development and value:
"You've obviously been recruited as a (job title), but we recognise right from the start that you'll probably have lots of other talents, skills, experiences (life and work), strengths, personal aims and wishes, that your job role might not necessarily enable you to use and pursue. So please give some thought to your own special skills and unique potential that you'd like to develop (outside of your job function), and if there's a
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way for us to help with this, especially if we see that there'll be benefits for the organisation too (which there often are), then we'll try to do so..."
Obviously the organisation needs to have a process and capacity for encouraging and assisting 'whole person development' before such a statement can be made during induction, but if and when such support exists then it makes good sense to promote it and get the ball rolling as early as possible. Demonstrating an true investment in people - as people, not just employees - greatly increases feelings of comfort and satisfaction among new-starters. It's human nature - each of us feels happier when someone takes a genuine interest in us as an individual.
Including a learning styles self-assessment questionnaire or a multiple intelligences self-assessment questionnaire within the induction process also helps to 'draw out' strengths and preferences among new starters, and will additionally help build a platform for meaningful work and positive relations between staff and employer. Ensure that new starters are given control of these self-tests - it is more important that they see the results than the employer, although it's fine and helpful for the employer to keep a copy provided permission is sought and given by the staff members to do so. Line-managers will find it easier to manage new starters if they know their strengths and styles and preferences. Conducting a learning styles assessment also helps the induction trainer to deliver induction training according to people's preferred learning styles.
So much of conventional induction training necessarily involves 'putting in' to people (knowledge, policies, standards, skills, etc); so if the employer can spend a little time 'drawing out' of people (aims, wishes, unique personal potential, etc) - even if it's just to set the scene for 'whole person development' in the future - this will be a big breath of fresh air for most new starters.
Use a feedback form of some sort to check the effectiveness and response to induction training - induction training should be a continuously evolving and improving process.
Take the opportunity to involve your existing staff in the induction process. Have them create and deliver sessions, do demonstrations, accompany, and mentor the new starters wherever possible. This can be helpful and enjoyable for the existing staff members too, and many will find it rewarding and developmental for themselves. When involving others ensure delivery and coverage is managed and monitored properly.
Good induction training plans should feature a large element of contact with other staff for the new person. Relationships and contacts are the means by which organisations function, get things done, solve problems, provide excellent service, handle change and continually develop. Meeting and getting to know other people are essential aspects of the induction process. This is especially important for very senior people - don't assume they'll take care of this for themselves - help them to plan how to meet and get to know all the relevant people inside and outside the organisation as soon as possible.
Whilst the order of items is something that you must decide locally, there is some attempt below to reflect a logical sequence and priority for induction training subjects. Consider this an induction checklist - not an agenda. This checklist assumes the induction of an operational or junior
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management person into a job within a typical production or service environment.
General organisational induction training checklist
Essential 'visitor level' safety and emergency procedures
Washrooms
Food and drink
Smoking areas and policy
Timings and induction training overview
Organisational history and background overview
Ethics and philosophy
Mission statement(s)
Organisation overview and structure
Local structure if applicable
Departmental structure and interfaces
Who's who (names, roles, responsibilities)
Site layout
Other sites and locations
Dress codes
Basic communications overview
Facilities and amenities
Pay
Absenteeism and lateness
Holidays
Sickness
Health insurance
Pension
Trades Unions
Rights and legal issues
Personnel systems and records overview
Access to personal data
Time and attendance system
Security
Transport and parking
Creche and childcare
Grievance procedures
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Discipline procedures
Career paths
Training and development
Learning Styles Self-Assessment
Multiple Intelligences Self-Assessment
Appraisals
Mentoring
Awards and Incentives
Health and Safety, and hazard reporting
Physical examinations, eye test etc.
Emergency procedures, fire drill, first aid
Accident reporting
Personal Protective Equipment
Use, care, and issue of tools and equipment
Other housekeeping issues
General administration
Restricted areas, access, passes
Job and departmental induction training checklist
The induction training process also offers the best opportunity to help the new person more quickly integrate into the work environment - particularly to become known among other staff members. Hence the departmental tours and personal introductions are an absolutely vital part of induction. Organisations depend on its people being able to work together, to liaise and cooperate - these capabilities in turn depend on contacts and relationships. Well-planned induction training can greatly accelerate the development of this crucial organisational capability.
Local departmental amenities, catering, washrooms, etc.
Local security, time and attendance, sickness, absenteeism, holidays, etc.
Local emergency procedures
Local departmental structure
Department tour
Departmental functions and aims
Team and management
People and personalities overview (extremely helpful, but be careful to avoid sensitive or judgemental issues)
Related departments and functions
How the department actually works and relates to others
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Politics, protocols, unwritten rules (extremely helpful, but be careful to avoid sensitive or judgemental issues)
The work-flow - what are we actually here to do?
