Programme on Safety and Health at Work and the Environment (SafeWork)International Labour OrganizationRoute des Morillons 4CH -1211 Geneva 22Switzerland

TeL. + 41 22 7996715Fax + 41 22 7996878

e-mail : safework @ ilo.org www.ilo.org / safework

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Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems ( ILO-OSH 2001)

InternationalLabourOffice

Geneva

ISBN 978-92-2127059-1

9 789221 270591

Programme on Safety and Health at Work and the Environment (SafeWork)

Audit Matrixfor the ILO Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001)

International Labour Office, Geneva

Copyright © International Labour Organization 2013First published 2013

Publications of the International Labour Office enjoy copyright under Protocol 2 of the Universal Copyright Convention. Never-theless, short excerpts from them may be reproduced without authorization, on condition that the source is indicated. For rights of reproduction or translation, application should be made to ILO Publications (Rights and Permissions), International Labour Office, CH-1211 Geneva 22, Switzerland, or by email: pubdroit@ilo.org. The International Labour Office welcomes such applications.Libraries, institutions and other users registered with reproduction rights organizations may make copies in accordance with the licences issued to them for this purpose. Visit www.ifrro.org to find the reproduction rights organization in your country.

Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001)First published 2013

ISBN 978-92-2-127058-4 (print)ISBN 978-92-2-127059-1 (web pdf)

This publication has been produced with the assistance of the European Union. The contents of this publication are the sole responsability of the ILO and can in no way be taken to reflect the views of the European Union.

ILO Cataloguing in Publication Data

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The responsibility for opinions expressed in signed articles, studies and other contributions rests solely with their authors, and publication does not constitute an endorsement by the International Labour Office of the opinions expressed in them.

Reference to names of firms and commercial products and processes does not imply their endorsement by the International Labour Office, and any failure to mention a particular firm, commercial product or process is not a sign of disapproval.

ILO publications and electronic products can be obtained through major booksellers or ILO local offices in many countries, or direct from ILO Publications, International Labour Office, CH-1211 Geneva 22, Switzerland. Catalogues or lists of new publi-cations are available free of charge from the above address, or by email: pubvente@ilo.orgVisit our website: www.ilo.org/publns

Photocomposed in Switzerland JMBPrinted by the International Labour Office, Switzerland

This guide was produced under the project “Linking safety and health at work to sustainable economic development: From theory and platitudes to conviction and action” (2009-2012), funded by the Swedish International Development Cooperation Agency (SIDA).

The project promotes the improvement of occupational safety and health for all workers through the development of global products addressing the methodological and informational gaps in this field, and through the mobilization of national stakeholders towards the implementation of practical meas-ures at national, local and enterprise levels. The outputs of the project include training materials, practical tools and policy guidance to reinforce national and local capacities in occupational safety and health, and to help constituents design and implement occupational safety and health policies and programmes.

vPreface

Preface

Governments, employers and workers now recognize the positive impact on productivity, and on the reduction of hazards and risks, of introducing occupational safety and health (OSH) manage­ment systems at the organization level.

In 2001 the ILO therefore developed the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001, to help governments, employers and workers to cont­inually improve their OSH performance.

This user guide has been designed to help auditors in measuring the effectiveness of an organization’s OSH management system, and should be used in tandem with the Implementation Guidance for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001. Auditing is one of the key steps in both implementing an OSH management system and evaluating its performance. This guide is a practical tool that will help in identifying the strengths and weaknesses in an organization’s OSH management system, and in highlighting opportunities for improvement.

By using the guide, auditors will be able to measure an organization’s OSH performance, and compare it against the 16 items described in ILO­OSH 2001, with a view to identifying weak­nesses, providing solutions for improvement, and continually improving OSH performance.

It would not have been possible to develop this audit guide without the financial contribution from the Swedish International Development Cooperation Agency (SIDA). Mr Tony Smith, Manager, Smith EHS Services, drafted the guide. Mr Pavan Baichoo and Mr Tsuyoshi Kawakami from the ILO SafeWork Programme provided technical contributions for finalizing the contents. Ms Amélie Schmitt, Chief Technical Adviser of the SIDA­funded project, coordinated the devel­opment of the guide.

I am sure that this guide, in conjunction with ILO-OSH 2001 and the Implementation Guidance for the ILO Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001, will provide a valuable set of tools for employers’ and workers’ organizations, as well as for those responsible for OSH within their organizations, for continually improving their OSH performance.

Seiji Machida, Director, SafeWork.

viiContents

Contents

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

User guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Policy 9

3.1. Occupational safety and health policy . . . . . . . . . . . . . . . . . . . . . . . 11

3.2. Worker participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Organizing 21

3.3. Responsibility and accountability . . . . . . . . . . . . . . . . . . . . . . . . . 23

3.4. Competence and training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

3.5. Occupational safety and health management system documentation. . . . . . . . 34

3.6. Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Planning and implementation 43

3.7. Initial review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

3.8. System planning, development and implementation . . . . . . . . . . . . . . . . 49

3.9. Occupational safety and health objectives . . . . . . . . . . . . . . . . . . . . . 54

3.10. Hazard prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

3.10.1. Prevention and control measures . . . . . . . . . . . . . . . . . . . . . 58

3.10.2. Management of change . . . . . . . . . . . . . . . . . . . . . . . . . . 61

3.10.3. Emergency prevention, preparedness and response . . . . . . . . . . . . . . 65

3.10.4. Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

3.10.5. Contracting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

Evaluation 75

3.11. Performance monitoring and measurement . . . . . . . . . . . . . . . . . . . . 77

3.12. Investigation of work­related injuries, ill health, diseases and incidents, and their impact on safety and health performance. . . . . . . . . . . . . . . . . 82

3.13. Audit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

3.14. Management review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

viii Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Action for improvement 95

3.15. Preventive and corrective action . . . . . . . . . . . . . . . . . . . . . . . . . . 97

3.16. Continual improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

Appendices 105

Appendix 1 – Item 3.2 Worker participation – First worked example . . . . . . . . . . 107

Appendix 2 – Item 3.2 Worker participation – Second worked example . . . . . . . . . 111

Appendix 3 – Sample audit summary . . . . . . . . . . . . . . . . . . . . . . . . . . 115

Appendix 4 – Pre­audit planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

1User guide

User guide

This audit matrix has been designed to measure the effectiveness of an organization’s occupa­tional safety and health (OSH) management system and OSH performance, and to compare them against the Guidelines on Occupational Safety and Health Management Systems, ILO-OSH 2001. It is designed to identify the strengths and weaknesses that exist in an organization’s OSH management system, and to highlight opportunities for improvement. The matrix incorporates the requirement to complete a SWOT analysis for each item of the ILO­OSH 2001 guidelines. This will show the strengths, weaknesses, opportunities and threats that exist within the organi­zation being audited.

The matrix is intended to help auditors measure the 16 items recommended in the ILO­OSH 2001 guidelines, and which make up the OSH management system in an organization:

Policy

– Occupational safety and health policy

– Worker participation

Organizing

– Responsibility and accountability

– Competence and training

– Occupational safety and health management system documentation

– Communication

Planning and implementation

– Initial review

– System planning, development and implementation

– Occupational safety and health objectives

– Hazard prevention

– Prevention and control measures

– Management of change

– Emergency prevention, preparedness and response

– Procurement

– Contracting

Evaluation

– Performance monitoring and measurement

– Investigation of work­related injuries, ill health, diseases and incidents, and their impact on safety and health performance

– Audit

– Management review

2 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Action for improvement

– Preventive and corrective action

– Continual improvement

In order to assess the OSH management system and OSH performance accurately, the audit measurements should be honest and accurate. Marks need to be allocated carefully, and should be given only when the organization closely matches one of the five statements on each hori­zontal line of the matrix. In total, 159 separate lines of statements are used in the matrix, which provides an overall maximum score of 795 marks.

Although the audit matrix expresses the auditor’s opinions about the OSH management system and OSH performance, these opinions should, wherever possible, be supported by reliable evi­dence. Auditors need to start the audit with an open mind, and to not pre­judge the situation. They need to maintain an investigative approach, and seek evidence and draw conclusions that are supported by facts, wherever possible.

Evidence generally falls into four broad categories:

➔ Documentation. In making the assessments required by the matrix, auditors should use a wide range of evidence sources. This will include an examination of documents relating to policies, procedures, processes, organizational communications, incidents and OSH perfor­mance records.

➔ Inquiry. The auditors should ask questions both formally and informally. Many questions will be asked verbally, in an informal manner. These are often supported by more formal questions, which might for example be asked in the form of a written request for informa­tion, or as questionnaires and surveys. Auditors should treat evidence gained in this way as “soft”, because the answers they receive are the opinions of third parties, and may not be impartial, or may even be given to mislead the auditors.

➔ Observation. Auditors will also collect evidence through what they have heard, seen or touched during the audit. Observations and physical examinations are very reliable sources of audit evidence, and carry extra weight because the auditors have gathered the evidence themselves.

➔ Testing and verification. Auditors will normally perform both system tests on the OSH management system and checks on the physical work environment, equipment and tools. This involves checking that the OSH management system and the physical work environ­ment and equipment, tools and safety systems are working as they are supposed to. Auditors will also need to check that the organization is complying with national and state laws.

The auditors need to conduct interviews with workers, supervisors, managers, senior management, contractors, contract workers, the safety and health committee, workers’ representatives, and also other specialist functions such as a company nurse or doctor, or industrial hygienists. Physical inspections and walk­throughs are also essential, to ensure that the information gained from documents, records and interviews is true and accurate.

3User guide

How to use the matrix

The basic principle is that, for each of the 159 horizontal lines of the matrix, the auditor will choose the statement that most closely fits the organization’s status. The auditor will then allocate a mark that corresponds to the column to which the statement belongs. As explained above, these lines of statements are grouped in 16 tables, which correspond to the 16 thematic items recom­mended in ILO-OSH 2001.

As an example, let us examine item 3.1, Occupational safety and health policy.

NONE (1) POOr (2) FAIr (3) GOOD (4) ExCELLENT (5) rATING

The organization does not have a written OSH policy.

The organization has a written OSH policy, but it does not comply with national laws and regulations.

The organization has an OSH policy that complies with national laws and regulations, but does not comply with ILO guidelines.

The organization has an OSH policy that complies with national laws and regulations, and also with ILO guidelines.

The organization has an OSH policy that complies with all national laws and regulations, ILO guidelines, and collective agreements.

The written OSH policy is inadequate, although it does provide a limited description of management attitudes to OSH.

The policy briefly outlines the management attitude to OSH and a commitment to prevention of work-related injuries and ill health.

The policy describes the management attitude to OSH and the total commitment to protecting workers by preventing injuries, ill health, diseases and incidents.

The policy describes the management attitude to OSH and the prevention of injury, illness, diseases and incidents, and it has been agreed in consultation with workers and their representatives.

If the organization has no written OSH policy then the correct score would be 1 mark. If the organization has an OSH policy that meets national laws and regulations and ILO guidelines, then it would score 4 marks, unless it has also agreed the policy with workers and their repre­sentatives, in which case it would score 5 marks. We then proceed to the second line and again decide which statement most closely fits the organization’s status. We proceed through each line in this way until we have completed section 3.1 of the matrix.

In order to make these judgements, auditors need to be able to find reliable evidence that ensures they can allocate the correct scores. This will allow them to identify the strengths and weaknesses, and also to identify both opportunities for improvement and possible threats to the business that need to be brought senior management’s attention. This SWOT analysis will figure in the “audi­tor’s feedback” at the bottom of each scored thematic item.

Two completed samples of item 3.2, Worker participation, are provided in Appendices 1 and 2 as examples of how to use the matrix.

4 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

We suggested that an “audit summary” be established at the end of the audit period, which takes the actual total scores of the organization for each of the 16 items audited and compares them with the maximum possible scores. A “traffic light” – red, orange or green – can then be allocated to each of the items, to highlight areas where improvement is necessary. Appendix 3 provides a completed sample of such an audit summary.

General considerations in preparing pre-audit planning

Auditors need to conduct considerable planning before starting the audit. They need to decide when the audit should take place, and establish a sensible schedule for the work. They will need to agree on this workplan with the senior management of the organization being audited, unless it is an unannounced audit.

Auditors need to plan who they want to interview, what they want to see, and what documents and records they need to examine. As the audit progresses they may want to talk to people who were not on their interview list when they made the audit plan.

Auditors should ascertain exactly what documents they will need to examine as part of their audit preparation. A sample audit preparation document is attached as Appendix 4.

Auditors need to have obtained copies of the relevant national OSH laws (both federal and state), and have a copy of the ILO-OSH 2001 guidelines, plus documents relating to industry best practices and the standards expected by certification bodies. They need to have examined the organization’s OSH policy document to determine whether it meets the requirements of national OSH laws, regulations, approved codes of practice and the ILO-OSH 2001 guidelines.

Auditors will need to use multiple sources of evidence in order to audit and score the OSH per­formance of an organization accurately. Evidence will come from examining documents relating to plans, programmes, processes, policies, procedures, rules, records, statistics and data. This information should tell them what should be happening in the business, and the performance that is expected. They can measure then performance against these expectations.

Having examined the above documentary sources of information, they then need to measure whether what was described in the documents is actually happening in reality. Interviews with senior and middle management, supervisors, workers, contractors, contract workers, and OSH and medical personnel should help check their understanding of and compliance with the OSH policy and OSH management system. Interviews should also be held with unions and workers’ representatives, and with safety and health committee members.

Auditors also need to conduct comprehensive observations of the workplace, and look at house­keeping, and the condition of facilities, machinery, equipment, tools, and devices. They should examine closely all safety equipment and devices, fire and evacuation measures, personal pro­tective equipment (PPE), and the storage and use of hazardous materials. They will use their observations to identify “at­risk” behaviours, and look at supervision and the organization and control of work.

Auditors should also look at the procedures for controlling energy sources, machine guarding and materials handling, and at whether there is an appropriate system for managing change, and communicating changes to the workforce.

5User guide

Auditors should examine worker behaviours to identify “at­risk” behaviours. They should check compliance with standard operating procedures, and that work is being performed in the way prescribed by the job safety analysis or task analysis. They should question workers to ascertain their knowledge of OSH policy, procedures and rules. They should also ask workers and supervi­sors about the communication of OSH expectations and OSH results.

Audits must focus on identifying weaknesses and looking for improvements. Where problems are identified, corrective actions need to be formulated and remedial measures put in place in a timely manner.

Audits should lead to the correction of weaknesses in the OSH management system and its appli­cation in the workplace. Where weaknesses exist, an improvement plan needs to be formulated and put into action. Auditors should look to see whether weaknesses identified by previous audits and inspections have been corrected.

On-site audit activities

The OSH audit is intended to assess and verify the strengths and weaknesses of the OSH man­agement system, and to improve both this system and OSH performance. It is vitally important that everyone understands the purpose of the audit, and that it is seen as a positive measure to improve OSH management and performance. This should ensure higher standards of OSH, and a reduction of incidents and “at­risk” behaviours.

Opening interview

It is normal audit practice to begin the audit with an opening conference with senior site man­agement. This allows the auditors to introduce themselves and explain the audit process. They will define the scope of the audit, and explain its purpose. They will also discuss the audit sched­ule. The schedule of activities is agreed with senior management, and communicated to each part of the organization that will be audited.

Auditors are briefed on any hazardous conditions that exist on the site, and on the controls that are used to protect workers. Auditors need to wear appropriate personal protective clothing and equipment for their on­site activities. Arrangements need to ensure that these are available, unless the auditors have their own that provides the same levels of protection.

Auditors and senior management agree a timetable for the exit interview that will be used to present the preliminary findings of the audit. Site management will be given an agreed amount of time to examine the preliminary report, and to challenge any audit findings that they disagree with, or wish to challenge, or on which they need further clarification.

Typically, at the end of the opening interview, auditors will be given an orientation tour of the site with an explanation of expected safety behaviour, emergency response and evacuation procedures. OSH control measures and required PPE are explained as well.

Programme assessment and verification

The OSH audit then moves on to programme assessment and verification by starting a com­prehensive review of OSH programme documentation. The auditors will examine policies, pro­grammes, procedures, risk assessments, standards and related documents.

6 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

They will examine accident and incident reports, first­aid injury records, safety inspection records, citations and warnings from regulatory bodies. They will look at previous audit reports, certi­fication assessments, industrial hygiene survey reports, task analysis, job safety analyses (JSAs), material­handling assessments, process safety management documentation, and risk assessments. They will examine absence, illness and sickness rates. Supporting statistical data and corrective action logs should be reviewed.

The documentation review will be followed by a wide range of interviews with plant managers, departmental managers, supervisors, team leaders, union representatives, safety and health com­mittee members, medical personnel and a wide range of workers. They should be questioned on their awareness of the OSH programme and its implementation. Auditors should look for concerns, and for opportunities for improvement.

The auditors should spend sufficient time on examining the workplace, and this will involve the activities of the various departments. This is when auditors should identify the degree of acceptance and the quality of implementation of OSH policies, programmes, procedures and OSH activities.

During an audit the auditors will collect a huge amount of information and data. It will be impossible for them to remember it all unless they have taken notes as the audit progresses. So, irrespective of the experience of the auditors, it is absolutely essential that they take detailed field notes.

Auditors should look at the housekeeping to see whether a clean, tidy, healthy and safe work environment exists. They should also observe work processes to see whether procedures are fol­lowed, and that hazards have been identified and are properly controlled. If the auditors have specific concerns, they may require specialist testing to be undertaken, and will then review the test reports.

Auditors should also spend some time observing both task and non­task­related behaviours. They should compare the task­related behaviours with those that are described in the task analy­sis, job safety analysis or permit to work.

Exit interview

An exit interview is held with senior and site management in order to share the preliminary audit results and the observations of the audit team. Site management is given the opportunity to respond to these findings and observations, and to seek or provide clarification of issues aris­ing from the report. A date is agreed for the receipt of any responses or challenges to the audit findings that the site management wish to make. The organization is normally thanked for its cooperation and help, and a date is agreed upon for the delivery of the final report.

Final audit report

The final audit report should include the date and location of the audit, and identify all the par­ticipants who took part in or contributed information for the audit. The report should identify clearly which parts or activities of the organization were audited.

The report will include the audit findings, results and observations. It will also propose correc­tive actions, and set deadlines by which corrective actions or audit responses are to be completed. This would include the means of verifying corrective actions.

7User guide

Audit response

When the audited organization has received the final audit report, it should respond by describing what corrective actions have been taken and what actions are planned. It is essential that every weakness, every opportunity for improvement, and every threat identified in the audit report is subject to corrective actions and improvements. A log should be created that lists all the items that need to be addressed. This should set the timelines for improvements and corrections of each item needing such action, with responsibility allocated to a designated person for that action.

Audit closure

The audit file is not normally closed until a closure statement has been prepared. This should comprise of a listing of the audit findings, together with the corrective actions relating to each one. Closure occurs only when corrective actions are complete, and have been verified.

Policy

Policy 11

Pol

icy

Item

3.1

Occ

upat

iona

l saf

ety

and

heal

th p

olic

y

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

orga

niza

tion

has

a

wri

tten

OS

H p

olic

y,

but

it d

oes

not

com

ply

wit

h na

tion

al la

ws

or

regu

lati

ons.

The

orga

niza

tion

has

an

OS

H p

olic

y th

at c

ompl

ies

wit

h na

tion

al la

ws

and

regu

lati

ons,

but

doe

s no

t co

mpl

y w

ith

ILO

gu

idel

ines

.

The

orga

niza

tion

has

an

OS

H p

olic

y th

at c

ompl

ies

wit

h na

tion

al la

ws

and

regu

lati

ons,

and

als

o w

ith

ILO

gui

delin

es.

The

orga

niza

tion

has

an

OS

H p

olic

y th

at c

ompl

ies

wit

h al

l nat

iona

l law

s an

d re

gula

tion

s, I

LO

guid

elin

es, an

d co

llect

ive

agre

emen

ts.

BTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

wri

tten

OS

H p

olic

y

is in

adeq

uate

, al

thou

gh

it d

oes

prov

ide

a lim

ited

des

crip

tion

of

man

agem

ent

atti

tude

s

to O

SH

.

The

OS

H p

olic

y br

iefly

ou

tlin

es t

he m

anag

emen

t at

titu

de t

o O

SH

and

a

com

mit

men

t to

pre

vent

ion

of

wor

k-re

late

d in

juri

es

and

ill h

ealt

h.

The

OS

H p

olic

y de

scri

bes

the

man

agem

ent

atti

tude

to

OS

H a

nd t

he t

otal

co

mm

itm

ent

to p

rote

ctin

g w

orke

rs b

y pr

even

ting

in

juri

es, ill

hea

lth,

di

seas

es a

nd in

cide

nts.

The

OS

H p

olic

y de

scri

bes

the

man

agem

ent

atti

tude

to

OS

H a

nd t

he p

reve

ntio

n of

inju

ry, ill

ness

, di

seas

es

and

inci

dent

s, a

nd it

ha

s be

en a

gree

d in

co

nsul

tati

on w

ith

wor

kers

an

d th

eir

repr

esen

tati

ves.

CTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y ha

s no

t be

en a

gree

d w

ith

wor

kers

or

the

ir r

epre

sent

ativ

es.

The

OS

H p

olic

y ha

s be

en

agre

ed w

ith

only

ver

y lim

ited

con

sult

atio

n w

ith

wor

kers

.

The

OS

H p

olic

y ha

s be

en

agre

ed in

ful

l con

sult

atio

n w

ith

wor

kers

and

the

ir

repr

esen

tati

ves.

Wor

kers

are

enc

oura

ged

to p

arti

cipa

te a

ctiv

ely

in

all a

spec

ts o

f th

e O

SH

m

anag

emen

t sy

stem

, an

d ar

e co

nsul

ted

on a

ll m

atte

rs r

elat

ing

to O

SH

po

licie

s.

12 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y

is n

ot a

ppro

pria

te f

or t

he

type

or

size

of

busi

ness

.

Som

e el

emen

ts o

f th

e O

SH

pol

icy

are

appr

opri

ate

for

the

type

and

siz

e of

bu

sine

ss.

The

OS

H p

olic

y is

ge

nera

lly a

ppro

pria

te

for

the

type

and

siz

e

of b

usin

ess.

The

focu

s of

the

OS

H

polic

y is

to

find

way

s to

pr

even

t w

orkp

lace

inju

ries

, ill

ness

es a

nd d

isea

ses,

an

d to

ens

ure

the

wel

fare

of

the

wor

kfor

ce.

ETh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y

is n

ot w

ritt

en in

a c

onci

se

way

, an

d la

cks

clar

ity.

The

OS

H p

olic

y is

not

su

ffici

entl

y cl

earl

y w

ritt

en,

and

is t

here

fore

not

al

way

s un

ders

tand

able

by

ever

yone

.

The

OS

H p

olic

y is

con

cise

an

d cl

earl

y w

ritt

en, an

d is

und

erst

anda

ble

by

ever

yone

.

The

OS

H p

olic

y m

akes

it

cle

ar t

hat

ever

yone

has

O

SH

res

pons

ibili

ties

, th

eir

perf

orm

ance

of

thes

e du

ties

is m

onit

ored

, an

d pe

ople

are

hel

d ac

coun

tabl

e.

FTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y is

not

ef

fect

ivel

y co

mm

unic

ated

or

eas

ily a

cces

sibl

e to

ev

eryo

ne in

the

wor

kpla

ce.

The

OS

H p

olic

y is

co

mm

unic

ated

, bu

t is

not

re

adily

acc

essi

ble

by

eve

ryon

e in

the

ir p

lace

of

wor

k.

The

OS

H p

olic

y is

ge

nera

lly e

ffec

tive

ly

com

mun

icat

ed, an

d is

re

adily

acc

essi

ble

to

ever

yone

in t

heir

pla

ce o

f w

ork.

The

OS

H p

olic

y is

ver

y w

ell c

omm

unic

ated

, an

d en

sure

s th

at t

he O

SH

m

anag

emen

t sy

stem

is

com

pati

ble

wit

h or

is

inte

grat

ed in

to t

he o

ther

en

terp

rise

org

aniz

atio

nal

man

agem

ent

syst

ems

GTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y fa

ils

to c

omm

unic

ate

the

resp

onsi

bilit

ies

and

expe

ctat

ions

of

wor

kers

an

d m

anag

ers.

The

OS

H p

olic

y pr

ovid

es

som

e lim

ited

des

crip

tion

s of

the

res

pons

ibili

ties

and

ex

pect

atio

ns o

f w

orke

rs

and

man

ager

s.

The

OS

H p

olic

y de

scri

bes

the

over

all

the

resp

onsi

bilit

ies

and

expe

ctat

ions

of

wor

kers

an

d m

anag

ers.

The

OS

H p

olic

y de

scri

bes

in d

etai

l res

pons

ibili

ties

an

d ex

pect

atio

ns o

f w

orke

rs a

nd m

anag

ers,

m

akin

g it

cle

ar t

hat

perf

orm

ance

will

be

mon

itor

ed a

nd p

eopl

e he

ld

acco

unta

ble.

Policy 13

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HTh

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

Ther

e is

no

exte

rnal

co

mm

unic

atio

n of

OS

H

polic

y, r

espo

nsib

iliti

es

or e

xpec

tati

ons.

Very

lim

ited

co

mm

unic

atio

n of

OS

H

polic

y re

spon

sibi

litie

s an

d ex

pect

atio

ns is

pro

vide

d

to e

xter

nal b

odie

s.

The

OS

H p

olic

y is

als

o co

mm

unic

ated

to

all

cont

ract

ors,

vis

itor

s an

d ne

w h

ires

, an

d is

cov

ered

in

wor

ker

orie

ntat

ion.

The

OS

H p

olic

y is

als

o co

mm

unic

ated

to

ext

erna

l gro

ups

and

th

e co

mm

unit

y so

tha

t th

ey m

ay u

nder

stan

d

the

orga

niza

tion

’s a

ttit

ude

to O

SH

.

I*Th

e or

gani

zati

on d

oes

not

have

a w

ritt

en O

SH

pol

icy.

The

OS

H p

olic

y is

dat

ed,

and

has

not

been

rev

iew

ed

or u

pdat

ed f

or s

ever

al

year

s.

The

OS

H p

olic

y is

upd

ated

on

ly in

freq

uent

ly, an

d ha

s no

t be

en r

evie

wed

or

upda

ted

for

the

past

tw

o ye

ars.

The

OS

H p

olic

y is

re

gula

rly

revi

ewed

, up

date

d, a

nd s

igne

d

by s

enio

r m

anag

emen

t.

The

OS

H p

olic

y is

re

view

ed a

nd u

pdat

ed a

t le

ast

annu

ally

. It

is s

igne

d

by s

enio

r m

anag

emen

t

and

also

des

crib

es

the

card

inal

OS

H r

ules

of

the

ent

erpr

ise.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

OC

CU

PATI

ON

AL

SA

FETY

AN

D H

EA

LTH

PO

LIC

Y (m

ax. sc

ore

for

this

item

is 4

5)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

14 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Thre

ats

Gui

danc

e no

tes

OS

H p

olic

y is

the

fou

ndat

ion

of a

n ef

fect

ive

OS

H m

anag

emen

t sy

stem

, an

d w

itho

ut s

uch

a po

licy,

saf

ety

and

heal

th is

not

pro

perl

y m

anag

ed o

r as

sure

d.

Idea

lly, th

e po

licy

shou

ld b

e no

mor

e th

an o

ne A

4 p

age

long

; it

sho

uld

be c

onci

se, an

d si

mpl

e to

und

erst

and

by e

very

one

in t

he o

rgan

izat

ion.

The

OS

H p

olic

y sh

ould

pro

vide

ove

rall

dire

ctio

n an

d gu

idan

ce r

elat

ing

to o

ccup

atio

nal h

ealt

h an

d sa

fety

.

It s

houl

d in

clud

e a

visi

on s

tate

men

t th

at e

ncap

sula

tes

the

orga

niza

tion

’s a

ppro

ach

to O

SH

, su

ch a

s “

OS

H F

IRS

T” o

r “

Mai

ntai

ning

an

inju

ry-f

ree

wor

kpla

ce”.

OS

H p

olic

y sh

ould

be

trea

ted

as a

con

stan

t va

lue

that

will

nev

er c

hang

e, ir

resp

ecti

ve o

f ch

angi

ng p

rior

itie

s w

ithi

n th

e bu

sine

ss.

A m

issi

on s

tate

men

t sh

ould

als

o de

scri

be t

he o

rgan

izat

ion’

s ov

eral

l obj

ecti

ve r

elat

ing

to O

SH

– e

.g. to

be

the

safe

st s

teel

com

pany

in t

he U

nite

d S

tate

s.

Man

agem

ent

lead

ersh

ip n

eeds

to

driv

e th

e O

SH

pro

cess

and

add

val

ue b

y el

imin

atin

g or

red

ucin

g in

juri

es a

nd il

lnes

ses.

OS

H p

olic

y sh

ould

set

out

the

pri

ncip

les

and

guid

elin

es f

or O

SH

dec

isio

ns.

The

polic

y sh

ould

sta

te c

lear

ly t

op m

anag

emen

t’s c

omm

itm

ent

to s

afet

y an

d he

alth

.

The

polic

y sh

ould

hav

e th

e si

gnat

ure

of t

he p

resi

dent

or

CE

O, or

of

the

mos

t se

nior

man

ager

on

the

site

.

The

polic

y sh

ould

sta

te t

he o

rgan

izat

ion’

s co

mm

itm

ent

to c

ompl

ianc

e w

ith

regu

lato

ry r

equi

rem

ents

and

col

lect

ive

agre

emen

ts o

n O

SH

.

Wor

kers

will

be

cons

ulte

d an

d en

cour

aged

to

part

icip

ate

in a

ll el

emen

ts o

f O

SH

, an

d be

em

pow

ered

to

act

whe

n th

ey id

enti

fy u

nsaf

e co

ndit

ions

or

unsa

fe b

ehav

iour

.

OS

H p

olic

y w

ill b

e re

gula

rly

revi

ewed

, up

date

d an

d im

prov

ed t

hrou

gh a

con

tinu

ous

impr

ovem

ent

proc

ess.

Rev

iew

sho

uld

take

pla

ce a

t le

ast

annu

ally

.

OS

H d

utie

s an

d re

spon

sibi

litie

s w

ill b

e de

scri

bed,

and

eve

ryon

e is

hel

d re

spon

sibl

e an

d ac

coun

tabl

e fo

r th

eir

own

and

thei

r co

-wor

kers

saf

ety

and

heal

th.

Policy 15

Pol

icy

Item

3.2

Wor

ker

part

icip

atio

n

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

ere

is n

o cl

ear

evid

ence

w

ithi

n th

e or

gani

zati

on o

f m

anag

emen

t en

cour

agin

g or

see

king

to

invo

lve

or g

et

wor

kers

to

part

icip

ate

in

OS

H m

atte

rs.

Par

tici

pati

on is

lim

ited

to

fol

low

ing

OS

H

rule

s, p

roce

dure

s, a

nd

inst

ruct

ions

. Th

ere

is li

ttle

in

put

by w

orke

rs in

OS

H

mat

ters

.

Par

tici

pati

on is

en

cour

aged

by

man

agem

ent,

but

is

limit

ed t

o de

alin

g w

ith

spec

ific

OS

H p

robl

ems

wit

hin

the

orga

niza

tion

. M

anag

emen

t do

es n

ot

get

invo

lved

in p

lann

ing

or h

azar

d re

cogn

itio

n ac

tivi

ties

.

Man

agem

ent

has

cl

earl

y de

fined

the

rol

es

and

resp

onsi

bilit

ies

of

indi

vidu

al w

orke

rs, an

d of

the

saf

ety

and

heal

th

com

mit

tee.

The

man

agem

ent

polic

y an

d sy

stem

s do

cum

enta

tion

des

crib

es

the

impo

rtan

ce o

f w

orke

r pa

rtic

ipat

ion

and

invo

lvem

ent

in c

reat

ing

a sa

fe a

nd h

ealt

hy

wor

kpla

ce.

BO

SH

com

mun

icat

ion

wit

h w

orke

rs is

infr

eque

nt,

and

tend

s to

invo

lve

mai

nly

smal

l num

bers

of

wor

kers

and

be

focu

sed

on s

uper

viso

rs.

Man

agem

ent

has

min

imum

com

mun

icat

ion

wit

h w

orke

rs o

n O

SH

m

atte

rs.

Man

agem

ent

mai

ntai

ns

a lim

ited

am

ount

of

com

mun

icat

ion

wit

h w

orke

rs. Th

is

com

mun

icat

ion

is

gene

rally

a t

op-d

own

proc

ess,

and

litt

le

evid

ence

exi

sts

that

m

anag

emen

t kn

ows

wha

t th

eir

wor

kers

’ con

cern

s ar

e.

Ther

e is

reg

ular

and

fr

eque

nt d

ialo

gue

wit

h w

orke

rs, an

d th

e w

orke

rs’

view

s ar

e re

gard

ed a

s be

ing

very

impo

rtan

t.

The

docu

men

tati

on

desc

ribe

s sp

ecifi

c w

orke

r pa

rtic

ipat

ion

goal

s, a

nd

the

bene

fits

that

are

ga

ined

for

the

org

aniz

atio

n an

d it

s w

orke

rs. It

m

akes

saf

ety

and

heal

th

com

mun

icat

ions

to

be

vita

l to

ensu

re t

hat

ever

y pe

rson

in t

he o

rgan

izat

ion

unde

rsta

nds

thei

r ro

les

and

resp

onsi

bilit

ies.

16 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CW

orke

rs’ s

afet

y an

d he

alth

re

pres

enta

tive

s ha

ve

been

app

oint

ed b

ut r

arel

y m

eet.

The

ir r

ole

has

not

been

defi

ned,

and

the

y ha

ve li

ttle

invo

lvem

ent

in p

lann

ing,

eva

luat

ing

or s

eeki

ng im

prov

emen

t an

d so

luti

ons

to O

SH

pr

oble

ms.

A s

afet

y an

d he

alth

co

mm

itte

e ha

s be

en

form

ed, bu

t ha

s no

cle

ar

role

, an

d m

eets

ver

y in

freq

uent

ly. S

afet

y an

d he

alth

rep

rese

ntat

ives

ha

ve li

ttle

invo

lvem

ent

in

plan

ning

.

The

ente

rpri

se h

as

esta

blis

hed

a sa

fety

and

he

alth

com

mit

tee

that

co

nfor

ms

and

com

plie

s w

ith

the

requ

irem

ents

of

nat

iona

l law

s an

d re

gula

tion

s, a

nd p

ract

ice.

Th

e co

mm

itte

e’s

role

ha

s be

en d

efine

d,

and

incl

udes

wor

king

w

ith

man

agem

ent

in

eval

uati

ng, pl

anni

ng a

nd

impl

emen

ting

sol

utio

ns

and

impr

ovem

ents

.

The

ente

rpri

se h

as

esta

blis

hed

a sa

fety

and

he

alth

com

mit

tee

that

co

nfor

ms

and

com

plie

s w

ith

the

requ

irem

ents

of

nat

iona

l law

s an

d re

gula

tion

s, a

nd

prac

tice

. Th

e ro

le o

f th

e co

mm

itte

e ha

s be

en

defin

ed, an

d in

clud

es

haza

rd r

ecog

niti

on a

nd

OS

H c

omm

unic

atio

ns.

The

com

mit

tee

also

ha

s an

act

ive

role

in

eval

uati

ng O

SH

cha

nges

, an

d in

bui

ldin

g w

orke

r co

mpe

tenc

es in

OS

H.

The

orga

niza

tion

ens

ures

th

at a

ll ch

ange

s to

the

w

ork

envi

ronm

ent

and

proc

edur

es a

re d

iscu

ssed

w

ith

wor

kers

and

the

ir

repr

esen

tati

ves.

The

be

nefit

s ar

e co

mm

unic

ated

so

tha

t w

orke

rs c

an

prop

erly

und

erst

and

why

ch

ange

s ar

e be

ing

mad

e,

and

how

the

se c

hang

es w

ill

be b

enefi

cial

. Th

e sa

fety

an

d he

alth

com

mit

tee

is

high

ly in

volv

ed in

all

OS

H

mat

ters

, an

d en

sure

s th

at

wor

kers

’ con

cern

s ar

e de

alt

wit

h in

a t

imel

y m

anne

r.

DW

orke

rs a

nd t

heir

re

pres

enta

tive

s ar

e ra

rely

co

nsul

ted

on c

hang

es t

o pr

oces

ses

and

proc

edur

es.

Ther

e is

onl

y m

inim

al

cons

ulta

tion

wit

h w

orke

rs

rega

rdin

g O

SH

mat

ters

, an

d ch

ange

s to

pro

cess

es

and

proc

edur

es.

Ther

e is

onl

y lim

ited

co

nsul

tati

on w

ith

wor

kers

re

gard

ing

OS

H m

atte

rs,

and

chan

ges

to p

roce

sses

an

d pr

oced

ures

.

Ther

e is

a p

osit

ive

appr

oach

to

invo

lvin

g w

orke

rs in

OS

H m

atte

rs,

and

this

incl

udes

co

nsul

tati

on o

n ch

ange

s to

pr

oces

ses

and

proc

edur

es.

The

ente

rpri

se e

nsur

es

that

wor

kers

and

the

ir

repr

esen

tati

ves

are

cons

ulte

d, in

form

ed a

nd

trai

ned

on a

ll as

pect

s of

O

SH

tha

t im

pact

on

thei

r w

ork

and

safe

ty.

ETh

e or

gani

zati

on m

akes

no

tim

e av

aila

ble

for

wor

kers

or

the

ir r

epre

sent

ativ

es t

o ha

ve m

eeti

ngs

insi

de t

heir

no

rmal

wor

king

hou

rs.

The

orga

niza

tion

mak

es

littl

e ti

me

avai

labl

e fo

r w

orke

rs o

r th

eir

repr

esen

tati

ves

to h

ave

mee

ting

s. T

hese

are

ver

y in

freq

uent

; th

ey f

ocus

m

ainl

y on

issu

es r

aise

d by

man

agem

ent,

and

onl

y ra

rely

on

issu

es r

aise

d by

w

orke

rs.

The

orga

niza

tion

doe

s ha

ve m

eeti

ngs

on a

re

gula

r ba

sis,

but

the

se

tend

to

occu

r on

ly

once

per

qua

rter

, an

d th

e ag

enda

item

s fo

r di

scus

sion

ten

d to

not

in

clud

e is

sues

rai

sed

by w

orke

rs o

r th

eir

repr

esen

tati

ves.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w r

egul

ar

mee

ting

s to

dis

cuss

OS

H

issu

es. W

orke

rs h

ave

the

oppo

rtun

ity

to p

ut

issu

es o

n th

e ag

enda

for

di

scus

sion

.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w w

orke

rs

and

thei

r sa

fety

and

hea

lth

repr

esen

tati

ves

to a

ctiv

ely

part

icip

ate

in e

valu

atin

g,

orga

nizi

ng, pl

anni

ng a

nd

impl

emen

tati

on o

f ac

tion

s to

impr

ove

the

OS

H

man

agem

ent

syst

em.

Policy 17

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e O

SH

cul

ture

wit

hin

the

orga

niza

tion

is t

hat

safe

ty a

nd h

ealt

h is

an

extr

a ex

pens

e, a

nd c

ause

s ex

tra

wor

k to

be

done

.

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on f

ails

to

prop

erly

see

the

val

ue o

f go

od O

SH

pro

cedu

re a

nd

prac

tice

s. T

his

nega

tive

at

titu

de is

tra

nsm

itte

d to

w

orke

rs.

The

OS

H c

ultu

re in

th

e or

gani

zati

on is

in

diff

eren

t to

OS

H, an

d ta

kes

no r

eally

pos

itiv

e in

itia

tive

s to

pro

mot

e w

orke

r pa

rtic

ipat

ion

or

invo

lvem

ent

in O

SH

m

atte

rs.

The

OS

H c

ultu

re in

th

e or

gani

zati

on is

po

siti

ve, an

d th

is h

as

enco

urag

ed g

ood

leve

ls o

f w

orke

r in

volv

emen

t an

d pa

rtic

ipat

ion.

The

OS

H c

ultu

re is

ex

trem

ely

posi

tive

, an

d is

val

ued

by b

oth

man

agem

ent

and

wor

kers

. W

orke

rs a

re f

ully

eng

aged

an

d pa

rtic

ipat

e w

idel

y on

O

SH

mat

ters

.

GW

orke

rs f

eel l

ittl

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

. Th

ey r

egar

d it

as

the

resp

onsi

bilit

y of

th

e m

anag

emen

t or

the

O

SH

pro

fess

iona

l.Jo

b de

scri

ptio

ns d

o no

t de

tail

OS

H p

erfo

rman

ce.

Wor

kers

acc

ept

som

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

, bu

t ar

e no

t gi

ven

the

oppo

rtun

ity

to

part

icip

ate

fully

in O

SH

m

atte

rs.

OS

H is

not

det

aile

d in

job

desc

ript

ions

.

Wor

kers

see

OS

H a

s pa

rt o

f th

eir

role

and

re

spon

sibi

lity,

and

OS

H

is a

n el

emen

t in

the

ir jo

b de

scri

ptio

ns.

Wor

kers

do

not

rece

ive

feed

back

or

reco

gnit

ion

for

OS

H p

erfo

rman

ce.

Wor

kers

see

OS

H a

s pa

rt

of t

heir

res

pons

ibili

ties

, w

hich

is s

tate

d in

th

eir

job

desc

ript

ion.

Th

ey a

re e

ncou

rage

d to

mak

e su

gges

tion

s th

at w

ill im

prov

e O

SH

pe

rfor

man

ce.

Wor

kers

rec

eive

fee

dbac

k on

OS

H p

erfo

rman

ce,

but

no f

orm

al a

war

d or

re

cogn

itio

n pr

oces

s ex

ists

.

Wor

kers

tak

e ow

ners

hip

of O

SH

pro

gram

mes

; th

ey

appl

y th

em d

ilige

ntly

, an

d ta

ke p

ride

in p

rom

otin

g th

em. O

SH

per

form

ance

is

sub

ject

to

a ri

goro

us

appr

aisa

l pro

cess

by

supe

rvis

ors

and

man

ager

s.

A r

ewar

d an

d re

cogn

itio

n pr

oces

s is

in p

lace

.

HW

orke

rs h

ave

rece

ived

ve

ry li

ttle

info

rmat

ion

or

trai

ning

on

OS

H is

sues

.Th

ey a

re u

nabl

e to

sta

te

the

maj

or h

azar

ds in

the

ir

wor

k en

viro

nmen

t, o

r th

e m

easu

res

to b

e ta

ken

to

min

imiz

e ri

sks.

Wor

kers

rec

eive

d ba

sic

OS

H in

form

atio

n an

d tr

aini

ng a

t th

e ti

me

of

thei

r in

duct

ion.

They

hav

e re

ceiv

ed

no r

efre

sher

or

OS

H

com

pete

nce-

build

ing

trai

ning

, an

d ha

ve li

mit

ed

unde

rsta

ndin

g of

OS

H.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g, a

nd

som

e ad

diti

onal

tra

inin

g re

gard

ing

OS

H la

ws,

re

gula

tion

and

rul

es.

They

are

abl

e to

id

enti

fy h

azar

ds in

the

ir

wor

kpla

ce, an

d st

ate

the

risk

s th

at e

xist

and

the

m

easu

res

to b

e ta

ken

to

min

imiz

e th

ese

risk

s.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g an

d re

fres

her

trai

ning

. Th

ey

can

stat

e th

e ha

zard

s in

th

eir

wor

kpla

ce.