Customer service standards and service flow
How the job role fits into the service or production process
Reporting, communications and management structures
Terminology, jargon, glossary, definitions of local terms
Use and care of issued equipment
Work space or workstation
Local housekeeping
Stationery and supplies
Job description - duties, authority, scope, area/coverage/territory
Expectations, standards, current priorities
Use of job specific equipment, tools, etc.
Use of job specific materials, substances, consumables
Handling and storage
Technical training - sub-categories as appropriate
Product training - sub-categories as appropriate
Services training - sub-categories as appropriate
Job specific health and safety training
Job-specific administration, processing, etc.
Performance reporting
Performance evaluation
Training needs analysis method and next steps
Initial training plans after induction
Training support, assistance, mentor support
Where to go, who to call, who to ask for help and advice
Start of one-to-one coaching
Training review times and dates
Development of personal objectives and goals
Opportunities for self-driven development
Virtual teams, groups, projects open to job role
Social activities and clubs, etc.
Initial induction de-brief and feedback
Confirmation of next training actions
Wider site and amenities tour
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Other induction training activities for managerial, executive, field-based or international roles
Here are some typical activities to include in the induction training plans for higher level people. The aim is to give them exposure to a wide variety of experiences and contacts, before the pressures of the job impact and limit their freedom. As with all roles, induction also serves the purpose of integrating the new person into the work environment - getting them known. Induction training is not restricted to simply training the person; induction is also about establishing the new person among the existing staff as quickly as possible. This aspect of induction is particularly important for technical personalities and job roles, who often are slower to develop relationships and contacts within the organisation.
Site tours and visits
Field accompaniment visits with similar and related job roles
Customer visits
Supplier and manufacturer visits
Visits and tours of other relevant locations, sites and partners
Attendance of meetings and project groups
Shop-floor and 'hands-on' experiences (especially for very senior people)
Attendance at interesting functions, dinners, presentations, etc.
Exhibition visits and stand-manning
Overseas visits - customers, suppliers, sister companies, etc.
Structuring the induction training plan
You should strive to organise the induction plan and give it to the new starter before they join you. This means thins need to be planned well in advance because the plan will necessarily involve other people's time and availability.
Develop a suitable template, into which you can slot the arranged activities. Depending on the needs of the situation the induction training plan may extend over a number of weeks, progressively reducing the pre-arranged induction content, as the person settles into their job.
Here's an example of how a week's induction might be shown using a template planner. A schedule is also a useful method for circulating and thereby confirming awareness and commitment among staff who will be involved with the induction of the the new starter.
Seeing a professionally produced induction plan like this is also very reassuring to the new starter, and helps make a very positive impression about their new place of work. Adding a notes and actions section helps the new starter to keep organised during a time that for most people can be quite pressurised and stressful. Anything you can do to make their lives easier will greatly help them to settle in. get up to speed, and become a productive member of the team as quickly as possible.
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Table 27: Induction training plan example
Induction training plan (name, date, organisation, etc)
Mon Tues Wed Thur Fri
am
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
notes &
actions
lunch
times
with whom
location
times
with whom
location
times
with whom
location
times
with whom
location
times
with whom
location
pm
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
times
activities/ subjects
with whom
location
notes &
actions
Induction training review and feedback
As with any type of training, it is vital to review and seek feedback after induction training.
It is particular important to conduct exit interviews with any new starters who leave the organisation during or soon after completing their induction training.
Large organisations need to analyse overall feedback results from new starters, to be able to identify improvements and continuously develop induction training planning.
Seek feedback also from staff who help to provide the induction training for new starters, and always give your own positive feedback, constructive suggestions, and thanks, to all those involved in this vital process.
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4.2 Utilise system for OHS record keeping to allow identification of patterns of occupational injury and disease in the organisation
Occupational health and safety records provide valuable data for analysis in order to identify safety and accident trends within the organisation. The more comprehensive the information the greater likelihood of gaining useful information in regard to such important notions as:
patterns of behaviour within the work environment and their relationship to accident and injury
cycles of events and their relationship to external and or internal factors
the correlation between safety and productivity
cost analysis
'black spots' within the work environment.
Comprehensive records will most likely provide both quantitative and qualitative data. Quantitative data is numerical information that can be translated into statistical information. This is useful in identifying trends and patterns. Qualitative data provides more subjective information and provides deeper insight into situations and behaviours. For example, it may include the written observations of a witness to an incident or accident. Both forms of data mesh together to produce a rich and useful picture of your OH&S system.
The analysis of OH&S data presents insights from which to draw conclusions and make recommendations in order to create a safer workplace. It also provides a valuable insight into the internal mechanism of your organisation and the factors that impact on the synergy of your system as a dynamic web of operations.
As a manager it is important to regulate the frequency of records analysis in order to obtain consistent feedback on the maintenance of your OH&S system. Analysis of your OH&S records may be simple and ongoing or it may be more rigorous. This may depend on the size and circumstances of your organisation. For example, for a more detailed analysis you may choose to employ an independent consultant to make a statistical study of your OH&S data. On the other hand, you may choose to do daily, weekly or monthly analysis from a simpler perspective using your own personnel.