They

are

cap

able

of

unde

rtak

ing

task

ana

lysi

s to

iden

tify

haz

ards

, an

d ar

e ab

le t

o ev

alua

te

pote

ntia

l sol

utio

ns.

The

orga

niza

tion

has

de

velo

ped

and

use

com

pete

nce-

build

ing

tool

s w

hich

ens

ure

that

all

wor

kers

hav

e a

thor

ough

un

ders

tand

ing

of O

SH

co

ncep

ts a

nd t

he s

ite-

spec

ific

risk

s th

at t

hey

may

enc

ount

er.

Wor

kers

are

cap

able

of

und

erta

king

haz

ard

iden

tific

atio

n an

d ri

sk

asse

ssm

ent,

and

are

ab

le t

o co

nduc

t sa

fety

be

havi

our

obse

rvat

ions

.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.2

WO

rK

Er

PA

rTI

CIP

ATIO

N (

max

. sc

ore

for

this

item

is 4

0)

18 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

In m

any

case

s, n

atio

nal l

aws

will

man

date

tha

t th

e or

gani

zati

on m

ust

enco

urag

e an

d nu

rtur

e w

orke

r pa

rtic

ipat

ion.

Eve

n if

not

man

date

d by

nat

iona

l law

s, w

orke

r pa

rtic

ipat

ion

is a

n es

sent

ial e

lem

ent

of a

n ef

fect

ive

OS

H m

anag

emen

t sy

stem

, ir

resp

ecti

ve o

f th

e si

ze o

r ty

pe o

f or

gani

zati

on.

Em

ploy

ers

shou

ld e

nsur

e th

at w

orke

rs a

nd t

heir

rep

rese

ntat

ives

are

con

sult

ed, in

form

ed a

nd t

rain

ed o

n al

l asp

ects

of

OS

H, in

clud

ing

emer

genc

y ar

rang

emen

ts,

asso

ciat

ed w

ith

thei

r w

ork.

Em

ploy

ers

shou

ld m

ake

arra

ngem

ents

for

wor

kers

and

the

ir r

epre

sent

ativ

es t

o ha

ve t

he t

ime

and

reso

urce

s to

par

tici

pate

act

ivel

y in

the

pro

cess

es o

f or

gani

zing

, pl

anni

ng, im

plem

enta

tion

, ev

alua

tion

and

act

ion

for

impr

ovin

g th

e O

SH

man

agem

ent

syst

em.

The

orga

niza

tion

sho

uld

ensu

re, as

app

ropr

iate

, th

e es

tabl

ishm

ent

and

effic

ient

fun

ctio

ning

of

a sa

fety

and

hea

lth

com

mit

tee,

and

the

rec

ogni

tion

of

wor

kers

’ saf

ety

and

heal

th r

epre

sent

ativ

es.

Policy 19

Wor

kers

sho

uld

be a

ctiv

ely

invo

lved

in e

mer

genc

y pr

epar

edne

ss, ta

sk a

naly

sis,

saf

ety

asse

ssm

ents

, ev

alua

tion

and

rev

isio

n of

sta

ndar

d op

erat

ing

proc

edur

es, O

SH

tr

aini

ng p

rogr

amm

es a

nd e

valu

atio

ns/a

udit

s.

Wor

kers

at

ever

y le

vel o

f th

e or

gani

zati

on s

houl

d be

act

ivel

y in

volv

ed in

the

dev

elop

men

t, im

plem

enta

tion

and

con

tinu

ous

impr

ovem

ent

of O

SH

arr

ange

men

ts.

Wor

ker

part

icip

atio

n is

an

esse

ntia

l ele

men

t of

sou

nd O

SH

arr

ange

men

ts, an

d id

eally

wor

kers

sho

uld

be e

ncou

rage

d to

ass

ume

owne

rshi

p of

the

OS

H p

roce

ss.

Wor

kers

sho

uld

feel

em

pow

ered

to

act

imm

edia

tely

if t

hey

see

unsa

fe c

ondi

tion

s or

at-

risk

beh

avio

urs

in t

he w

orkp

lace

, an

d sh

ould

hav

e th

e po

wer

to

stop

wor

k w

here

the

y se

e an

y si

tuat

ion

that

cou

ld c

ause

har

m t

o pe

ople

or

prop

erty

.

Goo

d co

mm

unic

atio

ns a

re v

ital

to

ensu

re t

hat

wor

kers

and

man

agem

ent

are

cons

tant

ly u

pdat

ed o

n O

SH

issu

es a

nd m

atte

rs.

The

orga

niza

tion

sho

uld

ensu

re t

hat

wor

kers

hav

e bo

th f

orm

al a

nd in

form

al c

hann

els

to c

omm

unic

ate

thei

r co

ncer

ns r

egar

ding

OS

H is

sues

, an

d to

be

able

to

shar

e th

eir

idea

s to

impr

ove

the

OS

H p

rogr

amm

e.

Organizing

23Organizing

Org

aniz

ing

Item

3.3

res

pons

ibili

ty a

nd a

ccou

ntab

ility

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o on

e in

the

org

aniz

atio

n ha

s ta

ken

resp

onsi

bilit

y fo

r O

SH

or

the

prot

ecti

on

of w

orke

rs.

Man

agem

ent

dem

onst

rate

s lit

tle

inte

rest

in O

SH

, an

d fa

il to

tak

e ov

eral

l re

spon

sibi

lity

for

OS

H.

The

orga

niza

tion

acc

epts

so

me

resp

onsi

bilit

y fo

r O

SH

, bu

t no

ove

rall

cont

rol i

s ex

erci

sed.

The

orga

niza

tion

acc

epts

re

spon

sibi

lity

for

OS

H a

nd

the

prot

ecti

on o

f w

orke

rs.

The

orga

niza

tion

clea

rly d

emon

stra

tes

its

acce

ptan

ce o

f re

spon

sibi

lity

to p

rote

ct w

orke

rs a

nd

othe

rs f

rom

haz

ards

.

BR

oles

and

res

pons

ibili

ties

ha

ve n

ot b

een

defin

ed.

Rol

es a

nd r

espo

nsib

iliti

es

have

bee

n co

mm

unic

ated

ve

rbal

ly, bu

t ha

ve n

ot

been

doc

umen

ted.

Wor

kers

pay

litt

le r

egar

d to

ful

fillin

g th

eir

role

s or

re

spon

sibi

litie

s.

Rol

es a

nd r

espo

nsib

iliti

es

have

bee

n co

mm

unic

ated

bo

th v

erba

lly a

nd in

w

riti

ng. W

hen

ques

tion

ed,

som

e w

orke

rs w

ere

unab

le

to s

tate

cle

arly

wha

t th

eir

role

s an

d re

spon

sibi

litie

s w

ere.

Rol

es a

nd r

espo

nsib

iliti

es

have

bee

n co

mm

unic

ated

bo

th v

erba

lly a

nd in

w

riti

ng t

o m

ost

wor

kers

. W

hen

ques

tion

ed, w

orke

rs

wer

e ab

le t

o de

scri

be t

heir

ro

les

and

resp

onsi

bilit

ies.

Rol

es a

nd r

espo

nsib

iliti

es

have

bee

n co

mm

unic

ated

to

eve

ry w

orke

r, bo

th

verb

ally

and

in w

riti

ng.

Wor

kers

wer

e ab

le t

o de

scri

be t

heir

rol

es a

nd

resp

onsi

bilit

ies

in d

etai

l, an

d w

ere

enth

usia

stic

ab

out

perf

orm

ing

thes

e.

CTh

ere

was

no

mea

sure

men

t of

pe

rfor

man

ce b

eing

mad

e,

and

wor

kers

wer

e ne

ver

mad

e ac

coun

tabl

e fo

r th

eir

perf

orm

ance

.

Ther

e w

as n

o ac

tion

tak

en

by m

anag

emen

t to

mak

e w

orke

rs a

ccou

ntab

le f

or

perf

orm

ing

thei

r ro

les

and

resp

onsi

bilit

ies.

Som

e w

orke

rs w

ere

awar

e of

the

ir r

oles

and

re

spon

sibi

litie

s. T

hey

wer

e aw

are

that

the

y w

ould

be

obse

rved

and

mea

sure

d on

ly o

ccas

iona

lly, an

d th

at

this

did

not

invo

lve

ever

y w

orke

r.

Mos

t w

orke

rs w

ere

awar

e of

the

ir r

oles

and

re

spon

sibi

litie

s, a

nd

they

kne

w t

hat

som

e le

vel o

f ob

serv

atio

n an

d m

easu

rem

ent

wou

ld

gene

rally

be

mad

e.

Wor

kers

kne

w t

hat

they

w

ould

gen

eral

ly b

e m

ade

acco

unta

ble

for

thei

r be

havi

our.

All

wor

kers

kne

w

exac

tly

thei

r ro

les

and

resp

onsi

bilit

ies,

and

w

ere

awar

e th

at t

heir

pe

rfor

man

ce w

as b

eing

m

easu

red.

Wor

kers

kne

w

that

the

y w

ere

held

ac

coun

tabl

e, a

nd t

hat

acti

on w

ould

be

take

n if

th

ey f

aile

d to

ful

fil t

heir

ro

le t

o th

e sa

tisf

acti

on o

f m

anag

emen

t.

24 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

e en

terp

rise

fai

led

to

defin

e an

d co

mm

unic

ate

the

OS

H s

truc

ture

tha

t w

as in

pla

ce t

o m

anag

e sa

fety

and

hea

lth.

No

one

was

iden

tifie

d as

bei

ng r

espo

nsib

le f

or

OS

H.

OS

H w

as n

ot s

een

as

a lin

e m

anag

emen

t fu

ncti

on, bu

t w

as p

lace

d in

the

han

ds o

f a

safe

ty

offic

er.

Man

agem

ent

was

di

seng

aged

fro

m t

he O

SH

pr

oces

s, a

nd w

orke

rs h

ad

no c

lear

und

erst

andi

ng

of t

heir

dut

ies

or

resp

onsi

bilit

ies.

OS

H w

as s

een

as a

line

m

anag

emen

t fu

ncti

on,

but,

whe

n qu

esti

oned

, su

perv

isor

s cl

aim

ed t

hey

had

no t

ime

to m

anag

e sa

fety

and

hea

lth

issu

es.

OS

H w

as s

een

as a

line

m

anag

emen

t fu

ncti

on,

and

this

was

wel

com

ed

by li

ne s

uper

viso

rs a

nd

man

ager

s.S

enio

r m

anag

emen

t su

ppor

ted

line

man

ager

s,

and

ensu

red

that

line

m

anag

emen

t w

as v

isib

le

and

able

to

iden

tify

w

here

wor

kers

wer

e no

t fu

lfilli

ng t

heir

rol

es o

r re

spon

sibi

litie

s.

OS

H w

as s

een

as a

line

m

anag

emen

t fu

ncti

on,

and

ever

y w

orke

r ha

d a

safe

ty a

nd h

ealt

h ro

le a

nd

resp

onsi

bilit

y.Th

e or

gani

zati

on o

f he

alth

and

saf

ety

had

been

com

mun

icat

ed a

nd

unde

rsto

od b

y al

l, an

d w

orke

rs c

arri

ed o

ut t

heir

du

ties

and

res

pons

ibili

ties

en

thus

iast

ical

ly.

Wor

kers

und

erst

ood

the

stru

ctur

e of

OS

H

man

agem

ent,

and

who

he

ld a

utho

rity

for

dif

fere

nt

elem

ents

of

OS

H.

ETh

e su

perv

isor

s in

the

or

gani

zati

on s

how

ed n

o in

tere

st in

hea

lth

and

safe

ty, an

d fo

cuse

d on

ly

on m

axim

izin

g pr

oduc

tion

an

d pr

oduc

tivi

ty.

Sup

ervi

sors

fel

t lit

tle

resp

onsi

bilit

y fo

r he

alth

an

d sa

fety

, an

d di

d no

t se

e O

SH

as

a lin

e re

spon

sibi

lity.

Sup

ervi

sors

acc

epte

d th

at

they

had

res

pons

ibili

ty

for

OS

H, an

d w

ere

will

ing

to p

erfo

rm t

his

duty

, bu

t la

cked

the

tim

e to

giv

e it

th

e ri

ght

leve

l of

atte

ntio

n.

Sup

ervi

sors

acc

epte

d th

ey h

ad a

dut

y to

pr

otec

t w

orke

rs f

rom

OS

H

haza

rds.

The

y ac

tive

ly

invo

lved

and

enc

oura

ged

wor

kers

in f

ulfil

ling

thei

r O

SH

dut

ies

and

resp

onsi

bilit

ies.

They

sch

edul

ed t

ime

each

w

eek

to o

bser

ve w

orke

rs,

and

to p

rovi

de f

eedb

ack

to w

orke

rs o

n th

eir

perf

orm

ance

.

Sup

ervi

sors

acc

epte

d th

ey

had

a m

ajor

res

pons

ibili

ty

to p

rote

ct w

orke

rs f

rom

he

alth

and

saf

ety

haza

rds.

Sup

ervi

sors

and

man

ager

s sc

hedu

led

tim

e ea

ch d

ay

to c

ondu

ct o

bser

vati

ons,

an

d to

obt

ain

feed

back

fr

om w

orke

rs r

egar

ding

O

SH

issu

es.

25Organizing

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e or

gani

zati

on

has

no s

yste

m t

hat

prom

otes

coo

pera

tion

an

d co

mm

unic

atio

n be

twee

n it

s w

orke

rs a

nd

man

agem

ent.

This

mea

ns t

he

orga

niza

tion

fai

ls t

o im

plem

ent

all t

he

elem

ents

of

an e

ffec

tive

O

SH

man

agem

ent

sy

stem

.

The

orga

niza

tion

has

no

OS

H m

anag

emen

t sy

stem

th

at is

con

sist

entl

y in

pl

ace

and

bein

g ap

plie

d.O

SH

act

ivit

y is

fr

agm

ente

d, a

nd

freq

uent

ly w

orke

rs

and

thei

r re

pres

enta

tive

s do

not

rec

eive

any

co

mm

unic

atio

ns r

elat

ing

to O

SH

act

ivit

ies

or

issu

es. Th

is r

esul

ts in

po

or c

oope

rati

on b

etw

een

diff

eren

t se

ctio

ns a

nd

grou

ps.

The

orga

niza

tion

has

som

e el

emen

ts o

f an

eff

ecti

ve

OS

H s

yste

m in

pla

ce.

Ther

e is

goo

d co

oper

atio

n an

d co

mm

unic

atio

n w

ith

som

e pa

rts

of t

he

orga

niza

tion

. Th

is n

eeds

to

be

enla

rged

to

reac

h al

l pa

rts

of t

he b

usin

ess.

The

orga

niza

tion

has

an

eff

ecti

ve O

SH

m

anag

emen

t sy

stem

, w

hich

is f

ollo

wed

by

all

part

s of

the

org

aniz

atio

n.G

ood

com

mun

icat

ion

chan

nels

exi

st w

ith

all

part

s of

the

bus

ines

s, a

nd

this

ens

ures

tha

t ev

eryo

ne

in t

he o

rgan

izat

ion

is k

ept

awar

e of

OS

H is

sues

.

The

orga

niza

tion

has

an

inte

grat

ed a

ppro

ach

to

prov

idin

g an

eff

ecti

ve a

nd

robu

st O

SH

man

agem

ent

syst

em.

Full

coop

erat

ion

and

exce

llent

com

mun

icat

ion

exis

ts w

ithi

n al

l ele

men

ts

of t

he o

rgan

izat

ion.

Th

is e

nsur

es a

n ef

fect

ive,

ho

listi

c ap

proa

ch t

o O

SH

m

anag

emen

t.

GTh

e or

gani

zati

on p

rovi

des

very

lim

ited

res

ourc

es

for

OS

H, an

d th

is a

llow

s to

tally

inad

equa

te O

SH

ac

tivi

ty.

Nec

essa

ry O

SH

act

ivit

ies

are

not

carr

ied

out

beca

use

of a

lack

of

fund

ing.

The

orga

niza

tion

pr

ovid

es li

mit

ed a

nd v

ery

inad

equa

te r

esou

rces

for

O

SH

.Th

is m

eans

the

re is

no

budg

et f

or n

eces

sary

OS

H

effo

rts.

The

orga

niza

tion

pro

vide

s fu

nds

to p

rovi

de f

or b

asic

O

SH

nee

ds.

Insu

ffici

ent

fund

s ar

e m

ade

avai

labl

e to

allo

w

maj

or im

prov

emen

ts t

o O

SH

mat

ters

.

The

orga

niza

tion

pro

vide

s ad

equa

te r

esou

rces

to

allo

w f

or a

ll no

rmal

O

SH

act

ivit

ies

and

requ

irem

ents

. Th

ese

fund

s al

low

OS

H t

o pe

rfor

m a

t a

good

leve

l.In

vest

men

t is

mad

e ea

ch

year

to

impr

ove

OS

H,

and

to f

und

cont

inuo

us

impr

ovem

ent.

The

orga

niza

tion

has

a

very

com

preh

ensi

ve

budg

et s

yste

m, w

hich

en

sure

s th

at a

dequ

ate

reso

urce

s ar

e av

aila

ble

for

OS

H e

ffor

ts.

Ther

e is

als

o a

cont

inge

ncy

fund

to

ensu

re t

hat

reso

urce

s ar

e av

aila

ble

for

non-

budg

eted

an

d em

erge

ncy

situ

atio

ns.

Man

agem

ent

stat

es t

hat

if

an O

SH

nee

d is

ess

enti

al,

fund

s w

ill a

lway

s be

mad

e av

aila

ble.

26 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HTh

ere

are

seri

ous

inad

equa

cies

in t

he

iden

tific

atio

n, e

limin

atio

n an

d co

ntro

l of

wor

kpla

ce

haza

rds.

The

duty

to

iden

tify

ha

zard

s an

d as

sess

ri

sks

has

not

been

mad

e th

e re

spon

sibi

lity

of a

co

mpe

tent

per

son.

The

proc

ess

of id

enti

fyin

g,

elim

inat

ing

and

cont

rolli

ng h

azar

ds is

not

ca

rrie

d ou

t w

ell.

Som

e ri

sks

are

not

prop

erly

rec

ogni

zed,

an

d ar

e th

eref

ore

not

cont

rolle

d to

pro

duce

ac

cept

able

leve

ls o

f ri

sk.

The

iden

tific

atio

n,

elim

inat

ion

and

cont

rol

of h

azar

ds a

re n

ot c

arri

ed

out

to a

n ap

prop

riat

e st

anda

rd.

Ris

ks a

re s

omet

imes

not

as

sess

ed p

rope

rly,

and

m

itig

atio

n m

easu

res

are

not

put

in p

lace

.

The

iden

tific

atio

n,

elim

inat

ion

and

cont

rol o

f ha

zard

s is

gen

eral

ly d

ealt

w

ith

to a

goo

d st

anda

rd.

Ris

ks a

re g

ener

ally

ac

cura

tely

ass

esse

d,

and

mit

igat

ion

mea

sure

s ar

e us

ed t

o pr

oduc

e ac

cept

able

ris

k le

vels

.

The

orga

niza

tion

has

an

outs

tand

ing

prog

ram

me

for

haza

rd id

enti

ficat

ion

and

risk

con

trol

, w

hich

co

vers

pro

cess

es,

proc

edur

es a

nd h

uman

be

havi

our.

Ris

k as

sess

men

ts

use

both

qua

litat

ive

and

quan

tita

tive

m

easu

rem

ents

, an

d th

e re

sult

s of

ass

essm

ents

ar

e w

idel

y co

mm

unic

ated

th

roug

hout

the

or

gani

zati

on.

IN

o se

nior

man

ager

tak

es

resp

onsi

bilit

y fo

r O

SH

, or

car

ries

out

per

iodi

c re

view

s of

the

OS

H

man

agem

ent

syst

em.

A ju

nior

man

ager

tak

es

resp

onsi

bilit

y fo

r O

SH

is

sues

, bu

t fa

ils t

o ca

rry

out

peri

odic

ass

essm

ents

or

rev

iew

s of

the

OS

H

man

agem

ent

syst

em.

A s

enio

r m

anag

er h

as

been

app

oint

ed t

o ta

ke

resp

onsi

bilit

y fo

r O

SH

.Li

ttle

tim

e is

spe

nt

talk

ing

wit

h w

orke

rs a

nd

supe

rvis

ors,

and

onl

y lim

ited

att

enti

on is

giv

en

to d

ealin

g w

ith

OS

H

issu

es.

A s

enio

r m

anag

er

take

s re

spon

sibi

lity

and

auth

orit

y fo

r th

e de

velo

pmen

t an

d im

plem

enta

tion

of

the

OS

H m

anag

emen

t sy

stem

.R

egul

ar c

onta

ct w

ith

wor

kers

and

sup

ervi

sors

is

mai

ntai

ned,

and

OS

H

issu

es a

re d

ealt

wit

h.

A s

enio

r m

anag

er is

au

thor

ized

to

take

re

spon

sibi

lity

for

OS

H,

and

mai

ntai

ns d

aily

co

ntac

t w

ith

wor

kers

and

su

perv

isor

s.O

SH

issu

es a

re q

uick

ly

asse

ssed

and

dea

lt w

ith,

an

d im

prov

emen

ts t

o th

e O

SH

man

agem

ent

syst

em

are

purs

ued.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.3

rE

SP

ON

SIB

ILIT

Y A

ND

AC

CO

UN

TAB

ILIT

Y (m

ax. sc

ore

for

this

item

is 4

5)

27Organizing

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

The

orga

niza

tion

mus

t ta

ke o

vera

ll re

spon

sibi

lity

for

the

prot

ecti

on o

f w

orke

rs’ s

afet

y an

d he

alth

, an

d pr

ovid

e le

ader

ship

for

OS

H a

ctiv

itie

s in

the

org

aniz

atio

n.

The

orga

niza

tion

and

its

seni

or m

anag

emen

t sh

ould

allo

cate

res

pons

ibili

ty, ac

coun

tabi

lity

and

auth

orit

y fo

r th

e de

velo

pmen

t, im

plem

enta

tion

and

per

form

ance

of

the

OS

H m

anag

emen

t sy

stem

and

to

achi

eve

OS

H o

bjec

tive

s.

Str

uctu

res

and

proc

esse

s sh

ould

be

esta

blis

hed

to:

– en

sure

tha

t O

SH

is a

line

man

agem

ent

resp

onsi

bilit

y, a

nd t

hat

this

is k

now

n an

d ac

cept

ed a

t al

l lev

els

wit

hin

the

orga

niza

tion

;

– de

fine

and

com

mun

icat

e to

mem

bers

of

the

orga

niza

tion

the

res

pons

ibili

ty, ac

coun

tabi

lity,

and

aut

hori

ty o

f pe

rson

s w

ho id

enti

fy, ev

alua

te o

r co

ntro

l OS

H

haza

rds

and

risk

s;

– pr

ovid

e ef

fect

ive

and

visi

ble

supe

rvis

ion

to e

nsur

e th

e pr

otec

tion

of

wor

kers

’ saf

ety

and

heal

th;

28 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

– pr

omot

e co

oper

atio

n an

d co

mm

unic

atio

n be

twee

n m

embe

rs o

f th

e or

gani

zati

on, in

clud

ing

wor

kers

and

the

ir r

epre

sent

ativ

es, to

impl

emen

t th

e el

emen

ts

of t

he o

rgan

izat

ion’

s O

SH

man

agem

ent

syst

em;

– fu

lfil t

he p

rinc

iple

s of

OS

H m

anag

emen

t sy

stem

s co

ntai

ned

in r

elev

ant

nati

onal

gui

delin

es, ta

ilore

d gu

idel

ines

or

volu

ntar

y pr

ogra

mm

es, an

d en

sure

com

plia

nce

wit

h na

tion

al O

SH

law

s an

d re

gula

tion

s;

– es

tabl

ish

and

impl

emen

t a

clea

r O

SH

pol

icy

and

mea

sura

ble

obje

ctiv

es;

– es

tabl

ish

effe

ctiv

e ar

rang

emen

ts t

o id

enti

fy a

nd e

limin

ate

or c

ontr

ol w

ork-

rela

ted

haza

rds

and

risk

s an

d pr

omot

e he

alth

at

wor

k;

– es

tabl

ish

prev

enti

on a

nd h

ealt

h pr

omot

ion

prog

ram

mes

;

– en

sure

eff

ecti

ve a

rran

gem

ents

for

the

ful

l par

tici

pati

on o

f w

orke

rs a

nd t

heir

rep

rese

ntat

ives

, an

d of

saf

ety

and

heal

th c

omm

itte

es if

the

y ex

ist;

– a

pers

on o

r pe

rson

s at

sen

ior

man

agem

ent

leve

l is/

are

appo

inte

d w

ith

resp

onsi

bilit

y, a

ccou

ntab

ility

and

aut

hori

ty f

or (

1)

deve

lopm

ent,

impl

emen

tati

on, pe

riod

ic

revi

ew a

nd e

valu

atio

n of

the

OS

H m

anag

emen

t sy

stem

, (2

) pe

riod

ic r

epor

ting

to

the

seni

or m

anag

emen

t on

OS

H p

erfo

rman

ce a

nd t

he O

SH

man

agem

ent

syst

em,

(3)

prom

otin

g th

e pa

rtic

ipat

ion

of a

ll m

embe

rs o

f th

e or

gani

zati

on.

29Organizing

Org

aniz

ing

Item

3.4

Com

pete

nce

and

trai

ning

NO

NE

P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on h

as

not

esta

blis

hed

the

com

pete

nces

req

uire

d

in O

SH

.

The

orga

niza

tion

ha

s es

tabl

ishe

d th

e co

mpe

tenc

es r

equi

red

for

OS

H o

nly

for

high

-ri

sk o

pera

tion

s an

d ta

sks

requ

irin

g w

ork

perm

its.

The

nece

ssar

y co

mpe

tenc

e re

quir

emen

ts

in O

SH

hav

e be

en

dete

rmin

ed f

or w

orke

rs

wit

hin

the

orga

niza

tion

. H

owev

er, su

perv

isor

s an

d m

anag

ers

have

not

be

en s

ubje

ct t

o an

y O

SH

co

mpe

tenc

e as

sess

men

t.

The

nece

ssar

y co

mpe

tenc

e re

quir

emen

ts in

OS

H h

ave

been

det

erm

ined

for

all

wor

kers

and

sup

ervi

sors

. H

owev

er, m

anag

ers

have

no

t be

en s

ubje

ct t

o O

SH

co

mpe

tenc

e as

sess

men

t.

The

nece

ssar

y co

mpe

tenc

e re

quir

emen

ts

in O

SH

hav

e be

en

dete

rmin

ed f

or a

ll le

vels

of

wor

kers

, su

perv

isor

s an

d m

anag

ers

wit

hin

the

orga

niza

tion

.

BN

o co

mpe

tenc

es

rela

ting

to

OS

H h

ave

been

doc

umen

ted

or

com

mun

icat

ed.

Com

pete

nces

rel

atin

g to

OS

H h

ave

been

m

inim

ally

doc

umen

ted,

an

d ha

ve n

ot b

een

wid

ely

com

mun

icat

ed.

Com

pete

nces

hav

e be

en d

ocum

ente

d fo

r m

ost

wor

kers

, bu

t do

no

t ex

ist

for

supe

rvis

ors

and

man

ager

s. T

hey

have

bee

n on

ly p

arti

ally

co

mm

unic

ated

.

Com

pete

nces

hav

e be

en

docu

men

ted

in w

riti

ng

for

all w

orke

rs a

nd

supe

rvis

ors,

and

hav

e be

en c

omm

unic

ated

to

them

.

Com

pete

nces

hav

e be

en d

ocum

ente

d in

w

riti

ng f

or a

ll le

vels

of

wor

kers

, su

perv

isor

s an

d m

anag

ers,

and

hav

e be

en

com

mun

icat

ed t

hrou

ghou

t th

e or

gani

zati

on.

CN

o re

view

sys

tem

exi

sts.

Com

pete

nces

tha

t ha

ve

been

det

erm

ined

are

not

su

bjec

t to

an

appr

opri

ate

form

of

regu

lar

revi

ew a

nd

upda

ting

.

Com

pete

nces

hav

e be

en

dete

rmin

ed, an

d so

me

are

subj

ecte

d to

app

ropr

iate

re

view

and

upd

atin

g,

but

this

is n

ot d

one

syst

emat

ical

ly.

Com

pete

nces

are

re

view

ed o

n a

regu

lar

basi

s, a

nd a

ctio

ns a

re

take

n to

ens

ure

that

th

ese

com

pete

nces

are

m

aint

aine

d.

Com

pete

nces

are

re

view

ed o

n a

regu

lar

basi

s, a

nd a

ctio

ns a

re

take

n to

ens

ure

that

th

ese

com

pete

nces

ar

e m

aint

aine

d. T

he

orga

niza

tion

has

a

tim

etab

led

prog

ram

me

fo

r re

view

s.

30 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o co

mpe

tenc

es h

ave

been

est

ablis

hed

for

cont

ract

ors,

or

tem

pora

ry

or c

asua

l wor

kers

.

No

com

pete

nces

hav

e be

en e

stab

lishe

d fo

r co

ntra

ctor

s’ p

erso

nnel

, ex

cept

for

tho

se w

orki

ng

wit

h hi

gh-r

isk

oper

atio

ns

and

task

s su

bjec

t to

wor

k pe

rmit

s.

Com

pete

nces

hav

e be

en

esta

blis

hed

for

som

e co

ntra

ctor

s’ p

erso

nnel

, an

d fo

r th

ose

wor

king

w

ith

high

-ris

k op

erat

ions

an

d ta

sks

subj

ect

to w

ork

perm

its.

Com

pete

nces

hav

e be

en e

stab

lishe

d fo

r al

l co

ntra

ctor

s’ p

erso

nnel

, an

d al

so f

or s

ome

tem

pora

ry a

nd c

asua

l w

orke

rs.

Com

pete

nces

hav

e be

en e

stab

lishe

d fo

r al

l co

ntra

ctor

s’ p

erso

nnel

, an

d al

so f

or a

ll te

mpo

rary

an

d ca

sual

wor

kers

.C

ontr

acto

rs’ p

erso

nnel

ar

e re

quir

ed t

o at

tend

a

com

preh

ensi

ve o

rien

tati

on

prog

ram

me.

EA

ver

y si

mpl

e in

duct

ion

prog

ram

me

exis

ts, bu

t fo

cuse

s on

wor

k m

etho

ds

and

task

met

hodo

logy

an

d fa

ils t

o de

al w

ith

OS

H is

sues

or

OS

H

resp

onsi

bilit

ies.

An

indu

ctio

n pr

ogra

mm

e ex

ists

for

new

wor

kers

, bu

t fa

ils t

o de

al a

dequ

atel

y w

ith

OS

H is

sues

, or

to

focu

s on

the

OS

H d

utie

s th

at a

re e

xpec

ted

of e

very

w

orke

r.

New

wor

kers

are

pro

vide

d w

ith

an o

rien

tati

on

prog

ram

me

that

cov

ers

the

basi

c O

SH

dut

ies

and

resp

onsi

bilit

ies

of a

ll w

orke

rs.

New

wor

kers

, th

ose

tran

sfer

ring

to

diff

eren

t du

ties

and

wor

kers

re

turn

ing

from

long

pe

riod

s of

abs

ence

ar

e pr

ovid

ed w

ith

a co

mpr

ehen

sive

ori

enta

tion

pr

ogra

mm

e.

New

wor

kers

, th

ose

tran

sfer

ring

to

diff

eren

t du

ties

and

wor

kers

re

turn

ing

from

long

pe

riod

s of

abs

ence

ar

e pr

ovid

ed w

ith

a co

mpr

ehen

sive

ori

enta

tion

pr

ogra

mm

e. W

orke

rs s

ign

a co

mm

itm

ent

to a

dher

e to

the

car

dina

l OS

H r

ules

fo

r th

e or

gani

zati

on, an

d to

fol

low

ri

sk m

itig

atio

n m

easu

res,

inci

dent

re

port

ing,

etc

.

31Organizing

NO

NE

P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FO

SH

tra

inin

g is

lim

ited

to

on-

the-

job

obse

rvat

ion

of o

ther

wor

kers

.N

o w

ritt

en t

rain

ing

mat

eria

ls a

re u

sed,

an

d tr

aini

ng is

del

iver

ed

mai

nly

by v

erba

l co

mm

unic

atio

n.

An

effe

ctiv

e co

mpe

tenc

e as

sess

men

t pr

oces

s do

es

not

exis

t.

OS

H t

rain

ing

is li

mit

ed

to o

n-th

e-jo

b ob

serv

atio

n of

oth

er w

orke

rs,

supp

lem

ente

d w

ith

som

e w

ritt

en m

ater

ial.

No

docu

men

tati

on s

yste

m

is in

pla

ce t

o tr

ack

prog

ress

, or

the

res

ulti

ng

OS

H c

ompe

tenc

es.

OS

H t

rain

ing

is p

rovi

ded

to a

ll w

orke

rs t

o al

low

th

em t

o re

ach

thei

r pr

escr

ibed

com

pete

nce

leve

l.It

lack

s ef

fect

ive

asse

ssm

ent

to g

uara

ntee

th

at t

he n

eces

sary

co

mpe

tenc

es h

ave

been

m

et.

OS

H t

rain

ing

is p

rovi

ded

to e

nsur

e th

at w

orke

rs

have

the

com

pete

nces

ne

eded

to

be a

ble

to

com

plet

e w

ork

safe

ly

and

wit

hout

ris

k to

the

ir

heal

th.

The

trai

ning

is

mos

tly

deliv

ered

th

roug

h a

stru

ctur

ed

prog

ram

me

usin

g ve

rbal

co

mm

unic

atio

ns, w

ritt

en

mat

eria

ls a

nd o

n-th

e-jo

b m

odul

es.

OS

H t

rain

ing

is p

rovi

ded

to e

nsur

e th

at w

orke

rs

have

the

com

pete

nces

ne

eded

to

be a

ble

to

com

plet

e w

ork

safe

ly

and

wit

hout

ris

k to

the

ir

heal

th.

Trai

ning

is v

ery

wel

l st

ruct

ured

, an

d in

clud

es

clas

sroo

m a

nd o

n-th

e-jo

b m

odul

es t

hat

deve

lop

OS

H

com

pete

nces

. A

n ef

fect

ive

asse

ssm

ent

proc

ess

exis

ts

to m

easu

re r

esul

ts.

GTh

e or

gani

zati

on d

oes

not

prov

ide

OS

H r

efre

sher

tr

aini

ng.

OS

H r

efre

sher

tra

inin

g is

ra

rely

pro

vide

d an

d, w

hen

prov

ided

, la

cks

subs

tanc

e an

d qu

alit

y.

OS

H r

efre

sher

tra

inin

g is

pr

ovid

ed t

o on

ly p

art

of

the

wor

kfor

ce, an

d is

ver

y of

ten

subj

ect

to d

elay

s.

OS

H r

efre

sher

tra

inin

g is

pro

vide

d, b

ut is

not

m

anag

ed b

y an

eff

ecti

ve

plan

ning

pro

cess

. S

ched

ulin

g so

met

imes

le

aves

som

e w

orke

rs

havi

ng p

rolo

nged

per

iods

w

itho

ut r

efre

sher

tra

inin

g.

OS

H r

efre

sher

tra

inin

g is

pr

ovid

ed, an

d is

man

aged

th

roug

h a

trai

ning

pla

n w

hich

ens

ures

tha

t w

orke

rs’ c

ompe

tenc

es a

re

mai

ntai

ned

at a

ll ti

mes

du

ring

the

ir e

mpl

oym

ent.

HM

ost

wor

kers

do

not

have

the

nec

essa

ry

com

pete

nces

to

carr

y ou

t th

eir

duti

es a

nd

resp

onsi

bilit

ies.

Som

e w

orke

rs d

o no

t ha

ve t

he n

eces

sary

co

mpe

tenc

es t

o ca

rry

out

thei

r du

ties

and

re

spon

sibi

litie

s.

The

orga

niza

tion

lack

s su

ffici

ent

com

pete

nt O

SH

pe

rson

nel t

o be

abl

e to

m

anag

e al

l wor

k-re

late

d ha

zard

s an

d ri

sks,

or

to im

plem

ent

all t

he

elem

ents

of

the

OS

H

man

agem

ent

syst

em.

The

orga

niza

tion

has

som

e co

mpe

tent

OS

H p

erso

nnel

to

iden

tify

, el

imin

ate

and

cont

rol w

ork-

rela

ted

haza

rds

and

risk

s, a

nd t

o im

plem

ent

mos

t el

emen

ts

of t

he O

SH

man

agem

ent

syst

em.

The

orga

niza

tion

has

su

ffici

ent

com

pete

nt O

SH

pe

rson

nel t

o id

enti

fy,

elim

inat

e an

d co

ntro

l w

ork-

rela

ted

haza

rds

and

risk

s, a

nd t

o fu

lly

impl

emen

t th

e O

SH

m

anag

emen

t sy

stem

.

32 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

IO

SH

tra

inin

g is

car

ried

out

at

a m

inim

um c

ompl

ianc

e le

vel,

and

lack

s pl

anni

ng

and

impr

ovem

ent

plan

s.

OS

H t

rain

ing

is c

arri

ed

out

for

som

e w

orke

rs, bu

t is

not

pla

nned

or

focu

sed

on O

SH

com

pete

nce

deve

lopm

ent

and

impr

ovem

ent.

Ther

e is

evi

denc

e of

som

e qu

alit

y O

SH

com

pete

nce-

build

ing

trai

ning

. P

lann

ing

exis

ts, bu

t fo

cuse

s on

im

med

iate

nee

ds.

Goo

d qu

alit

y O

SH

tra

inin

g is

exe

cute

d in

acc

orda

nce

wit

h O

SH

nee

ds

asse

ssm

ents

. Tr

aini

ng

plan

s ex

ist,

but

are

not

to

tally

in li

ne w

ith

OS

H

stra

tegi

es o

r co

ntin

uous

im

prov

emen

t.

Trai

ning

is e

xecu

ted

in a

ccor

danc

e w

ith

a st

rate

gic

plan

, an

d fo

cuse

s on

the

con

tinu

ous

impr

ovem

ent

of O

SH

co

mpe

tenc

es.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.4

CO

MP

ETE

NC

E A

ND

Tr

AIN

ING

(m

ax. sc

ore

for

this

item

is 4

5)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

33Organizing

Gui

danc

e no

tes

OS

H c

ompe

tenc

es s

houl

d be

defi

ned

by t

he e

mpl

oyer

, w

ho s

houl

d es

tabl

ish

and

mai

ntai

n ar

rang

emen

ts a

nd s

yste

ms

to e

nsur

e th

at a

ll pe

rson

s ar

e co

mpe

tent

to

car

ry o

ut t

he s

afet

y an

d he

alth

asp

ects

of

thei

r du

ties

and

res

pons

ibili

ties

.

OS

H t

rain

ing

shou

ld b

e ba

sed

on a

tra

inin

g ne

eds

asse

ssm

ent

that

can

iden

tify

the

com

pete

nces

req

uire

d to

sat

isfy

reg

ulat

ory

requ

irem

ents

and

to

min

imiz

e O

SH

ha

zard

s an

d ri

sks.

In a

sses

sing

com

pete

nce,

it is

nec

essa

ry t

o co

nsid

er t

he a

ttit

udes

, sk

ills,

kno

wle

dge,

exp

erie

nce

and

prac

tice

tha

t w

orke

rs n

eed

in o

rder

to

be a

ble

to p

erfo

rm t

heir

du

ties

and

res

pons

ibili

ties

saf

ely,

and

wit

hout

ris

ks t

o th

e he

alth

and

saf

ety

of t

hem

selv

es a

nd o

f ot

hers

.

Em

ploy

ers

shou

ld h

ave

in p

lace

or

have

qui

ck a

cces

s to

suf

ficie

nt O

SH

com

pete

nce

to b

e ab

le t

o id

enti

fy, el

imin

ate

or c

ontr

ol w

ork-

rela

ted

haza

rds

and

risk

s,

and

to b

e ab

le t

o im

plem

ent

an e

ffec

tive

OS

H m

anag

emen

t sy

stem

.

OS

H c

ompe

tenc

es s

houl

d be

est

ablis

hed

for

all m

embe

rs o

f th

e or

gani

zati

on.

OS

H t

rain

ing

shou

ld b

e pr

ovid

ed t

o al

l mem

bers

of

the

orga

niza

tion

, an

d m

ust

be d

eliv

ered

by

a co

mpe

tent

per

son.

Em

ploy

ers

mus

t pr

ovid

e ef

fect

ive

and

tim

ely

init

ial t

rain

ing

to a

ll ne

w w

orke

rs, an

d to

wor

kers

tra

nsfe

rrin

g jo

bs o

r re

turn

ing

to w

ork

afte

r lo

ng p

erio

ds

of a

bsen

ce.

Em

ploy

ers

mus

t al

so e

nsur

e th

at a

ll co

ntra

ctor

s’ p

erso

nnel

, te

mpo

rary

and

cas

ual w

orke

rs r

ecei

ve a

ppro

pria

te O

SH

info

rmat

ion

and

trai

ning

.

The

orga

niza

tion

mus

t pr

ovid

e ef

fect

ive

and

tim

ely

refr

eshe

r O

SH

tra

inin

g at

app

ropr

iate

inte

rval

s.

The

effe

ctiv

enes

s of

OS

H t

rain

ing

mus

t be

eva

luat

ed t

o as

sess

the

com

preh

ensi

on a

nd r

eten

tion

of

the

trai

ning

.

The

OS

H t

rain

ing

prov

ided

sho

uld

be s

ubje

ct t

o re

view

by

wor

kers

and

by

the

safe

ty a

nd h

ealt

h co

mm

itte

e, w

here

it e

xist

s.

OS

H t

rain

ing

mus

t be

pro

perl

y do

cum

ente

d, a

nd s

houl

d be

app

ropr

iate

to

and

cons

iste

nt w

ith

the

size

and

nat

ure

of t

he a

ctiv

ity

carr

ied

out

by t

he o

rgan

izat

ion.

OS

H t

rain

ing

prog

ram

mes

sho

uld

be r

evie

wed

and

mod

ified

as

nece

ssar

y to

ens

ure

thei

r re

leva

nce

and

effe

ctiv

enes

s is

upd

ated

to

refle

ct a

ny c

hang

es w

hich

hav

e ha

ppen

ed, an

d to

con

side

r op

port

unit

ies

for

impr

ovem

ent.

OS

H t

rain

ing

shou

ld b

e pr

ovid

ed t

o al

l par

tici

pant

s at

no

cost

, an

d sh

ould

be

sche

dule

d du

ring

wor

king

hou

rs.

If t

he w

orke

rs in

the

org

aniz

atio

n ar

e m

ulti

lingu

al, th

en t

rain

ing

mus

t ad

dres

s th

e di

ffer

ent

lang

uage

s of

the

wor

kfor

ce.

OS

H t

rain

ing

effo

rts

shou

ld b

e pr

iori

tize

d on

act

ivit

ies

that

hav

e th

e hi

ghes

t le

vels

of

risk

, ba

sed

on t

he d

egre

e of

like

lihoo

d an

d se

veri

ty.