The key issue is that records are useful working documents that, if utilised correctly and analysed intelligently, will provide a key to understanding better ways of managing OH&S within your organisation.
Record guidelines need to cover the implementation of monitoring for records management programs and recordkeeping within an organisation. They provide practical tools and examples to help organisations establish their own program that meets their own recordkeeping objectives.
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Purpose of the guidelines
The guidance will assist organisations to monitor their own records management performance and to improve recordkeeping in their organisation. As good management practice, organisations have an obligation to monitor the effectiveness and efficiency of their recordkeeping systems and processes.
There is a great deal of literature on monitoring and measuring performance.
Who are the guidelines for?
The guidelines will be useful for records managers or other staff with responsibility for managing the records management program or those responsible for implementing a performance monitoring program for recordkeeping.
Why monitor recordkeeping performance?
There are many reasons for monitoring the performance of your records management program and of recordkeeping within the organisation. These include:
in support of continuous improvement in line with business objectives
identifying achievements and successes
complying with standards
planning for new services and upgrades to existing tools and services
as part of an internal audit process
perhaps in disciplinary cases where there are suspicions of maladministration or fraud.
Note: Don't forget that monitoring is scalable to your needs and resources. If necessary, prioritise areas of concern within your organisation, e.g. target high risk business unit/s, and/or target high risk recordkeeping processes, such as disposal, or capturing records.
Tip
Monitoring will only be useful if a number of criteria are met. These are:
Clearly defined objectives
Adequate resources to carry out the monitoring
Appropriate performance measures
Senior management support for using results to improve performance
Regular review of objectives and indicators to make sure they remain relevant.
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Monitoring recordkeeping performance Stages in monitoring recordkeeping performance
The table below sets out the stages for establishing a monitoring program for recordkeeping. Whilst the stages are generic to any performance monitoring program, the explanation of each stage gives advice and examples specific to recordkeeping.
Table 28: Stages
Stage Description
1 Setting performance objectives
2 Developing performance measures
3 Collecting the data
4 Analysing results
5 Implementing performance improvements
6 Reporting and review
Recordkeeping failures
Usually, performance monitoring should be incorporated into regular activities and the objectives for monitoring will be set at the start of the planning cycle. There may also be times when particular recordkeeping events, for example, work to address critical recordkeeping failures, need special monitoring. These events may be brought to the notice of the organisation in a number of ways, including investigation reports by the ICAC, or informally by staff or members of the public. The performance monitoring stages outlined below can be followed in these instances. Whether part of regular or special purpose monitoring it is important to target your objectives and measures at the issue to be addressed.
Using risk analysis to prioritise activities
Assessing the risks your organisation faces as a result of recordkeeping failures can be a good starting point for identifying performance objectives, and for determining what performance measures you need. You may decide to concentrate on high risk business areas, or on high risk recordkeeping processes, e.g. records creation or disposal.
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Stage 1: Setting performance objectives
Clearly define performance objectives and their relationship to the objectives of the records management program. Planning documentation for the records management program should set out the objectives of the program for the period of time covered by the plans. These objectives could relate to very different aspects of the program, including the quality of records management services, and more broadly to recordkeeping across the organisation.
Some examples of performance objectives are given below.
Examples of performance objectives
Staff create and keep full and accurate records
Staff can find records when they need to
Records are stored securely
Records are disposed of accountably
Records are captured into official recordkeeping systems.
The performance of new recordkeeping systems, tools and processes could be targeted in performance objectives and measures. Project plans could provide useful performance measures for new systems.
Deciding what is good practice
To establish what is good practice for recordkeeping and records management in your organisation, you need to know what is good practice in the industry, and also what your organisation can achieve. There are a number of ways of determining what is good practice for your organisation. The table below sets out some useful resources and the reasons why they may be useful in establishing good practice.
Table 29:
Resource Reason for use
International best practice, e.g. AS ISO 15489 Records Management
The international records management standard is endorsed as a code of best practice in NSW. Compare performance to the international standard. Note: A national compliance standard to support AS ISO 15489 is also in preparation.
Benchmarking within the organisation
Compare the records management services to expectations within the organisation. There may be like business units against which you can compare aspects of service delivery, e.g. library, publications unit.
Benchmarking outside the organisation
Compare the records management program with programs in similar organisations, e.g. departments of similar size, councils of similar demographic/geographic mix, or organisations with the same function in other states.
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Stage 2: Developing performance measures
Performance measures are the yardsticks by which you assess whether you have met, or have gone some way towards meeting, your objectives. They can be a mixture of quantitative and qualitative measures but should be scoped to fit your objectives and resources for monitoring. It is no use having 25 measures requiring daily data collection if you don't have the time to collect the data or to analyse and make use of the results. Don't waste resources collecting elaborate statistics that are never used.
Tips to remember:
Measure what you need to know, not what you would like to know
What gets measured gets done - a favourite management slogan
Incorporate monitoring into routine operations
Don't set too many performance measures - it becomes too much and you do not have time to properly analyse information.
Different types of performance measures are used to measure:
economy
efficiency, and
effectiveness.
What you measure will depend upon the objectives you have set. Usually, it is good to have a mixture of measures that cover the three 'E's above. What you measure will also depend upon the level at which you want to do this, e.g. the high level records management program, a business unit, a particular recordkeeping process or service.
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Table 30:
If you are measuring…
Then some examples of relevant measures could be…
Economy
Cost per record retrieval E.g. Cost = (Storage contract + salaries + RM unit office costs) ÷ no. of boxes/items retrieved. [Note: Decide which cost elements you wish to include. Keep it simple and be consistent.]
Cost per file created
Cost per record managed.
Efficiency
Speed of retrieval and delivery of records from storage
Enquiries completed within x hours
No. of complaints
Is there a records management policy, procedures, disposal authority, etc.
Effectiveness
Satisfied customers
Proportion of business units using the records management service
Proportion of new users
Whether staff use records management tools, follow procedures, etc.
Audit queries that relate to recordkeeping
Recordkeeping system/s meeting recordkeeping requirements
Ability to meet external enquiries for records (FOI requests, subpoenas etc).
Using other business performance measures to monitor recordkeeping
Many business processes are underpinned by good recordkeeping and poor performance in these areas can sometimes indicate that there are recordkeeping issues to address. Examples of areas where it may be worth monitoring include financial management, FOI responses, customer services and customer complaints. A high risk area where poor performance is often related to recordkeeping is the ability of the organisation to manage any legal challenges (for example, locate subpoenaed records). Note: Not all failures in performance will be caused by recordkeeping.
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Establishing the baseline
Baseline data is an example of the close link between planning and monitoring. If you don't know where you are, how can you plan for where you need to get to?
You need to understand where the program, service or system under scrutiny is at in order to monitor any improvements. This 'baseline' should be assessed before you implement any new activities and start program monitoring. This gives you the starting point for setting appropriate targets and for assessing how effective changes have been. The baseline data you collect will depend upon the performance measures you have decided upon.
Example:
Baseline data may be an assessment that 50% of business units are using the corporate records system at the start of the financial year. You may then set an objective to increase this to 70% by the end of the year.
Set performance targets
Set performance targets against the objectives that are achievable, measurable and time-limited. These should reflect where the organisation is currently and where it needs to go. For example, it is unlikely that a performance target of 100% of staff receive training in a year will be achieved if the number of staff in your organisation is large, there is a high staff turnover and your training program has limited resources.
Some examples of performance targets are given below.
Examples of performance targets
95% customer satisfaction
x% records provided to the user in x amount of time
x % of recordkeeping systems meeting recordkeeping requirements
x% reduction in storage costs
x% of staff receive training
Key staff receive training (key staff being defined by the organisation)
All user permissions reviewed and updated.
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Stage 3: Collecting the data
Do not make obtaining information about performance an onerous task. It should be part of the routine management processes carried out as part of the records management program. Where specific activities do need to be carried out, e.g. customer surveys, make sure that the purpose of these activities is clearly defined and well understood, and that they happen only as often as is necessary.
Collection method
The method chosen should be relevant to the type of information you are collecting. The table below sets out some common methods of collecting data.
Table 31: Collection methods.
No. Collection method
Data type Outline methodology
1 Surveys
Qualitative
Quantitative
There are different ways of gathering survey data, e.g.:
self-completion by service users,
completion by records management staff or third party (e.g. consultants) in
interviews with users observing staff.
Surveys can be qualitative or quantitative. They may contain elements of both. Qualitative surveys are more likely to focus on perceptions, e.g. 'How well…'
Quantitative surveys are more likely to focus on facts, e.g. 'Do you have…, How many…' Note: Don't forget that the more people you survey and the more questions asked, the longer it will take to collate and analyse the results. Don't overuse this method. You are unlikely to be the only unit surveying staff and they can get fed up.
2 Focus groups
Qualitative
Organised by records management staff. Useful to get feedback on services, new ideas, post implementation reviews of new systems or tools, etc. Be aware that staff may be reluctant to criticise services even when they are dissatisfied.
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No. Collection method
Data type Outline methodology
3 System monitoring
Quantitative
Use software capabilities to monitor errors and exception reports.
Monitor numbers of files created, disposed of, records registered, etc. Most records management software should be able to generate these statistics automatically or in smaller paper systems it can be done manually.
Check with IT about size of shared workgroup folders, email accounts, etc.
4 Observation
Qualitative
Formal or informal. Check how records are being managed. Visit business units and look in filing cabinets. Monitor system logs and records entries. Observe staff doing recordkeeping tasks.