34 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Org

aniz

ing

Item

3.5

Occ

upat

iona

l saf

ety

and

heal

th m

anag

emen

t sy

stem

do

cum

enta

tion

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AO

SH

is n

ot t

reat

ed in

a

syst

emat

ic w

ay, an

d la

cks

even

bas

ic d

ocum

enta

tion

of

the

OS

H m

anag

emen

t sy

stem

.

OS

H m

anag

emen

t sy

stem

is

poo

rly

docu

men

ted,

an

d is

lim

ited

to

an

inad

equa

te w

ritt

en p

olic

y st

atem

ent.

OS

H m

anag

emen

t sy

stem

is

par

tial

ly d

ocum

ente

d,

but

fails

to

mee

t re

quir

emen

ts a

s se

t do

wn

in t

he I

LO g

uide

lines

.

OS

H m

anag

emen

t sy

stem

is

fai

rly

wel

l doc

umen

ted,

an

d se

ts o

ut w

ith

reas

onab

le c

lari

ty t

he

polic

y an

d ob

ject

ives

for

O

SH

.

OS

H m

anag

emen

t sy

stem

is

com

preh

ensi

vely

do

cum

ente

d.

BTh

ere

is n

o cl

ear,

docu

men

ted

proc

ess

for

man

agin

g O

SH

.

A v

ery

basi

c pr

oces

s fo

r m

anag

ing

OS

H is

de

scri

bed.

A p

roce

ss f

or O

SH

m

anag

emen

t is

des

crib

ed,

but

is in

adeq

uate

.

The

proc

esse

s th

at a

re

in p

lace

to

man

age

OS

H

effe

ctiv

ely

are

desc

ribe

d in

som

e de

tail.

Sys

tem

s an

d pr

oces

ses

that

man

age

OS

H

effe

ctiv

ely

are

in p

lace

, an

d ar

e de

scri

bed

com

preh

ensi

vely

.

CD

ocum

enta

tion

doe

s no

t ex

ist

that

des

crib

es t

he

key

man

agem

ent

role

s an

d re

spon

sibi

litie

s.

A v

ery

basi

c an

d in

adeq

uate

des

crip

tion

of

key

man

agem

ent

role

s an

d re

spon

sibi

litie

s ex

ists

.

OS

H m

anag

emen

t sy

stem

s ar

e de

scri

bed

in m

oder

ate

deta

il. T

he d

ocum

enta

tion

sh

ows

man

agem

ent

role

s an

d re

spon

sibi

litie

s.

OS

H s

yste

ms

are

wel

l de

scri

bed,

and

the

do

cum

enta

tion

cle

arly

sh

ows

thei

r go

als

and

obje

ctiv

es. G

ood

prog

ress

is

sho

wn

in t

he in

tegr

atio

n of

OS

H in

to b

usin

ess

plan

s an

d sy

stem

s.

OS

H s

yste

ms

docu

men

tati

on s

how

s th

at

OS

H is

a d

emon

stra

ble

core

bus

ines

s va

lue,

and

is

alig

ned

wit

h th

e ov

eral

l co

rpor

ate

obje

ctiv

es. O

SH

m

anag

emen

t sy

stem

s ar

e se

amle

ssly

inte

grat

ed in

to

corp

orat

e bu

sine

ss p

lans

an

d sy

stem

s.

35Organizing

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

ere

is n

o sy

stem

s do

cum

enta

tion

tha

t de

scri

bes

the

haza

rds

and

risk

s th

at a

re p

rese

nt in

th

e or

gani

zati

on a

nd it

s ac

tivi

ties

.

Very

lim

ited

OS

H

docu

men

tati

on e

xist

s re

lati

ng t

o th

e ha

zard

s an

d ri

sks

that

exi

st in

the

or

gani

zati

on.

Doc

umen

tati

on e

xist

s th

at d

escr

ibes

som

e of

th

e ha

zard

s an

d ri

sks

that

exi

st w

ithi

n th

e or

gani

zati

on.

Haz

ards

and

ass

ocia

ted

risk

s ar

e ge

nera

lly w

ell

docu

men

ted,

and

hav

e m

ostl

y be

en s

ubje

cted

to

sou

nd a

sses

smen

t pr

oces

ses.

Haz

ards

and

ass

ocia

ted

risk

s ar

e th

orou

ghly

do

cum

ente

d, a

nd h

ave

been

sub

ject

ed t

o ri

goro

us

and

com

preh

ensi

ve

asse

ssm

ent

proc

esse

s.

ETh

e pr

oces

s fo

r id

enti

fyin

g, e

limin

atin

g an

d co

ntro

lling

haz

ards

is

not

docu

men

ted.

The

proc

ess

for

iden

tify

ing

haza

rds

and

risk

s ex

ists

on

ly in

an

elem

enta

ry a

nd

info

rmal

way

, an

d is

rar

ely

docu

men

ted.

Iden

tific

atio

n of

haz

ards

an

d ri

sks

is n

ot a

lway

s th

orou

ghly

doc

umen

ted.

A

mix

ture

of

form

al a

nd

info

rmal

met

hods

is u

sed.

Iden

tific

atio

n of

haz

ards

an

d ri

sks

is t

horo

ughl

y do

cum

ente

d an

d pr

oper

ly

form

aliz

ed, to

geth

er w

ith

mit

igat

ion

mea

sure

s.

A r

igor

ous

and

com

preh

ensi

ve p

roce

ss

exis

ts t

o do

cum

ent

all

OS

H h

azar

ds a

nd r

isks

. C

ontr

ols

and

mit

igat

ion

mea

sure

s ar

e al

so f

orm

ally

do

cum

ente

d.

FTh

ere

is a

lack

of

docu

men

tati

on o

f w

ork

syst

ems,

ope

rati

ng

proc

edur

es a

nd p

resc

ribe

d ta

sk m

etho

dolo

gies

.

Ther

e is

ver

y lit

tle

docu

men

tati

on in

pla

ce

rela

ting

to

wor

k sy

stem

s,

oper

atin

g pr

oced

ures

an

d pr

escr

ibed

tas

k m

etho

dolo

gies

.

A m

oder

ate

amou

nt o

f do

cum

enta

tion

exi

sts

rela

ting

to

wor

k sy

stem

s,

oper

atin

g pr

oced

ures

an

d ta

sk m

etho

dolo

gies

. S

ome

task

s ha

ve n

o fo

rmal

doc

umen

tati

on o

f pr

oced

ures

.

Wel

l-do

cum

ente

d in

form

atio

n is

mai

ntai

ned

on w

ork

syst

ems,

op

erat

ing

proc

edur

es

and

task

met

hodo

logi

es.

Sta

ndar

d op

erat

ing

proc

edur

es a

re u

sed

for

task

s in

volv

ing

sign

ifica

nt

risk

s.

Com

preh

ensi

ve a

nd w

ell-

do

cum

ente

d in

form

atio

n ex

ists

on

syst

ems

of w

ork,

op

erat

ing

proc

edur

es

and

task

met

hodo

logi

es.

Sta

ndar

d op

erat

ing

proc

edur

es a

re u

sed

for

all

task

s.

GTh

e or

gani

zati

on f

ails

to

mai

ntai

n a

reco

rdin

g sy

stem

to

trac

k an

d do

cum

ent

inju

ries

, ill

he

alth

and

dis

ease

s.

The

orga

niza

tion

m

aint

ains

a v

ery

basi

c re

cord

ing

syst

em t

o tr

ack

and

docu

men

t in

juri

es, ill

he

alth

and

dis

ease

s.

The

orga

niza

tion

m

aint

ains

a d

ocum

ente

d re

cord

ing

syst

em t

o tr

ack

and

docu

men

t in

juri

es, ill

he

alth

and

dis

ease

s, a

s re

quir

ed b

y na

tion

al O

SH

la

ws.

The

orga

niza

tion

m

aint

ains

a w

ell-

docu

men

ted

reco

rdin

g sy

stem

to

trac

k an

d do

cum

ent

inju

ries

, ill

he

alth

and

dis

ease

s, a

nd

ensu

re le

gal c

ompl

ianc

e an

d be

st p

ract

ice.

The

orga

niza

tion

m

aint

ains

a

com

preh

ensi

ve r

ecor

ding

sy

stem

to

trac

k an

d do

cum

ent

inju

ries

, ill

he

alth

, di

seas

es a

nd le

gal

com

plia

nce.

Dat

a ar

e ga

ther

ed f

rom

bot

h ac

tive

an

d re

acti

ve m

onit

orin

g.

36 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HW

orke

rs h

ave

littl

e ac

cess

to

info

rmat

ion

rela

ting

to

OS

H m

atte

rs a

nd O

SH

pe

rfor

man

ce.

Wor

kers

hav

e no

for

mal

ac

cess

to

info

rmat

ion

rela

ting

to

OS

H.

OS

H in

form

atio

n is

pr

ovid

ed m

ainl

y fr

om

verb

al c

omm

unic

atio

ns

wit

h su

perv

isor

s.

Wor

kers

hav

e lit

tle

form

al

acce

ss t

o in

form

atio

n re

lati

ng t

o O

SH

.O

SH

info

rmat

ion

com

es

mai

nly

from

ver

bal

com

mun

icat

ions

wit

h su

perv

isor

s, s

afet

y an

d he

alth

com

mit

tee

mem

bers

, an

d ot

her

wor

kers

.

Wor

kers

hav

e fo

rmal

ac

cess

to

a co

mpr

ehen

sive

ra

nge

of d

ocum

enta

tion

re

lati

ng t

o O

SH

and

OS

H

perf

orm

ance

dat

a.In

add

itio

n, s

afet

y an

d he

alth

com

mit

tee

mem

bers

are

giv

en a

cces

s to

all

OS

H in

form

atio

n.

Verb

al a

nd p

rint

ed

mat

eria

ls a

re u

sed,

and

sa

fety

mee

ting

s ar

e al

so

held

.

Wor

kers

hav

e fo

rmal

ac

cess

to

a co

mpr

ehen

sive

ra

nge

of d

ocum

enta

tion

re

lati

ng t

o O

SH

and

OS

H

perf

orm

ance

dat

a.In

form

atio

n is

acc

esse

d by

wri

tten

and

ele

ctro

nic

com

mun

icat

ion,

and

is

com

preh

ensi

ve. R

egul

ar

mee

ting

s ar

e al

so h

eld

to

give

info

rmat

ion

and

get

feed

back

.

ITh

e O

SH

man

agem

ent

syst

em d

oes

not

desc

ribe

any

pro

cess

fo

r O

SH

per

form

ance

m

easu

rem

ent.

The

OS

H m

anag

emen

t sy

stem

doe

s no

t pr

ovid

e an

y do

cum

ente

d pr

oces

s of

OS

H p

erfo

rman

ce

mea

sure

men

t.

The

OS

H m

anag

emen

t sy

stem

doc

umen

ts a

lim

ited

OS

H p

erfo

rman

ce

mea

sure

men

t sy

stem

tha

t fo

cuse

s on

ly o

n re

acti

ve

mea

sure

men

ts.

The

OS

H m

anag

emen

t sy

stem

des

crib

es in

som

e de

tail

a pr

oces

s fo

r O

SH

pe

rfor

man

ce m

easu

rem

ent

that

invo

lves

bot

h ac

tive

an

d re

acti

ve m

onit

orin

g.

The

OS

H m

anag

emen

t sy

stem

des

crib

es in

si

gnifi

cant

det

ail a

pro

cess

fo

r O

SH

per

form

ance

m

easu

rem

ent.

Thi

s in

volv

es b

oth

acti

ve a

nd

reac

tive

mon

itor

ing.

JTh

e or

gani

zati

on h

as n

o pr

oces

s in

pla

ce t

o co

ntro

l an

d up

date

OS

H s

yste

ms.

The

orga

niza

tion

has

a

very

lim

ited

and

in

adeq

uate

pro

cess

in

plac

e to

con

trol

and

up

date

OS

H s

yste

ms.

The

orga

niza

tion

has

a

basi

c pr

oces

s to

mai

ntai

n an

d up

date

OS

H s

yste

m

docu

men

tati

on.

The

orga

niza

tion

has

a

wel

l-de

velo

ped

proc

ess

for

cont

rolli

ng, m

aint

aini

ng

and

upda

ting

doc

umen

ts

rela

ting

to

the

OS

H

man

agem

ent

syst

em.

The

orga

niza

tion

has

a

com

preh

ensi

ve a

nd s

ecur

e pr

oces

s to

con

trol

and

up

date

doc

umen

ts r

elat

ing

to t

he O

SH

man

agem

ent

syst

em.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.5

OS

H M

AN

AG

EM

EN

T S

YSTE

M D

OC

UM

EN

TATI

ON

(m

ax. sc

ore

for

this

item

is 5

0)

37Organizing

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

OS

H m

anag

emen

t sy

stem

doc

umen

tati

on s

houl

d be

est

ablis

hed

and

mai

ntai

ned

acco

rdin

g to

the

siz

e an

d na

ture

of

acti

vity

of

the

orga

niza

tion

.

OS

H m

anag

emen

t sy

stem

doc

umen

tati

on s

houl

d co

ver

the

OS

H p

olic

y an

d ob

ject

ives

of

the

orga

niza

tion

, an

d th

e ke

y O

SH

man

agem

ent

role

s an

d re

spon

sibi

litie

s ne

cess

ary

for

impl

emen

tati

on o

f th

e O

SH

man

agem

ent

syst

em.

OS

H m

anag

emen

t sy

stem

doc

umen

tati

on s

houl

d co

ver

the

sign

ifica

nt O

SH

haz

ards

and

ris

ks a

risi

ng f

rom

the

org

aniz

atio

n’s

acti

viti

es, an

d th

e ar

rang

emen

ts

for

thei

r pr

even

tion

and

con

trol

.

Doc

umen

tati

on s

houl

d co

ver

the

arra

ngem

ents

, pr

oced

ures

, in

stru

ctio

ns o

r ot

her

inte

rnal

doc

umen

ts u

sed

in t

he f

ram

ewor

k of

the

OS

H m

anag

emen

t sy

stem

.

The

OS

H m

anag

emen

t sy

stem

doc

umen

tati

on s

houl

d be

cle

arly

wri

tten

, an

d pr

esen

ted

in a

way

tha

t is

und

erst

ood

by t

hose

who

hav

e to

use

it. It

sho

uld

be

peri

odic

ally

rev

iew

ed, re

vise

d as

nec

essa

ry, co

mm

unic

ated

and

rea

dily

acc

essi

ble

to a

ll ap

prop

riat

e or

aff

ecte

d m

embe

rs o

f th

e or

gani

zati

on.

38 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

OS

H r

ecor

ds s

houl

d be

est

ablis

hed,

man

aged

and

mai

ntai

ned

loca

lly a

nd a

ccor

ding

to

the

need

s of

the

org

aniz

atio

n. T

hey

shou

ld b

e id

enti

fiabl

e an

d tr

acea

ble,

an

d th

eir

rete

ntio

n ti

mes

sho

uld

be s

peci

fied.

Wor

kers

sho

uld

have

the

rig

ht t

o ac

cess

rec

ords

rel

evan

t to

the

ir w

orki

ng e

nvir

onm

ent

and

heal

th, w

hile

res

pect

ing

the

need

for

con

fiden

tial

ity.

OS

H r

ecor

ds m

ay in

clud

e re

cord

s ar

isin

g fr

om im

plem

enta

tion

of

the

OS

H m

anag

emen

t sy

stem

.

OS

H r

ecor

ds s

houl

d be

kep

t in

com

plia

nce

wit

h th

e re

quir

emen

ts o

f na

tion

al la

ws

and

regu

lati

ons

rela

ting

to

OS

H.

OS

H r

ecor

ds s

houl

d be

mai

ntai

ned

for

wor

k-re

late

d in

juri

es, ill

hea

lth,

dis

ease

s an

d in

cide

nts.

OS

H r

ecor

ds s

houl

d be

kep

t of

wor

ker

expo

sure

s, s

urve

illan

ce o

f th

e w

orki

ng e

nvir

onm

ent,

and

wor

kers

’ hea

lth.

Rec

ords

sho

uld

be k

ept

of a

udit

s, a

sses

smen

ts, in

spec

tion

s, in

cide

nt in

vest

igat

ions

, er

gono

mic

ass

essm

ents

and

indu

stri

al h

ygie

ne m

onit

orin

g.

Doc

umen

ts s

houl

d be

sub

ject

to

peri

odic

rev

iew

and

will

be

revi

ewed

on

chan

ges

to p

roce

sses

, eq

uipm

ent,

pro

cedu

res

or o

ther

sig

nific

ant

chan

ge.

Doc

umen

ts s

houl

d be

mai

ntai

ned

rela

ting

to

OS

H t

rain

ing

and

com

pete

nce

build

ing.

OS

H r

ecor

ds s

houl

d be

the

res

ults

of

both

act

ive

and

reac

tive

mon

itor

ing.

OS

H s

yste

ms

docu

men

tati

on s

houl

d co

ver

emer

genc

y ar

rang

emen

ts a

nd s

yste

ms

to d

eal w

ith

failu

re m

odes

.

39Organizing

Org

aniz

ing

Item

3.6

Com

mun

icat

ion

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on h

as

no f

orm

al p

olic

y fo

r co

mm

unic

atin

g sa

fety

an

d he

alth

info

rmat

ion

thro

ugho

ut t

he

orga

niza

tion

.

The

orga

niza

tion

has

so

me

very

bas

ic p

olic

ies

for

com

mun

icat

ing

safe

ty

and

heal

th in

form

atio

n th

roug

hout

the

or

gani

zati

on.

The

orga

niza

tion

has

a

polic

y re

gard

ing

the

com

mun

icat

ion

of s

afet

y an

d he

alth

in

form

atio

n, b

ut it

is

inad

equa

te, an

d le

ads

to p

oor

com

mun

icat

ion

thro

ugho

ut t

he

orga

niza

tion

.

A p

olic

y ex

ists

for

bot

h fo

rmal

and

info

rmal

co

mm

unic

atio

n of

saf

ety

and

heal

th in

form

atio

n an

d da

ta t

hrou

ghou

t th

e or

gani

zati

on.

A c

ompr

ehen

sive

pol

icy

exis

ts f

or b

oth

form

al a

nd

info

rmal

com

mun

icat

ion

of s

afet

y an

d he

alth

in

form

atio

n an

d da

ta.

Eff

ecti

ve c

omm

unic

atio

n is

in p

lace

bet

wee

n m

anag

emen

t an

d w

orke

rs.

BM

anag

emen

t m

akes

ve

ry li

ttle

eff

ort

to

com

mun

icat

e w

ith

wor

kers

on

saf

ety

and

heal

th

mat

ter,

and

rece

ives

litt

le

feed

back

fro

m w

orke

rs.

Man

agem

ent

mak

es s

ome

effo

rt t

o co

mm

unic

ate

info

rmal

ly w

ith

wor

kers

on

safe

ty a

nd h

ealt

h m

atte

rs,

and

rece

ives

som

e fe

edba

ck f

rom

wor

kers

.

Man

agem

ent

mak

es

effo

rts

to c

omm

unic

ate

form

ally

and

info

rmal

ly

wit

h w

orke

rs o

n sa

fety

an

d he

alth

mat

ters

, an

d re

ceiv

es f

eedb

ack

from

w

orke

rs.

Man

agem

ent

mak

es

subs

tant

ial e

ffor

ts t

o co

mm

unic

ate

form

ally

and

in

form

ally

wit

h w

orke

rs

on s

afet

y an

d he

alth

m

atte

rs. It

mai

ntai

ns o

pen

com

mun

icat

ion

chan

nels

, an

d en

cour

ages

wor

kers

to

prov

ide

feed

back

.

Man

agem

ent

mak

es

subs

tant

ial e

ffor

ts t

o co

mm

unic

ate

form

ally

and

in

form

ally

wit

h w

orke

rs

on s

afet

y an

d he

alth

m

atte

rs. It

mai

ntai

ns o

pen

com

mun

icat

ion

chan

nels

, an

d pr

ovid

es f

eedb

ack

to

wor

kers

.

CM

anag

emen

t us

es o

nly

very

occ

asio

nal i

nfor

mal

co

mm

unic

atio

ns o

n O

SH

m

atte

rs.

Man

agem

ent

uses

lim

ited

in

form

al c

omm

unic

atio

ns

on O

SH

mat

ters

, an

d ve

ry o

ccas

iona

l for

mal

co

mm

unic

atio

ns.

Man

agem

ent

uses

bot

h fo

rmal

and

info

rmal

co

mm

unic

atio

ns

on O

SH

mat

ters

. Th

ese

com

mun

icat

ions

are

in

freq

uent

.

Man

agem

ent

regu

larl

y co

mm

unic

ates

the

im

port

ance

of

OS

H b

y us

ing

a w

ide

rang

e of

fo

rmal

and

info

rmal

co

mm

unic

atio

ns.

Man

agem

ent

uses

ev

ery

oppo

rtun

ity

to

com

mun

icat

e th

e im

port

ance

of

OS

H b

y a

wid

e ra

nge

of f

orm

al a

nd

info

rmal

com

mun

icat

ions

an

d in

itia

tive

s.

40 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

e or

gani

zati

on h

as

very

lim

ited

col

lect

ion

of

OS

H d

ata.

The

re is

litt

le

com

mun

icat

ion

of t

he

data

col

lect

ed.

The

orga

niza

tion

has

lim

ited

col

lect

ion

of

OS

H in

form

atio

n an

d da

ta. Th

ere

is in

freq

uent

co

mm

unic

atio

n of

the

da

ta c

olle

cted

.

The

orga

niza

tion

doe

s co

llect

som

e O

SH

in

form

atio

n an

d da

ta,

but

they

are

inad

equa

te.

Wha

t is

col

lect

ed is

co

mm

unic

ated

to

man

agem

ent,

and

litt

le

feed

back

is r

ecei

ved

from

w

orke

rs.

The

orga

niza

tion

co

llect

s su

bsta

ntia

l OS

H

info

rmat

ion

and

data

, an

d th

ese

are

com

mun

icat

ed

to b

oth

man

agem

ent

and

wor

kers

, us

ing

two-

way

fo

rmal

and

info

rmal

pa

thw

ays

and

chan

nels

.

Man

agem

ent

clea

rly

dem

onst

rate

s it

s st

rong

in

tere

st a

nd c

omm

itm

ent

to O

SH

thr

ough

an

open

pro

cess

of

two-

way

for

mal

and

info

rmal

co

mm

unic

atio

ns. Th

ese

com

mun

icat

ions

invo

lve

the

wri

tten

and

spo

ken

wor

d, p

lus

acti

ons

that

re

info

rce

the

mes

sage

s.

ETh

ere

is n

o fo

rmal

pr

oces

s fo

r re

ceiv

ing,

do

cum

enti

ng a

nd

resp

ondi

ng a

ppro

pria

tely

to

inte

rnal

and

ext

erna

l co

mm

unic

atio

ns.

Ther

e is

an

info

rmal

pr

oces

s fo

r re

ceiv

ing,

do

cum

enti

ng a

nd

resp

ondi

ng t

o in

tern

al a

nd

exte

rnal

com

mun

icat

ions

, bu

t th

e pr

oces

s is

pro

ne

to e

rror

.

Ther

e is

a s

impl

e fo

rmal

pr

oces

s fo

r re

ceiv

ing,

do

cum

enti

ng a

nd

resp

ondi

ng t

o in

tern

al a

nd

exte

rnal

com

mun

icat

ions

.

Ther

e is

an

effe

ctiv

e an

d ti

mel

y fo

rmal

pro

cess

for

re

ceiv

ing,

doc

umen

ting

an

d re

spon

ding

to

inte

rnal

and

ext

erna

l co

mm

unic

atio

ns.

A c

ompr

ehen

sive

, ef

fect

ive

and

tim

ely

proc

ess

exis

ts f

or

rece

ivin

g, d

ocum

enti

ng

and

resp

ondi

ng t

o in

tern

al a

nd e

xter

nal

com

mun

icat

ions

.

FIn

tern

al a

nd e

xter

nal

com

mun

icat

ion

path

way

s an

d ch

anne

ls a

re v

ery

limit

ed, an

d ar

e ra

rely

us

ed f

or O

SH

mat

ters

.

Line

s of

com

mun

icat

ions

ex

ist

prim

arily

thr

ough

su

perv

isor

s, a

nd

ther

e is

litt

le d

irec

t co

mm

unic

atio

n w

ith

man

agem

ent.

Inte

rnal

and

ext

erna

l co

mm

unic

atio

n pa

thw

ays

and

chan

nels

exi

st, bu

t ar

e us

ed in

freq

uent

ly f

or

OS

H m

atte

rs.

Inte

rnal

and

ext

erna

l co

mm

unic

atio

n pa

thw

ays

and

chan

nels

are

use

d on

a

regu

lar

basi

s fo

r O

SH

m

atte

rs. A

tw

o-w

ay fl

ow

of O

SH

com

mun

icat

ions

is

est

ablis

hed.

Inte

rnal

and

ext

erna

l co

mm

unic

atio

n pa

thw

ays

and

chan

nels

are

use

d on

a f

requ

ent

basi

s fo

r O

SH

mat

ters

. A

n op

en

and

fran

k tw

o-w

ay fl

ow

of O

SH

com

mun

icat

ions

is

est

ablis

hed

betw

een

wor

kers

, su

perv

isor

s an

d m

anag

ers.

GIn

tern

al c

omm

unic

atio

n of

OS

H in

form

atio

n an

d da

ta is

kep

t at

a m

inim

um

leve

l.

Inte

rnal

com

mun

icat

ion

of O

SH

info

rmat

ion

is li

mit

ed, an

d is

not

ci

rcul

ated

to

all l

evel

s an

d fu

ncti

ons

of t

he

orga

niza

tion

.

Inte

rnal

com

mun

icat

ion

of

OS

H in

form

atio

n an

d da

ta

is n

ot g

ener

ally

cir

cula

ted

to a

ll le

vels

and

fun

ctio

ns

of t

he o

rgan

izat

ion.

Inte

rnal

com

mun

icat

ions

of

OS

H in

form

atio

n an

d da

ta a

re s

hare

d by

so

me

rele

vant

leve

ls

and

func

tion

s of

the

or

gani

zati

on.

Inte

rnal

com

mun

icat

ions

of

OS

H in

form

atio

n an

d da

ta a

re s

hare

d by

al

l the

rel

evan

t le

vels

an

d fu

ncti

ons

of t

he

orga

niza

tion

.

41Organizing

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HM

anag

emen

t ra

rely

re

spon

ds t

o in

tern

al

com

mun

icat

ion

of O

SH

in

form

atio

n an

d da

ta.

Man

agem

ent

rare

ly

resp

onds

to

inte

rnal

and

ex

tern

al c

omm

unic

atio

ns

of O

SH

info

rmat

ion

an

d da

ta.

The

orga

niza

tion

has

a

com

mun

icat

ion

proc

ess

that

ens

ures

som

e of

th

e co

ncer

ns, id

eas

and

inpu

ts o

f w

orke

rs

and

thei

r re

pres

enta

tive

s on

OS

H a

re r

ecei

ved

an

d co

nsid

ered

.

The

orga

niza

tion

has

an

effe

ctiv

e co

mm

unic

atio

n pr

oces

s th

at e

nsur

es

that

the

con

cern

s, id

eas

and

inpu

ts o

f w

orke

rs

and

thei

r re

pres

enta

tive

s on

OS

H m

atte

rs a

re

rece

ived

, co

nsid

ered

, an

d re

spon

ded

to.

The

orga

niza

tion

has

a

com

preh

ensi

ve a

nd

effe

ctiv

e co

mm

unic

atio

n pr

oces

s th

at e

nsur

es t

hat

all t

he c

once

rns,

idea

s an

d in

puts

of

wor

kers

and

th

eir

repr

esen

tati

ves

on

OS

H m

atte

rs a

re r

ecei

ved,

co

nsid

ered

and

res

pond

ed

to.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.6

CO

MM

UN

ICAT

ION

(m

ax. sc

ore

for

this

item

is 4

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

42 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Gui

danc

e no

tes

Arr

ange

men

ts a

nd p

roce

dure

s sh

ould

be

esta

blis

hed

and

mai

ntai

ned

for

rece

ivin

g, d

ocum

enti

ng a

nd r

espo

ndin

g to

bot

h in

tern

al a

nd e

xter

nal c

omm

unic

atio

ns

rela

ted

to O

SH

in a

tim

ely

man

ner.

Org

aniz

atio

ns s

houl

d en

sure

tha

t in

tern

al c

omm

unic

atio

ns o

f O

SH

info

rmat

ion

can

flow

eff

ecti

vely

bet

wee

n th

e re

leva

nt le

vels

and

fun

ctio

ns o

f th

e or

gani

zati

on.

The

orga

niza

tion

sho

uld

mak

e su

re t

hat

the

conc

erns

, id

eas

and

inpu

ts o

f w

orke

rs a

nd t

heir

rep

rese

ntat

ives

on

OS

H m

atte

rs a

re r

ecei

ved,

con

side

red

and

resp

onde

d to

in a

tim

ely

man

ner.

Wor

kers

and

the

ir r

epre

sent

ativ

es s

houl

d be

enc

oura

ged

to c

omm

unic

ate

any

conc

erns

the

y ha

ve a

bout

OS

H m

atte

rs.

Bot

h fo

rmal

and

info

rmal

cha

nnel

s an

d pa

thw

ays

shou

ld b

e es

tabl

ishe

d th

at w

ill p

rovi

de e

ffec

tive

tw

o-w

ay c

omm

unic

atio

n an

d fe

edba

ck.

Verb

al a

nd w

ritt

en c

omm

unic

atio

ns s

houl

d be

sui

tabl

e fo

r th

e in

tend

ed a

udie

nce,

and

sho

uld

incl

ude

a fe

edba

ck lo

op.

A m

etho

dolo

gy s

houl

d be

est

ablis

hed

that

allo

ws

anon

ymou

s re

port

ing

or c

omm

unic

atio

n w

here

wor

kers

mig

ht b

e af

raid

to

com

mun

icat

e O

SH

issu

es b

ecau

se

of p

ossi

ble

cons

eque

nces

.

Com

mun

icat

ion

prac

tice

s m

ust

be in

com

plia

nce

wit

h lo

cal a

nd n

atio

nal l

aws

and

regu

lati

ons.

A r

elia

ble

and

effe

ctiv

e pr

oces

s ne

eds

to b

e in

pla

ce t

o m

aint

ain

a re

cord

of

exte

rnal

and

inte

rnal

com

mun

icat

ions

rel

atin

g to

OS

H m

atte

rs.

Whe

re le

gal r

equi

rem

ents

req

uire

OS

H d

ocum

enta

tion

to

be m

aint

aine

d fo

r a

long

per

iod

of t

ime,

arc

hive

s m

ay n

eed

to b

e se

t up

to

keep

the

doc

umen

ts s

afe

an

d se

cure

.

Planning and implementation

45Planning and implementation

Pla

nnin

g an

d im

plem

enta

tion

It

em 3

.7 I

niti

al r

evie

w

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AA

for

mal

OS

H

man

agem

ent

syst

em d

oes

not

curr

entl

y ex

ist

wit

hin

the

orga

niza

tion

.Th

ere

is n

o sy

stem

atic

m

anag

emen

t of

OS

H.

No

form

al a

nd e

ffec

tive

O

SH

man

agem

ent

syst

em

is in

pla

ce a

t pr

esen

t.S

ome

elem

ents

of

a m

anag

emen

t sy

stem

exi

st.

An

OS

H m

anag

emen

t sy

stem

is p

arti

ally

in

plac

e, b

ut c

erta

in k

ey

elem

ents

are

mis

sing

.D

ocum

enta

tion

of

the

syst

em is

mis

sing

.

An

effe

ctiv

e O

SH

m

anag

emen

t sy

stem

is in

pl

ace,

and

is f

airl

y w

ell

docu

men

ted.

A c

ompr

ehen

sive

an

d ef

fect

ive

OS

H

man

agem

ent

syst

em is

in

plac

e, is

ope

rati

ng w

ell,

and

is w

ell d

ocum

ente

d.

BTh

e or

gani

zati

on a

ppea

rs

unin

tere

sted

in O

SH

, an

d ha

s no

t ta

ken

any

step

s to

iden

tify

or

anal

yse

its

curr

ent

OS

H

proc

esse

s, p

roce

dure

s an

d pe

rfor

man

ce.

Man

agem

ent

acce

pts

that

the

re a

re g

aps

and

wea

knes

ses

in t

he

man

agem

ent

of O

SH

, bu

t ha

ve n

ot y

et im

plem

ente

d a

proc

ess

to d

eal w

ith

this

.

Man

agem

ent

acce

pts

the

need

to

star

t a

proc

ess

to c

reat

e an

OS

H

man

agem

ent

syst

em.

Man

agem

ent

acce

pts

the

need

to

crea

te a

n ef

fect

ive

OS

H m

anag

emen

t sy

stem

th

at c

ompl

ies

wit

h na

tion

al a

nd lo

cal l

aws

and

regu

lati

ons.

Man

agem

ent

acce

pts

the

need

to

crea

te a

n ef

fect

ive

OS

H m

anag

emen

t sy

stem

th

at f

ully

com

plie

s w

ith

nati

onal

and

loca

l law

s an

d re

gula

tion

s, a

nd is

in

acc

orda

nce

wit

h IL

O

guid

elin

es.

CC

urre

ntly

the

org

aniz

atio

n ha

s ta

ken

no a

ctio

n to

be

gin

to e

xam

ine

its

curr

ent

perf

orm

ance

and

id

enti

fy im

prov

emen

t op

port

unit

ies.

The

orga

niza

tion

is

prep

arin

g to

tak

e ac

tion

to

sta

rt a

n as

sess

men

t pr

oces

s to

exa

min

e it

s O

SH

per

form

ance

and

m

etho

ds.

The

exis

ting

OS

H

man

agem

ent

syst

em is

cu

rren

tly

bein

g vi

ewed

by

com

pete

nt p

erso

nnel

, an

d th

e fir

st s

teps

are

bei

ng

take

n to

iden

tify

cur

rent

pe

rfor

man

ce.

The

OS

H m

anag

emen

t sy

stem

has

bee

n as

sess

ed

by c

ompe

tent

per

sonn

el,

and

docu

men

tati

on is

in

the

pro

cess

of

bein

g co

mpl

eted

.

The

OS

H m

anag

emen

t sy

stem

has

bee

n as

sess

ed

by c

ompe

tent

per

sons

, an

d ha

s be

en t

horo

ughl

y do

cum

ente

d.

46 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o re

view

has

bee

n un

dert

aken

to

ensu

re

com

plia

nce

wit

h na

tion

al

and

loca

l law

s.

The

orga

niza

tion

has

an

inte

ntio

n to

car

ry o

ut a

co

mpl

ianc

e re

view

in t

he

futu

re.

The

orga

niza

tion

has

a

com

plia

nce

revi

ew

plan

ned

as p

art

of t

he

OS

H m

anag

emen

t re

view

th

at is

cur

rent

ly u

nder

w

ay.

The

orga

niza

tion

has

had

a

com

preh

ensi

ve c

ompl

ianc

e re

view

to

ensu

re t

hat

it

com

plie

s w

ith

nati

onal

an

d lo

cal l

aws

and

regu

lati

ons,

gui

delin

es

and

prog

ram

mes

.

The

orga

niza

tion

has

ha

d a

com

preh

ensi

ve

com

plia

nce

revi

ew t

o en

sure

tha

t it

com

plie

s w

ith

nati

onal

and

loca

l la

ws

and

regu

lati

ons,

and

w

ith

ILO

gui

delin

es.

ETh

e or

gani

zati

on d

oes

not

have

a p

roce

ss in

pla

ce t

o id

enti

fy s

atis

fact

orily

all

the

haza

rds

and

risk

s to

sa

fety

and

hea

lth.

The

orga

niza

tion

has

in

plac

e an

info

rmal

and

in

adeq

uate

pro

cess

for

id

enti

fyin

g ha

zard

s an

d ri

sks

to s

afet

y an

d he

alth

.

The

orga

niza

tion

has

in

plac

e a

proc

ess

to id

enti

fy,

anti

cipa

te a

nd a

sses

s so

me

of t

he h

azar

ds

and

risk

s to

saf

ety

and

heal

th a

risi

ng f

rom

the

ex

isti

ng o

r pr

opos

ed w

ork

envi

ronm

ent

and

wor

k or

gani

zati

on.

The

orga

niza

tion

has

in

plac

e an

eff

ecti

ve p

roce

ss

to id

enti

fy, an

tici

pate

an

d as

sess

haz

ards

an

d ri

sks

to s

afet

y an

d he

alth

ari

sing

fro

m t

he

exis

ting

or

prop

osed

wor

k en

viro

nmen

t an

d w

ork

orga

niza

tion

.

The

orga

niza

tion

has

in

plac

e a

com

preh

ensi

ve

and

effe

ctiv

e pr

oces

s to

iden

tify

, an

tici

pate

an

d as

sess

haz

ards

an

d ri

sks

to s

afet

y an

d he

alth

ari

sing

fro

m t

he

exis

ting

or

prop

osed

wor

k en

viro

nmen

t an

d w

ork

orga

niza

tion

.

FTh

e or

gani

zati

on d

oes

not

have

in p

lace

a p

roce

ss

to d

eter

min

e w

heth

er

plan

ned

and

exis

ting

co

ntro

ls a

nd m

itig

atio

ns

are

adeq

uate

to

elim

inat

e ha

zard

s an

d co

ntro

l ris

ks.

The

orga

niza

tion

has

an

inef

fect

ive

and

inad

equa

te

proc

ess

to d

eter

min

e w

heth

er p

lann

ed a

nd

exis

ting

con

trol

s ar

e ad

equa

te t

o el

imin

ate

haza

rds

and

cont

rol r

isks

.

The

orga

niza

tion

has

an

inad

equa

te p

roce

ss t

hat

is in

tend

ed t

o en

sure

th

at p

lann

ed a

nd e

xist

ing

cont

rols

are

ade

quat

e to

el

imin

ate

OS

H h

azar

ds

and

cont

rol O

SH

ris

ks.

The

orga

niza

tion

has

an

effic

ient

pro

cess

to

ensu

re

that

pla

nned

and

exi

stin

g co

ntro

ls a

nd m

itig

atio

ns

are

adeq

uate

to

elim

inat

e ha

zard

s, a

nd t

o co

ntro

l an

d re

duce

ris

ks.

The

orga

niza

tion

has

a

com

preh

ensi

ve a

nd h

ighl

y ef

ficie

nt p

roce

ss t

o en

sure

th

at p

lann

ed a

nd e

xist

ing

cont

rols

and

mit

igat

ions

ar

e ad

equa

te t

o el

imin

ate

haza

rds,

and

to

cont

rol

and

redu

ce r

isks

.

GTh

e or

gani

zati

on p

rovi

des

no s

urve

illan

ce o

f w

orke

rs’

heal

th.

Wor

kers

’ hea

lth

is n

ot

chec

ked

on a

reg

ular

ba

sis,

and

no

reco

rds

are

kept

.

Wor

kers

’ hea

lth

is

mon

itor

ed f

or o

nly

a sm

all p

ropo

rtio

n of

the

w

orkf

orce

, an

d on

ly w

here

it

is m

anda

tory

und

er

nati

onal

or

loca

l OS

H

law

s.

Wor

kers

’ hea

lth

is

mon

itor

ed t

hrou

gh a

su

rvei

llanc

e pr

oces

s th

at

is c

ompl

iant

wit

h na

tion

al

and

loca

l law

s. I

t al

so

follo

ws

the

ILO

-OS

H 2

00

1

guid

elin

es S

ecti

on 3

.12

.

Wor

kers

’ hea

lth

is

mon

itor

ed t

hrou

gh a

su

rvei

llanc

e pr

oces

s th

at

is c

ompl

iant

wit

h na

tion

al

and

loca

l law

s. I

t al

so

follo

ws

ILO

gui

delin

es I

LO-

OS

H 2

00

1 S

ecti

on 3

.12

. O

ff-t

he-j

ob h

ealt

h ha

zard

s ar

e al

so m

onit

ored

.

47Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HW

orke

rs a

re n

ot c

onsu

lted

on

OS

H m

atte

rs.

Wor

kers

are

rar

ely

cons

ulte

d or

invo

lved

in

esta

blis

hing

or

revi

ewin

g O

SH

sys

tem

s, p

roce

dure

s an

d pr

oces

ses.

Man

agem

ent

mai

ntai

ns

a lim

ited

com

mun

icat

ion

wit

h w

orke

rs r

egar

ding

th

e es

tabl

ishm

ent,

rev

iew

an

d im

prov

emen

t of

OS

H

syst

ems,

pro

cedu

re a

nd

proc

esse

s.

Wor

kers

and

the

ir

repr

esen

tati

ves

are

cons

ulte

d on

the

pro

cess

of

rev

iew

ing

and

impr

ovin

g O

SH

sys

tem

s, p

roce

dure

s an

d pr

oces

ses.

Wor

kers

and

the

ir

repr

esen

tati

ves

are

cons

ulte

d an

d in

volv

ed in

th

e pr

oces

s of

rev

iew

ing

OS

H s

yste

ms,

pro

cedu

res

and

proc

esse

s. T

hey

are

cons

ulte

d on

all

prop

osed

impr

ovem

ents

to

OS

H, in

clud

ing

sett

ing

perf

orm

ance

sta

ndar

ds

and

targ

ets.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.7

IN

ITIA

L r

EVI

EW

(m

ax. sc

ore

for

this

item

is 4

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o re

view

has

bee

n un

dert

aken

to

ensu

re

com

plia

nce

wit

h na

tion

al

and

loca

l law

s.

The

orga

niza

tion

has

an

inte

ntio

n to

car

ry o

ut a

co

mpl

ianc

e re

view

in t

he

futu

re.

The

orga

niza

tion

has

a

com

plia

nce

revi

ew

plan

ned

as p

art

of t

he

OS

H m

anag

emen

t re

view

th

at is

cur

rent

ly u

nder

w

ay.

The

orga

niza

tion

has

had

a

com

preh

ensi

ve c

ompl

ianc

e re

view

to

ensu

re t

hat

it

com

plie

s w

ith

nati

onal

an

d lo

cal l

aws

and

regu

lati

ons,

gui

delin

es

and

prog

ram

mes

.

The

orga

niza

tion

has

ha

d a

com

preh

ensi

ve

com

plia

nce

revi

ew t

o en

sure

tha

t it

com

plie

s w

ith

nati

onal

and

loca

l la

ws

and

regu

lati

ons,

and

w

ith

ILO

gui

delin

es.

ETh

e or

gani

zati

on d

oes

not

have

a p

roce

ss in

pla

ce t

o id

enti

fy s

atis

fact

orily

all

the

haza

rds

and

risk

s to

sa

fety

and

hea

lth.

The

orga

niza

tion

has

in

plac

e an

info

rmal

and

in

adeq

uate

pro

cess

for

id

enti

fyin

g ha

zard

s an

d ri

sks

to s

afet

y an

d he

alth

.

The

orga

niza

tion

has

in

plac

e a

proc

ess

to id

enti

fy,

anti

cipa

te a

nd a

sses

s so

me

of t

he h

azar

ds

and

risk

s to

saf

ety

and

heal

th a

risi

ng f

rom

the

ex

isti

ng o

r pr

opos

ed w

ork

envi

ronm

ent

and

wor

k or

gani

zati

on.

The

orga

niza

tion

has

in

plac

e an

eff

ecti

ve p

roce

ss

to id

enti

fy, an

tici

pate

an

d as

sess

haz

ards

an

d ri

sks

to s

afet

y an

d he

alth

ari

sing

fro

m t

he

exis

ting

or

prop

osed

wor

k en

viro

nmen

t an

d w

ork

orga

niza

tion

.

The

orga

niza

tion

has

in

plac

e a

com

preh

ensi

ve

and

effe

ctiv

e pr

oces

s to

iden

tify

, an

tici

pate

an

d as

sess

haz

ards

an

d ri

sks

to s

afet

y an

d he

alth

ari

sing

fro

m t

he

exis

ting

or

prop

osed

wor

k en

viro

nmen

t an

d w

ork

orga

niza

tion

.

FTh

e or

gani

zati

on d

oes

not

have

in p

lace

a p

roce

ss

to d

eter

min

e w

heth

er

plan

ned

and

exis

ting

co

ntro

ls a

nd m

itig

atio

ns

are

adeq

uate

to

elim

inat

e ha

zard

s an

d co

ntro

l ris

ks.

The

orga

niza

tion

has

an

inef

fect

ive

and

inad

equa

te

proc

ess

to d

eter

min

e w

heth

er p

lann

ed a

nd

exis

ting

con

trol

s ar

e ad

equa

te t

o el

imin

ate

haza

rds

and

cont

rol r

isks

.

The

orga

niza

tion

has

an

inad

equa

te p

roce

ss t

hat

is in

tend

ed t

o en

sure

th

at p

lann

ed a

nd e

xist

ing

cont

rols

are

ade

quat

e to

el

imin

ate

OS

H h

azar

ds

and

cont

rol O

SH

ris

ks.

The

orga

niza

tion

has

an

effic

ient

pro

cess

to

ensu

re

that

pla

nned

and

exi

stin

g co

ntro

ls a

nd m

itig

atio

ns

are

adeq

uate

to

elim

inat

e ha

zard

s, a

nd t

o co

ntro

l an

d re

duce

ris

ks.

The

orga

niza

tion

has

a

com

preh

ensi

ve a

nd h

ighl

y ef

ficie

nt p

roce

ss t

o en

sure

th

at p

lann

ed a

nd e

xist

ing

cont

rols

and

mit

igat

ions

ar

e ad

equa

te t

o el

imin

ate

haza

rds,

and

to

cont

rol

and

redu

ce r

isks

.

GTh

e or

gani

zati

on p

rovi

des

no s

urve

illan

ce o

f w

orke

rs’

heal

th.

Wor

kers

’ hea

lth

is n

ot

chec

ked

on a

reg

ular

ba

sis,

and

no

reco

rds

are

kept

.

Wor

kers

’ hea

lth

is

mon

itor

ed f

or o

nly

a sm

all p

ropo

rtio

n of

the

w

orkf

orce

, an

d on

ly w

here

it

is m

anda

tory

und

er

nati

onal

or

loca

l OS

H

law

s.

Wor

kers

’ hea

lth

is

mon

itor

ed t

hrou

gh a

su

rvei

llanc

e pr

oces

s th

at

is c

ompl

iant

wit

h na

tion

al

and

loca

l law

s. I

t al

so

follo

ws

the

ILO

-OS

H 2

00

1

guid

elin

es S

ecti

on 3

.12

.

Wor

kers

’ hea

lth

is

mon

itor

ed t

hrou

gh a

su

rvei

llanc

e pr

oces

s th

at

is c

ompl

iant

wit

h na

tion

al

and

loca

l law

s. I

t al

so

follo

ws

ILO

gui

delin

es I

LO-

OS

H 2

00

1 S

ecti

on 3

.12

. O

ff-t

he-j

ob h

ealt

h ha

zard

s ar

e al

so m

onit

ored

.

48 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Thre

ats

Gui

danc

e no

tes

The

orga

niza

tion

’s e

xist

ing

OS

H m

anag

emen

t sy

stem

and

the

rel

evan

t ar

rang

emen

ts m

ade

unde

r th

is s

yste

m s

houl

d be

sub

ject

ed t

o an

init

ial r

evie

w t

o es

tabl

ish

a

base

line

posi

tion

. Th

is w

ill b

e us

ed t

o pl

an a

nd m

easu

re f

utur

e pe

rfor

man

ce.

Whe

re n

o O

SH

man

agem

ent

syst

em e

xist

s, o

r th

e or

gani

zati

on is

new

ly e

stab

lishe

d, t

he in

itia

l rev

iew

sho

uld

be u

sed

to e

stab

lish

an e

ffec

tive

OS

H m

anag

emen

t sy

stem

.

The

init

ial r

evie

w s

houl

d be

car

ried

out

by

com

pete

nt p

erso

ns, w

ho s

houl

d co

nsul

t w

ith

wor

kers

and

/or

thei

r re

pres

enta

tive

s.

The

revi

ew s

houl

d id

enti

fy t

he c

urre

ntly

app

licab

le n

atio

nal l

aws

and

regu

lati

ons,

nat

iona

l gui

delin

es, ta

ilore

d gu

idel

ines

, vo

lunt

ary

prog

ram

mes

an

d an

y ot

her

requ

irem

ents

to

whi

ch t

he o

rgan

izat

ion

subs

crib

es.

The

init

ial r

evie

w s

houl

d id

enti

fy, an

tici

pate

and

ass

ess

haza

rds,

and

eva

luat

e th

e ri

sks

to s

afet

y an

d he

alth

ari

sing

fro

m b

oth

the

exis

ting

and

the

pro

pose

d w

ork

envi

ronm

ent

and

wor

k or

gani

zati

on.

The

revi

ew s

houl

d de

term

ine

whe

ther

the

pla

nned

or

exis

ting

con

trol

s ar

e ad

equa

te t

o el

imin

ate

haza

rds

and

cont

rol r

isks

.

The

init

ial r

evie

w s

houl

d an

alys

e th

e da

ta p

rovi

ded

from

wor

ker’s

hea

lth

surv

eilla

nce.

The

init

ial r

evie

w s

houl

d be

com

preh

ensi

vely

doc

umen

ted

in w

riti

ng.

The

revi

ew s

houl

d be

com

e th

e ba

sis

for

mak

ing

deci

sion

s re

gard

ing

the

impl

emen

tati

on o

f th

e O

SH

man

agem

ent

syst

em.

The

init

ial r

evie

w p

rovi

des

a ba

selin

e as

sess

men

t, w

hich

can

be

used

to

mea

sure

impr

ovem

ents

of

the

orga

niza

tion

’s O

SH

man

agem

ent

syst

em t

hrou

gh

the

cont

inuo

us im

prov

emen

t m

odel

.

The

init

ial r

evie

w p

rovi

des

info

rmat

ion

that

is n

eces

sary

to

be a

ble

to c

hoos

e st

rate

gies

and

tac

tics

to

brin

g ab

out

impr

ovem

ents

, an

d to

pla

n, im

plem

ent

and

revi

ew

acti

ons

and

mea

sure

res

ults

.

49Planning and implementation

Pla

nnin

g an

d im

plem

enta

tion

It

em 3

.8 S

yste

m p

lann

ing,

dev

elop

men

t an

d im

plem

enta

tion

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on h

as n

ot

take

n an

y st

eps

to id

enti

fy

the

curr

ent

syst

ems,

pr

oces

ses

and

proc

edur

es

that

are

in p

lace

. N

o pl

ans

have

bee

n fo

rmul

ated

to

addr

ess

this

issu

e.

No

form

al a

nd e

ffec

tive

O

SH

man

agem

ent

syst

em

exis

ts a

t pr

esen

t. T

he

proc

ess

to p

lan,

dev

elop

an

d im

plem

ent

one

has

not

yet

been

sta

rted

.

Man

agem

ent

acce

pts

the

need

to

star

t th

e pr

oces

s to

cre

ate

an e

ffec

tive

OS

H

man

agem

ent

syst

em. Th

e cu

rren

t sy

stem

fai

ls t

o co

mpl

y w

ith

nati

onal

and

lo

cal l

aws.

Man

agem

ent

has

reco

gniz

ed t

he n

eed

to

crea

te a

n ef

fect

ive

OS

H

man

agem

ent

syst

em

that

ful

ly c

ompl

ies

wit

h na

tion

al a

nd lo

cal l

aws

and

regu

lati

ons,

and

has

st

arte

d an

impl

emen

tati

on

proc

ess.

Man

agem

ent

reco

gniz

es

the

need

to

crea

te

an e

ffec

tive

OS

H

man

agem

ent

syst

em

that

ful

ly c

ompl

ies

wit

h na

tion

al a

nd lo

cal l

aws

and

regu

lati

ons,

and

is

als

o in

alig

nmen

t w

ith

ILO

gui

delin

es.

Impl

emen

tati

on is

in

prog

ress

.

BN

o sy

stem

s do

cum

enta

tion

is b

eing

m

aint

aine

d th

at d

escr

ibes

ex

isti

ng s

yste

ms,

pr

oces

ses

and

proc

edur

es.

Lim

ited

doc

umen

tati

on is

ca

ptur

ed a

nd m

aint

aine

d th

at d

escr

ibes

exi

stin

g sy

stem

s, p

roce

sses

and

pr

oced

ures

.

The

exis

ting

OS

H

man

agem

ent

syst

em h

as

been

doc

umen

ted

in s

ome

deta

il. I

nfor

mat

ion

rela

ting

to

lega

l com

plia

nce

wit

h na

tion

al a

nd lo

cal

regu

lati

ons

has

not

been

co

llect

ed o

r m

aint

aine

d.

Doc

umen

tati

on e

xist

s th

at

desc

ribe

s th

e ex

isti

ng

OS

H m

anag

emen

t sy

stem

. Th

e or

gani

zati

on

colle

cts

and

mai

ntai

ns

up-t

o-da

te d

ata

rega

rdin

g le

gal c

ompl

ianc

e w

ith

both

nat

iona

l and

loca

l re

gula

tion

s.

Doc

umen

tati

on e

xist

s th

at

desc

ribe

s th

e ex

isti

ng

OS

H m

anag

emen

t sy

stem

in

det

ail.

The

orga

niza

tion

co

llect

s an

d m

aint

ains

up

-to-

date

dat

a re

gard

ing

lega

l com

plia

nce

wit

h bo

th n

atio

nal a

nd lo

cal

regu

lati

ons.

It

also

m

onit

ors

com

plia

nce

wit

h IL

O g

uide

lines

.

50 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CP

lann

ing

is c

ondu

cted

at

its

mos

t ba

sic

leve

l. It

is r

eact

ive

by n

atur

e,

and

focu

ses

on p

robl

em

solv

ing.

It

has

no f

ocus

on

crea

ting

an

effe

ctiv

e O

SH

m

anag

emen

t sy

stem

.

Pla

nnin

g is

con

duct

ed

at a

bas

ic le

vel.

It is

m

ostl

y re

acti

ve b

y na

ture

, an

d fo

cuse

s m

ainl

y on

pr

oble

m s

olvi

ng r

athe

r th

an c

reat

ing

an e

ffec

tive

O

SH

man

agem

ent

syst

em.

Eff

ecti

ve p

lann

ing

is

cond

ucte

d fo

r so

me

elem

ents

of

the

busi

ness

, bu

t do

es n

ot f

ocus

ad

equa

tely

on

crea

ting

an

eff

ecti

ve O

SH

m

anag

emen

t sy

stem

.

The

exis

ting

OS

H

man

agem

ent

syst

em

mee

ts a

rea

sona

ble

stan

dard

. Th

e or

gani

zati

on

is c

omm

itte

d to

pla

nnin

g in

ord

er t

o im

prov

e it

s ex

isti

ng O

SH

man

agem

ent

syst

em t

o be

tot

ally

co

mpl

iant

wit

h na

tion

al

and

loca

l reg

ulat

ions

.

The

exis

ting

OS

H

man

agem

ent

syst

em is

al

read

y w

ell d

evel

oped

, an

d co

mpl

ies

wit

h ex

isti

ng

nati

onal

and

loca

l law

s an

d IL

O g

uide

lines

.A

con

tinu

ous

impr

ovem

ent

proc

ess

is in

pla

ce, an

d th

ere

is a

lso

a pr

oces

s in

pla

ce t

o en

sure

th

at o

ppor

tuni

ties

for

im

prov

emen

t ar

e so

ught

.

DTh

e or

gani

zati

on h

as

no O

SH

per

form

ance

m

easu

rem

ent

syst

em

in p

lace

.

The

orga

niza

tion

has

a

very

lim

ited

OS

H

perf

orm

ance

mea

sure

men

t sy

stem

in p

lace

. O

SH

pe

rfor

man

ce is

rar

ely

mea

sure

d. T

his

is r

arel

y us

ed f

or p

lann

ing.

The

orga

niza

tion

has

pu

t so

me

perf

orm

ance

m

easu

rem

ent

met

hods

in

pla

ce. Th

ese

are

used

fo

r pl

anni

ng f

utur

e O

SH

im

prov

emen

ts.

The

orga

niza

tion

has

de

fined

a w

ide

rang

e of

OS

H p

erfo

rman

ce

mea

sure

s. T

hese

are

us

ed t

o se

t pe

rfor

man

ce

obje

ctiv

es f

or a

wid

e ra

nge

of O

SH

act

ivit

ies.

The

orga

niza

tion

has

a

com

preh

ensi

ve s

et o

f O

SH

pe

rfor

man

ce m

easu

rem

ent

mea

sure

s in

pla

ce.

Per

form

ance

obj

ecti

ves

are

cons

iste

ntly

use

d fo

r a

wid

e ra

nge

of O

SH

ac

tivi

ties

.

EN

o pl

anni

ng p

roce

ss e

xist

s th

at a

llow

s fo

r ad

equa

te

and

appr

opri

ate

OS

H

plan

ning

.

Exi

stin

g pl

anni

ng

proc

esse

s do

not

allo

w f

or

adeq

uate

or

appr

opri

ate

OS

H p

lann

ing.

Alt

houg

h a

plan

ning

sy

stem

is in

exi

sten

ce

for

som

e el

emen

ts o

f th

e bu

sine

ss, it

doe

s no

t pr

ovid

e ad

equa

te o

r ap

prop

riat

e O

SH

pla

nnin

g fo

r th

e en

tire

org

aniz

atio

n.

A p

lann

ing

syst

em is

in

exi

sten

ce f

or s

ome

elem

ents

of

the

busi

ness

. It

doe

s pr

ovid

e ad

equa

te

and

appr

opri

ate

OS

H

plan

ning

for

the

se p

arts

of

the

orga

niza

tion

, bu

t no

t fo

r th

e en

tire

act

ivit

ies

of

the

orga

niza

tion

.

A c

ompr

ehen

sive

pla

nnin

g sy

stem

alr

eady

exi

sts,

and

th

is p

rovi

des

adeq

uate

an

d ap

prop

riat

e O

SH

pl

anni

ng f

or t

he e

ntir

e or

gani

zati

on.

51Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FN

o cl

ear

defin

itio

ns

are

in p

lace

for

the

or

gani

zati

on’s

OS

H

obje

ctiv

es.

Very

lim

ited

defi

niti

ons

of t

he o

rgan

izat

ion’

s O

SH

ob

ject

ives

exi

st.

Som

e de

finit

ions

of

the

orga

niza

tion

’s O

SH

ob

ject

ives

exi

st. Th

ese

are

insu

ffici

ent

and

inad

equa

te, an

d fa

il to

pr

ovid

e a

clea

r pi

ctur

e th

at w

ould

allo

w p

rior

ity

sett

ing

and

quan

tific

atio

n.

Mos

t de

finit

ions

of

the

orga

niza

tion

’s O

SH

ob

ject

ives

exi

st. Th

ese

are

gene

rally

suf

ficie

nt a

nd

adeq

uate

to

allo

w p

rior

ity

sett

ing

and

quan

tific

atio

n in

mos

t ca

ses.

Com

preh

ensi

ve d

efini

tion

s of

the

org

aniz

atio

n’s

OS

H

obje

ctiv

es e

xist

. Th

ese

are

suffi

cien

t an

d ad

equa

te t

o al

low

pri

orit

y se

ttin

g an

d qu

anti

ficat

ion.

GN

o m

easu

rem

ent

crit

eria

exi

st t

hat

wou

ld

allo

w m

easu

rem

ent

of

perf

orm

ance

aga

inst

OS

H

obje

ctiv

es.

Very

few

mea

sure

men

t cr

iter

ia a

re in

ope

rati

on

that

wou

ld a

llow

an

y m

easu

rem

ent

of

perf

orm

ance

aga

inst

OS

H

obje

ctiv

es.

Lim

ited

mea

sure

men

t cr

iter

ia a

re in

ope

rati

on,

and

thes

e al

low

som

e m

easu

rem

ent

of O

SH

pe

rfor

man

ce a

gain

st O

SH

ob

ject

ives

.

A w

ide

rang

e of

m

easu

rem

ent

crit

eria

is

in o

pera

tion

. Th

ese

are

cons

iste

ntly

use

d to

mea

sure

OS

H

perf

orm

ance

aga

inst

OS

H

obje

ctiv

es.

A c

ompr

ehen

sive

ran

ge o

f O

SH

mea

sure

men

t cr

iter

ia

is in

use

. Th

ese

are

used

to

mea

sure

and

qua

ntif

y O

SH

per

form

ance

aga

inst

O

SH

obj

ecti

ves.

HN

o te

chni

cal s

uppo

rt,

hum

an o

r fin

anci

al

reso

urce

s ar

e m

ade

avai

labl

e fo

r O

SH

pla

nnin

g an

d im

plem

enta

tion

.

Tota

lly in

adeq

uate

te

chni

cal s

uppo

rt, hu

man

an

d fin

anci

al r

esou

rces

ar

e m

ade

avai

labl

e fo

r O

SH

pla

nnin

g an

d im

plem

enta

tion

.

Lim

ited

tec

hnic

al s

uppo

rt,

hum

an a

nd fi

nanc

ial

reso

urce

s ar

e m

ade

avai

labl

e fo

r O

SH

pla

nnin

g an

d im

plem

enta

tion

, bu

t ar

e in

suffi

cien

t.

Tech

nica

l sup

port

, hu

man

an

d fin

anci

al r

esou

rces

ar

e m

ade

avai

labl

e fo

r O

SH

pla

nnin

g an

d im

plem

enta

tion

, and

the

se

are

gene

rally

suf

ficie

nt.

A v

ery

wid

e ra

nge

of

tech

nica

l sup

port

, hu

man

an

d fin

anci

al r

esou

rces

ar

e m

ade

avai

labl

e fo

r O

SH

pla

nnin

g an

d im

plem

enta

tion

, an

d th

ese

are

suffi

cien

t to

m

eet

the

need

s.

IN

o O

SH

per

form

ance

ob

ject

ives

exi

st.

A f

ew O

SH

per

form

ance

ob

ject

ives

exi

st, bu

t fa

il to

de

fine

resp

onsi

bilit

ies

and

clea

r cr

iter

ia in

dica

ting

w

hat

is t

o be

don

e, b

y w

hom

, by

whe

n.

A li

mit

ed n

umbe

r of

OS

H

perf

orm

ance

obj

ecti

ves

exis

t, b

ut in

som

e ca

ses

they

fai

l to

defin

e re

spon

sibi

litie

s an

d cl

ear

crit

eria

indi

cati

ng w

hat

is

to b

e do

ne, by

who

m, by

w

hen.

A w

ide

rang

e of

OS

H

perf

orm

ance

obj

ecti

ves

exis

t, a

nd t

hey

gene

rally

de

fine

resp

onsi

bilit

ies

and

clea

r cr

iter

ia in

dica

ting

w

hat

is t

o be

don

e, b

y w

hom

, by

whe

n.

A c

ompr

ehen

sive

ran

ge

of O

SH

per

form

ance

ob

ject

ives

exi

st, an

d th

ey

defin

e re

spon

sibi

litie

s an

d cl

ear

crit

eria

indi

cati

ng

wha

t is

to

be d

one,

by

who

m, by

whe

n.

52 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

JO

SH

pla

nnin

g ar

rang

emen

ts a

re

non-

exis

tent

in t

his

orga

niza

tion

.

The

OS

H p

lann

ing

arra

ngem

ents

in

this

org

aniz

atio

n ar

e in

adeq

uate

, an

d do

not

co

mpl

y w

ith

the

ILO

gu

idel

ines

.

The

OS

H p

lann

ing

arra

ngem

ents

in

this

org

aniz

atio

n ar

e in

adeq

uate

, an

d do

no

t co

mpl

y w

ith

all t

he

elem

ents

cov

ered

by

the

ILO

gui

delin

es.

The

OS

H p

lann

ing

arra

ngem

ents

in t

his

orga

niza

tion

are

gen

eral

ly

adeq

uate

, an

d co

mpl

y w

ith

mos

t of

the

ele

men

ts

cove

red

by t

he I

LO

guid

elin

es.

The

OS

H p

lann

ing

arra

ngem

ents

in t

his

orga

niza

tion

are

eff

ecti

ve

and

suffi

cien

t, a

nd c

ompl

y w

ith

all t

he e

lem

ents

co

vere

d by

the

ILO

gu

idel

ines

.

TOTA

L S

CO

rE

FO

r I

TEM

3.8

SYS

TEM

PLA

NN

ING

, D

EVE

LOP

ME

NT

AN

D I

MP

LEM

EN

TATI

ON

(m

ax. sc

ore

for

this

item

is 5

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

53Planning and implementation

Gui

danc

e no

tes

Pla

nnin

g sh

ould

be

used

to

crea

te a

n O

SH

man

agem

ent

syst

em t

hat

ensu

res

com

plia

nce

wit

h na

tion

al la

ws

and

regu

lati

ons.

It s

houl

d al

so s

uppo

rt a

ll th

e el

emen

ts o

f th

e or

gani

zati

on’s

OS

H m

anag

emen

t sy

stem

, an

d th

e co

ntin

ual i

mpr

ovem

ent

of O

SH

per

form

ance

.

The

resu

lts

and

data

fro

m t

he in

itia

l rev

iew

and

sub

sequ

ent

revi

ews

shou

ld b

e us

ed in

a p

lann

ing

proc

ess

that

is a

dequ

ate

and

appr

opri

ate,

and

pro

vide

s pr

otec

tion

of

saf

ety

and

heal

th a

t w

ork.

The

OS

H o

bjec

tive

s of

the

org

aniz

atio

n sh

ould

be

clea

rly

defin

ed, an

d pr

iori

ties

sho

uld

be s

et a

nd q

uant

ified

.

In p

repa

ring

the

pla

n, e

ach

perf

orm

ance

obj

ecti

ve m

ust

be c

onsi

dere

d an

d cl

ear

perf

orm

ance

cri

teri

a be

defi

ned.

Res

pons

ibili

ties

mus

t be

defi

ned,

and

the

re m

ust

be in

dica

tors

sho

win

g w

hat

mus

t be

don

e, b

y w

hom

, an

d by

whe

n.

Cri

teri

a m

ust

be e

stab

lishe

d to

mea

sure

acc

urat

ely

whe

ther

OS

H p

erfo

rman

ce o

bjec

tive

s ha

ve b

een

sati

sfac

tori

ly a

chie

ved.

The

orga

niza

tion

mus

t en

sure

tha

t ad

equa

te a

nd a

ppro

pria

te r

esou

rces

are

pro

vide

d, in

clud

ing

hum

an a

nd fi

nanc

ial r

esou

rces

and

tec

hnic

al s

uppo

rt.

The

OS

H p

lann

ing

arra

ngem

ents

of

the

orga

niza

tion

mus

t co

ver

the

deve

lopm

ent

and

impl

emen

tati

on o

f al

l the

OS

H m

anag

emen

t sy

stem

ele

men

ts a

s de

scri

bed

in

Cha

pter

3 o

f th

e IL

O-O

SH

20

01

gui

delin

es.

54 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Pla

nnin

g an

d im

plem

enta

tion

It

em 3

.9 O

ccup

atio

nal s

afet

y an

d he

alth

obj

ecti

ves

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

A s

mal

l num

ber

of O

SH

ob

ject

ives

hav

e be

en

form

ulat

ed, bu

t th

ese

are

not

alig

ned

wit

h th

e or

gani

zati

on’s

OS

H p

olic

y.

A m

oder

ate

num

ber

of

OS

H o

bjec

tive

s ha

ve b

een

form

ulat

ed, bu

t th

ese

are

not

fully

alig

ned

wit

h th

e or

gani

zati

on’s

OS

H p

olic

y.

A w

ide

rang

e of

OS

H

obje

ctiv

es h

ave

been

fo

rmul

ated

, an

d th

ey a

re

gene

rally

alig

ned

wit

h th

e or

gani

zati

on’s

OS

H p

olic

y.

A c

ompr

ehen

sive

ran

ge o

f O

SH

obj

ecti

ves

have

bee

n fo

rmul

ated

, an

d th

ey a

re

tota

lly a

ligne

d w

ith

the

orga

niza

tion

’s O

SH

pol

icy.

BN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

Exi

stin

g O

SH

obj

ecti

ves

have

not

bee

n ba

sed

on

the

findi

ngs

of t

he in

itia

l or

sub

sequ

ent

revi

ews.

Exi

stin

g O

SH

obj

ecti

ves

have

bee

n ba

sed

on t

he

findi

ngs

of t

he in

itia

l or

subs

eque

nt r

evie

ws.

The

y ar

e no

t al

way

s sp

ecifi

c to

the

org

aniz

atio

n, o

r ap

prop

riat

e to

its

size

and

th

e na

ture

of

its

acti

vity

.

Exi

stin

g O

SH

obj

ecti

ves

have

bee

n ba

sed

on t

he

findi

ngs

of t

he in

itia

l or

subs

eque

nt r

evie

ws.

The

y ar

e ge

nera

lly s

peci

fic t

o th

e or

gani

zati

on, an

d ap

prop

riat

e to

its

size

and

th

e na

ture

of

its

acti

vity

.

Exi

stin

g O

SH

obj

ecti

ves

have

bee

n ac

cura

tely

ba

sed

on t

he fi

ndin

gs o

f th

e in

itia

l or

subs

eque

nt

revi

ews.

The

y ar

e sp

ecifi

c to

the

org

aniz

atio

n, a

nd

appr

opri

ate

to it

s si

ze a

nd

the

natu

re o

f it

s ac

tivi

ty.

CN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

Exi

stin

g O

SH

obj

ecti

ves

fail

to e

nsur

e co

mpl

ianc

e w

ith

all r

elev

ant

nati

onal

la

ws

and

regu

lati

ons.

Exi

stin

g O

SH

obj

ecti

ves

gene

rally

ens

ure

com

plia

nce

wit

h na

tion

al

law

s an

d re

gula

tion

s.

Exi

stin

g O

SH

obj

ecti

ves

gene

rally

ens

ure

com

plia

nce

wit

h na

tion

al

law

s an

d re

gula

tion

s.

They

are

als

o co

nsis

tent

w

ith

the

tech

nica

l and

bu

sine

ss o

blig

atio

ns o

f th

e or

gani

zati

on.

Exi

stin

g O

SH

obj

ecti

ves

cons

iste

ntly

ens

ure

com

plia

nce

wit

h na

tion

al

law

s an

d re

gula

tion

s.

They

are

als

o co

nsis

tent

w

ith

the

tech

nica

l and

bu

sine

ss o

blig

atio

ns o

f th

e or

gani

zati

on.

DN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

Exi

stin

g O

SH

obj

ecti

ves

are

not

suffi

cien

tly

focu

sed

on t

he c

onti

nual

im

prov

emen

t of

wor

kers

’ he

alth

and

saf

ety.

Exi

stin

g O

SH

obj

ecti

ves

are

in s

ome

case

s fo

cuse

d on

the

con

tinu

al

impr

ovem

ent

of w

orke

rs’

heal

th a

nd s

afet

y.

Exi

stin

g O

SH

obj

ecti

ves

are

in m

ost

case

s fo

cuse

d on

the

con

tinu

al

impr

ovem

ent

of w

orke

rs’

heal

th a

nd s

afet

y.

Exi

stin

g O

SH

obj

ecti

ves

are

in e

very

cas

e fo

cuse

d on

the

con

tinu

al

impr

ovem

ent

of w

orke

rs’

heal

th a

nd s

afet

y.

55Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

EN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

Exi

stin

g O

SH

obj

ecti

ves

are

in m

any

case

s un

real

isti

c an

d un

achi

evab

le.

Exi

stin

g O

SH

obj

ecti

ves

are

in s

ome

case

s un

real

isti

c, a

nd t

here

fore

un

achi

evab

le.

Car

e is

tak

en t

o en

sure

th

at O

SH

obj

ecti

ves

are

in

mos

t ca

ses

real

isti

c, a

nd

have

a r

easo

nabl

e ch

ance

of

bei

ng a

chie

ved.

Con

side

rabl

e ca

re is

ta

ken

to e

nsur

e th

at

OS

H o

bjec

tive

s ar

e in

all

case

s re

alis

tic,

and

are

co

nfide

ntly

exp

ecte

d to

be

achi

evab

le.

FN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

Exi

stin

g O

SH

obj

ecti

ves

are

rare

ly d

ocum

ente

d.E

xist

ing

OS

H o

bjec

tive

s ar

e ge

nera

lly d

ocum

ente

d,

but

are

not

com

mun

icat

ed

to a

ll re

leva

nt f

unct

ions

or

leve

ls o

f th

e or

gani

zati

on.

Exi

stin

g O

SH

obj

ecti

ves

are

regu

larl

y do

cum

ente

d,

but

are

not

alw

ays

com

mun

icat

ed t

o al

l re

leva

nt f

unct

ions

or

leve

ls o

f th

e or

gani

zati

on.

Exi

stin

g O

SH

obj

ecti

ves

are

thor

ough

ly a

nd

regu

larl

y do

cum

ente

d,

and

are

com

mun

icat

ed t

o al

l rel

evan

t fu

ncti

ons

and

leve

ls o

f th

e or

gani

zati

on.

GN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

OS

H o

bjec

tive

s ar

e no

t w

ritt

en a

s pe

rfor

man

ce

obje

ctiv

es, an

d fa

il to

in

dica

te c

lear

ly h

ow t

he

requ

ired

out

com

es c

an b

e ac

hiev

ed.

OS

H o

bjec

tive

s ar

e no

t w

ritt

en a

s pe

rfor

man

ce

obje

ctiv

es t

hat

indi

cate

cl

earl

y th

e ex

pect

ed

stan

dard

s or

the

mea

sure

s to

be

used

to

indi

cate

tha

t th

e ob

ject

ives

hav

e be

en

achi

eved

.

Mos

t O

SH

obj

ecti

ves

are

wri

tten

as

perf

orm

ance

ob

ject

ives

tha

t cl

earl

y in

dica

te w

hat

the

orga

niza

tion

wan

ts t

o ac

hiev

e, a

nd h

ow it

in

tend

s to

mea

sure

w

heth

er t

he o

bjec

tive

s ha

ve b

een

achi

eved

.

All

OS

H o

bjec

tive

s ar

e w

ritt

en a

s pe

rfor

man

ce

obje

ctiv

es t

hat

clea

rly

indi

cate

wha

t th

e or

gani

zati

on w

ants

to

achi

eve,

and

how

it

inte

nds

to m

easu

re

whe

ther

the

obj

ecti

ves

have

bee

n ac

hiev

ed.

HN

o O

SH

obj

ecti

ves

have

be

en f

orm

ulat

ed.

OS

H o

bjec

tive

s ex

ist,

bu

t ar

e ra

rely

rev

iew

ed,

eval

uate

d or

upd

ated

.

OS

H o

bjec

tive

s re

view

ed,

eval

uate

d an

d up

date

d on

a

rand

om b

asis

.

OS

H o

bjec

tive

s ar

e re

view

ed, ev

alua

ted

and

upda

ted

on a

reg

ular

ba

sis.

Som

e ef

fort

is m

ade

to s

eek

impr

ovem

ents

in

OS

H p

rote

ctio

n,

and

to im

prov

e O

SH

pe

rfor

man

ce.

Con

side

rabl

e ef

fort

is

mad

e to

ens

ure

that

al

l OS

H o

bjec

tive

s ar

e re

view

ed, ev

alua

ted

and

upda

ted

on a

reg

ular

ba

sis.

Eve

ry e

ffor

t is

mad

e to

see

k im

prov

emen

ts

in O

SH

pro

tect

ion,

an

d to

impr

ove

OS

H

perf

orm

ance

.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.9

OC

CU

PATI

ON

AL

SA

FETY

AN

D H

EA

LTH

OB

JEC

TIVE

S (

max

. sc

ore

for

this

item

is 4

0)

56 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

OS

H o

bjec

tive

s m

ust

be c

onsi

sten

t w

ith

the

orga

niza

tion

’s s

afet

y an

d he

alth

pol

icy.

OS

H o

bjec

tive

s sh

ould

be

base

d on

the

init

ial o

r su

bseq

uent

rev

iew

s.

OS

H o

bjec

tive

s sh

ould

allo

w e

asy

and

relia

ble

mea

sure

men

t to

est

ablis

h w

heth

er t

hey

have

bee

n m

et.

OS

H o

bjec

tive

s sh

ould

be

spec

ific

to t

he o

rgan

izat

ion,

and

sho

uld

be a

ppro

pria

te t

o an

d in

acc

orda

nce

wit

h th

e si

ze a

nd n

atur

e of

act

ivit

y of

the

org

aniz

atio

n.

OS

H o

bjec

tive

s sh

ould

be

appr

opri

ate

to t

he c

ompl

exit

y of

the

act

ivit

ies

unde

rtak

en b

y th

e or

gani

zati

on.

OS

H o

bjec

tive

s sh

ould

be

cons

iste

nt w

ith

all r

elev

ant

and

appl

icab

le n

atio

nal l

aws

and

regu

lati

ons.

OS

H o

bjec

tive

s sh

ould

be

in a

lignm

ent

wit

h th

e te

chni

cal a

nd b

usin

ess

oblig

atio

ns o

f th

e or

gani

zati

on r

elat

ing

to O

SH

.

57Planning and implementation

OS

H o

bjec

tive

s sh

ould

be

focu

sed

on c

onti

nuou

s im

prov

emen

t of

wor

kers

’ OS

H p

rote

ctio

n, a

nd o

n ac

hiev

ing

the

best

OS

H p

erfo

rman

ce.

In s

etti

ng O

SH

obj

ecti

ves,

it is

ess

enti

al t

hat

they

are

bot

h re

alis

tic

and

achi

evab

le.

OS

H o

bjec

tive

s m

ust

be p

rope

rly

docu

men

ted

and

com

mun

icat

ed t

o al

l rel

evan

t fu

ncti

ons,

and

thr

ough

all

leve

ls o

f th

e or

gani

zati

on.

OS

H o

bjec

tive

s sh

ould

be

peri

odic

ally

eva

luat

ed a

nd r

evie

wed

, an

d up

date

d w

here

nec

essa

ry.

OS

H o

bjec

tive

s sh

ould

tak

e th

e el

emen

ts o

f sa

fety

and

hea

lth

polic

y an

d fa

cilit

ate

thei

r tr

ansf

er in

to o

pera

tion

al u

se.

58 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Pla

nnin

g an

d im

plem

enta

tion

H

azar

d pr

even

tion

– I

tem

3.1

0.1

Pre

vent

ion

and

cont

rol m

easu

res

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o sy

stem

is in

pla

ce t

o id

enti

fy h

azar

ds a

nd r

isks

to

wor

kers

’ saf

ety.

An

info

rmal

sys

tem

ex

ists

tha

t is

sup

pose

d to

iden

tify

haz

ards

and

ev

alua

te r

isks

rel

atin

g to

he

alth

and

saf

ety.

The

syst

em in

pla

ce is

not

fit

for

pur

pose

.

A f

orm

al s

yste

m e

xist

s fo

r id

enti

fyin

g ha

zard

s an

d ev

alua

ting

ris

ks r

elat

ing

to

wor

kers

’ saf

ety

and

heal

th.

This

sys

tem

is n

ot t

otal

ly

effe

ctiv

e.

A w

ell-

deve

lope

d sy

stem

fo

r id

enti

fyin

g ha

zard

s an

d ev

alua

ting

ris

ks r

elat

ing

to

wor

kers

’ saf

ety

and

heal

th

is in

pla

ce. Th

is s

yste

m is

w

orki

ng e

ffec

tive

ly.

A c

ompr

ehen

sive

and

ro

bust

sys

tem

for

id

enti

fyin

g ha

zard

s an

d ev

alua

ting

ris

ks r

elat

ing

to

wor

kers

’ saf

ety

and

heal

th

is in

pla

ce. Th

is s

yste

m is

op

erat

ing

very

eff

ecti

vely

.

BVe

ry f

ew p

reve

ntiv

e

and

prot

ecti

ve m

easu

res

are

in o

pera

tion

.P

erso

nal p

rote

ctiv

e eq

uipm

ent

(PP

E)

is

som

etim

es is

sued

to

wor

kers

, bu

t is

not

alw

ays

appr

opri

ate

or d

oes

not

cont

rol t

he r

isks

pro

perl

y.

Pre

vent

ive

and

prot

ecti

ve

mea

sure

s ar

e m

ostl

y in

op

erat

ion,

but

are

not

de

alt

wit

h co

nsis

tent

ly

and

do n

ot p

rovi

de

effe

ctiv

e pr

otec

tion

.P

PE

is s

omet

imes

issu

ed

to c

over

ris

ks, an

d ot

her

prot

ecti

ve m

easu

res

are

only

rar

ely

used

.

Pre

vent

ive

and

prot

ecti

ve

mea

sure

s ar

e in

ope

rati

on,

but

do n

ot a

lway

s ad

here

to

the

fol

low

ing

pres

crib

ed

hier

arch

y:•

Elim

inat

eth

eha

zard

.•

Con

trol

the

haz

ard

or

risk

at

sour

ce.

•M

inim

ize

haza

rds

and

risk

s by

usi

ng s

afe

wor

k sy

stem

s an

d ad

min

istr

ativ

e co

ntro

ls.

Mos

t re

sidu

al h

azar

ds

and

risk

s ar

e co

ntro

lled

by

appr

opri

ate

PP

E.

Pre

vent

ive

and

prot

ecti

ve

mea

sure

s ar

e in

ope

rati

on,

and

gene

rally

adh

ere

to

the

follo

win

g pr

escr

ibed

hi

erar

chy:

•E

limin

ate

the

haza

rd.

•C

ontr

olt

heh

azar

dor

ri

sk a

t so

urce

.•

Min

imiz

eha

zard

san

dri

sks

by u

sing

saf

e w

ork

syst

ems

and

adm

inis

trat

ive

cont

rols

.A

ll re

sidu

al h

azar

ds

and

risk

s ar

e co

ntro

lled

by

appr

opri

ate

PP

E.

Pre

vent

ive

and

prot

ecti

ve

mea

sure

s ar

e in

ope

rati

on,

and

stri

ctly

fol

low

the

fo

llow

ing

hier

arch

y:•

Elim

inat

eth

eha

zard

.•

Con

trol

the

haz

ard

or

risk

at

sour

ce.

•M

inim

ize

haza

rds

and

risk

s by

usi

ng s

afe

wor

k sy

stem

s an

d ad

min

istr

ativ

e co

ntro

ls.

All

resi

dual

haz

ards

an

d ri

sks

are

cont

rolle

d by

ap

prop

riat

e P

PE

.

59Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CH

azar

d pr

even

tion

and

co

ntro

l pro

cedu

res

or

arra

ngem

ents

hav

e ra

rely

be

en e

stab

lishe

d.W

here

the

y do

exi

st, th

ey

are

in m

ost

case

s no

t ad

apte

d to

the

haz

ards

an

d ri

sks

that

exi

st a

nd

are

enco

unte

red

by t

he

orga

niza

tion

.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts h

ave

been

es

tabl

ishe

d, b

ut f

ail t

o co

ntro

l all

haza

rds.

Whe

re

they

do

exis

t, t

hey

are

freq

uent

ly n

ot a

dapt

ed t

o th

e ha

zard

s an

d ri

sks

that

ex

ist

and

are

enco

unte

red

by t

he o

rgan

izat

ion.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts h

ave

been

es

tabl

ishe

d fo

r m

ost

haza

rds.

The

se a

re in

so

me

case

s ad

apte

d to

th

e pa

rtic

ular

haz

ards

an

d ri

sks

that

exi

st a

nd

are

enco

unte

red

by t

he

orga

niza

tion

.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts h

ave

been

w

idel

y es

tabl

ishe

d. T

hese

ar

e in

mos

t ca

ses

adap

ted

to t

he p

arti

cula

r ha

zard

s an

d ri

sks

that

exi

st a

nd

are

enco

unte

red

by t

he

orga

niza

tion

.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts h

ave

been

com

preh

ensi

vely

es

tabl

ishe

d. T

hese

are

ad

apte

d to

the

par

ticu

lar

haza

rds

and

risk

s th

at

exis

t an

d ar

e en

coun

tere

d by

the

org

aniz

atio

n.

DN

o re

view

or

mod

ifica

tion

pr

oces

s is

in p

lace

to

ensu

re t

hat

haza

rds

and

risk

s ar

e id

enti

fied,

as

sess

ed a

nd c

ontr

olle

d.

No

form

al r

evie

w o

r m

odifi

cati

on p

roce

ss

exis

ts t

o en

sure

tha

t th

e m

easu

res

to id

enti

fy,

asse

ss, an

d co

ntro

l ha

zard

s an

d ri

sks

are

upda

ted

and

impr

oved

.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts a

re r

evie

wed

an

d m

odifi

ed in

freq

uent

ly.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts a

re r

evie

wed

an

d m

odifi

ed a

s ne

cess

ary

on a

reg

ular

bas

is.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts a

re r

evie

wed

an

d m

odifi

ed a

s ne

cess

ary

on a

fre

quen

t ba

sis.

ETh

e or

gani

zati

on g

ener

ally

fa

ils t

o fo

llow

or

com

ply

wit

h go

od p

ract

ice

or n

atio

nal l

aws

and

regu

lati

ons

rela

ting

to

haza

rd id

enti

ficat

ion,

as

sess

men

t an

d co

ntro

l.

The

orga

niza

tion

at

tim

es f

ails

to

follo

w

or c

ompl

y w

ith

good

pr

acti

ce o

r na

tion

al la

ws

and

regu

lati

ons

rela

ting

to

haz

ard

iden

tific

atio

n,

asse

ssm

ent

and

cont

rol.

The

orga

niza

tion

mos

tly

follo

ws

or c

ompl

ies

wit

h go

od p

ract

ice

or n

atio

nal

law

s an

d re

gula

tion

s re

lati

ng t

o ha

zard

id

enti

ficat

ion,

ass

essm

ent

and

cont

rol.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts g

ener

ally

co

mpl

y w

ith

nati

onal

la

ws

and

regu

lati

ons,

and

re

flect

goo

d pr

acti

ce.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts c

ompl

y fu

lly

wit

h na

tion

al la

ws

and

regu

lati

ons,

and

refl

ect

good

pra

ctic

e.

FN

o sy

stem

is in

pla

ce

to id

enti

fy h

azar

ds a

nd

risk

s to

wor

kers

’ saf

ety.