5 File audits
Qualitative
Sample files to check that the contents match either what is registered on the recordkeeping system, or fully reflects the business transactions that have taken place. Check that files are in the correct location. Check that records are formally attached to files, not just stuck between the file covers.
Note: File audits can also be used in conjunction with Interviews. See 6.
6 Interviews
Qualitative
Structured interviews with sample of staff to find out what records they are creating/ receiving, what they do with them, and whether they understand the recordkeeping rules of the organisation. Helps to identify any issues and gaps in knowledge.
Note: Also use with 5.
7 Informal feedback
Qualitative Quantitative
Anecdotal evidence can be useful in identifying strengths and weaknesses. Training sessions in particular are a good source of feedback on systems and services. (Note: This is in addition to feedback on the quality of training provided). On its own, it is no substitute for a planned program of monitoring.
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Stage 4: Analysing results
Having carried out the monitoring, you need to analyse the information you have collected. Check results against current performance targets. It is useful to also review performance against the performance of the records management program in previous years so that you can monitor trends in your services.
If you are getting poor performance results, analyse the records management program elements to find out the cause. Be aware that sometimes the real causes can be beyond the control of the program.
Stage 5: Implementing performance improvements
This is an important stage in the performance measurement process – there is no point monitoring if you are not going to do anything with the results.
Having identified the gaps and the causes of problems then develop strategies to fix these. These may be 'quick wins' or may need to be factored into your longer term planning.
Use the information to report to management and to feed into future planning and review cycles. This is where 'soft' factors may come into play with issues of change management, influencing senior managers to secure adequate resources, to support necessary changes or to upgrade tools.
Having the hard data to back up your analysis will be useful in securing management support. This also reinforces the link to planning, as objectives for the records management program should be closely aligned to higher-level corporate objectives.
Stage 6: Reporting and review
Don't forget this stage. As with any part of a program, you need to make sure that your monitoring activities are focused on the aspects of recordkeeping and the records management program that you need to know about. Do not monitor something just because you always have done in the past. As your organisation changes and the records management program develops there will be other aspects about which it becomes more critical to obtain performance data.
Note: Trend data is very useful in demonstrating improvements over time or causes for concern over time. This relies on consistently measuring the same activity over time using the same criteria. Keep these long term measures under review to ensure that they are still relevant to your performance planning.
How do you know if things are going well?
How do you know if individuals are following recordkeeping policy and procedures?
Assessing whether individuals are following recordkeeping policy and practice can be difficult. It is recommended to include a statement about the need to create full and accurate records in staff position descriptions and/or in the organisation code of conduct. How do you check whether they are meeting this? Some ways of systematically monitoring the recordkeeping performance of individuals are set out below.
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For records management staff
The records management staff are responsible for making sure that the systems and tools needed to support individual recordkeeping are in place and operating. In addition, they can:
Conduct file audits - periodic checks of desks for working files, files not checked out to them, emails printed out and added to files or registered electronically, etc.
Monitor file creation and document registration statistics - usually for business units but if there are particular problems, then look at individual performance.
Check sample of file and document titles (if created by the user) to check understanding and appropriate use of corporate language tools.
Conduct surveys of staff (including records management staff) to identify any training needs, new tools or revisions to existing tools required, etc.
For business managers
As part of routine management and performance management processes, business managers check that business rules and procedures are being followed. This may include checking records for accuracy. Note: Unless particular problems have been identified, the checking of records is likely to be at an aggregate level, e.g. monthly accounting reports, complaints management reports. The presumption is that staff, as a condition of employment in the organisation, make accurate records.
How do you know if recordkeeping systems are performing well?
Check that the recordkeeping requirements of all recordkeeping systems been identified
Assess systems against recordkeeping requirements and defined functionality, i.e. is the system capturing records of [name of function] transactions, are unique identifiers assigned to records, etc. Note: This is likely to involve interviews with both system managers and business managers.
Monitor system downtime (electronic systems)
Check that the metadata automatically applied by systems are correct, e.g. date and time, record creator information, unique transaction numbers, etc.
How do you know if you are providing quality records management services?
Set up a user group to gather feedback on program performance, e.g. the records management software system, tools such as the thesaurus, training courses or material.
Monitor levels of use of the services. If these drop, it may indicate a problem either with the service itself or promotion of the service.
Survey customers regularly. Make these purposeful and concise so as not to annoy users.
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Set and monitor service delivery targets.
What if staff aren't using the systems and tools?
Feedback from organisations indicates that a fundamental problem in recordkeeping is that staff do not use the systems and tools provided for them, despite best efforts to make these fit business needs. Performance measures for system use will identify if this is an issue for you. Fixing this problem requires a number of different strategies including:
promotion of recordkeeping rules and tools
training programs for management and staff, and
reviewing systems and tools to make sure that they are doing the right job.
Table 32: Examples of performance measures related to particular objectives
Do not use the following table as a checklist – it contains examples which organisations can use to develop their own performance measures. The objectives, activities and performance measures adopted in your organisation must be relevant to your corporate objectives and the services you provide.
Core objective example
Example of performance measure Target
To capture all corporate records into official recordkeeping systems in a timely manner
Policy/procedures developed and issued – yes/no
Yes
Recordkeeping requirements for recordkeeping systems are identified.
% of systems
Recordkeeping requirements for recordkeeping systems are met.
% of systems, % of requirements
Staff trained % of total
Hours of staff trained x hours
Records registered during financial year --
Files created during financial year --
To ensure records of high risk business are created and managed
Identified recordkeeping requirements for x business met (system analysis)
All
Records captured into recordkeeping system (file audits, surveys, interviews)
All
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Core objective example
Example of performance measure Target
To dispose of corporate records accountably
Does the organisation have a retention and disposal authority – Completed? In preparation? Planned for? Reviewed?
Completed
Are electronic records destroyed in accordance with disposal authorisation?
%
Do staff understand the rules about disposal of records? (Survey, random sample for interview)
%
Proportion of physical records awaiting destruction as proportion of whole.
%
Proportion of physical records destroyed as proportion of those awaiting destruction.
%
To provide access to records in accordance with corporate policy
Storage facilities pass regular inspection (whether in-house or outsourced)
%
User permissions for recordkeeping systems reviewed regularly
--
Systems tracking the location of records are used all of the time
--
Records available to meet [business area] targets
Note: Examples of business area could be FOI, audit, customer services.
--
To provide quality records management services
Proportion of business units using records management services
%
Number of new customers %
Number of complaints Reduce by %
Percentage of satisfied customers %
System downtime %
Time to deliver record to requester % meeting target time
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Core objective example
Example of performance measure Target
To provide efficient record management services
Cost of service/record stored $
Cost of service/record retrieved from outsourced storage
$
To provide user- friendly records management tools, e.g. retention and disposal authority, thesaurus
Tools reviewed and updated in the last year x of y, %
Is a [records management tool] in use? - Yes/No Yes
Customer use: Do you use [tool]? Was [tool] easy to use? Would you use [tool] again? If not, why not? (Concise survey)
(% satisfied)
4.3 Measure and evaluate the OHS system in line with the organisation’s quality systems framework
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Measurement and evaluation of your system can provide the lynch pin for producing and maintaining a quality OH&S system. It is important that measurement and evaluation is an integral aspect of your system rather than something that is merely 'tacked onto' the end of the process.
The benefit of making evaluation a part of your program is that you are able to put strategies in place for collecting information/data in a refined or orderly way.
Information then becomes data which provides a basis on which competent decision-making can take place.
To evaluate something means to appraise or determine the value of an object of interest. In the case of an OH&S system the object of interest could be a policy or a procedure, work practice, project or any other aspect of your system.
It is strategic to develop criteria for evaluation and measurement so that simply put, you know what you are looking for. Indicators to look for could include costs of programs, efficacy, quality of outcomes, 'lifespan' of a program or policy and so on. Measurement and evaluation can also include conducting needs analyses and program reviews.
Evaluation is best conducted as a step-by-step process:
1. Initially, a problem may be identified and material about the depth and severity of the problem identified and recorded.
2. This is followed by the development of an overarching goal for action.
3. A needs analysis is conducted to identify possible solutions.
4. Measurement indicators are developed to assess the possibility of achieving the goal.
5. A solution is developed.
6. The solution is implemented.
7. The solution is assessed according to the original goal.
8. The value of the solution is identified.
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4.4 Develop and implement improvements to the OHS system to achieve organisational OHS objectives
An effective system is not static. Organisations are regularly impacted upon by internal and external forces and, therefore, are constantly evolving. As you will have identified in the previous activities in section 4.3, with this evolution comes the need for measurement and evaluation of systems in order to identify areas for improvement. As a manager you should have a strong understanding of your organisation's OH&S objectives. These will give you a benchmark for improvement and a direction for strategic planning.
Historically, varying explanations of occupational illness and injury have led to the development of management strategies that can be defined in roughly four groups. Understanding these varying approaches will give you a greater insight into the perspective from which your organisation's OH&S objectives have been derived.
Each of these groups is concerned with what determines illness and injury, and consequently with its minimisation.
Group 1 relates to the modification of the physical environment to eliminate or minimise risk.
Group 2 relates to the medical and biological condition of workers and includes the use of screening, monitoring and treatment strategies.
Group 3 involves changing the behaviour of workers by using behaviour modification and educational strategies. This may necessitate outsourcing to professional consultants.
Group 4 involves a more holistic approach by assessing the broader organisational determinants of illness and injury and establishing wider organisational structures to deal with this.
You may observe that your organisation integrates all these perspectives within its OH&S system or, on the other hand, that the approach errs more to one perspective than another. In developing your own system it is vital that you become aware of these approaches and shape your system in the most effective way.