Th

ere

is n

o co

nsid

erat

ion

of t

he c

urre

nt s

tate

of

know

ledg

e, in

form

atio

n an

d re

port

s fr

om la

bour

in

spec

tora

tes,

or

any

othe

r ap

prop

riat

e so

urce

.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

arr

ange

men

ts a

re

inad

equa

te, an

d fa

il to

co

nsid

er t

he c

urre

nt s

tate

of

kno

wle

dge,

info

rmat

ion

and

repo

rts

from

labo

ur

insp

ecto

rate

s, a

nd o

ther

ap

prop

riat

e so

urce

s.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts f

requ

entl

y co

nsid

er t

he c

urre

nt s

tate

of

kno

wle

dge,

info

rmat

ion

and

repo

rts

from

labo

ur

insp

ecto

rate

s, a

nd o

ther

ap

prop

riat

e so

urce

s.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

ar

rang

emen

ts g

ener

ally

co

nsid

er t

he c

urre

nt s

tate

of

kno

wle

dge,

info

rmat

ion

and

repo

rts

from

labo

ur

insp

ecto

rate

s, O

SH

se

rvic

e or

gani

zati

ons

and

othe

r ap

prop

riat

e so

urce

s.

Haz

ard

prev

enti

on a

nd

cont

rol p

roce

dure

s or

arr

ange

men

ts

syst

emat

ical

ly c

onsi

der

the

curr

ent

stat

e of

kn

owle

dge,

info

rmat

ion

and

repo

rts

from

labo

ur

insp

ecto

rate

s, O

SH

se

rvic

e or

gani

zati

ons

and

othe

r ap

prop

riat

e so

urce

s.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

0.1

Pr

EVE

NTI

ON

AN

D C

ON

TrO

L M

EA

SU

rE

S (

max

. sc

ore

for

this

item

is 3

0)

60 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

Haz

ards

and

ris

ks t

o w

orke

r’s s

afet

y an

d he

alth

sho

uld

be id

enti

fied

and

asse

ssed

on

an o

ngoi

ng b

asis

. P

reve

ntiv

e an

d pr

otec

tive

mea

sure

s sh

ould

be

impl

emen

ted

in t

he f

ollo

win

g or

der

of p

rior

ity:

(a)

Elim

inat

e th

e ha

zard

or

risk

.(b

) C

ontr

ol t

he h

azar

d or

ris

k at

sou

rce,

thr

ough

the

use

of

engi

neer

ing

cont

rols

.(c

) M

inim

ize

the

haza

rd o

r ri

sk b

y th

e de

sign

of

safe

wor

k sy

stem

s, o

rgan

izat

iona

l or

adm

inis

trat

ive

cont

rol m

easu

res.

(d)

Whe

re r

esid

ual h

azar

ds o

r ri

sks

cann

ot b

e co

ntro

lled

by c

olle

ctiv

e m

easu

res,

the

em

ploy

er s

houl

d pr

ovid

e fo

r ap

prop

riat

e pe

rson

al p

rote

ctiv

e eq

uipm

ent,

in

clud

ing

clot

hing

, at

no

cost

, an

d im

plem

ent

mea

sure

s to

ens

ure

its

use

and

mai

nten

ance

.

Haz

ard

prev

enti

on a

nd c

ontr

ol p

roce

dure

s or

arr

ange

men

ts s

houl

d be

est

ablis

hed,

and

sho

uld:

(a)

be a

dapt

ed t

o th

e ha

zard

s an

d ri

sks

enco

unte

red

by t

he o

rgan

izat

ion;

(b)

be r

evie

wed

and

mod

ified

, if

nec

essa

ry, on

a r

egul

ar b

asis

;(c

) co

mpl

y w

ith

nati

onal

law

s an

d re

gula

tion

s, a

nd r

eflec

t go

od p

ract

ice;

(d)

cons

ider

the

cur

rent

sta

te o

f kn

owle

dge,

incl

udin

g in

form

atio

n or

rep

orts

fro

m o

rgan

izat

ions

, su

ch a

s la

bour

insp

ecto

rate

s, O

SH

ser

vice

s an

d ot

her

appr

opri

ate

serv

ices

and

sou

rces

.

61Planning and implementation

Pla

nnin

g an

d im

plem

enta

tion

H

azar

d pr

even

tion

– I

tem

3.1

0.2

Man

agem

ent

of c

hang

e

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

ere

is n

o sy

stem

w

ithi

n th

e or

gani

zati

on

to c

aptu

re in

tern

al o

r ex

tern

al c

hang

e.

Ther

e is

no

form

al s

yste

m

in p

lace

tha

t ef

fect

ivel

y ca

ptur

es in

tern

al o

r ex

tern

al c

hang

e.

A s

yste

m e

xist

s

to c

aptu

re in

tern

al

and

exte

rnal

cha

nges

,

but

it is

not

con

sist

entl

y us

ed.

Ther

e is

a f

orm

al s

yste

m

that

cap

ture

s in

tern

al a

nd

exte

rnal

cha

nges

. Th

is

is w

idel

y us

ed, an

d is

ge

nera

lly e

ffec

tive

.

Ther

e is

a f

orm

al s

yste

m

that

cap

ture

s al

l int

erna

l an

d ex

tern

al c

hang

es.

This

is e

xten

sive

ly

used

thr

ough

out

the

orga

niza

tion

, an

d ha

s pr

oved

to

be v

ery

effe

ctiv

e.

BIn

tern

al c

hang

es in

re

spec

t of

sta

ffing

, ne

w p

roce

sses

, w

orki

ng p

roce

dure

s or

or

gani

zati

onal

str

uctu

re,

incl

udin

g ac

quis

itio

ns

and

mer

gers

, ar

e no

t ca

ptur

ed o

r fa

ctor

ed in

to

a m

anag

emen

t of

cha

nge

prog

ram

me.

Inte

rnal

cha

nges

in

resp

ect

of s

taffi

ng,

new

pro

cess

es,

wor

king

pro

cedu

res

or

orga

niza

tion

al s

truc

ture

, in

clud

ing

acqu

isit

ions

an

d m

erge

rs, ar

e no

t sy

stem

atic

ally

cap

ture

d or

fac

tore

d in

to a

m

anag

emen

t of

cha

nge

prog

ram

me.

Inte

rnal

cha

nges

in

resp

ect

of s

taffi

ng,

new

pro

cess

es,

wor

king

pro

cedu

res

or

orga

niza

tion

al s

truc

ture

, in

clud

ing

acqu

isit

ions

an

d m

erge

rs, ar

e ca

ptur

ed

from

tim

e to

tim

e, a

nd

are

then

fac

tore

d in

to a

m

anag

emen

t of

cha

nge

prog

ram

me.

An

effe

ctiv

e sy

stem

ex

ists

tha

t ge

nera

lly

capt

ures

mos

t in

tern

al

chan

ges

in r

espe

ct o

f st

affin

g, n

ew p

roce

sses

, w

orki

ng p

roce

dure

s or

or

gani

zati

onal

str

uctu

re,

incl

udin

g ac

quis

itio

ns

and

mer

gers

. Th

e ch

ange

s ar

e th

en f

acto

red

into

an

effe

ctiv

e m

anag

emen

t of

ch

ange

pro

gram

me.

A h

ighl

y ef

fect

ive

syst

em e

xist

s th

at

capt

ures

all

inte

rnal

ch

ange

s in

res

pect

of

staf

fing,

new

pro

cess

es,

wor

king

pro

cedu

res

or

orga

niza

tion

al s

truc

ture

, in

clud

ing

acqu

isit

ions

an

d m

erge

rs. A

ll ch

ange

s ar

e th

en f

acto

red

into

an

effe

ctiv

e m

anag

emen

t of

ch

ange

pro

gram

me.

62 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CE

xter

nal c

hang

es,

incl

udin

g ch

ange

s to

nat

iona

l law

s an

d re

gula

tion

s, o

r im

prov

emen

ts in

O

SH

kno

wle

dge

and

tech

nolo

gy, ar

e no

t ev

alua

ted

or f

acto

red

into

a

man

agem

ent

of c

hang

e pr

ogra

mm

e.

Ext

erna

l cha

nges

, in

clud

ing

chan

ges

to n

atio

nal l

aws

and

regu

lati

ons,

or

impr

ovem

ents

in

OS

H k

now

ledg

e an

d te

chno

logy

, ar

e no

t sy

stem

atic

ally

cap

ture

d,

eval

uate

d or

fac

tore

d in

to

a m

anag

emen

t of

cha

nge

prog

ram

me.

Mos

t ex

tern

al c

hang

es,

incl

udin

g ch

ange

s to

nat

iona

l law

s an

d re

gula

tion

s, o

r im

prov

emen

ts in

OS

H

know

ledg

e an

d te

chno

logy

. ar

e ca

ptur

ed, ev

alua

ted

and

fact

ored

into

a

man

agem

ent

of c

hang

e pr

ogra

mm

e.

An

effe

ctiv

e sy

stem

ex

ists

tha

t ge

nera

lly

capt

ures

all

exte

rnal

ch

ange

s, in

clud

ing

chan

ges

to n

atio

nal l

aws

and

regu

lati

ons,

and

im

prov

emen

ts in

OS

H

know

ledg

e an

d te

chno

logy

. A

ll ch

ange

s ar

e fa

ctor

ed

into

an

effe

ctiv

e m

anag

emen

t of

cha

nge

prog

ram

me.

A h

ighl

y ef

fect

ive

syst

em e

xist

s th

at

capt

ures

all

exte

rnal

ch

ange

s, in

clud

ing

chan

ges

to n

atio

nal l

aws

and

regu

lati

ons,

and

im

prov

emen

ts in

OS

H

know

ledg

e an

d te

chno

logy

. C

onti

nuou

s im

prov

emen

t ch

ange

s ar

e tr

acke

d,

and

all c

hang

es a

re t

hen

fact

ored

into

a h

ighl

y ef

fect

ive

man

agem

ent

of

chan

ge p

rogr

amm

e.

DW

hen

inte

rnal

or

exte

rnal

ch

ange

s ar

e im

plem

ente

d,

ther

e is

no

syst

em in

pl

ace

that

dem

ands

th

at a

wor

kpla

ce h

azar

d id

enti

ficat

ion

and

risk

as

sess

men

t be

car

ried

out

.

Whe

n in

tern

al o

r ex

tern

al

chan

ges

are

impl

emen

ted,

th

ere

is n

o ef

fect

ive

syst

em in

pla

ce t

hat

dem

ands

tha

t a

wor

kpla

ce

haza

rd id

enti

ficat

ion

and

risk

ass

essm

ent

be c

arri

ed

out.

Whe

n in

tern

al o

r ex

tern

al

chan

ges

are

impl

emen

ted,

th

ere

is a

sys

tem

in

plac

e th

at d

eman

ds

that

a w

orkp

lace

haz

ard

iden

tific

atio

n an

d ri

sk

asse

ssm

ent

be c

arri

ed o

ut.

An

effe

ctiv

e sy

stem

exi

sts

that

ens

ures

tha

t in

tern

al

or e

xter

nal c

hang

es

are

gene

rally

sub

ject

ed

to a

wor

kpla

ce h

azar

d id

enti

ficat

ion

and

risk

as

sess

men

t.

A h

ighl

y ef

fect

ive

syst

em

exis

ts t

hat

ensu

res

that

in

tern

al o

r ex

tern

al

chan

ges

are

alw

ays

subj

ecte

d to

a w

orkp

lace

ha

zard

iden

tific

atio

n an

d ri

sk a

sses

smen

t.

ETh

ere

is n

o sy

stem

in

pla

ce t

o en

sure

th

at w

orke

rs, th

eir

repr

esen

tati

ves,

and

th

e sa

fety

and

hea

lth

com

mit

tee

are

info

rmed

or

con

sult

ed r

egar

ding

ch

ange

s.

Ther

e is

no

form

al o

r ef

fect

ive

syst

em in

pla

ce

that

ens

ures

tha

t w

orke

rs,

thei

r re

pres

enta

tive

s,

and

the

safe

ty a

nd

heal

th c

omm

itte

e ar

e co

nsis

tent

ly in

form

ed

or c

onsu

lted

reg

ardi

ng

chan

ges.

Ther

e is

a s

yste

m

in p

lace

tha

t sh

ould

en

sure

tha

t w

orke

rs,

thei

r re

pres

enta

tive

s,

and

the

safe

ty a

nd

heal

th c

omm

itte

e ar

e co

nsis

tent

ly in

form

ed

and

cons

ulte

d re

gard

ing

chan

ges.

Thi

s is

not

co

nsis

tent

ly u

sed.

Ther

e is

an

effe

ctiv

e sy

stem

in p

lace

tha

t is

use

d re

gula

rly

to

ensu

re t

hat

wor

kers

, th

eir

repr

esen

tati

ves,

an

d th

e sa

fety

and

he

alth

com

mit

tee

are

cons

iste

ntly

info

rmed

an

d co

nsul

ted

rega

rdin

g ch

ange

s.

Ther

e is

a r

obus

t an

d hi

ghly

effi

cien

t sy

stem

in

pla

ce t

hat

ensu

res

that

wor

kers

, th

eir

repr

esen

tati

ves,

and

th

e sa

fety

and

hea

lth

com

mit

tee

are

cons

iste

ntly

in

form

ed a

nd c

onsu

lted

re

gard

ing

chan

ges.

Thi

s is

ext

ensi

vely

use

d, a

nd

is a

lso

com

mun

icat

ed t

o co

ntra

ctor

s’ p

erso

nnel

.

63Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e or

gani

zati

on d

oes

not

have

in p

lace

an

effe

ctiv

e sy

stem

for

com

mun

icat

ing

inte

rnal

and

ext

erna

l ch

ange

s to

eve

ryon

e w

ho

may

be

affe

cted

.

The

orga

niza

tion

has

a

syst

em t

hat

coul

d al

low

co

mm

unic

atio

n of

inte

rnal

an

d ex

tern

al c

hang

es t

o ev

eryo

ne a

ffec

ted.

Thi

s sy

stem

is v

ery

rare

ly u

sed.

The

orga

niza

tion

has

a

syst

em t

hat

can

com

mun

icat

e al

l int

erna

l an

d ex

tern

al c

hang

es t

o ev

eryo

ne w

ho m

ay b

e af

fect

ed. Th

is s

yste

m is

no

t fr

eque

ntly

use

d.

The

orga

niza

tion

has

an

effe

ctiv

e sy

stem

tha

t ca

n be

use

d to

com

mun

icat

e al

l int

erna

l and

ext

erna

l ch

ange

s to

eve

ryon

e w

ho

may

be

affe

cted

by

the

chan

ge.

This

sys

tem

is

used

fre

quen

tly.

The

orga

niza

tion

has

an

outs

tand

ing

syst

em t

hat

is u

sed

to c

omm

unic

ate

all i

nter

nal a

nd e

xter

nal

chan

ges

effe

ctiv

ely

to

ever

yone

who

may

be

affe

cted

by

the

chan

ge.

This

sys

tem

is u

sed

in

resp

ect

of a

ll ch

ange

s.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

0.2

MA

NA

GE

ME

NT

OF

CH

AN

GE

(m

ax. sc

ore

for

this

item

is 3

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

64 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Gui

danc

e no

tes

The

impa

ct o

n O

SH

cau

sed

by in

tern

al a

nd e

xter

nal c

hang

es s

houl

d be

eva

luat

ed, an

d ap

prop

riat

e st

eps

shou

ld b

e ta

ken

befo

re t

he c

hang

es a

re in

trod

uced

.

Inte

rnal

cha

nges

are

tho

se s

uch

as s

taffi

ng, ne

w p

roce

sses

, w

orki

ng p

roce

dure

s, o

rgan

izat

iona

l str

uctu

res

or a

cqui

siti

ons.

Ext

erna

l cha

nges

are

tho

se t

hat

are

brou

ght

abou

t be

caus

e of

cha

nges

in n

atio

nal l

aws

or r

egul

atio

ns, or

gani

zati

onal

mer

gers

, or

dev

elop

men

ts a

nd im

prov

emen

ts

in O

SH

kno

wle

dge

and

tech

nolo

gy.

A w

orkp

lace

haz

ard

iden

tific

atio

n an

d ri

sk a

sses

smen

t sh

ould

be

carr

ied

out

befo

re a

ny m

odifi

cati

on o

r in

trod

ucti

on o

f ne

w w

ork

met

hods

, m

ater

ials

, pr

oces

ses,

to

ols

or m

achi

nery

.

Suc

h an

ass

essm

ent

shou

ld b

e ca

rrie

d ou

t in

con

sult

atio

n w

ith

and

invo

lvin

g w

orke

rs a

nd t

heir

rep

rese

ntat

ives

, an

d th

e sa

fety

and

hea

lth

com

mit

tee.

Impl

emen

tati

on o

f a

“dec

isio

n to

cha

nge”

sho

uld

ensu

re t

hat

all a

ffec

ted

mem

bers

of

the

orga

niza

tion

are

pro

perl

y in

form

ed a

nd t

rain

ed.

Cha

nges

tha

t co

uld

affe

ct e

xter

nal o

rgan

izat

ions

(su

ch a

s th

e fir

e br

igad

e, c

ontr

acto

rs o

r su

pplie

rs)

shou

ld b

e co

mm

unic

ated

to

thes

e bo

dies

as

appr

opri

ate.

65Planning and implementation

Pla

nnin

g an

d im

plem

enta

tion

H

azar

d pr

even

tion

– I

tem

3.1

0.3

Em

erge

ncy

prev

enti

on,

pr

epar

edne

ss a

nd r

espo

nse

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o em

erge

ncy

prev

enti

on,

prep

ared

ness

or

resp

onse

ar

rang

emen

ts h

ave

been

es

tabl

ishe

d or

mai

ntai

ned.

No

form

al a

rran

gem

ents

fo

r em

erge

ncy

prev

enti

on,

prep

ared

ness

or

resp

onse

ar

e in

pla

ce e

xcep

t fo

r a

smal

l num

ber

of p

orta

ble

fire

exti

ngui

sher

s.

Bas

ic f

orm

al a

rran

gem

ents

fo

r em

erge

ncy

prev

enti

on,

prep

ared

ness

and

re

spon

se a

re in

pla

ce,

but

are

not

regu

larl

y m

aint

aine

d. T

hese

m

inim

ally

iden

tify

the

po

tent

ial f

or a

ccid

ents

an

d em

erge

ncie

s.

Form

al a

rran

gem

ents

for

em

erge

ncy

prev

enti

on,

prep

ared

ness

and

re

spon

se a

re in

pla

ce,

and

thes

e ar

e re

gula

rly

mai

ntai

ned.

An

effe

ctiv

e sy

stem

is in

pla

ce t

o pr

even

t O

SH

ris

ks

asso

ciat

ed w

ith

acci

dent

an

d em

erge

ncy

situ

atio

ns.

Thes

e ar

rang

emen

ts a

re

appr

opri

ate

for

the

size

an

d ty

pe o

f th

e bu

sine

ss.

Com

preh

ensi

ve a

nd

robu

st a

rran

gem

ents

ex

ist

for

emer

genc

y pr

even

tion

, pr

epar

edne

ss

and

resp

onse

, an

d th

ese

are

regu

larl

y m

aint

aine

d.

An

effe

ctiv

e sy

stem

is in

pl

ace

to p

reve

nt O

SH

ris

ks

asso

ciat

ed w

ith

acci

dent

an

d em

erge

ncy

situ

atio

ns.

Thes

e ar

rang

emen

ts a

re

enti

rely

app

ropr

iate

to

the

size

and

typ

e of

the

or

gani

zati

on’s

bus

ines

s.

BN

o in

form

atio

n,

com

mun

icat

ion

or

coor

dina

tion

is p

rovi

ded

to p

rote

ct p

erso

ns in

the

ev

ent

of a

n em

erge

ncy.

The

only

info

rmat

ion

prov

ided

is t

he t

elep

hone

nu

mbe

r of

em

erge

ncy

serv

ices

. In

stru

ctio

ns

for

the

oper

atio

n of

the

po

rtab

le fi

re e

xtin

guis

hers

ar

e pr

ovid

ed.

Mos

t w

orke

rs u

nder

stan

d th

e ba

sic

thin

gs t

hey

are

requ

ired

to

do in

an

emer

genc

y si

tuat

ion.

E

vacu

atio

n pr

oced

ures

are

co

mm

unic

ated

to

all,

and

repo

rtin

g of

em

erge

ncy

situ

atio

ns t

o m

anag

emen

t is

als

o ge

nera

lly

unde

rsto

od.

The

orga

niza

tion

has

a

form

al a

nd e

ffec

tive

em

erge

ncy

plan

in p

lace

th

at f

ocus

es o

n em

erge

ncy

resp

onse

. W

orke

rs a

re

gene

rally

wel

l inf

orm

ed

on w

hat

they

are

req

uire

d to

do

in t

he e

vent

of

an

emer

genc

y an

d in

the

re

port

ing

of s

uch

even

ts.

The

orga

niza

tion

has

a

com

preh

ensi

ve e

mer

genc

y pl

an in

pla

ce t

hat

focu

ses

on e

mer

genc

y pr

even

tion

, pr

epar

edne

ss a

nd

resp

onse

. A

ll w

orke

rs a

re

fully

info

rmed

on

thei

r du

ties

and

res

pons

ibili

ties

in

the

eve

nt o

f an

em

erge

ncy.

66 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CTh

e on

ly in

form

atio

n pr

ovid

ed is

the

tel

epho

ne

num

ber

of e

mer

genc

y se

rvic

es (

if a

t al

l).

No

emer

genc

y lig

htin

g or

ex

it s

igna

ge is

in p

lace

.

Info

rmat

ion

is p

rovi

ded

on e

xter

nal e

mer

genc

y se

rvic

es, in

clud

ing

the

loca

l acc

iden

t an

d em

erge

ncy

hosp

ital

. Fi

re

exit

sig

ns a

nd e

mer

genc

y lig

htin

g ar

e in

pla

ce.

The

orga

niza

tion

pr

ovid

es in

form

atio

n an

d in

stru

ctio

ns r

elat

ing

to c

omm

unic

atin

g w

ith

loca

l em

erge

ncy

resp

onse

se

rvic

es a

nd t

he r

elev

ant

auth

orit

ies.

A f

orm

al e

mer

genc

y pl

an h

as b

een

prep

ared

th

at p

rovi

des

deta

iled

info

rmat

ion

on c

onta

ctin

g lo

cal e

mer

genc

y re

spon

se

prov

ider

s, a

nd t

his

has

been

com

mun

icat

ed t

o th

e w

orke

rs.

Com

preh

ensi

ve e

mer

genc

y pl

ans

have

bee

n pr

epar

ed

that

pro

vide

det

aile

d in

form

atio

n on

con

tact

ing

loca

l em

erge

ncy

resp

onse

pr

ovid

ers.

The

se

arra

ngem

ents

hav

e be

en

com

mun

icat

ed t

o an

d ar

e un

ders

tood

by

the

wor

kfor

ce.

DN

o fir

st a

id o

r m

edic

al

assi

stan

ce is

pro

vide

d;

firefi

ghti

ng e

quip

men

t is

not

ade

quat

e, a

nd is

po

orly

mai

ntai

ned.

The

orga

niza

tion

has

a

smal

l num

ber

of w

orke

rs

who

are

tra

ined

firs

t ai

ders

and

are

cap

able

of

pro

vidi

ng b

asic

firs

t ai

d an

d re

susc

itat

ion.

Th

ey a

re c

apab

le o

nly

of h

andl

ing

very

min

or

inju

ries

to

a fe

w p

eopl

e.

The

orga

niza

tion

has

a

good

num

ber

of w

orke

rs

who

are

tra

ined

firs

t ai

ders

, an

d ar

e ca

pabl

e of

pro

vidi

ng b

asic

firs

t ai

d an

d ca

rdio

pulm

onar

y re

susc

itat

ion

(CP

R).

A

nur

se is

als

o av

aila

ble

to

dea

l wit

h m

edic

al

issu

es. Th

ese

peop

le a

re

capa

ble

only

of

hand

ling

very

min

or in

juri

es t

o a

few

peo

ple.

The

orga

niza

tion

has

an

ade

quat

e nu

mbe

r of

w

orke

rs w

ho a

re t

rain

ed

first

aid

ers,

and

are

ca

pabl

e of

pro

vidi

ng

basi

c fir

st a

id a

nd C

PR

. Th

ey a

lso

have

a n

urse

or

phys

icia

n av

aila

ble

to d

eal

wit

h in

juri

es a

nd m

edic

al

issu

es. Th

e m

edic

al

help

and

fac

iliti

es a

re

adeq

uate

for

the

siz

e an

d ty

pe o

f th

e or

gani

zati

on’s

bu

sine

ss.

The

orga

niza

tion

has

a

doct

or a

nd n

urse

and

a

med

ical

ser

vice

clin

ic

to d

eal w

ith

any

min

or

inju

ries

or

illne

ss c

ause

d th

roug

h em

erge

ncy

situ

atio

ns. Th

ey a

lso

have

w

orke

rs t

rain

ed in

firs

t ai

d an

d C

PR

, in

clud

ing

the

use

of a

utom

ated

ext

erna

l de

fibri

llati

on. Th

e m

edic

al

help

and

fac

iliti

es a

re

mor

e th

an a

dequ

ate

for

the

size

and

typ

e of

the

or

gani

zati

on’s

bus

ines

s.

EN

o tr

aini

ng is

pro

vide

d to

wor

kers

on

emer

genc

y pr

even

tion

, pr

epar

edne

ss

or r

espo

nse,

and

no

exer

cise

s ar

e un

dert

aken

to

tes

t re

spon

ses

to

emer

genc

y si

tuat

ions

.

Lim

ited

bas

ic t

rain

ing

on

emer

genc

y re

spon

se is

pr

ovid

ed a

s pa

rt o

f th

e in

duct

ion

prog

ram

me

for

new

wor

kers

. N

o ex

erci

ses

or d

rills

are

und

erta

ken,

an

d no

ref

resh

er t

rain

ing

is p

rovi

ded.

Bas

ic t

rain

ing

on

emer

genc

y re

spon

se is

pr

ovid

ed a

t th

e in

duct

ion

of n

ew w

orke

rs, an

d re

fres

her

trai

ning

is

prov

ided

occ

asio

nally

. E

xerc

ises

and

dri

lls

are

unde

rtak

en, bu

t on

ly in

volv

e oc

casi

onal

ev

acua

tion

dri

lls.

Ext

ensi

ve t

rain

ing

is

prov

ided

to

wor

kers

on

emer

genc

y re

spon

se; th

is

star

ts a

t in

duct

ion

and

is

then

ref

resh

ed a

t re

gula

r in

terv

als.

Exe

rcis

es a

nd

drill

s ar

e un

dert

aken

at

leas

t on

ce p

er y

ear,

and

addr

ess

typi

cal e

mer

genc

y si

tuat

ions

.

A w

ide

rang

e of

tra

inin

g is

pro

vide

d to

wor

kers

on

resp

onse

to

emer

genc

y si

tuat

ions

. E

xerc

ises

and

dr

ills

are

unde

rtak

en

at le

ast

twic

e pe

r ye

ar.

Join

t tr

aini

ng e

xerc

ises

ar

e ar

rang

ed w

ith

loca

l em

erge

ncy

resp

onse

se

rvic

es.

67Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e or

gani

zati

on h

as

not

soug

ht c

oope

rati

on

from

ext

erna

l em

erge

ncy

serv

ices

or

othe

r bo

dies

. It

is

ver

y po

orly

pre

pare

d to

de

al w

ith

any

emer

genc

y.

The

orga

niza

tion

has

ve

ry li

ttle

coo

pera

tion

w

ith

exte

rnal

em

erge

ncy

serv

ices

, an

d is

poo

rly

prep

ared

to

deal

wit

h an

y se

riou

s em

erge

ncy.

The

orga

niza

tion

has

es

tabl

ishe

d so

me

coop

erat

ion

wit

h th

e ex

tern

al e

mer

genc

y se

rvic

es a

nd r

espo

nder

s.

Pre

para

tion

for

em

erge

ncie

s ne

eds

to b

e im

prov

ed.

The

orga

niza

tion

co

oper

ates

wit

h ex

tern

al e

mer

genc

y se

rvic

es r

egul

arly

and

ef

fect

ivel

y. O

ccas

iona

l jo

int

emer

genc

y pl

anni

ng m

eeti

ngs

are

held

wit

h ne

ighb

ouri

ng

orga

niza

tion

s an

d lo

cal

exte

rnal

em

erge

ncy

serv

ice

prov

ider

s.

The

orga

niza

tion

has

ve

ry c

lose

coo

pera

tion

w

ith

exte

rnal

em

erge

ncy

serv

ices

and

bod

ies.

R

ecip

roca

l em

erge

ncy

resp

onse

arr

ange

men

ts a

re

in p

lace

wit

h ne

ighb

ouri

ng

orga

niza

tion

s. C

lose

co

oper

atio

n is

in p

lace

w

ith

ambu

lanc

e se

rvic

es

and

acci

dent

and

em

erge

ncy

hosp

ital

s.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

0.3

EM

Er

GE

NC

Y P

rE

VEN

TIO

N, P

rE

PAr

ED

NE

SS

AN

D r

ES

PO

NS

E (

max

. sc

ore

for

this

item

is 3

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CTh

e on

ly in

form

atio

n pr

ovid

ed is

the

tel

epho

ne

num

ber

of e

mer

genc

y se

rvic

es (

if a

t al

l).

No

emer

genc

y lig

htin

g or

ex

it s

igna

ge is

in p

lace

.

Info

rmat

ion

is p

rovi

ded

on e

xter

nal e

mer

genc

y se

rvic

es, in

clud

ing

the

loca

l acc

iden

t an

d em

erge

ncy

hosp

ital

. Fi

re

exit

sig

ns a

nd e

mer

genc

y lig

htin

g ar

e in

pla

ce.

The

orga

niza

tion

pr

ovid

es in

form

atio

n an

d in

stru

ctio

ns r

elat

ing

to c

omm

unic

atin

g w

ith

loca

l em

erge

ncy

resp

onse

se

rvic

es a

nd t

he r

elev

ant

auth

orit

ies.

A f

orm

al e

mer

genc

y pl

an h

as b

een

prep

ared

th

at p

rovi

des

deta

iled

info

rmat

ion

on c

onta

ctin

g lo

cal e

mer

genc

y re

spon

se

prov

ider

s, a

nd t

his

has

been

com

mun

icat

ed t

o th

e w

orke

rs.

Com

preh

ensi

ve e

mer

genc

y pl

ans

have

bee

n pr

epar

ed

that

pro

vide

det

aile

d in

form

atio

n on

con

tact

ing

loca

l em

erge

ncy

resp

onse

pr

ovid

ers.

The

se

arra

ngem

ents

hav

e be

en

com

mun

icat

ed t

o an

d ar

e un

ders

tood

by

the

wor

kfor

ce.

DN

o fir

st a

id o

r m

edic

al

assi

stan

ce is

pro

vide

d;

firefi

ghti

ng e

quip

men

t is

not

ade

quat

e, a

nd is

po

orly

mai

ntai

ned.

The

orga

niza

tion

has

a

smal

l num

ber

of w

orke

rs

who

are

tra

ined

firs

t ai

ders

and

are

cap

able

of

pro

vidi

ng b

asic

firs

t ai

d an

d re

susc

itat

ion.

Th

ey a

re c

apab

le o

nly

of h

andl

ing

very

min

or

inju

ries

to

a fe

w p

eopl

e.

The

orga

niza

tion

has

a

good

num

ber

of w

orke

rs

who

are

tra

ined

firs

t ai

ders

, an

d ar

e ca

pabl

e of

pro

vidi

ng b

asic

firs

t ai

d an

d ca

rdio

pulm

onar

y re

susc

itat

ion

(CP

R).

A

nur

se is

als

o av

aila

ble

to

dea

l wit

h m

edic

al

issu

es. Th

ese

peop

le a

re

capa

ble

only

of

hand

ling

very

min

or in

juri

es t

o a

few

peo

ple.

The

orga

niza

tion

has

an

ade

quat

e nu

mbe

r of

w

orke

rs w

ho a

re t

rain

ed

first

aid

ers,

and

are

ca

pabl

e of

pro

vidi

ng

basi

c fir

st a

id a

nd C

PR

. Th

ey a

lso

have

a n

urse

or

phys

icia

n av

aila

ble

to d

eal

wit

h in

juri

es a

nd m

edic

al

issu

es. Th

e m

edic

al

help

and

fac

iliti

es a

re

adeq

uate

for

the

siz

e an

d ty

pe o

f th

e or

gani

zati

on’s

bu

sine

ss.

The

orga

niza

tion

has

a

doct

or a

nd n

urse

and

a

med

ical

ser

vice

clin

ic

to d

eal w

ith

any

min

or

inju

ries

or

illne

ss c

ause

d th

roug

h em

erge

ncy

situ

atio

ns. Th

ey a

lso

have

w

orke

rs t

rain

ed in

firs

t ai

d an

d C

PR

, in

clud

ing

the

use

of a

utom

ated

ext

erna

l de

fibri

llati

on. Th

e m

edic

al

help

and

fac

iliti

es a

re

mor

e th

an a

dequ

ate

for

the

size

and

typ

e of

the

or

gani

zati

on’s

bus

ines

s.

EN

o tr

aini

ng is

pro

vide

d to

wor

kers

on

emer

genc

y pr

even

tion

, pr

epar

edne

ss

or r

espo

nse,

and

no

exer

cise

s ar

e un

dert

aken

to

tes

t re

spon

ses

to

emer

genc

y si

tuat

ions

.

Lim

ited

bas

ic t

rain

ing

on

emer

genc

y re

spon

se is

pr

ovid

ed a

s pa

rt o

f th

e in

duct

ion

prog

ram

me

for

new

wor

kers

. N

o ex

erci

ses

or d

rills

are

und

erta

ken,

an

d no

ref

resh

er t

rain

ing

is p

rovi

ded.

Bas

ic t

rain

ing

on

emer

genc

y re

spon

se is

pr

ovid

ed a

t th

e in

duct

ion

of n

ew w

orke

rs, an

d re

fres

her

trai

ning

is

prov

ided

occ

asio

nally

. E

xerc

ises

and

dri

lls

are

unde

rtak

en, bu

t on

ly in

volv

e oc

casi

onal

ev

acua

tion

dri

lls.

Ext

ensi

ve t

rain

ing

is

prov

ided

to

wor

kers

on

emer

genc

y re

spon

se; th

is

star

ts a

t in

duct

ion

and

is

then

ref

resh

ed a

t re

gula

r in

terv

als.

Exe

rcis

es a

nd

drill

s ar

e un

dert

aken

at

leas

t on

ce p

er y

ear,

and

addr

ess

typi

cal e

mer

genc

y si

tuat

ions

.

A w

ide

rang

e of

tra

inin

g is

pro

vide

d to

wor

kers

on

resp

onse

to

emer

genc

y si

tuat

ions

. E

xerc

ises

and

dr

ills

are

unde

rtak

en

at le

ast

twic

e pe

r ye

ar.

Join

t tr

aini

ng e

xerc

ises

ar

e ar

rang

ed w

ith

loca

l em

erge

ncy

resp

onse

se

rvic

es.

68 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Thre

ats

Gui

danc

e no

tes

Em

erge

ncy

prev

enti

on, pr

epar

edne

ss a

nd r

espo

nse

arra

ngem

ents

sho

uld

be e

stab

lishe

d an

d m

aint

aine

d. T

he a

rran

gem

ents

sho

uld

iden

tify

the

pot

enti

al

for

acci

dent

s an

d em

erge

ncy

situ

atio

ns, an

d ad

dres

s th

e pr

even

tion

of

OS

H r

isks

ass

ocia

ted

wit

h th

em. Th

ese

arra

ngem

ents

sho

uld

be a

ppro

pria

te t

o th

e si

ze

and

natu

re o

f ac

tivi

ty o

f th

e or

gani

zati

on.

The

orga

niza

tion

sho

uld

ensu

re t

hat

the

nece

ssar

y in

form

atio

n, in

tern

al c

omm

unic

atio

n an

d co

ordi

nati

on is

pro

vide

d to

pro

tect

all

peop

le in

the

eve

nt

of a

n em

erge

ncy

at t

he w

orks

ite.

The

orga

niza

tion

sho

uld

prov

ide

info

rmat

ion

and

com

mun

icat

ion

wit

h th

e re

leva

nt c

ompe

tent

aut

hori

ties

, th

e ne

ighb

ourh

ood,

and

em

erge

ncy

resp

onse

ser

vice

s.

The

orga

niza

tion

mus

t be

abl

e to

add

ress

firs

t-ai

d an

d m

edic

al a

ssis

tanc

e ne

eds,

as

wel

l as

firefi

ghti

ng a

nd e

vacu

atio

n of

all

peop

le a

t th

e w

orks

ite.

The

orga

niza

tion

mus

t pr

ovid

e re

leva

nt in

form

atio

n an

d tr

aini

ng t

o al

l mem

bers

of

the

orga

niza

tion

, at

all

leve

ls, in

clud

ing

regu

lar

exer

cise

s in

em

erge

ncy

prev

enti

on, pr

epar

edne

ss a

nd r

espo

nse

proc

edur

es.

Em

erge

ncy

prev

enti

on, pr

epar

edne

ss a

nd r

espo

nse

arra

ngem

ents

sho

uld

be e

stab

lishe

d in

coo

pera

tion

wit

h ex

tern

al e

mer

genc

y se

rvic

es a

nd o

ther

bod

ies

whe

re

appl

icab

le.

69Planning and implementation

Pla

nnin

g an

d im

plem

enta

tion

H

azar

d pr

even

tion

– I

tem

3.1

0.4

Pro

cure

men

t

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AP

rocu

rem

ent

is n

ot

subj

ect

to a

ny f

orm

al

proc

edur

es

or c

ontr

ols.

Pro

cure

men

t do

es n

ot

cons

iste

ntly

fol

low

pr

oced

ures

to

ensu

re t

hat

OS

H is

con

side

red

in

proc

urem

ent

deci

sion

s.

Form

al p

rocu

rem

ent

proc

edur

es a

re in

pla

ce,

but

are

not

cons

iste

ntly

fo

llow

ed. Th

is s

omet

imes

m

eans

tha

t O

SH

is n

ot

cons

ider

ed in

pro

cure

men

t de

cisi

ons.

An

effe

ctiv

e pr

ocur

emen

t po

licy

is in

pla

ce, an

d th

is la

ys d

own

proc

edur

es

that

req

uire

tha

t O

SH

be

con

side

red.

The

se

proc

edur

es a

re g

ener

ally

fo

llow

ed.

A c

ompr

ehen

sive

pr

ocur

emen

t po

licy

is

in p

lace

, an

d th

is la

ys

dow

n pr

oced

ures

tha

t m

ust

be f

ollo

wed

. Th

ese

proc

edur

es a

re f

ollo

wed

at

all

tim

es, an

d en

sure

th

at O

SH

is c

onsi

dere

d in

pr

ocur

emen

t de

cisi

ons.

BO

SH

req

uire

men

ts f

or

the

orga

niza

tion

hav

e no

t be

en id

enti

fied,

eva

luat

ed

or in

corp

orat

ed in

to

purc

hasi

ng a

nd le

asin

g sp

ecifi

cati

ons.

In m

ost

inst

ance

s, O

SH

re

quir

emen

ts f

or t

he

orga

niza

tion

hav

e no

t be

en id

enti

fied,

eva

luat

ed

or in

corp

orat

ed in

to

purc

hasi

ng a

nd le

asin

g sp

ecifi

cati

ons.

OS

H r

equi

rem

ents

fo

r th

e or

gani

zati

on

have

gen

eral

ly b

een

iden

tifie

d, e

valu

ated

an

d in

corp

orat

ed in

to

purc

hasi

ng a

nd le

asin

g sp

ecifi

cati

ons.

An

effe

ctiv

e pr

oced

ure

is in

pla

ce t

o en

sure

th

at O

SH

req

uire

men

ts

for

the

orga

niza

tion

ha

ve g

ener

ally

bee

n id

enti

fied,

eva

luat

ed

and

inco

rpor

ated

into

pu

rcha

sing

and

leas

ing

spec

ifica

tion

s.

A c

ompr

ehen

sive

pr

oced

ure

is in

pla

ce

to e

nsur

e th

at O

SH

re

quir

emen

ts f

or t

he

orga

niza

tion

hav

e be

en

iden

tifie

d, e

valu

ated

an

d in

corp

orat

ed in

to

purc

hasi

ng a

nd le

asin

g sp

ecifi

cati

ons.

CTh

e or

gani

zati

on t

otal

ly

fails

to

cons

ider

nat

iona

l la

ws

and

regu

lati

ons,

or

its

own

OS

H r

equi

rem

ents

, pr

ior

to t

he p

rocu

rem

ent

of g

oods

and

ser

vice

s.

The

orga

niza

tion

reg

ular

ly

fails

to

cons

ider

nat

iona

l la

ws

and

regu

lati

ons,

or

its

own

OS

H r

equi

rem

ents

, pr

ior

to t

he p

rocu

rem

ent

of g

oods

and

ser

vice

s.

The

orga

niza

tion

gen

eral

ly

cons

ider

s na

tion

al la

ws

and

regu

lati

ons,

and

its

own

OS

H r

equi

rem

ents

, pr

ior

to t

he p

rocu

rem

ent

of g

oods

and

ser

vice

s bu

t th

is is

not

don

e co

nsis

tent

ly.

The

orga

niza

tion

has

an

effe

ctiv

e pr

oces

s th

at

requ

ires

tha

t na

tion

al la

ws

and

regu

lati

ons

and

its

own

OS

H r

equi

rem

ents

be

con

side

red

prio

r to

the

pr

ocur

emen

t of

any

goo

ds

and

serv

ices

.

The

orga

niza

tion

has

a

high

ly e

ffec

tive

pro

cess

in

pla

ce t

hat

ensu

res

that

nat

iona

l law

s an

d re

gula

tion

s an

d it

s ow

n O

SH

req

uire

men

ts a

re

cons

ider

ed p

rior

to

the

proc

urem

ent

of g

oods

and

se

rvic

es.

70 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

ere

is n

o sy

stem

in

plac

e to

che

ck t

hat

item

s pr

ocur

ed a

re s

afe

or c

ompl

y w

ith

the

OS

H

requ

irem

ents

for

the

ir u

se.

Ther

e is

not

a c

onsi

sten

t an

d ef

fect

ive

syst

em

in p

lace

to

chec

k th

at

item

s pr

ocur

ed a

re s

afe

or c

ompl

y w

ith

the

OS

H

requ

irem

ents

for

the

ir u

se.

The

orga

niza

tion

has

a

syst

em in

pla

ce t

o ch

eck

that

item

s pr

ocur

ed a

re

safe

and

com

ply

wit

h th

e O

SH

req

uire

men

ts f

or

thei

r us

e. H

owev

er, th

is

does

not

alw

ays

happ

en

befo

re t

hey

are

put

in

to u

se.

The

orga

niza

tion

has

an

eff

ecti

ve p

roce

ss in

pl

ace

to e

nsur

e th

at

all g

oods

and

ser

vice

s pr

ocur

ed c

onfo

rm t

o

OS

H r

equi

rem

ents

an

d st

anda

rds

befo

re t

hey

are

used

.

The

orga

niza

tion

has

a

robu

st a

nd h

ighl

y ef

fect

ive

proc

ess

in p

lace

to

ensu

re

that

all

good

s an

d se

rvic

es

proc

ured

con

form

to

OS

H r

equi

rem

ents

and

st

anda

rds

befo

re t

hey

ar

e us

ed.

ETh

ere

is n

o sy

stem

in

pla

ce t

o up

date

pr

ocur

emen

t re

quir

emen

ts

resu

ltin

g fr

om c

hang

es

or im

prov

emen

ts in

OS

H

spec

ifica

tion

s, s

tand

ards

, or

the

org

aniz

atio

n’s

own

OS

H r

equi

rem

ents

.