4.5 Ensure compliance with the OHS legislative framework so that legal OHS standards are maintained as a minimum
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By now you will have developed an understanding of your state or territory's OH&S legislation and codes of practice. In order to ensure the quality of your system you will need to review all the strands that make up the system and assess each one to ensure that, as a minimum, they comply with the relevant legislation.
Ongoing research and development in OH&S issues means that legislation and codes of practice will change from time-to-time. As a manager it is important that you maintain a current understanding of the legislation and codes of practice. It is useful to implement strategies for yourself in order for this to become a regular aspect of your managerial duties. This could include setting aside time for your own reading on current developments. It is also important for your employees to be updated on current legislation. This serves to develop awareness across the organisation whilst emphasising that, apart from the moral and ethical requirements of adhering to the system, there are serious legal implications if requirements are not met.
Let‘s Look at the emerging trend towards federalisation of health and safety. Until recently, we have seen the 10 jurisdictions (six States, two Territories and one each for Commonwealth employees and the maritime industry) working side by side and cooperating at the Federal level to set the National Strategy, develop National Standards and harmonise their various laws. However, with national employers, such as Optus, eligible to self-insure under the Commonwealth insurance scheme, such firms are also moving under the Commonwealth OHS jurisdiction. There appears to be an increasing number of large firms following the Optus route and leaving the other jurisdictions behind – often with little or no prior consultation with their workforce. Interestingly, this follows the same pattern of increased federalisation of industrial relations law. We will briefly look at this development as it could affect the great majority of organisations expected to remain under State and Territory OHS and compensation law.
The risks of precarious employment
Precarious employment refers to non-standard employment contracts such as part-time work, casual or temporary work, outsourcing or subcontracting and home-based work. It is also marked by limited benefits and legal entitlements, poor working conditions, job insecurity, low wages and, as might be expected, increased risk to health and safety. Precarious employment has being growing in recent years and will probably accelerate.
In 2005, Professors Michael Quinlan and Philip Bohle (UNSW) reviewed 106 studies published between 1966-2005 measuring the OHS effects of job insecurity and workplace change using a variety of indices including injury, disease, hazard exposure, stress, compliance with OHS laws and management systems. The results were compelling. Of 61 studies of job insecurity/downsizing, 53 or 87% found adverse OHS effects. Amongst 23 studies of outsourcing/subcontracting and home- based work all 23 or 100% found an adverse effect on OHS, and of 22 studies of casual work/labour hire 15 studies or 68% found worse OHS compared to permanent workers.
Poor information
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‗Ironically, the very nature of the new forms of work will make it harder to gather reliable information about workplace health‘, Professor Quinlan said.
‗The rapid job churning associated with temporary employment in some industries (like hospitality, road transport or food processing) will make cohort studies virtually impossible...epidemiological studies very difficult and is likely to render official data sources (like workers compensation claims, death certificates and like) less accurate.‘ ‗Control groups may be difficult to establish where, for example, an industry is largely casualised and permanent workers undertake different tasks.‘
Quinlan said we do, however, know that precarious employment is associated with poorer knowledge of, and compliance with, legislative requirements amongst subcontractors. ‗Temporary workers and those engaging them [are also] less willing to raise OHS issues or access entitlements (like workers compensation)‘, he said.
Quinlan acknowledged that Australian OHS statutes establish a ‗hierarchy of responsibility‘ (such as between the principal and a subcontractor) ‗as well as a web of multiple or shared responsibilities (as in the case of labour leasing firm and its host and on multi-employer worksites).‘
Unclear responsibilities
But he said while these sorts of systems of responsibility would seem well-suited to the new forms of working arrangements, his research shows that precarious employment tends to undermine these legislative responsibilities.
Subcontracting (especially multi-tiered or pyramid subcontracting), labour leasing and much home-based work (where self-employment or subcontracting is entailed) introduce third parties into the work arrangement as opposed to the relatively simple and direct employer/employee relationship that have been the overwhelming focus of OHS regulatory regimes in the past.‘
In addition, introducing third parties ‗creates more complicated and potentially attenuated webs of legal responsibility that place heavier logistical demands on the inspectorate‘, he said.
‗Monitoring to see if there is an integrated OHS management system becomes more difficult on multi-employer sites or those making extensive use of subcontractors or home-based workers.‘
Conducting workplace inspections is ‗nothing short of a logistical nightmare‘ in the case of mobile workers, or workplaces like telecall centres established for the duration of a short sales campaign, he added.
Where a breach is detected, identifying the parties to prosecute, their legal status, or the precise employment status of the worker can be extremely difficult. ‗The existence of third parties makes determining the share of responsibility and who to pursue in legal proceedings (more than one party can be prosecuted) more time-consuming‘, Quinlan said.
Management response
The fact remains that the increased risk associated with precarious employment does not alter the employer‘s duty of care. It simply makes
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it more difficult to fulfil that duty. OHS managers need to identify the risks posed by precarious employment in consultation with the workers affected and, just as dealing with other hazards, use the hierarchy of controls to remove them or reduce their impact. That means taking all reasonably practicable steps to ensure that practices like subcontracting, using labour hire, part-time workers, telecommuters do not pose an unacceptable risk. Specific risk management strategies need to be developed for each of these non-standard practices and monitored for their effectiveness. Anything less could result in a breach of the law or company policy and, most importantly, death, injury and disease.
For the OHS manager, it means reminding management at all levels of their legal and corporate responsibilities and assisting them with suitable risk management programs. There are models that can be applied, say, to the use of subcontractors which senior and line managers as well as supervisors need to be aware of. There may also be situations in which a practice such as subcontracting presents unacceptable risk and alternate forms of employment, possibly standard employment, need to be used.
It will be difficult to show why precautions and possible changes are needed as such arrangements are often introduced to save money. The fact that the law may be broken, the consequences for the organisation and particular individuals will need to be spelt out clearly.
Basic steps
Every organisation should have a policy that addresses work/care balance. Without a specific commitment by management, there is little hope of gaining the required support. As a minimum, the policy should include the right for workers with carer responsibilities to request flexible work arrangements with a duty on the part of management to reasonably consider these requests.
Organisations then need to know what exactly the problem is. This is often a mixture of identification and analysis. Who is affected? When? Where? How? If work/care is a problem for some, what are the factors preventing individuals getting the balance right in the present circumstances?
The next stage is asking the question what can be done about those factors. What needs to be changed? What can the organisation do to assist workers? If unsure, which options can be trialled and how can they be assessed? What the risks of failure and how can they be minimised?
Depending on the analysis, solutions could include:
reducing full-time working weeks – long hours do not necessarily increase performance or productivity;
control of overtime – no unpaid overtime;
certainty of working hours;
flexible rostering and work scheduling self-administered by workers;
job-sharing and appropriate staffing levels;
secure, quality part-time jobs at all levels, not just the lower levels;
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paid and unpaid leave;
providing or facilitating on-site and off-site childcare;
career planning and counselling services; and
family-friendly culture building.
Some of these solutions may require reviewing and modifying the internal composition of jobs themselves or the larger division of labour itself.
Finally come implementation, monitoring and reviewing. A senior manager ought to own the project with overall responsibility for its marketing and the reporting of outcomes. Success stories and senior management modelling in such stories can play an important part.
Throughout the course of planning and implementing, the understanding of everyone involved will be required preferably with some experienced guidance. Consultation with workers and their representatives will be essential. Someone to facilitate and possibly provide third-party assessment could also be useful.
The growing federalisation of OHS and workers compensation
The 2004 Productivity Commission Inquiry Report on National Workers‘ Compensation and Occupational Health and Safety Frameworks pointed to the ‗compliance burdens, costs and inefficiencies‘ for multi-state employers of having 10 principal workers compensation schemes and OHS regimes. It made a number of recommendations including an alternative national self-insurance scheme in addition to the Federal Comcare. This proposal was not accepted by the Federal Government.
Despite this, there is growing evidence of a Federal Government initiative to federalise much of OHS and workers‘ compensation. Recent and proposed changes to the Commonwealth OHS and workers‘ compensation legislation make the Federal jurisdiction more attractive to employers, than those of the States and Territories.
The OHS (Commonwealth Employment) Amendment Act 2005 reduces the need for employers to consult with unions over the appointment of Health and Safety (H&S) representatives.
The OHS (Commonwealth Employment) Amendment (Promoting Safer Workplaces) Bill 2005 invalidates the industrial manslaughter provisions of the ACT‘s OHS Act or ‗any similar industrial manslaughter laws enacted by a State or Territory‘ affecting Federal employers and employees covered by the Commonwealth OHS (CE) Act. (Industrial manslaughter laws allow for the jailing of managers without applying normal criminal processes.)
The OHS (CE) Act is being reviewed, possibly to reduce the role of unions and the powers of H&S reps, while exposing H&S reps to damage claims.
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The OHS and SRC Legislation Amendment Bill 2005 allows multi-state employers self-insured under the Commonwealth workers‘ compensation scheme (Comcare) to come under the OHS (CE) Act, the very same Act that the Federal government is trying to undermine. Companies such as Optus, Toll, LinFox, John Holland and NAB have left or are applying to leave State compensation schemes to be granted licenses to self-insure under Comcare. (In March 2007, the High Court confirmed the right of corporations to self-insure under the Commonwealth SRC Act.)
Under the Safety, Rehabilitation and Compensation and Other Legislation Amendment Act 2007 (SRCOLA), the Federal government is watering down the Commonwealth‘s Safety, Rehabilitation and Compensation Act – for example, dropping journey and recess claims, restricting claims for psychological injuries and reducing incapacity payments by redefining the employment contribution test for an injury or disease from ‗material‘ to ‗significant‘ overturning years of case law − thereby making them more employer-friendly.
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