Ther

e is

no

syst

em in

pl

ace

to r

egul

arly

upd

ate

proc

urem

ent

requ

irem

ents

re

sult

ing

from

cha

nges

or

impr

ovem

ents

in O

SH

sp

ecifi

cati

ons,

sta

ndar

ds,

or t

he o

rgan

izat

ion’

s ow

n O

SH

req

uire

men

ts.

Ther

e is

a s

yste

m in

pla

ce

to u

pdat

e pr

ocur

emen

t re

quir

emen

ts r

esul

ting

fr

om c

hang

es o

r im

prov

emen

ts in

OS

H

spec

ifica

tion

s, s

tand

ards

, an

d th

e or

gani

zati

on’s

ow

n O

SH

req

uire

men

ts. Th

is

is o

nly

occa

sion

ally

use

d,

how

ever

.

An

effe

ctiv

e sy

stem

is

in p

lace

to

upda

te p

rocu

rem

ent

requ

irem

ents

, an

d to

en

sure

com

plia

nce

wit

h O

SH

spe

cific

atio

ns,

stan

dard

s, a

nd t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

. Th

is is

ge

nera

lly u

sed.

A h

ighl

y ef

fect

ive

syst

em is

in p

lace

to

upda

te p

rocu

rem

ent

requ

irem

ents

, an

d to

en

sure

com

plia

nce

wit

h O

SH

spe

cific

atio

ns,

stan

dard

s, a

nd t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

. Th

is is

co

nsis

tent

ly u

sed.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

0.4

Pr

OC

Ur

EM

EN

T (m

ax. sc

ore

for

this

item

is 2

5)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

71Planning and implementation

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

Pro

cedu

res

shou

ld b

e es

tabl

ishe

d an

d m

aint

aine

d to

ens

ure

that

OS

H r

equi

rem

ents

for

the

org

aniz

atio

n ar

e id

enti

fied,

eva

luat

ed, an

d in

corp

orat

ed in

to p

urch

asin

g an

d le

asin

g sp

ecifi

cati

ons.

An

effe

ctiv

e pr

oces

s ne

eds

to e

nsur

e co

mpl

ianc

e w

ith

OS

H r

equi

rem

ents

, an

d pu

rcha

sing

and

leas

ing

spec

ifica

tion

s.

The

orga

niza

tion

sho

uld

have

in p

lace

a p

roce

ss t

o en

sure

tha

t th

e re

quir

emen

ts o

f na

tion

al la

ws

and

regu

lati

ons,

and

its

own

OS

H r

equi

rem

ents

, ar

e id

enti

fied

prio

r to

the

pro

cure

men

t of

goo

ds a

nd s

ervi

ces.

Eff

ecti

ve a

rran

gem

ents

sho

uld

be m

ade

to e

nsur

e th

at it

ems

proc

ured

are

in c

onfo

rman

ce w

ith

OS

H r

equi

rem

ents

bef

ore

they

are

use

d.

72 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Pla

nnin

g an

d im

plem

enta

tion

H

azar

d pr

even

tion

– I

tem

3.1

0.5

Con

trac

ting

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on h

as

no a

rran

gem

ents

to

ensu

re t

hat

its

own

OS

H

requ

irem

ents

or

equi

vale

nt

are

appl

ied

to c

ontr

acto

rs

or t

heir

wor

kers

.

No

form

al a

rran

gem

ents

ex

ist

to e

nsur

e th

at t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

or

equi

vale

nt

are

appl

ied

to c

ontr

acto

rs

or t

heir

wor

kers

.

Arr

ange

men

ts d

o ex

ist

to e

nsur

e th

at t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

or

equi

vale

nt

are

appl

ied

to c

ontr

acto

rs

and

thei

r w

orke

rs. Th

ese

are

not

alw

ays

follo

wed

.

Arr

ange

men

ts d

o ex

ist

to e

nsur

e th

at t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

or

equi

vale

nt

are

appl

ied

to c

ontr

acto

rs

and

thei

r w

orke

rs. Th

ese

are

gene

rally

clo

sely

fo

llow

ed.

Com

preh

ensi

ve

arra

ngem

ents

exi

st

to e

nsur

e th

at t

he

orga

niza

tion

’s o

wn

OS

H

requ

irem

ents

or

equi

vale

nt

are

appl

ied

to c

ontr

acto

rs

and

thei

r w

orke

rs. Th

ese

are

dilig

entl

y fo

llow

ed.

BN

o se

lect

ion

and

eval

uati

on p

roce

ss is

in

pla

ce t

o en

sure

tha

t co

ntra

ctor

s ch

osen

to

per

form

wor

k ar

e co

mpe

tent

, or

will

com

ply

wit

h th

e or

gani

zati

on’s

O

SH

req

uire

men

ts.

No

form

al s

elec

tion

an

d ev

alua

tion

pro

cess

is

in p

lace

to

ensu

re

that

con

trac

tors

cho

sen

to p

erfo

rm w

ork

are

com

pete

nt, or

will

com

ply

wit

h th

e or

gani

zati

on’s

O

SH

req

uire

men

ts.

A v

ery

basi

c se

lect

ion

and

eval

uati

on p

roce

ss e

xist

s to

ens

ure

that

con

trac

tors

ch

osen

to

perf

orm

w

ork

are

com

pete

nt,

and

will

com

ply

wit

h th

e or

gani

zati

on’s

OS

H

requ

irem

ents

.

An

effe

ctiv

e fo

rmal

se

lect

ion

and

eval

uati

on

proc

ess

exis

ts t

o en

sure

tha

t co

ntra

ctor

s ch

osen

to

perf

orm

w

ork

are

com

pete

nt,

and

will

com

ply

wit

h th

e or

gani

zati

on’s

OS

H

requ

irem

ents

.

A r

obus

t an

d hi

ghly

ef

fect

ive

syst

em e

xist

s to

sel

ect

and

eval

uate

co

ntra

ctor

s. T

his

ensu

res

that

con

trac

tors

cho

sen

to p

erfo

rm w

ork

are

com

pete

nt, a

nd w

ill c

ompl

y w

ith

the

orga

niza

tion

’s

OS

H r

equi

rem

ents

.

CTh

ere

is n

o ef

fect

ive

ongo

ing

com

mun

icat

ion

or c

oord

inat

ion

betw

een

appr

opri

ate

leve

ls o

f th

e or

gani

zati

on a

nd t

he

cont

ract

or b

efor

e w

ork

com

men

ces.

Ther

e is

infr

eque

nt

and

limit

ed o

ngoi

ng

com

mun

icat

ion

and

coor

dina

tion

bet

wee

n ap

prop

riat

e le

vels

of

the

orga

niza

tion

and

the

co

ntra

ctor

bef

ore

the

wor

k co

mm

ence

s.

Ther

e is

som

e re

gula

r, on

goin

g co

mm

unic

atio

n an

d co

ordi

nati

on b

etw

een

appr

opri

ate

leve

ls o

f th

e or

gani

zati

on a

nd t

he

cont

ract

or b

efor

e w

ork

com

men

ces.

Reg

ular

ong

oing

co

mm

unic

atio

n an

d co

ordi

nati

on b

etw

een

appr

opri

ate

leve

ls o

f th

e or

gani

zati

on a

nd t

he

cont

ract

or o

ccur

bef

ore

wor

k co

mm

ence

s. T

his

incl

udes

pro

blem

sol

ving

an

d re

info

rcem

ent

of O

SH

re

quir

emen

ts.

Ext

ensi

ve o

ngoi

ng

com

mun

icat

ion

and

coor

dina

tion

exi

sts

betw

een

appr

opri

ate

leve

ls

of t

he o

rgan

izat

ion

and

the

cont

ract

or b

efor

e w

ork

com

men

ces.

Thi

s in

clud

es

esta

blis

hing

car

dina

l OS

H

rule

s an

d re

info

rcin

g O

SH

re

quir

emen

ts.

73Planning and implementation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DH

azar

ds a

nd t

he

mea

sure

s to

pre

vent

an

d co

ntro

l the

m a

re

not

com

mun

icat

ed t

o co

ntra

ctor

s be

fore

wor

k co

mm

ence

s.

Haz

ards

and

the

m

easu

res

to p

reve

nt

and

cont

rol t

hem

are

po

orly

and

inef

fect

ivel

y co

mm

unic

ated

to

cont

ract

ors

befo

re w

ork

com

men

ces.

Haz

ards

and

the

mea

sure

s to

pre

vent

and

con

trol

th

em a

re n

ot f

ully

or

effe

ctiv

ely

com

mun

icat

ed

to c

ontr

acto

rs b

efor

e w

ork

com

men

ces.

Haz

ards

and

the

mea

sure

s to

pre

vent

and

con

trol

th

em a

re g

ener

ally

ef

fect

ivel

y co

mm

unic

ated

to

con

trac

tors

bef

ore

wor

k co

mm

ence

s.

Haz

ards

and

the

mea

sure

s to

pre

vent

and

con

trol

th

em a

re f

ully

and

ver

y ef

fect

ivel

y co

mm

unic

ated

to

con

trac

tors

bef

ore

wor

k co

mm

ence

s.

EN

o ar

rang

emen

ts e

xist

for

th

e re

port

ing

of w

ork-

rela

ted

inju

ries

, ill

hea

lth,

di

seas

es o

r in

cide

nts

amon

g co

ntra

ctor

s’

wor

kers

whi

le p

erfo

rmin

g w

ork

for

the

orga

niza

tion

.

Info

rmal

arr

ange

men

ts

exis

t fo

r th

e re

port

ing

of w

ork-

rela

ted

inju

ries

, ill

hea

lth,

dis

ease

s an

d in

cide

nts

amon

g co

ntra

ctor

s’ w

orke

rs w

hile

pe

rfor

min

g w

ork

for

the

orga

niza

tion

.

Form

al a

rran

gem

ents

exi

st

for

the

repo

rtin

g of

wor

k-re

late

d in

juri

es, ill

hea

lth,

di

seas

es a

nd in

cide

nts

amon

g co

ntra

ctor

s’

wor

kers

whi

le p

erfo

rmin

g w

ork

for

the

orga

niza

tion

, an

d ar

e ge

nera

lly

com

plie

d w

ith.

Eff

ecti

ve f

orm

al

arra

ngem

ents

exi

st f

or

the

repo

rtin

g of

wor

k-re

late

d in

juri

es, ill

hea

lth,

di

seas

es a

nd in

cide

nts

amon

g co

ntra

ctor

s’

wor

kers

whi

le p

erfo

rmin

g w

ork

for

the

orga

niza

tion

. Th

ese

are

clos

ely

mon

itor

ed t

o en

sure

co

mpl

ianc

e.

Com

preh

ensi

ve f

orm

al

arra

ngem

ents

exi

st f

or

the

repo

rtin

g of

wor

k-re

late

d in

juri

es, ill

hea

lth,

di

seas

es, in

cide

nts

and

near

-mis

ses

amon

g co

ntra

ctor

s’ w

orke

rs.

FTh

e or

gani

zati

on d

oes

not

prov

ide

any

rele

vant

w

orkp

lace

saf

ety

and

heal

th h

azar

d aw

aren

ess

and

trai

ning

to

cont

ract

ors

or t

heir

wor

kers

bef

ore

wor

k co

mm

ence

s, o

r as

it

prog

ress

es.

The

orga

niza

tion

doe

s no

t pr

ovid

e su

ffici

ent

rele

vant

w

orkp

lace

saf

ety

and

heal

th h

azar

d aw

aren

ess

and

trai

ning

to

cont

ract

ors

or t

heir

wor

kers

bef

ore

wor

k co

mm

ence

s, o

r as

it

prog

ress

es.

The

orga

niza

tion

doe

s pr

ovid

e so

me

rele

vant

w

orkp

lace

saf

ety

and

heal

th h

azar

d aw

aren

ess

and

trai

ning

to

cont

ract

ors

and

thei

r w

orke

rs b

efor

e w

ork

com

men

ces,

and

as

it p

rogr

esse

s.

The

orga

niza

tion

doe

s ge

nera

lly p

rovi

de r

elev

ant

wor

kpla

ce s

afet

y an

d he

alth

haz

ard

awar

enes

s an

d tr

aini

ng t

o co

ntra

ctor

s an

d th

eir

wor

kers

bef

ore

wor

k co

mm

ence

s, a

nd a

s it

pro

gres

ses.

The

orga

niza

tion

pro

vide

s ex

celle

nt r

elev

ant

wor

kpla

ce s

afet

y an

d he

alth

haz

ard

awar

enes

s an

d tr

aini

ng t

o co

ntra

ctor

s an

d th

eir

wor

kers

bef

ore

wor

k co

mm

ence

s, a

nd a

s it

pro

gres

ses.

GTh

ere

is n

o ef

fect

ive

mon

itor

ing

of c

ontr

acto

rs’

OS

H p

erfo

rman

ce

or a

ctiv

itie

s on

sit

e.

Con

trac

tors

wor

k w

itho

ut

any

supe

rvis

ion

or c

ontr

ol.

Ther

e is

litt

le a

nd

inef

fect

ive

mon

itor

ing

of c

ontr

acto

r’s O

SH

pe

rfor

man

ce o

n si

te, an

d co

ntra

ctor

s w

ork

wit

h lit

tle

supe

rvis

ion

or c

ontr

ol.

Ther

e is

lim

ited

eff

ecti

ve

mon

itor

ing

of c

ontr

acto

r’s

OS

H p

erfo

rman

ce a

nd

acti

viti

es o

n si

te. S

ome

supe

rvis

ion

and

cont

rol o

f co

ntra

ctor

s ex

ists

.

Ther

e is

eff

ecti

ve

mon

itor

ing

and

cont

rol

of c

ontr

acto

rs’ O

SH

pe

rfor

man

ce a

nd a

ctiv

itie

s on

sit

e. C

orre

ctiv

e ac

tion

s ar

e ta

ken

whe

n O

SH

pro

cedu

res

are

not

follo

wed

.

A r

obus

t pr

ogra

mm

e ex

ists

to

mon

itor

and

co

ntro

l con

trac

tors

’ OS

H

perf

orm

ance

. C

ontr

acto

rs

are

regu

larl

y ob

serv

ed a

nd

eval

uate

d. D

evia

tion

s ar

e no

t to

lera

ted.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

0.5

CO

NTr

AC

TIN

G (

max

. sc

ore

for

this

item

is 3

5)

74 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

Arr

ange

men

ts s

houl

d be

est

ablis

hed

and

mai

ntai

ned

for

ensu

ring

tha

t th

e or

gani

zati

on’s

saf

ety

and

heal

th r

equi

rem

ents

, or

at

leas

t th

e eq

uiva

lent

, ar

e ap

plie

d

to c

ontr

acto

rs a

nd t

heir

wor

kers

.

Arr

ange

men

ts s

houl

d be

est

ablis

hed

for

cont

ract

ors

wor

king

on

site

, an

d sh

ould

incl

ude

OS

H c

rite

ria

in t

he p

roce

dure

s fo

r ev

alua

ting

and

sel

ecti

ng c

ontr

acto

rs,

and

to a

llow

com

pete

nce

and

capa

bilit

y to

be

esta

blis

hed

befo

re t

he c

ontr

act

is a

war

ded.

Ther

e sh

ould

be

effe

ctiv

e, o

ngoi

ng c

omm

unic

atio

n an

d co

ordi

nati

on b

etw

een

appr

opri

ate

leve

ls o

f th

e or

gani

zati

on a

nd t

he c

ontr

acto

r be

fore

the

y co

mm

ence

wor

k.

This

sho

uld

incl

ude

prov

isio

ns f

or c

omm

unic

atin

g ha

zard

s, a

nd t

he m

easu

res

to p

reve

nt a

nd c

ontr

ol t

hem

.

Arr

ange

men

ts s

houl

d be

est

ablis

hed

for

repo

rtin

g w

ork-

rela

ted

inju

ries

, ill

hea

lth,

dis

ease

s an

d in

cide

nts

amon

g th

e co

ntra

ctor

s’ w

orke

rs w

hile

per

form

ing

wor

k

for

the

orga

niza

tion

.

Rel

evan

t w

orkp

lace

saf

ety

and

heal

th h

azar

d aw

aren

ess

and

trai

ning

for

con

trac

tors

or

cont

ract

ors’

wor

kers

sho

uld

be p

rovi

ded

befo

re w

ork

com

men

ces

an

d as

it p

rogr

esse

s, a

s ne

cess

ary.

The

OS

H p

erfo

rman

ce o

f co

ntra

ctor

s’ a

ctiv

itie

s on

sit

e m

ust

be r

egul

arly

mon

itor

ed t

o en

sure

tha

t th

ey f

ollo

w s

ite

OS

H p

roce

dure

s an

d ar

rang

emen

ts.

If a

con

trac

tor

is a

llow

ed t

o su

bcon

trac

t w

ork,

the

n ex

actl

y th

e sa

me

OS

H r

equi

rem

ents

mus

t be

met

by

the

subc

ontr

acto

r as

tho

se im

pose

d by

the

org

aniz

atio

n

on t

he c

ontr

acto

r.

Evaluation

77Evaluation

Eva

luat

ion

Item

3.1

1 P

erfo

rman

ce m

onit

orin

g an

d m

easu

rem

ent

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o pr

oced

ures

exi

st t

o m

onit

or, m

easu

re o

r re

cord

OS

H p

erfo

rman

ce.

Very

bas

ic p

roce

dure

s ex

ist

to m

onit

or,

mea

sure

and

rec

ord

OS

H

perf

orm

ance

, bu

t th

ese

are

inad

equa

te, an

d ar

e no

t re

gula

rly

used

.

Pro

cedu

res

exis

t to

m

onit

or, m

easu

re a

nd

reco

rd O

SH

per

form

ance

, bu

t th

ese

are

outd

ated

, an

d ha

ve n

ot b

een

revi

ewed

for

som

e ti

me.

A r

ange

of

proc

edur

es

exis

t to

mon

itor

, m

easu

re a

nd r

ecor

d O

SH

pe

rfor

man

ce o

n a

regu

lar

basi

s. A

pro

cess

exi

sts

to d

evel

op, es

tabl

ish

and

revi

ew m

any

of t

he

mea

sure

men

ts t

o be

ta

ken.

A w

ide

rang

e of

pr

oced

ures

exi

st t

o m

onit

or, m

easu

re a

nd

reco

rd O

SH

per

form

ance

on

a r

egul

ar b

asis

. A

fo

rmal

pro

cess

exi

sts

to d

evel

op, es

tabl

ish

and

revi

ew a

ll th

e m

easu

rem

ents

to

be

take

n.

BN

o on

e ha

s be

en m

ade

resp

onsi

ble,

acc

ount

able

, or

has

the

aut

hori

ty

for

mon

itor

ing

OS

H

perf

orm

ance

.

No

one

has

been

mad

e re

spon

sibl

e or

acc

ount

able

fo

r m

onit

orin

g O

SH

pe

rfor

man

ce.

The

resp

onsi

bilit

y fo

r m

onit

orin

g, m

easu

ring

an

d re

cord

ing

OS

H

perf

orm

ance

is n

ot

allo

cate

d to

all

leve

ls

in t

he m

anag

emen

t st

ruct

ure.

An

effe

ctiv

e pr

oces

s ex

ists

for

mon

itor

ing,

m

easu

ring

and

rec

ordi

ng

OS

H p

erfo

rman

ce.

Res

pons

ibili

ty,

acco

unta

bilit

y an

d au

thor

ity

have

bee

n al

loca

ted

for

this

at

diff

eren

t le

vels

of

man

agem

ent.

A c

ompr

ehen

sive

pro

cess

ex

ists

for

mon

itor

ing,

m

easu

ring

and

rec

ordi

ng

OS

H p

erfo

rman

ce.

Res

pons

ibili

ty,

acco

unta

bilit

y an

d au

thor

ity

for

this

hav

e be

en a

lloca

ted

at e

very

le

vel o

f th

e m

anag

emen

t st

ruct

ure.

CN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d.A

ver

y lim

ited

num

ber

of

perf

orm

ance

indi

cato

rs

have

bee

n de

velo

ped.

Th

ese

are

not

enti

rely

ap

prop

riat

e to

the

siz

e an

d ty

pe o

f bu

sine

ss.

A m

odes

t nu

mbe

r of

pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d,

and

are

in u

se. Th

ey f

ail

to m

easu

re a

ll as

pect

s of

O

SH

per

form

ance

, an

d ar

e no

t al

l app

ropr

iate

to

the

size

and

typ

e of

bus

ines

s.

A w

ide

num

ber

of O

SH

pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d, a

nd

are

in u

se. Th

ey m

easu

re

mos

t as

pect

s of

OS

H

perf

orm

ance

, an

d ar

e ap

prop

riat

e to

the

siz

e an

d ty

pe o

f th

e or

gani

zati

on’s

bu

sine

ss.

A c

ompr

ehen

sive

OS

H

perf

orm

ance

mea

sure

men

t sy

stem

exi

sts

that

m

easu

res

all a

spec

ts o

f O

SH

per

form

ance

. Th

e pe

rfor

man

ce in

dica

tors

ar

e to

tally

app

ropr

iate

to

the

size

and

nat

ure

of t

he

orga

niza

tion

’s b

usin

ess.

78 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re m

ostl

y qu

alit

ativ

e in

nat

ure,

and

ge

nera

lly a

re n

ot b

ased

on

the

org

aniz

atio

n’s

iden

tifie

d ha

zard

s an

d ri

sks.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re g

ener

ally

qu

alit

ativ

e in

nat

ure,

and

ar

e no

t su

ffici

entl

y ba

sed

on t

he o

rgan

izat

ion’

s id

enti

fied

haza

rds

and

risk

s.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re v

arie

d,

and

are

a m

ixtu

re

of q

ualit

ativ

e an

d qu

anti

tati

ve m

easu

res

that

ar

e ge

nera

lly b

ased

on

the

orga

niza

tion

’s id

enti

fied

haza

rds

and

risk

s.

A t

horo

ugh

set

of

qual

itat

ive

and

quan

tita

tive

OS

H

perf

orm

ance

indi

cato

rs

are

in p

lace

tha

t co

ver

all a

spec

ts o

f O

SH

pe

rfor

man

ce, an

d fo

cus

stro

ngly

on

the

iden

tifie

d ha

zard

s an

d ri

sks

of t

he

orga

niza

tion

.

EN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs f

ail t

o m

easu

re

all t

he c

omm

itm

ents

m

ade

in t

he O

SH

pol

icy

and

obje

ctiv

es.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs m

easu

re o

nly

a fe

w o

f th

e co

mm

itm

ents

m

ade

in t

he O

SH

pol

icy

and

obje

ctiv

es.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs g

ener

ally

m

easu

re m

ost

of t

he

com

mit

men

ts m

ade

in t

he

OS

H p

olic

y an

d ob

ject

ives

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs m

easu

re a

ll th

e co

mm

itm

ents

mad

e in

the

OS

H p

olic

y an

d ob

ject

ives

.

FN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ar

e fo

cuse

d on

rea

ctiv

e m

onit

orin

g, a

nd f

ail

to lo

ok f

or a

ctiv

e or

pr

even

tive

sol

utio

ns.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ar

e fo

cuse

d on

rea

ctiv

e m

onit

orin

g an

d hi

stor

ic

data

, an

d fa

il to

look

fo

r ac

tive

or

prev

enti

ve

solu

tion

s.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ex

ist

usin

g bo

th a

ctiv

e an

d re

acti

ve m

onit

orin

g.

Det

aile

d re

cord

s ar

e ke

pt,

and

data

are

ana

lyse

d to

est

ablis

h tr

ends

and

pr

even

tive

sol

utio

ns.

A c

ompr

ehen

sive

ran

ge o

f pe

rfor

man

ce m

onit

orin

g an

d m

easu

rem

ent

is

used

for

bot

h ac

tive

and

re

acti

ve m

onit

orin

g.

Det

aile

d re

cord

s ar

e ke

pt,

and

data

are

ana

lyse

d to

fin

d so

luti

ons

to im

prov

e fu

ture

per

form

ance

.

GN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Per

form

ance

mon

itor

ing

prov

ides

onl

y lim

ited

fe

edba

ck o

n O

SH

pe

rfor

man

ce, si

nce

not

enou

gh a

ppro

pria

te

mea

sure

men

ts a

re m

ade.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

so

me

feed

back

on

OS

H p

erfo

rman

ce. Th

e m

onit

orin

g of

ten

fails

to

det

erm

ine

whe

ther

ar

rang

emen

ts f

or h

azar

d id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

us

eful

fee

dbac

k on

O

SH

per

form

ance

. Th

e m

onit

orin

g sh

ows

whe

ther

arr

ange

men

ts f

or

haza

rd id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

co

mpl

ete

and

very

us

eful

fee

dbac

k on

O

SH

per

form

ance

. Th

e m

onit

orin

g sh

ows

clea

rly

whe

ther

arr

ange

men

ts f

or

haza

rd id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

79Evaluation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Act

ive

mon

itor

ing

is r

arel

y us

ed t

o tr

ack

achi

evem

ent

of s

peci

fic p

lans

, pe

rfor

man

ce c

rite

ria

or

obje

ctiv

es.

Act

ive

mon

itor

ing

is u

sed

occa

sion

ally

to

chec

k pr

ogre

ss in

ach

ievi

ng

spec

ific

plan

s an

d pe

rfor

man

ce c

rite

ria

and

obje

ctiv

es.

Act

ive

mon

itor

ing

is

gene

rally

use

d to

tra

ck

achi

evem

ent

of s

peci

fic

plan

s, p

erfo

rman

ce

crit

eria

and

obj

ecti

ves.

Act

ive

mon

itor

ing

is

cons

tant

ly u

sed

to t

rack

ac

hiev

emen

t of

spe

cific

pl

ans,

per

form

ance

cr

iter

ia a

nd o

bjec

tive

s.

IN

o sy

stem

atic

pro

cess

ex

ists

to

acti

vely

mon

itor

th

e w

orki

ng e

nvir

onm

ent.

Sur

veill

ance

of

the

wor

king

env

iron

men

t an

d in

spec

tion

of

wor

k sy

stem

s, p

rem

ises

, pl

ant

and

equi

pmen

t ar

e do

ne

occa

sion

ally

, bu

t ar

e no

t do

ne s

yste

mat

ical

ly.

Sur

veill

ance

of

the

wor

king

env

iron

men

t an

d in

spec

tion

of

wor

k sy

stem

s, p

rem

ises

, pl

ant

and

equi

pmen

t ar

e do

ne

syst

emat

ical

ly, bu

t ar

e no

t do

ne w

ith

suffi

cien

t fr

eque

ncy.

Sur

veill

ance

of

the

wor

king

env

iron

men

t an

d in

spec

tion

of

wor

k sy

stem

s, p

rem

ises

, pl

ant

and

equi

pmen

t ar

e do

ne f

requ

entl

y an

d sy

stem

atic

ally

.

Ext

ensi

ve s

urve

illan

ce o

f th

e w

orki

ng e

nvir

onm

ent

and

insp

ecti

on o

f w

ork

syst

ems,

pre

mis

es, pl

ant

and

equi

pmen

t is

don

e ve

ry f

requ

entl

y an

d sy

stem

atic

ally

.

JTh

ere

is n

o ac

tive

m

onit

orin

g of

wor

kers

’ he

alth

, an

d no

pro

cess

is

regu

larl

y us

ed t

o pr

even

t or

con

trol

hea

lth

haza

rds.

Rud

imen

tary

act

ive

surv

eilla

nce

of w

orke

rs’

heal

th is

car

ried

out

onl

y fo

r th

ose

expo

sed

to h

igh

haza

rds.

Act

ive

surv

eilla

nce

of

wor

kers

’ hea

lth

is r

egul

arly

ca

rrie

d ou

t fo

r th

ose

expo

sed

to h

igh

haza

rds.

N

o sc

reen

ing

is p

rovi

ded

for

any

othe

r w

orke

rs.

An

effe

ctiv

e sy

stem

for

th

e ac

tive

sur

veill

ance

of

wor

kers

’ hea

lth

is

appl

ied

in a

reg

ular

and

sy

stem

atic

way

for

mos

t w

orke

rs.

A c

ompr

ehen

sive

sys

tem

fo

r th

e ac

tive

sur

veill

ance

of

wor

kers

’ hea

lth

is

appl

ied

in a

reg

ular

and

sy

stem

atic

way

for

all

wor

kers

.

KTh

e or

gani

zati

on f

ails

to

com

ply

wit

h na

tion

al

law

s an

d re

gula

tion

s or

goo

d O

SH

pra

ctic

es

rela

ting

to

colle

ctin

g O

SH

pe

rfor

man

ce d

ata.

The

orga

niza

tion

ge

nera

lly c

ompl

ies

wit

h m

ost

nati

onal

law

s an

d re

gula

tion

s. A

pra

ctic

e of

m

inim

al c

ompl

ianc

e is

in

plac

e, a

nd o

nly

basi

c da

ta

are

colle

cted

.

The

orga

niza

tion

is

gene

rally

com

plia

nt w

ith

all n

atio

nal l

aws

and

regu

lati

ons

rela

ting

to

the

colle

ctio

n of

OS

H

perf

orm

ance

dat

a.

The

orga

niza

tion

com

plie

s w

ith

and

in s

ome

way

s ex

ceed

s th

e re

quir

emen

ts

of n

atio

nal l

aws

and

regu

lati

ons

rela

ting

to

OS

H p

erfo

rman

ce

mea

sure

men

t.

The

orga

niza

tion

ful

ly

com

plie

s w

ith

and

exce

eds

the

requ

irem

ents

of

nat

iona

l law

s an

d re

gula

tion

s re

lati

ng

to O

SH

per

form

ance

m

easu

rem

ent.

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re m

ostl

y qu

alit

ativ

e in

nat

ure,

and

ge

nera

lly a

re n

ot b

ased

on

the

org

aniz

atio

n’s

iden

tifie

d ha

zard

s an

d ri

sks.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re g

ener

ally

qu

alit

ativ

e in

nat

ure,

and

ar

e no

t su

ffici

entl

y ba

sed

on t

he o

rgan

izat

ion’

s id

enti

fied

haza

rds

and

risk

s.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs a

re v

arie

d,

and

are

a m

ixtu

re

of q

ualit

ativ

e an

d qu

anti

tati

ve m

easu

res

that

ar

e ge

nera

lly b

ased

on

the

orga

niza

tion

’s id

enti

fied

haza

rds

and

risk

s.

A t

horo

ugh

set

of

qual

itat

ive

and

quan

tita

tive

OS

H

perf

orm

ance

indi

cato

rs

are

in p

lace

tha

t co

ver

all a

spec

ts o

f O

SH

pe

rfor

man

ce, an

d fo

cus

stro

ngly

on

the

iden

tifie

d ha

zard

s an

d ri

sks

of t

he

orga

niza

tion

.

EN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs f

ail t

o m

easu

re

all t

he c

omm

itm

ents

m

ade

in t

he O

SH

pol

icy

and

obje

ctiv

es.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs m

easu

re o

nly

a fe

w o

f th

e co

mm

itm

ents

m

ade

in t

he O

SH

pol

icy

and

obje

ctiv

es.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs g

ener

ally

m

easu

re m

ost

of t

he

com

mit

men

ts m

ade

in t

he

OS

H p

olic

y an

d ob

ject

ives

.

Exi

stin

g pe

rfor

man

ce

indi

cato

rs m

easu

re a

ll th

e co

mm

itm

ents

mad

e in

the

OS

H p

olic

y an

d ob

ject

ives

.

FN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ar

e fo

cuse

d on

rea

ctiv

e m

onit

orin

g, a

nd f

ail

to lo

ok f

or a

ctiv

e or

pr

even

tive

sol

utio

ns.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ar

e fo

cuse

d on

rea

ctiv

e m

onit

orin

g an

d hi

stor

ic

data

, an

d fa

il to

look

fo

r ac

tive

or

prev

enti

ve

solu

tion

s.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t ex

ist

usin

g bo

th a

ctiv

e an

d re

acti

ve m

onit

orin

g.

Det

aile

d re

cord

s ar

e ke

pt,

and

data

are

ana

lyse

d to

est

ablis

h tr

ends

and

pr

even

tive

sol

utio

ns.

A c

ompr

ehen

sive

ran

ge o

f pe

rfor

man

ce m

onit

orin

g an

d m

easu

rem

ent

is

used

for

bot

h ac

tive

and

re

acti

ve m

onit

orin

g.

Det

aile

d re

cord

s ar

e ke

pt,

and

data

are

ana

lyse

d to

fin

d so

luti

ons

to im

prov

e fu

ture

per

form

ance

.

GN

o pe

rfor

man

ce in

dica

tors

ha

ve b

een

deve

lope

d or

ar

e in

use

.

Per

form

ance

mon

itor

ing

prov

ides

onl

y lim

ited

fe

edba

ck o

n O

SH

pe

rfor

man

ce, si

nce

not

enou

gh a

ppro

pria

te

mea

sure

men

ts a

re m

ade.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

so

me

feed

back

on

OS

H p

erfo

rman

ce. Th

e m

onit

orin

g of

ten

fails

to

det

erm

ine

whe

ther

ar

rang

emen

ts f

or h

azar

d id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

us

eful

fee

dbac

k on

O

SH

per

form

ance

. Th

e m

onit

orin

g sh

ows

whe

ther

arr

ange

men

ts f

or

haza

rd id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

Exi

stin

g pe

rfor

man

ce

mon

itor

ing

prov

ides

co

mpl

ete

and

very

us

eful

fee

dbac

k on

O

SH

per

form

ance

. Th

e m

onit

orin

g sh

ows

clea

rly

whe

ther

arr

ange

men

ts f

or

haza

rd id

enti

ficat

ion,

ris

k as

sess

men

t an

d co

ntro

l ar

e w

orki

ng e

ffec

tive

ly.

80 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

LR

eact

ive

mon

itor

ing

is

used

at

tim

es t

o ca

ptur

e w

ork-

rela

ted

inju

ries

, ill

hea

lth,

dis

ease

and

in

cide

nts.

Thi

s is

not

sy

stem

atic

ally

mai

ntai

ned,

an

d th

e da

ta c

olle

cted

are

un

relia

ble.

Rea

ctiv

e m

onit

orin

g is

us

ed g

ener

ally

to

capt

ure

wor

k-re

late

d in

juri

es,

ill h

ealt

h, d

isea

se a

nd

inci

dent

s. T

hese

dat

a ar

e no

t sy

stem

atic

ally

m

aint

aine

d, a

nd a

re

inco

mpl

ete,

sin

ce o

nly

high

-sev

erit

y ev

ents

are

ca

ptur

ed.

The

orga

niza

tion

ha

s a

basi

c sy

stem

fo

r m

onit

orin

g O

SH

per

form

ance

m

easu

rem

ent.

How

ever

, on

ly h

igh-

seve

rity

inju

ries

ar

e tr

acke

d. D

amag

e an

d in

cide

nts

are

rare

ly

repo

rted

.

The

orga

niza

tion

has

an

effe

ctiv

e sy

stem

tha

t m

onit

ors

inci

dent

s,

inju

ries

, ill

hea

lth

and

sick

ness

, da

mag

e an

d lo

sses

. M

onit

orin

g is

sy

stem

atic

ally

car

ried

out

, an

d th

e da

ta c

olle

cted

ar

e ge

nera

lly u

sed

to

inve

stig

ate

OS

H f

ailu

res

and

seek

impr

ovem

ents

.

The

orga

niza

tion

has

a

very

com

preh

ensi

ve

syst

em t

hat

mon

itor

s in

cide

nts,

inju

ries

, ill

he

alth

and

sic

knes

s,

dam

age

and

loss

es.

Mon

itor

ing

is

syst

emat

ical

ly c

arri

ed o

ut,

and

the

data

col

lect

ed a

re

used

to

inve

stig

ate

OS

H

failu

res.

The

mon

itor

ing

is u

sed

to fi

nd r

emed

ial

mea

sure

s, a

nd is

a k

ey

elem

ent

of c

onti

nuou

s im

prov

emen

ts.

ITE

M 3

.11

PE

rFO

rM

AN

CE

MO

NIT

Or

ING

AN

D M

EA

SU

rE

ME

NT

(max

. sc

ore

for

this

item

is 6

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

81Evaluation

Thre

ats

Gui

danc

e no

tes

Pro

cedu

res

to m

onit

or, m

easu

re a

nd r

ecor

d O

SH

per

form

ance

on

a re

gula

r ba

sis

shou

ld b

e de

velo

ped,

est

ablis

hed,

impl

emen

ted,

and

per

iodi

cally

rev

iew

ed.

Res

pons

ibili

ties

, ac

coun

tabi

litie

s an

d au

thor

itie

s fo

r m

onit

orin

g sh

ould

be

allo

cate

d at

dif

fere

nt le

vels

in t

he m

anag

emen

t st

ruct

ure.

The

sele

ctio

n of

per

form

ance

indi

cato

rs s

houl

d ta

ke in

to a

ccou

nt t

he s

ize

and

natu

re o

f ac

tivi

ty o

f th

e or

gani

zati

on, an

d th

e O

SH

obj

ecti

ves.

Bot

h qu

alit

ativ

e an

d qu

anti

tati

ve m

easu

res

appr

opri

ate

to t

he n

eeds

of

the

orga

niza

tion

sho

uld

be c

onsi

dere

d. T

hese

sho

uld:

(a)

be b

ased

on

the

orga

niza

tion

’s id

enti

fied

haza

rds

and

risk

s, t

he c

omm

itm

ents

in it

s O

SH

pol

icy

and

its

OS

H o

bjec

tive

s;(b

) su

ppor

t th

e or

gani

zati

on’s

eva

luat

ion

proc

esse

s in

clud

ing

the

man

agem

ent

revi

ew.

Per

form

ance

mon

itor

ing

and

mea

sure

men

t sh

ould

:(a

) be

use

d as

a m

eans

of

dete

rmin

ing

the

exte

nt t

o w

hich

OS

H p

olic

y an

d ob

ject

ives

are

bei

ng im

plem

ente

d an

d ri

sks

are

cont

rolle

d;(b

) in

clud

e bo

th a

ctiv

e an

d re

acti

ve m

onit

orin

g, a

nd n

ot b

e ba

sed

only

upo

n w

ork-

rela

ted

inju

ry, ill

hea

lth,

dis

ease

and

inci

dent

sta

tist

ics;

(c)

be r

ecor

ded.

Mon

itor

ing

shou

ld p

rovi

de:

(a)

feed

back

on

OS

H p

erfo

rman

ce;

(b)

info

rmat

ion

to d

eter

min

e w

heth

er t

he d

ay-t

o-da

y ar

rang

emen

ts f

or h

azar

d an

d ri

sk id

enti

ficat

ion,

pre

vent

ion

and

cont

rol a

re in

pla

ce, an

d ar

e op

erat

ing

effe

ctiv

ely;

(c)

the

basi

s fo

r de

cisi

ons

abou

t im

prov

emen

t in

haz

ard

iden

tific

atio

n an

d ri

sk c

ontr

ol, an

d th

e O

SH

man

agem

ent

syst

em.

Act

ive

mon

itor

ing

shou

ld c

onta

in t

he e

lem

ents

nec

essa

ry t

o ha

ve a

pro

acti

ve s

yste

m, an

d sh

ould

incl

ude:

(a)

mon

itor

ing

the

achi

evem

ent

of s

peci

fic p

lans

, es

tabl

ishe

d pe

rfor

man

ce c

rite

ria

and

obje

ctiv

es;

(b)

the

syst

emat

ic in

spec

tion

of

wor

k sy

stem

s, p

rem

ises

, pl

ant

and

equi

pmen

t;(c

) su

rvei

llanc

e of

the

wor

king

env

iron

men

t, in

clud

ing

wor

k or

gani

zati

on;

(d)

wor

kers

’ hea

lth

surv

eilla

nce,

whe

re a

ppro

pria

te, th

roug

h su

itab

le m

edic

al m

onit

orin

g or

fol

low

-up

of w

orke

rs f

or e

arly

det

ecti

on o

f si

gns

and

sym

ptom

s of

har

m

to h

ealt

h, t

o de

term

ine

the

effe

ctiv

enes

s of

pre

vent

ion

and

cont

rol m

easu

res;

(e)

com

plia

nce

wit

h ap

plic

able

nat

iona

l law

s an

d re

gula

tion

s, c

olle

ctiv

e ag

reem

ents

and

com

mit

men

ts o

n O

SH

tha

t th

e or

gani

zati

on h

as s

ubsc

ribe

d to

.

Rea

ctiv

e m

onit

orin

g sh

ould

incl

ude

the

iden

tific

atio

n, r

epor

ting

and

inve

stig

atio

n of

:(a

) w

ork-

rela

ted

inju

ries

, ill

hea

lth

(inc

ludi

ng m

onit

orin

g of

agg

rega

te s

ickn

ess

abse

nce

reco

rds)

, di

seas

es a

nd in

cide

nts;

(b)

othe

r lo

sses

, su

ch a

s da

mag

e to

pro

pert

y;(c

) de

ficie

nt s

afet

y an

d he

alth

per

form

ance

, an

d O

SH

man

agem

ent

syst

em f

ailu

res;

(d)

wor

ker

reha

bilit

atio

n an

d he

alth

res

tora

tion

pro

gram

mes

.

82 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Eva

luat

ion

Item

3.1

2 I

nves

tiga

tion

of

wor

k-re

late

d in

juri

es,

ill h

ealt

h, d

isea

ses

and

inci

dent

s, a

nd t

heir

impa

ct o

n sa

fety

and

hea

lth

perf

orm

ance

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AIn

vest

igat

ions

are

co

nduc

ted

only

for

w

ork-

rela

ted

seri

ous

inju

ry c

ases

. Th

ese

inve

stig

atio

ns f

ocus

on

the

appo

rtio

ning

of

blam

e.

Onl

y in

cide

nts

invo

lvin

g lo

st t

ime,

inju

ry o

r si

gnifi

cant

dam

age

are

subj

ecte

d to

a v

ery

elem

enta

ry f

orm

of

inve

stig

atio

n.

Inci

dent

s in

volv

ing

lost

ti

me,

inju

ry o

r da

mag

e ar

e in

vest

igat

ed.

All

inci

dent

s in

volv

ing

inju

ry o

r da

mag

e, o

r ne

ar-

mis

s ev

ents

, ar

e su

bjec

t to

inve

stig

atio

n, a

nd a

re

clos

ely

stud

ied

to id

enti

fy

root

cau

ses.

All

inci

dent

s ar

e in

vest

igat

ed, an

d ar

e su

bjec

ted

to a

ver

y th

orou

gh a

nd s

yste

mat

ic

exam

inat

ion

to id

enti

fy

root

cau

ses.

BTh

ere

is n

o pr

oces

s in

pl

ace

that

cap

ture

s or

in

vest

igat

es il

l hea

lth

or

dise

ases

to

dete

rmin

e w

heth

er t

hese

are

wor

k re

late

d.

Ther

e is

no

effe

ctiv

e sy

stem

in p

lace

to

iden

tify

ill

hea

lth

and

dise

ases

, or

to

dete

rmin

e w

heth

er

thes

e ar

e w

ork

rela

ted.

Cas

es o

f ill

hea

lth

and

dise

ases

are

sup

pose

d to

be

repo

rted

and

in

vest

igat

ed. H

owev

er,

a si

gnifi

cant

pro

port

ion

of s

uch

case

s ar

e no

t re

port

ed, an

d th

eref

ore

are

not

inve

stig

ated

.

Ill h

ealt

h an

d di

seas

es a

re

gene

rally

rep

orte

d, a

nd

are

also

inve

stig

ated

to

esta

blis

h w

heth

er t

hey

are

caus

ed b

y w

ork-

rela

ted

issu

es.

Ill h

ealt

h an

d di

seas

es

are

cons

iste

ntly

rep

orte

d,

and

are

thor

ough

ly

inve

stig

ated

to

esta

blis

h w

heth

er t

hey

are

caus

ed

by w

ork-

rela

ted

issu

es.

CTh

ere

is n

o sy

stem

in

plac

e to

exa

min

e in

cide

nts

to e

stab

lish

whe

ther

th

e O

SH

man

agem

ent

syst

em h

as f

aile

d or

has

be

en in

adeq

uate

in t

hese

ci

rcum

stan

ces.

Ther

e is

no

effe

ctiv

e sy

stem

to

exam

ine

repo

rted

inci

dent

s to

es

tabl

ish

whe

ther

the

O

SH

man

agem

ent

syst

em

has

faile

d or

has

bee

n in

adeq

uate

in t

hese

ci

rcum

stan

ces.

The

syst

em in

pla

ce

for

the

repo

rtin

g an

d in

vest

igat

ion

of in

cide

nts

freq

uent

ly f

ails

to

seri

ousl

y ex

amin

e w

heth

er

the

OS

H m

anag

emen

t sy

stem

fai

led

or w

as

inad

equa

te.

An

effe

ctiv

e sy

stem

exi

sts

that

doe

s in

vest

igat

e al

l ty

pes

of in

cide

nt, an

d it

doe

s tr

y to

est

ablis

h w

heth

er a

fai

lure

or

inad

equa

cy in

the

OS

H

man

agem

ent

syst

em w

as

a m

ain

or c

ontr

ibut

ing

fact

or.

A v

ery

thor

ough

and

co

mpr

ehen

sive

sys

tem

ex

ists

tha

t do

es in

vest

igat

e al

l typ

es o

f in

cide

nts.

It

expl

ores

the

roo

t ca

uses

in

deta

il, a

nd lo

oks

clos

ely

to

esta

blis

h w

heth

er a

fai

lure

or

inad

equa

cy in

the

OS

H

man

agem

ent

syst

em w

as

a m

ain

or c

ontr

ibut

ing

fact

or.

83Evaluation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DTh

e or

gani

zati

on d

oes

not

have

com

pete

nt p

erso

ns

to c

arry

out

inci

dent

in

vest

igat

ions

.

The

orga

niza

tion

doe

s ha

ve a

com

pete

nt p

erso

n to

car

ry o

ut in

cide

nt

inve

stig

atio

ns r

elat

ing

to

wor

kpla

ce in

juri

es, bu

t do

es n

ot h

ave

com

pete

nt

pers

ons

rela

ting

to

dise

ase

or il

l-he

alth

issu

es.

The

orga

niza

tion

doe

s ha

ve c

ompe

tent

per

sons

to

car

ry o

ut in

cide

nt

inve

stig

atio

ns r

elat

ing

to w

orkp

lace

inju

ries

. It

ha

s ac

cess

to

exte

rnal

pr

ovid

ers

for

dise

ase

and

ill-h

ealt

h is

sues

, bu

t th

ese

are

very

rar

ely

used

.

The

orga

niza

tion

has

co

mpe

tent

per

sons

to

car

ry o

ut in

cide

nt

inve

stig

atio

ns r

elat

ing

to w

orkp

lace

inju

ries

. Th

ey a

lso

use

com

pete

nt

heal

th p

rofe

ssio

nals

and

in

dust

rial

hyg

ieni

sts

to

iden

tify

and

inve

stig

ate

dise

ase

and

ill-h

ealt

h is

sues

.

The

orga

niza

tion

has

co

mpe

tent

per

sons

to

car

ry o

ut in

cide

nt

inve

stig

atio

ns r

elat

ing

to w

orkp

lace

inju

ries

. It

also

has

a c

ompr

ehen

sive

te

am o

f co

mpe

tent

hea

lth

prof

essi

onal

s an

d in

dust

rial

hy

gien

ists

to

iden

tify

and

in

vest

igat

e di

seas

e an

d ill

-he

alth

issu

es.

ETh

e or

gani

zati

on

does

not

pub

lish

or

com

mun

icat

e th

e re

sult

s of

any

inve

stig

atio

ns in

to

wor

kpla

ce in

juri

es, ill

he

alth

or

dise

ase.

The

re is

no

wor

ker

part

icip

atio

n in

th

is p

roce

ss.

The

orga

niza

tion

co

mm

unic

ates

the

res

ults

of

any

inve

stig

atio

ns in

to

very

ser

ious

wor

kpla

ce

inju

ries

, ill

hea

lth

or

dise

ase

to t

he s

afet

y an

d he

alth

com

mit

tee.

Th

ere

is li

ttle

wor

ker

part

icip

atio

n in

thi

s pr

oces

s.

The

orga

niza

tion

doe

s no

t co

nsul

t w

ith

the

safe

ty a

nd h

ealt

h co

mm

itte

e on

the

res

ults

of

inve

stig

atio

ns in

to

wor

kpla

ce in

juri

es,

ill h

ealt

h or

dis

ease

. It

doe

s co

mm

unic

ate

the

final

res

ults

of

its

inve

stig

atio

ns. W

orke

r pa

rtic

ipat

ion

is li

mit

ed.

The

orga

niza

tion

con

sult

s w

ith

the

safe

ty a

nd

heal

th c

omm

itte

e to

find

so

luti

ons

that

wou

ld

prev

ent

a re

curr

ence

of

the

issu

es b

eing

in

vest

igat

ed. It

als

o co

mm

unic

ates

the

fin

al r

esul

ts o

f th

e in

vest

igat

ions

, an

d en

cour

ages

wor

ker

part

icip

atio

n.

The

orga

niza

tion

con

sult

s w

idel

y w

ith

the

safe

ty a

nd

heal

th c

omm

itte

e an

d w

orke

rs t

o fin

d so

luti

ons

whi

ch t

hat

wou

ld p

reve

nt

a re

curr

ence

of

the

issu

es

bein

g in

vest

igat

ed. It

al

so c

omm

unic

ates

th

e fin

al r

esul

ts o

f th

e in

vest

igat

ions

, an

d en

sure

s th

at c

orre

ctiv

e ac

tion

s ar

e id

enti

fied.

FC

orre

ctiv

e ac

tion

s ar

e ra

rely

tak

en, si

nce

root

cau

ses

are

rare

ly

iden

tifie

d.

Cor

rect

ive

acti

ons

are

rare

ly t

aken

, si

nce

root

ca

uses

are

fre

quen

tly

not

iden

tifie

d.

Cor

rect

ive

acti

ons

are

gene

rally

tak

en w

here

ro

ot c

ause

s ha

ve b

een

esta

blis

hed.

How

ever

, ro

ot c

ause

s ar

e ve

ry r

arel

y es

tabl

ishe

d fo

r ve

ry m

inor

an

d ne

ar-m

iss

inci

dent

s.

Cor

rect

ive

acti

ons

that

ha

ve b

een

agre

ed w

ith

the

safe

ty a

nd h

ealt

h co

mm

itte

e an

d w

orke

rs’

repr

esen

tati

ves

are

gene

rally

tak

en q

uick

ly, to

en

sure

tha

t ev

ents

do

not

recu

r.

Cor

rect

ive

acti

ons

that

ha

ve b

een

disc

usse

d an

d ag

reed

wit

h th

e sa

fety

an

d he

alth

com

mit

tee

and

wor

kers

’ rep

rese

ntat

ives

ar

e im

plem

ente

d qu

ickl

y,

to e

nsur

e th

at e

vent

s do

no

t re

cur.

A f

ollo

w-u

p pr

oces

s ch

ecks

tha

t th

e co

rrec

tive

act

ions

hav

e be

en im

plem

ente

d an

d ar

e w

orki

ng.

84 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

GR

epor

ts f

rom

ext

erna

l in

vest

igat

ive

agen

cies

, in

clud

ing

insp

ecto

rate

s an

d so

cial

sec

urit

y in

stit

utio

ns, ar

e gi

ven

som

e at

tent

ion

only

if

the

y in

volv

e br

each

es

of O

SH

law

s or

fina

ncia

l pe

nalt

ies.

Rep

orts

rec

eive

d fr

om

exte

rnal

inve

stig

ativ

e ag

enci

es, in

clud

ing

insp

ecto

rate

s an

d so

cial

se

curi

ty in

stit

utio

ns, ar

e gi

ven

atte

ntio

n if

the

y in

volv

e br

each

es o

f O

SH

la

ws.

Rep

orts

rec

eive

d fr

om

exte

rnal

inve

stig

ativ

e ag

enci

es, in

clud

ing

insp

ecto

rate

s an

d so

cial

se

curi

ty in

stit

utio

ns, ar

e gi

ven

less

att

enti

on t

han

inte

rnal

inve

stig

atio

ns

unle

ss t

here

are

bre

ache

s of

OS

H la

ws.

Rep

orts

rec

eive

d fr

om

exte

rnal

inve

stig

ativ

e ag

enci

es, in

clud

ing

insp

ecto

rate

s, s

ocia

l se

curi

ty in

stit

utio

ns,

insu

rers

, ce

rtifi

cati

on

bodi

es a

nd p

rofe

ssio

nal

advi

sers

are

gen

eral

ly

acte

d on

in t

he s

ame

way

as

inte

rnal

inve

stig

atio

ns.

Rep

orts

rec

eive

d fr

om

exte

rnal

inve

stig

ativ

e ag

enci

es, in

clud

ing

insp

ecto

rate

s, s

ocia

l se

curi

ty in

stit

utio

ns,

insu

rers

, ce

rtifi

cati

on

bodi

es a

nd p

rofe

ssio

nal

advi

sers

, ar

e al

way

s ac

ted

on w

ith

rigo

r eq

ual t

o th

at

of in

tern

al in

vest

igat

ions

.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

2 I

NVE

STI

GAT

ION

OF

WO

rK

-rE

LATE

D I

NJU

rIE

S,I

LL H

EA

LTH

AN

D D

ISE

AS

ES

(m

ax. sc

ore

for

this

item

is 3

5)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

85Evaluation

Thre

ats

Gui

danc

e no

tes

Inve

stig

atio

n of

the

ori

gin

and

unde

rlyi

ng c

ause

s of

wor

k-re

late

d in

juri

es, ill

hea

lth,

dis

ease

s an

d in

cide

nts

shou

ld id

enti

fy a

ny f

ailu

res

in t

he O

SH

man

agem

ent

syst

em, an

d sh

ould

be

docu

men

ted.

Suc

h in

vest

igat

ions

sho

uld

be c

arri

ed o

ut b

y co

mpe

tent

per

sons

, w

ith

the

appr

opri

ate

part

icip

atio

n of

wor

kers

and

the

ir r

epre

sent

ativ

es.

The

resu

lts

of s

uch

inve

stig

atio

ns s

houl

d be

com

mun

icat

ed t

o th

e sa

fety

and

hea

lth

com

mit

tee,

whe

re it

exi

sts,

and

the

com

mit

tee

shou

ld m

ake

appr

opri

ate

reco

mm

enda

tion

s.

The

resu

lts

of in

vest

igat

ions

, in

add

itio

n to

any

rec

omm

enda

tion

s fr

om t

he s

afet

y an

d he

alth

com

mit

tee,

sho

uld

be c

omm

unic

ated

to

appr

opri

ate

pers

ons

fo

r co

rrec

tive

act

ion,

incl

uded

in t

he m

anag

emen

t re

view

, an

d co

nsid

ered

for

con

tinu

al im

prov

emen

t ac

tivi

ties

.

The

corr

ecti

ve a

ctio

n re

sult

ing

from

suc

h in

vest

igat

ions

sho

uld

be im

plem

ente

d in

ord

er t

o av

oid

repe

titi

on o

f w

ork-

rela

ted

inju

ries

, ill

hea

lth,

dis

ease

s an

d in

cide

nts.

Rep

orts

pro

duce

d by

ext

erna

l inv

esti

gati

ve a

genc

ies,

suc

h as

insp

ecto

rate

s an

d so

cial

insu

ranc

e in

stit

utio

ns, sh

ould

be

acte

d up

on in

the

sam

e m

anne

r

as in

tern

al in

vest

igat

ions

, ta

king

issu

es o

f co

nfide

ntia

lity

into

acc

ount

.

86 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Eva

luat

ion

Item

3.1

3 A

udit

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o in

tern

al o

r ex

tern

al

audi

ts a

re c

arri

ed o

ut o

n a

peri

odic

bas

is.

Occ

asio

nal i

nter

nal

audi

ts a

re c

arri

ed o

ut

infr

eque

ntly

on

a ra

ndom

ba

sis,

and

fai

l to

cove

r al

l pa

rts

of t

he o

rgan

izat

ion.

Th

ese

inte

rnal

aud

its

focu

s on

the

phy

sica

l sta

te

of t

he w

orkp

lace

, an

d fa

il to

mea

sure

the

OS

H

man

agem

ent

syst

em.

Inte

rnal

aud

its

are

carr

ied

out

on a

per

iodi

c ba

sis

cove

ring

som

e pa

rts

of t

he

orga

niza

tion

. Th

ese

audi

ts

are

gene

rally

not

sub

ject

to

an

effe

ctiv

e pl

anni

ng

and

sche

dulin

g pr

oces

s.

Inte

rnal

and

ext

erna

l au

dits

cov

erin

g th

e en

tire

org

aniz

atio

n ar

e ca

rrie

d ou

t on

a p

erio

dic

basi

s. T

hese

aud

its

are

sche

dule

d in

the

aud

it-

plan

ning

pro

cess

to

ensu

re t

hat

each

par

t of

th

e or

gani

zati

on is

aud

ited

at

leas

t ev

ery

thre

e ye

ars.

A c

ompr

ehen

sive

pro

cess

of

inte

rnal

and

ext

erna

l au

dits

cov

erin

g th

e en

tire

or

gani

zati

on is

car

ried

out

on

a r

egul

ar b

asis

. Th

ese

audi

ts a

re s

ched

uled

in

the

audi

t-pl

anni

ng p

roce

ss

to e

nsur

e th

at e

very

par

t of

the

org

aniz

atio

n is

au

dite

d at

leas

t ev

ery

two

year

s.

BN

o au

dit

polic

y or

pr

ogra

mm

e ex

ists

in t

he

orga

niza

tion

.

No

form

al in

tern

al a

udit

po

licy

or p

rogr

amm

e ex

ists

in

the

org

aniz

atio

n.

An

inte

rnal

aud

it p

olic

y an

d pr

ogra

mm

e is

in

effe

ct, bu

t fa

ils t

o en

sure

au

dito

r co

mpe

tenc

es.

The

audi

t sc

ope,

aud

it

met

hodo

logy

, sc

hedu

ling

and

repo

rtin

g ar

e no

t cl

earl

y de

fined

.

An

effe

ctiv

e au

dit

polic

y an

d pr

ogra

mm

e is

in

effe

ct t

hat

ensu

res

audi

tor

com

pete

nces

. Th

e au

dit

scop

e, a

udit

met

hodo

logy

, sc

hedu

ling

and

repo

rtin

g ar

e de

fined

.

A v

ery

effe

ctiv

e an

d ef

ficie

nt a

udit

pol

icy

and

prog

ram

me

is in

eff

ect

that

ens

ures

aud

itor

co

mpe

tenc

es. Th

e au

dit

scop

e an

d m

etho

dolo

gy

are

regu

larl

y re

view

ed.

Sch

edul

ing

and

repo

rtin

g ar

e cl

earl

y de

fined

and

do

cum

ente

d.

87Evaluation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CN

o in

tern

al o

r ex

tern

al

audi

ts a

re c

arri

ed o

ut t

o en

sure

com

plia

nce

wit

h an

y of

the

ele

men

ts o

f th

e O

SH

man

agem

ent

syst

em.

Inte

rnal

aud

its

fail

to

mea

sure

com

plia

nce

wit

h th

e O

SH

man

agem

ent

syst

em e

lem

ents

.

The

audi

t m

etho

dolo

gy

in u

se f

ails

to

mea

sure

pe

rfor

man

ce a

ccur

atel

y ag

ains

t m

any

of t

he

elem

ents

of

the

ILO

-OS

H

man

agem

ent

syst

em

guid

elin

es.

The

audi

t m

etho

dolo

gy

in u

se is

gen

eral

ly

effe

ctiv

e in

mea

suri

ng

perf

orm

ance

aga

inst

m

ost

of t

he e

lem

ents

the

IL

O-O

SH

man

agem

ent

syst

em g

uide

lines

, or

an

appr

opri

ate

subs

et o

f th

ese

elem

ents

.

The

audi

t m

etho

dolo

gy in

us

e is

hig

hly

effe

ctiv

e in

m

easu

ring

per

form

ance

ag

ains

t al

l ele

men

ts o

f th

e O

SH

man

agem

ent

syst

em a

s de

scri

bed

in

the

ILO

-OS

H m

anag

emen

t gu

idel

ines

.

DN

o au

dits

are

car

ried

out

.Th

ere

is n

o ex

tern

al

valid

atio

n of

m

easu

rem

ent

of

the

audi

ts.

Ext

erna

l aud

its

are

carr

ied

out

at le

ast

ever

y 5

yea

rs t

o en

sure

tha

t th

e m

easu

rem

ent

crit

eria

us

ed f

or in

tern

al a

udit

s of

so

me

elem

ents

of

the

OS

H

man

agem

ent

syst

em a

re

cons

iste

nt w

ith

thos

e us

ed

by o

ther

org

aniz

atio

ns in

th

e sa

me

indu

stry

.

Ext

erna

l aud

its

are

carr

ied

out

at le

ast

ever

y 5

yea

rs t

o en

sure

tha

t th

e m

easu

rem

ent

crit

eria

us

ed f

or in

tern

al a

udit

s of

al

l ele

men

ts o

f th

e O

SH

m

anag

emen

t sy

stem

are

co

nsis

tent

wit

h th

ose

used

by

oth

er o

rgan

izat

ions

in

the

sam

e in

dust

ry.

Ext

erna

l aud

its

are

carr

ied

out

at le

ast

ever

y 3

yea

rs t

o en

sure

tha

t th

e m

easu

rem

ent

crit

eria

us

ed f

or in

tern

al a

udit

s of

al

l ele

men

ts o

f th

e O

SH

m

anag

emen

t sy

stem

are

co

nsis

tent

wit

h th

ose

used

by

oth

er o

rgan

izat

ions

in

the

sam

e in

dust

ry.

EN

o m

easu

rem

ents

are

ta

ken

that

wou

ld e

stab

lish

whe

ther

the

org

aniz

atio

n is

mee

ting

its

OS

H p

olic

y or

obj

ecti

ves.

The

mea

sure

men

ts t

aken

fr

om b

oth

inte

rnal

and

ex

tern

al a

udit

s, a

nd

the

conc

lusi

ons

draw

n fr

om t

hese

aud

its,

are

ra

rely

use

d to

est

ablis

h or

con

firm

tha

t th

e or

gani

zati

on is

mee

ting

it

s O

SH

pol

icy

and

obje

ctiv

es.

The

mea

sure

men

ts t

aken

fr

om b

oth

inte

rnal

and

ex

tern

al a

udit

s, a

nd

the

conc

lusi

ons

draw

n fr

om t

hese

aud

its,

are

so

met

imes

use

d to

es

tabl

ish

and

confi

rm

that

the

org

aniz

atio

n is

m

eeti

ng it

s O

SH

pol

icy

and

obje

ctiv

es.

The

mea

sure

men

ts t

aken

fr

om b

oth

inte

rnal

and

ex

tern

al a

udit

s, a

nd

the

conc

lusi

ons

draw

n fr

om t

hese

aud

its,

are

ge

nera

lly u

sed

to e

stab

lish

and

confi

rm t

hat

the

orga

niza

tion

is m

eeti

ng

its

OS

H p

olic

y an

d ob

ject

ives

.

The

mea

sure

men

ts t

aken

fr

om b

oth

inte

rnal

and

ex

tern

al a

udit

s, a

nd t

he

conc

lusi

ons

draw

n fr

om

thes

e au

dits

, ar

e us

ed

wid

ely

and

cons

iste

ntly

to

est

ablis

h an

d co

nfirm

th

at t

he o

rgan

izat

ion

is

mee

ting

its

OS

H p

olic

y an

d ob

ject

ives

.

88 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FN

o m

easu

rem

ents

are

ta

ken

and

no in

form

atio

n is

pro

vide

d to

wor

kers

to

gain

wor

ker

part

icip

atio

n in

OS

H.

The

info

rmat

ion

prov

ided

fr

om in

tern

al a

nd

exte

rnal

aud

its

is r

arel

y co

mm

unic

ated

to

wor

kers

.

The

info

rmat

ion

prov

ided

fr

om in

tern

al a

nd e

xter

nal

audi

ts is

som

etim

es

com

mun

icat

ed t

o w

orke

rs,

but

is r

arel

y us

ed t

o ga

in

wor

ker

part

icip

atio

n in

O

SH

.

The

info

rmat

ion

prov

ided

fr

om in

tern

al a

nd e

xter

nal

audi

ts is

gen

eral

ly

com

mun

icat

ed t

o w

orke

rs,

and

is u

sed

to g

ain

full

wor

ker

part

icip

atio

n in

O

SH

.

The

info

rmat

ion

prov

ided

fr

om in

tern

al a

nd

exte

rnal

aud

its

is a

lway

s co

mm

unic

ated

to

wor

kers

, an

d is

use

d to

gai

n fu

ll w

orke

r pa

rtic

ipat

ion

in

OS

H.

GN

o au

dits

are

car

ried

out

an

d no

pro

cess

exi

sts

to id

enti

fy c

ompl

ianc

e w

ith

nati

onal

law

s an

d re

gula

tion

s re

lati

ng t

o O

SH

.

The

audi

ts t

hat

are

occa

sion

ally

und

erta

ken

are

rare

ly u

sed

to c

onfir

m

that

the

org

aniz

atio

n co

mpl

ies

fully

wit

h na

tion

al la

ws

and

regu

lati

ons

rela

ting

to

OS

H.

The

audi

ts u

nder

take

n ar

e so

met

imes

use

d to

con

firm

tha

t th

e or

gani

zati

on c

ompl

ies

fully

wit

h na

tion

al la

ws

and

regu

lati

ons

rela

ting

to

OS

H.

The

audi

ts u

nder

take

n ar

e ge

nera

lly u

sed

to c

onfir

m t

hat

the

orga

niza

tion

com

plie

s fu

lly w

ith

nati

onal

law

s an

d re

gula

tion

s re

lati

ng

to O

SH

.

The

audi

ts u

nder

take

n ar

e co

nsis

tent

ly u

sed

to c

onfir

m t

hat

the

orga

niza

tion

com

plie

s fu

lly w

ith

nati

onal

law

s an

d re

gula

tion

s re

lati

ng t

o O

SH

and

als

o O

SH

bes

t pr

acti

ces.

HN

o au

dits

are

car

ried

out

, an

d no

pro

cess

exi

sts

to id

enti

fy a

nd c

orre

ct

wea

knes

ses

or m

ake

impr

ovem

ents

.

Aud

its

are

only

oc

casi

onal

ly u

sed

to

iden

tify

opp

ortu

niti

es f

or

impr

ovem

ent.

Aud

its

are

som

etim

es

used

to

iden

tify

op

port

unit

ies

for

impr

ovem

ents

, an

d to

dri

ve c

onti

nual

im

prov

emen

t.

Aud

its

are

gene

rally

use

d to

iden

tify

opp

ortu

niti

es

for

impr

ovem

ent,

and

to

dri

ve c

onti

nual

im

prov

emen

t.

Aud

its

are

syst

emat

ical

ly

used

to

iden

tify

op

port

unit

ies

for

impr

ovem

ent,

and

to

driv

e co

ntin

ual i

mpr

ovem

ent

and

best

pra

ctic

e.

IN

o au

dits

are

car

ried

out

an

d no

pro

cess

exi

sts

to id

enti

fy a

nd c

orre

ct

wea

knes

ses

or m

ake

impr

ovem

ents

.

The

corr

ecti

on o

f id

enti

fied

wea

knes

ses

is n

ot g

iven

suf

ficie

nt

atte

ntio

n or

impl

emen

ted

quic

kly

enou

gh. Th

ere

is v

ery

littl

e fo

cus

on

impr

ovem

ents

.

Impr

ovem

ents

and

the

co

rrec

tion

of

iden

tifie

d w

eakn

esse

s ar

e no

t su

ffici

entl

y m

onit

ored

an

d ge

nera

lly n

ot t

aken

qu

ickl

y en

ough

. N

o ef

fect

ive

follo

w-u

p sy

stem

ex

ists

.

Impr

ovem

ents

and

the

co

rrec

tion

of

iden

tifie

d w

eakn

esse

s ar

e ge

nera

lly

mon

itor

ed, an

d co

rrec

tive

ac

tion

s ar

e m

ostl

y ta

ken

wit

hin

a re

ason

able

tim

e.

Thes

e ar

e su

bjec

t to

a

follo

w-u

p pr

oces

s to

en

sure

com

plet

ion.

Impr

ovem

ents

and

the

co

rrec

tion

of

iden

tifie

d w

eakn

esse

s ar

e m

onit

ored

, an

d co

rrec

tive

act

ions

ar

e ta

ken

in a

tim

ely

man

ner.

Thes

e ar

e su

bjec

t to

a s

yste

mat

ic f

ollo

w-

up p

roce

ss t

o en

sure

co

mpl

etio

n.

89Evaluation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

JTh

e or

gani

zati

on d

oes

not

have

any

com

pete

nt

audi

tors

, or

uti

lize

exte

rnal

co

mpe

tent

aud

itor

s.

Onl

y in

tern

al a

udit

ors

are

used

, an

d th

ese

have

not

rec

eive

d au

dit

trai

ning

. Th

ey la

ck t

he

com

pete

nces

nee

ded

to

cond

uct

audi

ts.

Aud

itor

s ar

e se

lect

ed

from

tim

e to

tim

e, b

ut

thei

r co

mpe

tenc

es a

re n

ot

suffi

cien

tly

asse

ssed

.

Aud

itor

s ar

e ge

nera

lly

care

fully

sel

ecte

d to

en

sure

the

ir c

ompe

tenc

e,

and

are

mos

tly

inde

pend

ent

of t

he

acti

vity

bei

ng a

udit

ed.

Aud

itor

s ar

e ri

goro

usly

se

lect

ed t

o en

sure

co

mpe

tenc

e, a

nd a

lso

that

th

ey a

re in

depe

nden

t of

th

e ac

tivi

ty b

eing

aud

ited

.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

3 A

UD

IT (

max

. sc

ore

for

this

item

is 5

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

Arr

ange

men

ts t

o co

nduc

t pe

riod

ic a

udit

s sh

ould

be

esta

blis

hed

to d

eter

min

e w

heth

er t

he O

SH

man

agem

ent

syst

em a

nd it

s el

emen

ts a

re in

pla

ce, ad

equa

te,

and

effe

ctiv

e in

pro

tect

ing

the

safe

ty a

nd h

ealt

h of

wor

kers

and

pre

vent

ing

inci

dent

s.

An

audi

t po

licy

and

prog

ram

me

shou

ld b

e de

velo

ped

that

incl

udes

a d

esig

nati

on o

f au

dito

r co

mpe

tenc

e, a

udit

sco

pe, th

e fr

eque

ncy

of a

udit

s, a

udit

met

hodo

logy

an

d re

port

ing.

90 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

The

audi

t in

clud

es a

n ev

alua

tion

of

the

orga

niza

tion

’s O

SH

man

agem

ent

syst

em e

lem

ents

or

a su

bset

the

reof

, as

des

crib

ed in

the

ILO

-OS

H 2

00

1 g

uide

lines

:3

.1

OS

H p

olic

y3

.2

Wor

ker

part

icip

atio

n3

.3

Res

pons

ibili

ty a

nd a

ccou

ntab

ility

3.4

C

ompe

tenc

e an

d tr

aini

ng3

.5

OS

H m

anag

emen

t sy

stem

doc

umen

tati

on3

.6

Com

mun

icat

ion

3.7

S

yste

ms

plan

ning

, de

velo

pmen

t, a

nd im

plem

enta

tion

3.8

P

reve

ntio

n an

d co

ntro

l mea

sure

s3

.9

Occ

upat

iona

l saf

ety

and

heal

th o

bjec

tive

s3

.10

H

azar

d pr

even

tion

3.1

0.1

P

reve

ntio

n an

d co

ntro

l mea

sure

s3

.10

.2

Man

agem

ent

of c

hang

e3

.10

.3

Em

erge

ncy

prev

enti

on, pr

epar

edne

ss, an

d re

spon

se3

.10

.4

Pro

cure

men

t3

.10

.5

Con

trac

ting

3.1

1

Per

form

ance

mon

itor

ing

and

mea

sure

men

t3

.12

In

vest

igat

ion

of w

ork-

rela

ted

inju

ries

, ill

hea

lth,

dis

ease

s an

d in

cide

nts

and

thei

r im

pact

on

OS

H p

erfo

rman

ce3

.13

A

udit

3.1

4

Man

agem

ent

revi

ew3

.15

P

reve

ntiv

e an

d co

rrec

tive

act

ions

3.1

6

Con

tinu

al im

prov

emen

t

The

audi

t sh

ould

als

o co

nsid

er a

ny o

ther

aud

it c

rite

ria

or e

lem

ents

tha

t m

ay b

e ap

prop

riat

e.

The

audi

t sh

ould

iden

tify

whe

ther

the

OS

H f

unct

ions

are

inte

grat

ed in

to t

he o

vera

ll bu

sine

ss f

unct

ions

and

man

agem

ent

of t

he o

rgan

izat

ion.

The

audi

t sh

ould

iden

tify

whe

re c

onfli

ctin

g go

al a

nd o

bjec

tive

s ex

ist

wit

hin

the

orga

niza

tion

.

The

audi

t co

nclu

sion

s sh

ould

det

erm

ine

whe

ther

the

impl

emen

ted

OS

H m

anag

emen

t sy

stem

, el

emen

ts o

r a

subs

et t

here

of:

(a)

are

effe

ctiv

e in

mee

ting

the

org

aniz

atio

n’s

OS

H p

olic

y an

d ob

ject

ives

;(b

) ar

e ef

fect

ive

in p

rom

otin

g fu

ll w

orke

r pa

rtic

ipat

ion;

(c)

resp

ond

to t

he r

esul

ts o

f O

SH

per

form

ance

eva

luat

ion

and

prev

ious

aud

its;

(d)

enab

le t

he o

rgan

izat

ion

to a

chie

ve c

ompl

ianc

e w

ith

rele

vant

nat

iona

l law

s an

d re

gula

tion

s;(e

) fu

lfil t

he g

oals

of

cont

inua

l im

prov

emen

t an

d be

st O

SH

pra

ctic

e.

Aud

its

shou

ld b

e co

nduc

ted

by c

ompe

tent

per

sons

, in

tern

al o

r ex

tern

al t

o th

e or

gani

zati

on, w

ho a

re in

depe

nden

t of

the

act

ivit

y be

ing

audi

ted.

Aud

it r

esul

ts a

nd c

oncl

usio

ns s

houl

d be

com

mun

icat

ed t

o th

ose

resp

onsi

ble

for

corr

ecti

ve a

ctio

ns.

Con

sult

atio

n on

all

stag

es o

f th

e w

orkp

lace

aud

it, in

clud

ing

the

sele

ctio

n of

aud

itor

s an

d th

e an

alys

is o

f re

sult

s, s

houl

d be

sub

ject

to

wor

ker

part

icip

atio

n.

91Evaluation

Eva

luat

ion

Item

3.1

4 M

anag

emen

t re

view

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o m

anag

emen

t re

view

s ar

e m

ade

of O

SH

pe

rfor

man

ce, an

d no

pe

rfor

man

ce o

bjec

tive

s ar

e se

t.

Man

agem

ent

revi

ews

are

mad

e of

OS

H

perf

orm

ance

ver

y ra

rely

. Th

ere

is n

o pl

anni

ng o

r cl

ear

defin

itio

n of

OS

H

perf

orm

ance

obj

ecti

ves.

Man

agem

ent

revi

ews

of

OS

H p

erfo

rman

ce a

re

mad

e in

freq

uent

ly t

o ev

alua

te O

SH

str

ateg

y an

d pe

rfor

man

ce. P

erfo

rman

ce

obje

ctiv

es f

or O

SH

lack

de

tail

and

plan

ning

.

Man

agem

ent

revi

ews

of O

SH

per

form

ance

an

d O

SH

str

ateg

y ar

e m

ade

at le

ast

annu

ally

. P

erfo

rman

ce o

bjec

tive

s fo

r O

SH

are

set

in r

easo

nabl

e de

tail,

and

are

use

d to

pl

an O

SH

act

ivit

ies.

Com

preh

ensi

ve

man

agem

ent

revi

ews

of O

SH

per

form

ance

an

d O

SH

str

ateg

y ar

e m

ade

at le

ast

quar

terl

y.

Per

form

ance

obj

ecti

ves

for

OS

H a

re s

et in

det

ail,

and

are

used

to

plan

OS

H

acti

viti

es.

BN

o ef

fort

is m

ade

to

eval

uate

or

iden

tify

the

ne

ed f

or c

hang

es o

r to

co

rrec

t de

ficie

ncie

s in

the

O

SH

man

agem

ent

syst

em.

Litt

le e

ffor

t is

mad

e to

ev

alua

te o

r id

enti

fy t

he

need

for

cha

nges

or

to

corr

ect

defic

ienc

ies

in t

he

OS

H m

anag

emen

t sy

stem

.

Som

e ef

fort

is m

ade

to

eval

uate

and

iden

tify

the

ne

ed f

or c

hang

es o

r to

co

rrec

t de

ficie

ncie

s in

th

e O

SH

man

agem

ent

syst

em, O

SH

pol

icy

and

obje

ctiv

es.

Sig

nific

ant

effo

rt is

m

ade

in e

valu

atin

g an

d id

enti

fyin

g th

e ne

ed f

or

chan

ges

or t

o co

rrec

t de

ficie

ncie

s in

the

OS

H

man

agem

ent

syst

em, O

SH

po

licy

and

obje

ctiv

es.

Maj

or a

tten

tion

is g

iven

to

eval

uati

ng a

nd id

enti

fyin

g th

e ne

ed f

or c

hang

es o

r to

cor

rect

defi

cien

cies

in

the

OS

H m

anag

emen

t sy

stem

, O

SH

pol

icy

and

obje

ctiv

es.

CN

o m

anag

emen

t re

view

s ar

e un

dert

aken

, an

d th

ere

is n

o fo

llow

-up

proc

ess

on

corr

ecti

ve a

ctio

ns.

Man

agem

ent

revi

ews

are

carr

ied

out

very

oc

casi

onal

ly b

y ju

nior

m

anag

ers

and

supe

rvis

ors.

S

enio

r m

anag

ers

are

not

invo

lved

in t

his

proc

ess.

Man

agem

ent

revi

ews

are

rare

ly u

nder

take

n, a

nd a

re

gene

rally

car

ried

out

by

juni

or m

anag

ers.

Sen

ior

man

ager

s ar

e oc

casi

onal

ly

invo

lved

in t

his

proc

ess.

Sys

tem

atic

and

eff

ecti

ve

man

agem

ent

revi

ews

are

regu

larl

y ca

rrie

d ou

t,

and

are

usua

lly d

one

by

mid

dle

man

agem

ent

and

occa

sion

ally

by

seni

or

man

agem

ent.

Com

preh

ensi

ve

man

agem

ent

revi

ews

are

plan

ned

and

carr

ied

out

regu

larl

y by

sen

ior

man

ager

s.

92 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DM

anag

emen

t pr

ovid

es

no f

eedb

ack

dire

ctio

n,

and

fails

to

dete

rmin

e O

SH

pri

orit

ies.

The

y fa

il to

pla

n or

set

con

tinu

al

impr

ovem

ent

obje

ctiv

es,

or t

ake

perf

orm

ance

m

easu

rem

ents

.

Man

agem

ent

prov

ides

lit

tle

feed

back

dir

ecti

on,

and

fails

to

dete

rmin

e O

SH

pri

orit

ies

prop

erly

. Th

ere

is a

lack

of

plan

ning

, an

d a

failu

re t

o se

t co

ntin

ual i

mpr

ovem

ent

obje

ctiv

es.

Man

agem

ent

prov

ides

so

me

feed

back

dir

ecti

on,

but

fails

to

dete

rmin

e O

SH

pri

orit

ies

prop

erly

. Th

ere

is a

lack

of

plan

ning

, an

d a

failu

re t

o se

t co

ntin

ual i

mpr

ovem

ent

obje

ctiv

es.

Man

agem

ent

prov

ides

re

gula

r fe

edba

ck d

irec

tion

, an

d ge

nera

lly d

eter

min

es

OS

H p

rior

itie

s pr

oper

ly.

Ther

e is

a p

lann

ing

proc

ess

to s

et c

onti

nual

im

prov

emen

t ob

ject

ives

.

Man

agem

ent

prov

ides

reg

ular

and

co

mpr

ehen

sive

fee

dbac

k di

rect

ion,

and

det

erm

ines

O

SH

pri

orit

ies

prop

erly

. Th

ere

is a

n ef

fect

ive

plan

ning

pro

cess

tha

t se

ts

cont

inua

l im

prov

emen

t ob

ject

ives

.

EN

o m

anag

emen

t re

view

s ar

e un

dert

aken

tha

t w

ould

al

low

man

agem

ent

to

mon

itor

OS

H p

erfo

rman

ce.

Man

agem

ent

revi

ews

are

rare

ly c

ondu

cted

by

man

agem

ent.

The

y fa

il to

fu

lly c

onsi

der

lead

ing

and

lagg

ing

OS

H p

erfo

rman

ce

indi

cato

rs.

Man

agem

ent

revi

ews

are

cond

ucte

d in

freq

uent

ly

by m

anag

emen

t,

and

cons

ider

OS

H

perf

orm

ance

indi

cato

rs

such

as

inci

dent

s,

inju

ries

, ill

hea

lth,

aud

it

findi

ngs

and

inci

dent

in

vest

igat

ions

.

Man

agem

ent

revi

ews

are

gene

rally

con

duct

ed

by m

anag

emen

t,

and

cons

ider

OS

H

perf

orm

ance

indi

cato

rs

such

as

inci

dent

s,

inju

ries

, ill

hea

lth,

aud

it

findi

ngs

and

inci

dent

in

vest

igat

ions

.

Man

agem

ent

revi

ews

are

syst

emat

ical

ly a

nd

regu

larl

y co

nduc

ted

by

seni

or m

anag

emen

t,

and

cons

ider

OS

H

perf

orm

ance

indi

cato

rs

such

as

inci

dent

s,

inju

ries

, ill

hea

lth,

aud

it

findi

ngs

and

inci

dent

in

vest

igat

ions

.

FN

o m

anag

emen

t re

view

s ar

e un

dert

aken

, an

d th

ere

is n

o co

mm

unic

atio

n re

gard

ing

OS

H p

erfo

rman

ce t

o th

e sa

fety

and

hea

lth

com

mit

tee,

wor

kers

, or

th

ose

resp

onsi

ble

for

the

rele

vant

ele

men

t of

the

O

SH

man

agem

ent

syst

em.

Ther

e is

litt

le

com

mun

icat

ion

of

the

findi

ngs

of t

he

man

agem

ent

revi

ew t

o th

e sa

fety

and

hea

lth

com

mit

tee,

wor

kers

, or

th

ose

resp

onsi

ble

for

the

rele

vant

ele

men

t of

the

O

SH

man

agem

ent

syst

em.

The

man

agem

ent

revi

ew

findi

ngs

are

som

etim

es

com

mun

icat

ed t

o th

e sa

fety

and

hea

lth

com

mit

tee,

wor

kers

, an

d th

ose

resp

onsi

ble

for

the

rele

vant

ele

men

t of

the

O

SH

man

agem

ent

syst

em.

Man

agem

ent

revi

ew

findi

ngs

are

gene

rally

co

mm

unic

ated

to

the

safe

ty a

nd h

ealt

h co

mm

itte

e, w

orke

rs, an

d th

ose

resp

onsi

ble

for

the

rele

vant

ele

men

t of

the

O

SH

man

agem

ent

syst

em.

Man

agem

ent

revi

ew

findi

ngs

are

syst

emat

ical

ly

com

mun

icat

ed t

o th

e sa

fety

and

hea

lth

com

mit

tee,

wor

kers

, an

d th

ose

resp

onsi

ble

for

the

rele

vant

ele

men

t of

the

O

SH

man

agem

ent

syst

em.

Sup

ervi

sors

and

man

ager

s ar

e to

ld t

o di

scus

s th

e fin

ding

s w

ith

thei

r w

orke

rs.

93Evaluation

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

GN

o m

anag

emen

t re

view

s ar

e un

dert

aken

or

docu

men

ted.

Man

agem

ent

revi

ews

are

rare

ly d

ocum

ente

d, a

nd

are

com

mun

icat

ed o

nly

on

a ne

ed-t

o-kn

ow b

asis

.

Man

agem

ent

revi

ews

are

gene

rally

for

mal

ly

docu

men

ted,

but

are

co

mm

unic

ated

onl

y on

a

need

-to-

know

bas

is.

Man

agem

ent

revi

ews

are

usua

lly f

orm

ally

do

cum

ente

d, a

nd a

re

com

mun

icat

ed t

o al

l tho

se

conc

erne

d.

Man

agem

ent

revi

ews

are

alw

ays

com

preh

ensi

vely

do

cum

ente

d, a

nd a

re

com

mun

icat

ed f

orm

ally

to

all

thos

e co

ncer

ned.

Th

e re

view

is s

ubje

ct t

o qu

arte

rly

revi

ew u

ntil

all

issu

es h

ave

been

res

olve

d.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

4 M

AN

AG

EM

EN

T r

EVI

EW

(m

ax. sc

ore

for

this

item

is 3

5)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

94 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Gui

danc

e no

tes

Man

agem

ent

revi

ews

shou

ld:

(a)

eval

uate

the

ove

rall

stra

tegy

of

the

OS

H m

anag

emen

t sy

stem

, to

det

erm

ine

whe

ther

it m

eets

pla

nned

per

form

ance

obj

ecti

ves;

(b)

eval

uate

the

OS

H m

anag

emen

t sy

stem

’s a

bilit

y to

mee

t th

e ov

eral

l nee

ds o

f th

e or

gani

zati

on a

nd it

s st

akeh

olde

rs, in

clud

ing

its

wor

kers

and

the

reg

ulat

ing

auth

orit

ies;

(c)

eval

uate

the

nee

d fo

r ch

ange

s to

the

OS

H m

anag

emen

t sy

stem

, in

clud

ing

OS

H p

olic

y an

d ob

ject

ives

;(d

) id

enti

fy w

hat

acti

on is

nec

essa

ry t

o re

med

y an

y de

ficie

ncie

s in

a t

imel

y m

anne

r, in

clud

ing

adap

tati

ons

of o

ther

asp

ects

of

the

orga

niza

tion

’s m

anag

emen

t st

ruct

ure

and

perf

orm

ance

mea

sure

men

t;(e

) pr

ovid

e th

e fe

edba

ck d

irec

tion

, in

clud

ing

the

dete

rmin

atio

n of

pri

orit

ies,

for

mea

ning

ful p

lann

ing

and

cont

inua

l im

prov

emen

t;(f

) ev

alua

te p

rogr

ess

tow

ards

the

org

aniz

atio

n’s

OS

H o

bjec

tive

s an

d co

rrec

tive

act

ion

acti

viti

es;

(g)

eval

uate

the

eff

ecti

vene

ss o

f fo

llow

-up

acti

ons

from

ear

lier

man

agem

ent

revi

ews.

The

freq

uenc

y an

d sc

ope

of p

erio

dic

revi

ews

by t

he e

mpl

oyer

or

the

mos

t se

nior

acc

ount

able

per

son

of t

he O

SH

man

agem

ent

syst

em o

f th

e or

gani

zati

on s

houl

d be

de

fined

acc

ordi

ng t

o it

s ne

eds

and

cond

itio

ns.

The

man

agem

ent

revi

ew s

houl

d co

nsid

er:

(a)

the

resu

lts

of w

ork-

rela

ted

inju

ry, ill

hea

lth,

dis

ease

and

inci

dent

inve

stig

atio

ns, pe

rfor

man

ce m

onit

orin

g an

d m

easu

rem

ent,

and

aud

it a

ctiv

itie

s;(b

) th

e ad

diti

onal

inte

rnal

and

ext

erna

l inp

uts

as w

ell a

s ch

ange

s, in

clud

ing

orga

niza

tion

al c

hang

es, th

at c

ould

aff

ect

the

OS

H m

anag

emen

t sy

stem

.

The

findi

ngs

of t

he m

anag

emen

t re

view

sho

uld

be r

ecor

ded

and

form

ally

com

mun

icat

ed t

o:(a

) th

e pe

rson

s re

spon

sibl

e fo

r th

e re

leva

nt e

lem

ent(

s) o

f th

e O

SH

man

agem

ent

syst

em s

o th

at t

hey

may

tak

e ap

prop

riat

e ac

tion

;(b

) th

e sa

fety

and

hea

lth

com

mit

tee,

wor

kers

and

the

ir r

epre

sent

ativ

es.

Action for improvement

97Action for improvement

Act

ion

for

impr

ovem

ent

Item

3.1

5 P

reve

ntiv

e an

d co

rrec

tive

act

ion

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

AN

o sy

stem

exi

sts

to

impl

emen

t pr

even

tive

or

cor

rect

ive

acti

ons

requ

ired

as

a re

sult

of

OS

H m

anag

emen

t sy

stem

au

dits

, m

anag

emen

t re

view

s an

d ot

her

form

s of

OS

H p

erfo

rman

ce

mon

itor

ing.

No

effe

ctiv

e sy

stem

is

in p

lace

to

impl

emen

t pr

even

tive

or

corr

ecti

ve

acti

ons

requ

ired

as

a r

esul

t of

OS

H

man

agem

ent

syst

em

audi

ts, m

anag

emen

t re

view

s an

d ot

her

form

s of

OS

H p

erfo

rman

ce

mon

itor

ing.

A v

ery

basi

c sy

stem

is

in p

lace

to

impl

emen

t pr

even

tive

and

cor

rect

ive

acti

ons

requ

ired

as

a r

esul

t of

OS

H

man

agem

ent

syst

em

audi

ts, m

anag

emen

t re

view

s an

d ot

her

form

s of

OS

H p

erfo

rman

ce

mon

itor

ing.

An

effe

ctiv

e sy

stem

is

in p

lace

to

impl

emen

t pr

even

tive

and

cor

rect

ive

acti

ons

requ

ired

as

a r

esul

t of

OS

H

man

agem

ent

syst

em

audi

ts, m

anag

emen

t re

view

s an

d ot

her

form

s of

OS

H p

erfo

rman

ce

mon

itor

ing.

A c

ompr

ehen

sive

sy

stem

is in

pla

ce a

nd

is v

ery

effe

ctiv

e in

im

plem

enti

ng p

reve

ntiv

e an

d co

rrec

tive

act

ions

re

quir

ed a

s a

resu

lt o

f O

SH

man

agem

ent

syst

em

audi

ts, m

anag

emen

t re

view

s an

d ot

her

form

s of

OS

H p

erfo

rman

ce

mon

itor

ing.

BN

o pr

oces

s ex

ists

to

iden

tify

and

ana

lyse

the

ro

ot c

ause

s of

non

-co

nfor

mit

y w

ith

OS

H

regu

lati

ons

or O

SH

m

anag

emen

t sy

stem

re

quir

emen

ts.

No

adeq

uate

pro

cess

ex

ists

to

iden

tify

and

an

alys

e th

e ro

ot c

ause

s of

non

-con

form

ity

wit

h O

SH

reg

ulat

ions

or

OS

H

man

agem

ent

syst

em

requ

irem

ents

.

A v

ery

basi

c pr

oces

s ex

ists

to

iden

tify

and

an

alys

e th

e ro

ot c

ause

s of

non

-con

form

ity

wit

h O

SH

reg

ulat

ions

and

O

SH

man

agem

ent

syst

em

requ

irem

ents

.

An

effe

ctiv

e pr

oces

s ex

ists

to

iden

tify

and

an

alys

e th

e ro

ot c

ause

s of

non

-con

form

ity

wit

h O

SH

reg

ulat

ions

and

O

SH

man

agem

ent

syst

em

requ

irem

ents

.

A c

ompr

ehen

sive

and

hi

ghly

eff

ecti

ve p

roce

ss

exis

ts t

o id

enti

fy a

nd

anal

yse

the

root

cau

ses

of n

on-c

onfo

rmit

y w

ith

OS

H r

egul

atio

ns a

nd

OS

H m

anag

emen

t sy

stem

re

quir

emen

ts.

CN

o pr

oces

s is

in p

lace

fo

r in

itia

ting

, pl

anni

ng,

impl

emen

ting

or

chec

king

th

e ef

fect

iven

ess

of

corr

ecti

ve a

nd p

reve

ntiv

e ac

tion

s.

An

inad

equa

te p

roce

ss

is in

pla

ce f

or in

itia

ting

, pl

anni

ng, im

plem

enti

ng

and

chec

king

the

ef

fect

iven

ess

of c

orre

ctiv

e an

d pr

even

tive

act

ions

.

A v

ery

sim

ple

proc

ess

is

in p

lace

for

init

iati

ng,

plan

ning

, im

plem

enti

ng

and

chec

king

the

ef

fect

iven

ess

of c

orre

ctiv

e an

d pr

even

tive

act

ions

. It

is

not

ful

ly e

ffec

tive

, an

d ne

eds

impr

ovem

ent.

A g

ener

ally

eff

ecti

ve

proc

ess

is in

pla

ce f

or

init

iati

ng, pl

anni

ng,

impl

emen

ting

and

ch

ecki

ng t

he e

ffec

tive

ness

of

cor

rect

ive

and

prev

enti

ve a

ctio

ns.

A h

ighl

y ef

fect

ive

and

relia

ble

proc

ess

is in

pla

ce

for

init

iati

ng, pl

anni

ng,

impl

emen

ting

and

ch

ecki

ng t

he e

ffec

tive

ness

of

cor

rect

ive

and

prev

enti

ve a

ctio

ns.

98 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DN

o pr

oper

met

hods

exi

st

for

docu

men

ting

any

co

rrec

tive

or

prev

enti

ve

acti

ons,

or

chan

ges

to t

he

OS

H m

anag

emen

t sy

stem

.

Alt

houg

h so

me

docu

men

ting

of

corr

ecti

ve

or p

reve

ntiv

e ac

tion

s ta

kes

plac

e, it

is n

ot s

yste

mat

ic,

relia

ble,

or

adeq

uate

for

pu

rpos

e.

A n

umbe

r of

met

hods

are

us

ed f

rom

tim

e to

tim

e to

do

cum

ent

any

corr

ecti

ve

or p

reve

ntiv

e ac

tion

s or

cha

nges

to

the

OS

H

man

agem

ent

syst

em.

An

effe

ctiv

e an

d ge

nera

lly

relia

ble

proc

ess

exis

ts t

o do

cum

ent

mos

t co

rrec

tive

or

pre

vent

ive

acti

ons

or c

hang

es t

o th

e O

SH

m

anag

emen

t sy

stem

.

A h

ighl

y re

liabl

e an

d ef

fect

ive

proc

ess

is in

pl

ace

to s

yste

mat

ical

ly

docu

men

t an

y co

rrec

tive

or

pre

vent

ive

acti

ons

or c

hang

es t

o th

e O

SH

m

anag

emen

t sy

stem

.

EP

reve

ntiv

e an

d pr

otec

tive

m

easu

res

to e

limin

ate

or

redu

ce h

azar

ds a

nd r

isks

ar

e to

tally

inad

equa

te.

A f

ew p

reve

ntiv

e an

d pr

otec

tive

mea

sure

s ex

ist

to e

limin

ate

or r

educ

e ha

zard

s an

d ri

sks,

but

ar

e in

nee

d of

sub

stan

tial

im

prov

emen

t.

Som

e pr

even

tive

and

pr

otec

tive

mea

sure

s ex

ist

to e

limin

ate

or r

educ

e ha

zard

s an

d ri

sks,

but

ne

ed t

o be

impr

oved

.

A s

ubst

anti

al r

ange

of

prev

enti

ve a

nd p

rote

ctiv

e m

easu

res

exis

t to

el

imin

ate

or r

educ

e ha

zard

s an

d ri

sks.

A c

ompr

ehen

sive

ran

ge o

f pr

even

tive

and

pro

tect

ive

mea

sure

s ar

e in

pla

ce

exis

t to

ens

ure

the

elim

inat

ion

or r

educ

tion

of

haza

rds

and

risk

s.

FP

reve

ntiv

e an

d pr

otec

tive

m

easu

res

fail

to f

ollo

w

the

corr

ect

hier

arch

y of

pr

even

tion

and

cor

rect

ion

mea

sure

s, a

nd r

ely

over

ly

on p

erso

nal p

rote

ctiv

e eq

uipm

ent

(PP

E).

The

corr

ect

hier

arch

y of

pre

vent

ion

and

corr

ecti

on m

easu

res

is

rare

ly f

ollo

wed

. P

PE

is

freq

uent

ly u

sed

whe

re

a m

ore

appr

opri

ate

hier

arch

y m

easu

re c

ould

be

use

d.

The

corr

ect

hier

arch

y of

pre

vent

ion

and

corr

ecti

on m

easu

res

is

som

etim

es n

ot f

ollo

wed

. P

PE

is f

requ

entl

y us

ed

whe

re m

ore

appr

opri

ate

hier

arch

y m

easu

res

coul

d be

use

d.

The

corr

ect

hier

arch

y of

pr

even

tion

and

cor

rect

ion

mea

sure

s is

gen

eral

ly

follo

wed

. O

ccas

iona

lly

PP

E is

use

d w

here

mor

e ap

prop

riat

e hi

erar

chy

mea

sure

s co

uld

be u

sed.

The

corr

ect

hier

arch

y of

pr

even

tion

and

cor

rect

ion

mea

sure

s is

alw

ays

follo

wed

. P

PE

is u

sed

only

as

a la

st r

esor

t, a

nd

whe

re m

ore

appr

opri

ate

hier

arch

y m

easu

res

cann

ot

be u

sed.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

5 P

rE

VEN

TIVE

AN

D C

Or

rE

CTI

VE A

CTI

ON

(m

ax. sc

ore

for

this

item

is 3

0)

99Action for improvement

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

Gui

danc

e no

tes

Arr

ange

men

ts s

houl

d be

est

ablis

hed

and

mai

ntai

ned

for

corr

ecti

ve a

nd p

reve

ntiv

e ac

tion

s re

sult

ing

from

OS

H m

anag

emen

t sy

stem

per

form

ance

mon

itor

ing

an

d m

easu

rem

ent,

OS

H m

anag

emen

t sy

stem

aud

its,

and

man

agem

ent

revi

ews.

Thes

e ar

rang

emen

ts s

houl

d in

clud

e:(a

) id

enti

fyin

g an

d an

alys

ing

the

root

cau

ses

of a

ny n

on-c

onfo

rmit

ies

wit

h re

leva

nt O

SH

reg

ulat

ions

and

/or

OS

H m

anag

emen

t sy

stem

s ar

rang

emen

ts;

(b)

init

iati

ng, pl

anni

ng, im

plem

enti

ng, ch

ecki

ng t

he e

ffec

tive

ness

of

and

docu

men

ting

cor

rect

ive

and

prev

enti

ve a

ctio

ns, in

clud

ing

chan

ges

to t

he O

SH

m

anag

emen

t sy

stem

itse

lf.

Whe

n ev

alua

tion

of

the

OS

H m

anag

emen

t sy

stem

or

othe

r so

urce

s sh

ows

that

the

pre

vent

ive

and

prot

ecti

ve m

easu

res

for

haza

rds

and

risk

s ar

e in

adeq

uate

,

or a

re li

kely

to

beco

me

inad

equa

te, th

ey s

houl

d be

add

ress

ed a

ccor

ding

to

the

reco

gniz

ed h

iera

rchy

of

prev

enti

on a

nd c

ontr

ol m

easu

res

and

be c

ompl

eted

an

d do

cum

ente

d, a

s ap

prop

riat

e, a

nd in

a t

imel

y m

anne

r.

100 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Act

ion

for

impr

ovem

ent

Item

3.1

6.

Con

tinu

al im

prov

emen

t

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

e or

gani

zati

on s

how

s no

in

tere

st o

r co

mm

itm

ent

to t

he c

onti

nual

im

prov

emen

t of

OS

H

perf

orm

ance

.

The

orga

niza

tion

sho

ws

only

min

imal

inte

rest

or

com

mit

men

t to

the

co

ntin

ual i

mpr

ovem

ent

of

OS

H p

erfo

rman

ce.

The

orga

niza

tion

sho

ws

mod

est

inte

rest

or

com

mit

men

t to

the

co

ntin

ual i

mpr

ovem

ent

of

OS

H p

erfo

rman

ce.

The

orga

niza

tion

sho

ws

inte

rest

and

a v

isib

le

com

mit

men

t to

the

co

ntin

ual i

mpr

ovem

ent

of

OS

H p

erfo

rman

ce.

The

orga

niza

tion

is

extr

emel

y in

tere

sted

and

ve

ry h

ighl

y co

mm

itte

d to

the

con

tinu

al

impr

ovem

ent

of O

SH

pe

rfor

man

ce.

BN

o ba

selin

e as

sess

men

t ha

s be

en c

ondu

cted

to

show

cur

rent

per

form

ance

, an

d no

impr

ovem

ent

plan

s ha

ve b

een

esta

blis

hed.

A b

asel

ine

asse

ssm

ent

has

been

con

duct

ed,

but

is v

ery

muc

h ou

t of

dat

e, a

nd f

ails

to

cove

r al

l asp

ects

of

curr

ent

perf

orm

ance

. Im

prov

emen

t pl

ans

have

no

t be

en e

stab

lishe

d.

A b

asel

ine

asse

ssm

ent

has

been

con

duct

ed t

o sh

ow c

urre

nt p

erfo

rman

ce,

and

this

has

bee

n up

date

d oc

casi

onal

ly.

Impr

ovem

ent

plan

s ha

ve

been

est

ablis

hed

for

som

e as

pect

s of

per

form

ance

.

A b

asel

ine

asse

ssm

ent

has

been

con

duct

ed t

o sh

ow

curr

ent

perf

orm

ance

, an

d th

is is

upd

ated

reg

ular

ly.

Impr

ovem

ent

plan

s ha

ve

been

est

ablis

hed

for

mos

t as

pect

s of

per

form

ance

, an

d re

vise

d ob

ject

ives

are

fo

rmul

ated

.

A c

ompr

ehen

sive

sy

stem

of

asse

ssm

ents

is

con

duct

ed t

o sh

ow

base

line

posi

tion

s,

inte

rmed

iate

way

poin

ts

and

also

OS

H o

bjec

tive

s an

d ta

rget

ed o

utco

mes

. Th

ese

are

used

to

deve

lop

and

impl

emen

t im

prov

emen

t pl

ans.

CO

ppor

tuni

ties

to

iden

tify

im

prov

emen

ts t

hat

coul

d be

mad

e to

OS

H

man

agem

ent

syst

ems

and

OS

H p

erfo

rman

ce a

re

igno

red.

Litt

le a

tten

tion

is p

aid

to t

he o

ppor

tuni

ties

fo

r im

prov

emen

ts t

hat

coul

d be

mad

e to

OS

H

man

agem

ent

syst

ems

and

OS

H p

erfo

rman

ce.

Opp

ortu

niti

es f

or

impr

ovem

ents

tha

t co

uld

be m

ade

to O

SH

m

anag

emen

t sy

stem

s an

d O

SH

per

form

ance

are

on

ly r

arel

y gi

ven

suffi

cien

t at

tent

ion

and

prio

rity

.

Ther

e ex

ists

a s

igni

fican

t co

mm

itm

ent

to fi

ndin

g op

port

unit

ies

for

impr

ovem

ents

to

the

OS

H m

anag

emen

t sy

stem

an

d O

SH

per

form

ance

. Im

prov

emen

ts a

re

gene

rally

qui

ckly

im

plem

ente

d.

Ther

e is

a v

ery

high

le

vel o

f co

mm

itm

ent

to id

enti

fyin

g an

d qu

ickl

y im

plem

enti

ng

impr

ovem

ents

to

the

OS

H

man

agem

ent

syst

em a

nd

OS

H p

erfo

rman

ce.

101Action for improvement

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

DE

xist

ing

wea

knes

ses

that

ha

ve b

een

iden

tifie

d in

the

O

SH

man

agem

ent

syst

em

and

OS

H p

erfo

rman

ce a

re

igno

red,

and

impr

ovem

ent

plan

s ar

e no

t fo

rmul

ated

.

Wea

knes

ses

that

hav

e be

en id

enti

fied

in t

he

OS

H m

anag

emen

t sy

stem

an

d O

SH

per

form

ance

ar

e gi

ven

littl

e at

tent

ion,

an

d ar

e ra

rely

qui

ckly

im

prov

ed.

Wea

knes

ses

that

hav

e be

en id

enti

fied

in t

he

OS

H m

anag

emen

t sy

stem

an

d O

SH

per

form

ance

get

at

tent

ion,

but

are

rar

ely

quic

kly

impr

oved

.

Wea

knes

ses

that

hav

e be

en id

enti

fied

in t

he

OS

H m

anag

emen

t sy

stem

an

d in

OS

H p

erfo

rman

ce

are,

in g

ener

al, qu

ickl

y re

ctifi

ed a

nd im

prov

ed.

Any

wea

knes

ses

in t

he

OS

H m

anag

emen

t sy

stem

or

OS

H p

erfo

rman

ce a

re

subj

ect

to d

etai

led

revi

ew

and

impr

ovem

ent

plan

s.

Thes

e im

prov

emen

ts a

re

impl

emen

ted

very

qui

ckly

an

d ef

fect

ivel

y.

EN

o O

SH

per

form

ance

im

prov

emen

t ob

ject

ives

ar

e fo

rmul

ated

.

OS

H p

erfo

rman

ce

impr

ovem

ent

obje

ctiv

es

are

occa

sion

ally

fo

rmul

ated

, bu

t ar

e ra

rely

incl

uded

in t

he

orga

niza

tion

’s p

lans

or

obje

ctiv

es.

OS

H p

erfo

rman

ce

impr

ovem

ent

obje

ctiv

es

are

only

infr

eque

ntly

in

clud

ed in

the

or

gani

zati

on’s

pla

ns a

nd

obje

ctiv

es.

OS

H p

erfo

rman

ce

impr

ovem

ent

obje

ctiv

es

are

gene

rally

incl

uded

in

the

orga

niza

tion

’s p

lans

an

d ob

ject

ives

.

OS

H p

erfo

rman

ce

impr

ovem

ent

obje

ctiv

es

are

alw

ays

incl

uded

in t

he

orga

niza

tion

’s p

lans

and

ob

ject

ives

.

FFe

edba

ck a

nd c

ompl

aint

s re

ceiv

ed f

rom

wor

kers

an

d th

eir

repr

esen

tati

ves

are

igno

red,

and

im

prov

emen

ts h

ave

not

been

impl

emen

ted.

Feed

back

and

com

plai

nts

rece

ived

fro

m w

orke

rs a

nd

thei

r re

pres

enta

tive

s ar

e ge

nera

lly ig

nore

d, a

nd

impr

ovem

ents

are

rar

ely

impl

emen

ted.

Feed

back

and

com

plai

nts

rece

ived

fro

m w

orke

rs

and

thei

r re

pres

enta

tive

s ar

e ge

nera

lly c

onsi

dere

d,

but

impr

ovem

ents

are

not

al

way

s im

plem

ente

d.

Feed

back

and

com

plai

nts

rece

ived

fro

m w

orke

rs

and

thei

r re

pres

enta

tive

s ar

e ge

nera

lly c

onsi

dere

d qu

ickl

y. I

mpr

ovem

ents

are

no

rmal

ly t

aken

to

corr

ect

the

issu

es r

aise

d.

Feed

back

and

com

plai

nts

rece

ived

fro

m w

orke

rs

and

thei

r re

pres

enta

tive

s ar

e al

way

s gi

ven

imm

edia

te c

onsi

dera

tion

. Im

prov

emen

ts a

re

impl

emen

ted

quic

kly

to

deal

wit

h th

e is

sues

rai

sed.

GN

o be

nchm

arki

ng p

roce

ss

exis

ts t

hat

wou

ld a

llow

co

mpa

riso

ns o

f O

SH

pe

rfor

man

ce a

nd m

etho

ds

wit

h th

ose

of e

xter

nal

orga

niza

tion

s.

No

effe

ctiv

e sy

stem

of

benc

hmar

king

exi

sts.

The

on

ly b

ench

mar

k of

OS

H

perf

orm

ance

and

met

hods

is

aga

inst

pub

lishe

d st

atis

tics

, an

d is

res

tric

ted

to lo

st-t

ime

inci

dent

s.

A r

udim

enta

ry s

yste

m

of b

ench

mar

king

exi

sts

that

mea

sure

s on

ly

hist

oric

inte

rnal

dat

a an

d pu

blis

hed

exte

rnal

st

atis

tics

.

An

effe

ctiv

e sy

stem

of

benc

hmar

king

exi

sts

that

m

easu

res

perf

orm

ance

ag

ains

t co

mpa

rabl

e ex

tern

al o

rgan

izat

ions

an

d an

y in

ter-

orga

niza

tion

op

erat

ions

.

A c

ompr

ehen

sive

sys

tem

of

ben

chm

arki

ng e

xist

s th

at m

easu

res

OS

H

perf

orm

ance

aga

inst

co

mpa

rabl

e ex

tern

al

orga

niza

tion

s an

d an

y in

ter-

orga

niza

tion

ope

rati

ons.

M

easu

rem

ents

are

mad

e of

bo

th le

adin

g an

d la

ggin

g pe

rfor

man

ce in

dica

tors

.

102 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

HN

o ef

fort

is m

ade

to

adop

t ev

en b

asic

leve

ls

of O

SH

man

agem

ent.

Ver

y po

or O

SH

per

form

ance

is

com

mon

, an

d sh

ows

no

impr

ovem

ent.

Litt

le e

ffor

t is

mad

e to

en

sure

the

qua

lity

of t

he

OS

H m

anag

emen

t sy

stem

. N

o aw

aren

ess

of b

est

prac

tice

exi

sts,

and

OS

H

resu

lts

are

low

and

sho

w

littl

e im

prov

emen

t.

A m

odes

t ef

fort

is m

ade

to e

nsur

e th

at t

he O

SH

m

anag

emen

t sy

stem

is

alig

ned

wit

h be

st p

ract

ice,

an

d th

at s

atis

fact

ory

and

impr

ovin

g O

SH

res

ults

are

ac

hiev

ed.

Sub

stan

tial

eff

ort

is m

ade

to e

nsur

e th

at t

he O

SH

m

anag

emen

t sy

stem

is

in li

ne w

ith

best

glo

bal

prac

tice

, an

d th

at g

ood

OS

H r

esul

ts a

re a

chie

ved.

P

rogr

essi

ve im

prov

emen

ts

are

expe

cted

and

pla

nned

ea

ch y

ear.

Eve

ry e

ffor

t is

mad

e to

en

sure

tha

t th

e O

SH

m

anag

emen

t sy

stem

is in

lin

e w

ith

glob

al p

ract

ice,

an

d th

at o

utst

andi

ng O

SH

pe

rfor

man

ce is

ach

ieve

d.

Sub

stan

tial

impr

ovem

ents

ar

e ex

pect

ed a

nd t

arge

ted

each

yea

r.

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.1

6 C

ON

TIN

UA

L IM

Pr

OVE

ME

NT

(max

. sc

ore

for

this

item

is 4

0)

Aud

itor

’s f

eedb

ack

Str

engt

hs

Wea

knes

ses

Opp

ortu

niti

es

Thre

ats

103Action for improvement

Gui

danc

e no

tes

Arr

ange

men

ts s

houl

d be

est

ablis

hed

and

mai

ntai

ned

for

cont

inua

l im

prov

emen

t of

the

rel

evan

t el

emen

ts o

f th

e O

SH

man

agem

ent

syst

em, an

d of

the

sys

tem

as

a w

hole

.

Thes

e ar

rang

emen

ts s

houl

d ta

ke in

to a

ccou

nt:

(a)

the

OS

H o

bjec

tive

s of

the

org

aniz

atio

n;(b

) th

e re

sult

s of

haz

ard

and

risk

iden

tific

atio

ns a

nd a

sses

smen

ts;

(c)

the

resu

lts

of p

erfo

rman

ce m

onit

orin

g an

d m

easu

rem

ents

;(d

) w

ork-

rela

ted

inju

ry, di

seas

es, ill

hea

lth

and

inci

dent

inve

stig

atio

ns, an

d th

e re

sult

s an

d re

com

men

dati

ons

of a

udit

s;(e

) th

e ou

tcom

es o

f th

e m

anag

emen

t re

view

;(f

) re

com

men

dati

ons

for

impr

ovem

ent

from

all

mem

bers

of

the

orga

niza

tion

, in

clud

ing

the

safe

ty a

nd h

ealt

h co

mm

itte

e, w

here

it e

xist

s;(g

) ch

ange

s in

nat

iona

l law

s an

d re

gula

tion

s, v

olun

tary

pro

gram

mes

and

col

lect

ive

agre

emen

ts;

(h)

new

rel

evan

t in

form

atio

n;(i

) th

e re

sult

s of

hea

lth

prot

ecti

on a

nd p

rom

otio

n pr

ogra

mm

es.

The

safe

ty a

nd h

ealt

h pr

oces

ses

and

perf

orm

ance

of

the

orga

niza

tion

sho

uld

be c

ompa

red

wit

h th

ose

of o

ther

s, t

o im

prov

e sa

fety

and

hea

lth

perf

orm

ance

.

Appendices

107Appendices

App

endi

x 1

It

em 3

.2 W

orke

r pa

rtic

ipat

ion

– Fi

rst

wor

ked

exam

ple

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

ere

is n

o cl

ear

evid

ence

w

ithi

n th

e or

gani

zati

on o

f m

anag

emen

t en

cour

agin

g or

see

king

to

invo

lve

or g

et

wor

kers

to

part

icip

ate

in

OS

H m

atte

rs.

Par

tici

pati

on is

lim

ited

to

fol

low

ing

OS

H

rule

s, p

roce

dure

s, a

nd

inst

ruct

ions

. Th

ere

is li

ttle

in

put

by w

orke

rs in

OS

H

mat

ters

.

Par

tici

pati

on is

en

cour

aged

by

man

agem

ent,

but

is

limit

ed t

o de

alin

g w

ith

spec

ific

OS

H p

robl

ems

wit

hin

the

orga

niza

tion

. M

anag

emen

t do

es n

ot

get

invo

lved

in p

lann

ing

or h

azar

d re

cogn

itio

n ac

tivi

ties

.

Man

agem

ent

has

cl

earl

y de

fined

the

rol

es

and

resp

onsi

bilit

ies

of

indi

vidu

al w

orke

rs, an

d of

the

saf

ety

and

heal

th

com

mit

tee.

The

man

agem

ent

polic

y an

d sy

stem

s do

cum

enta

tion

des

crib

es

the

impo

rtan

ce o

f w

orke

r pa

rtic

ipat

ion

and

invo

lvem

ent

in c

reat

ing

a sa

fe a

nd h

ealt

hy

wor

kpla

ce.

3

BO

SH

com

mun

icat

ion

wit

h w

orke

rs is

infr

eque

nt,

and

tend

s to

invo

lve

mai

nly

smal

l num

bers

of

wor

kers

and

be

focu

sed

on

supe

rvis

ors.

Man

agem

ent

has

min

imum

com

mun

icat

ion

wit

h w

orke

rs o

n O

SH

m

atte

rs.

Man

agem

ent

mai

ntai

ns

a lim

ited

am

ount

of

com

mun

icat

ion

wit

h w

orke

rs. Th

is

com

mun

icat

ion

is

gene

rally

a t

op-d

own

proc

ess,

and

litt

le

evid

ence

exi

sts

that

m

anag

emen

t kn

ows

wha

t th

eir

wor

kers

’ con

cern

s ar

e.

Ther

e is

reg

ular

and

fr

eque

nt d

ialo

gue

wit

h w

orke

rs, an

d th

e w

orke

rs’

view

s ar

e re

gard

ed a

s be

ing

very

impo

rtan

t.

The

docu

men

tati

on

desc

ribe

s sp

ecifi

c w

orke

r pa

rtic

ipat

ion

goal

s, a

nd

the

bene

fits

that

are

ga

ined

for

the

org

aniz

atio

n an

d it

s w

orke

rs. It

m

akes

saf

ety

and

heal

th

com

mun

icat

ions

to

be

vita

l to

ensu

re t

hat

ever

y pe

rson

in t

he o

rgan

izat

ion

unde

rsta

nds

thei

r ro

les

and

resp

onsi

bilit

ies.

3

108 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CW

orke

rs’ s

afet

y an

d he

alth

re

pres

enta

tive

s ha

ve

been

app

oint

ed b

ut r

arel

y m

eet.

The

ir r

ole

has

not

been

defi

ned,

and

the

y ha

ve li

ttle

invo

lvem

ent

in p

lann

ing,

eva

luat

ing

or s

eeki

ng im

prov

emen

t an

d so

luti

ons

to O

SH

pr

oble

ms.

A s

afet

y an

d he

alth

co

mm

itte

e ha

s be

en

form

ed, bu

t ha

s no

cle

ar

role

, an

d m

eets

ver

y in

freq

uent

ly. S

afet

y an

d he

alth

rep

rese

ntat

ives

ha

ve li

ttle

invo

lvem

ent

in

plan

ning

.

The

orga

niza

tion

has

es

tabl

ishe

d a

safe

ty a

nd

heal

th c

omm

itte

e th

at

conf

orm

s an

d co

mpl

ies

wit

h th

e re

quir

emen

ts

of n

atio

nal l

aws

and

regu

lati

ons,

and

pra

ctic

e.

The

com

mit

tee’

s ro

le

has

been

defi

ned,

an

d in

clud

es w

orki

ng

wit

h m

anag

emen

t in

ev

alua

ting

, pl

anni

ng a

nd

impl

emen

ting

sol

utio

ns

and

impr

ovem

ents

.

The

orga

niza

tion

has

es

tabl

ishe

d a

safe

ty a

nd

heal

th c

omm

itte

e th

at

conf

orm

s an

d co

mpl

ies

wit

h th

e re

quir

emen

ts

of n

atio

nal l

aws

and

regu

lati

ons,

and

pr

acti

ce. Th

e ro

le o

f th

e co

mm

itte

e ha

s be

en

defin

ed, an

d in

clud

es

haza

rd r

ecog

niti

on a

nd

OS

H c

omm

unic

atio

ns.

The

com

mit

tee

also

ha

s an

act

ive

role

in

eval

uati

ng O

SH

cha

nges

, an

d in

bui

ldin

g w

orke

r co

mpe

tenc

es in

OS

H.

The

orga

niza

tion

ens

ures

th

at a

ll ch

ange

s to

the

w

ork

envi

ronm

ent

and

proc

edur

es a

re d

iscu

ssed

w

ith

wor

kers

and

the

ir

repr

esen

tati

ves.

The

be

nefit

s ar

e co

mm

unic

ated

so

tha

t w

orke

rs c

an

prop

erly

und

erst

and

why

ch

ange

s ar

e be

ing

mad

e,

and

how

the

se c

hang

es w

ill

be b

enefi

cial

. Th

e sa

fety

an

d he

alth

com

mit

tee

is

high

ly in

volv

ed in

all

OS

H

mat

ters

, an

d en

sure

s th

at

wor

kers

’ con

cern

s ar

e de

alt

wit

h in

a t

imel

y m

anne

r.

2

DW

orke

rs a

nd t

heir

re

pres

enta

tive

s ar

e ra

rely

co

nsul

ted

on c

hang

es t

o pr

oces

ses

and

proc

edur

es.

Ther

e is

onl

y m

inim

al

cons

ulta

tion

wit

h w

orke

rs

rega

rdin

g O

SH

mat

ters

, an

d ch

ange

s to

pro

cess

es

and

proc

edur

es.

Ther

e is

onl

y lim

ited

co

nsul

tati

on w

ith

wor

kers

re

gard

ing

OS

H m

atte

rs,

and

chan

ges

to p

roce

sses

an

d pr

oced

ures

.

Ther

e is

a p

osit

ive

appr

oach

to

invo

lvin

g w

orke

rs in

OS

H m

atte

rs,

and

this

incl

udes

co

nsul

tati

on o

n ch

ange

s to

pr

oces

ses

and

proc

edur

es.

The

orga

niza

tion

ens

ures

th

at w

orke

rs a

nd t

heir

re

pres

enta

tive

s ar

e co

nsul

ted,

info

rmed

and

tr

aine

d on

all

aspe

cts

of

OS

H t

hat

impa

ct o

n th

eir

wor

k an

d sa

fety

.

3

ETh

e or

gani

zati

on m

akes

no

tim

e av

aila

ble

for

wor

kers

or

the

ir r

epre

sent

ativ

es t

o ha

ve m

eeti

ngs

insi

de t

heir

no

rmal

wor

king

hou

rs.

The

orga

niza

tion

mak

es

littl

e ti

me

avai

labl

e fo

r w

orke

rs o

r th

eir

repr

esen

tati

ves

to h

ave

mee

ting

s. T

hese

are

ver

y in

freq

uent

; th

ey f

ocus

m

ainl

y on

issu

es r

aise

d by

man

agem

ent,

and

onl

y ra

rely

on

issu

es r

aise

d by

w

orke

rs.

The

orga

niza

tion

doe

s ha

ve m

eeti

ngs

on a

re

gula

r ba

sis,

but

the

se

tend

to

occu

r on

ly

once

per

qua

rter

, an

d th

e ag

enda

item

s fo

r di

scus

sion

ten

d to

not

in

clud

e is

sues

rai

sed

by w

orke

rs o

r th

eir

repr

esen

tati

ves.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w r

egul

ar

mee

ting

s to

dis

cuss

OS

H

issu

es. W

orke

rs h

ave

the

oppo

rtun

ity

to p

ut

issu

es o

n th

e ag

enda

for

di

scus

sion

.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w w

orke

rs

and

thei

r sa

fety

and

hea

lth

repr

esen

tati

ves

to a

ctiv

ely

part

icip

ate

in e

valu

atin

g,

orga

nizi

ng, pl

anni

ng a

nd

impl

emen

tati

on o

f ac

tion

s to

impr

ove

the

OS

H

man

agem

ent

syst

em.

2

109Appendices

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e O

SH

cul

ture

wit

hin

the

orga

niza

tion

is t

hat

safe

ty a

nd h

ealt

h is

an

extr

a ex

pens

e, a

nd c

ause

s ex

tra

wor

k to

be

done

.

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on f

ails

to

prop

erly

see

the

val

ue o

f go

od O

SH

pro

cedu

re a

nd

prac

tice

s. T

his

nega

tive

at

titu

de is

tra

nsm

itte

d to

w

orke

rs.

The

OSH

cul

ture

in t

he

orga

niza

tion

is in

diff

eren

t to

OSH

, and

tak

es n

o re

ally

pos

itive

initi

ativ

es

to p

rom

ote

wor

ker

part

icip

atio

n or

invo

lvem

ent

in O

SH m

atte

rs.

The

OS

H c

ultu

re in

th

e or

gani

zati

on is

po

siti

ve, an

d th

is h

as

enco

urag

ed g

ood

leve

ls o

f w

orke

r in

volv

emen

t an

d pa

rtic

ipat

ion.

The

OS

H c

ultu

re is

ex

trem

ely

posi

tive

, an

d is

val

ued

by b

oth

man

agem

ent

and

wor

kers

. W

orke

rs a

re f

ully

eng

aged

an

d pa

rtic

ipat

e w

idel

y on

O

SH

mat

ters

.

3

GW

orke

rs f

eel l

ittl

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

. Th

ey r

egar

d it

as

the

resp

onsi

bilit

y of

th

e m

anag

emen

t or

the

O

SH

pro

fess

iona

l.Jo

b de

scri

ptio

ns d

o no

t de

tail

OS

H p

erfo

rman

ce.

Wor

kers

acc

ept

som

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

, bu

t ar

e no

t gi

ven

the

oppo

rtun

ity

to

part

icip

ate

fully

in O

SH

m

atte

rs.

OS

H is

not

det

aile

d in

job

desc

ript

ions

.

Wor

kers

see

OS

H a

s pa

rt o

f th

eir

role

and

re

spon

sibi

lity,

and

OS

H

is a

n el

emen

t in

the

ir jo

b de

scri

ptio

ns.

Wor

kers

do

not

rece

ive

feed

back

or

reco

gnit

ion

for

OS

H p

erfo

rman

ce.

Wor

kers

see

OS

H a

s pa

rt

of t

heir

res

pons

ibili

ties

, w

hich

is s

tate

d in

th

eir

job

desc

ript

ion.

Th

ey a

re e

ncou

rage

d to

mak

e su

gges

tion

s th

at w

ill im

prov

e O

SH

pe

rfor

man

ce.

Wor

kers

rec

eive

fee

dbac

k on

OS

H p

erfo

rman

ce,

but

no f

orm

al a

war

d or

re

cogn

itio

n pr

oces

s ex

ists

.

Wor

kers

tak

e ow

ners

hip

of O

SH

pro

gram

mes

; th

ey

appl

y th

em d

ilige

ntly

, an

d ta

ke p

ride

in p

rom

otin

g th

em.

OS

H p

erfo

rman

ce is

su

bjec

t to

a r

igor

ous

appr

aisa

l pro

cess

by

supe

rvis

ors

and

man

ager

s.

A r

ewar

d an

d re

cogn

itio

n pr

oces

s is

in p

lace

.

2

HW

orke

rs h

ave

rece

ived

ve

ry li

ttle

info

rmat

ion

or

trai

ning

on

OS

H is

sues

.Th

ey a

re u

nabl

e to

sta

te

the

maj

or h

azar

ds in

the

ir

wor

k en

viro

nmen

t, o

r th

e m

easu

res

to b

e ta

ken

to

min

imiz

e ri

sks.

Wor

kers

rec

eive

d ba

sic

OS

H in

form

atio

n an

d tr

aini

ng a

t th

e ti

me

of

thei

r in

duct

ion.

They

hav

e re

ceiv

ed

no r

efre

sher

or

OS

H

com

pete

nce-

build

ing

trai

ning

, an

d ha

ve li

mit

ed

unde

rsta

ndin

g of

OS

H.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g, a

nd

som

e ad

diti

onal

tra

inin

g re

gard

ing

OS

H la

ws,

re

gula

tion

and

rul

es.

They

are

abl

e to

id

enti

fy h

azar

ds in

the

ir

wor

kpla

ce, an

d st

ate

the

risk

s th

at e

xist

and

the

m

easu

res

to b

e ta

ken

to

min

imiz

e th

ese

risk

s.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g an

d re

fres

her

trai

ning

. Th

ey

can

stat

e th

e ha

zard

s in

th

eir

wor

kpla

ce.

They

are

cap

able

of

unde

rtak

ing

task

ana

lysi

s to

iden

tify

haz

ards

, an

d ar

e ab

le t

o ev

alua

te

pote

ntia

l sol

utio

ns.

The

orga

niza

tion

has

de

velo

ped

and

use

com

pete

nce-

build

ing

tool

s w

hich

ens

ure

that

all

wor

kers

hav

e a

thor

ough

un

ders

tand

ing

of O

SH

co

ncep

ts a

nd t

he s

ite-

spec

ific

risk

s th

at t

hey

may

enc

ount

er.

Wor

kers

are

cap

able

of

und

erta

king

haz

ard

iden

tific

atio

n an

d ri

sk

asse

ssm

ent,

and

are

ab

le t

o co

nduc

t sa

fety

be

havi

our

obse

rvat

ions

.

3

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.2

WO

rK

Er

PA

rTI

CIP

ATIO

N: 2

1 (

max

. sc

ore

for

this

item

is 4

0)

110 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

The

orga

niza

tion

is g

ener

ally

com

plia

nt w

ith

nati

onal

OS

H la

ws

rela

ting

to

wor

ker

cons

ulta

tion

and

par

tici

pati

on.

Wor

kers

do

rece

ive

basi

c O

SH

tra

inin

g, a

nd a

re t

rain

ed t

o un

ders

tand

OS

H la

ws,

reg

ulat

ions

and

rul

es.

Man

agem

ent

does

enc

oura

ge w

orke

r pa

rtic

ipat

ion

in d

ealin

g w

ith

spec

ific

OS

H is

sues

and

con

cern

s.

Wea

knes

ses

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on f

ails

to

insp

ire

wor

kers

to

take

pos

itiv

e in

itia

tive

s to

pro

mot

e an

d en

cour

age

OS

H in

the

wor

kpla

ce.

Par

tici

pati

on b

y th

e w

orkf

orce

is v

ery

limit

ed, an

d en

cour

agem

ent

by m

anag

emen

t is

gen

eral

ly la

ckin

g.

Ther

e is

not

eno

ugh

tim

e al

loca

ted

for

safe

ty m

eeti

ngs,

whi

ch a

re g

ener

ally

hel

d in

freq

uent

ly, an

d fa

il to

foc

us o

n w

orke

rs’ O

SH

con

cern

s an

d is

sues

.

Opp

ortu

niti

es

Man

agem

ent

coul

d cr

eate

a m

ore

posi

tive

saf

ety

cult

ure,

whi

ch w

ould

enc

oura

ge t

he f

ull e

ngag

emen

t of

the

wor

kfor

ce in

OS

H m

atte

rs a

nd is

sues

.

A s

afet

y an

d he

alth

com

mit

tee

exis

ts, bu

t fa

ils t

o fu

lfil i

ts p

urpo

se a

nd p

oten

tial

, an

d is

fai

ling

to e

ngag

e w

ith

the

tota

l wor

kfor

ce.

Maj

or b

enefi

ts w

ould

be

gain

ed b

y ge

ttin

g w

orke

rs a

ctiv

ely

invo

lved

in O

SH

thr

ough

tas

k an

alys

is a

nd s

afet

y as

sess

men

ts, et

c.

Thre

ats

Ther

e is

a c

once

rn t

hat

OS

H h

azar

ds m

ay n

ot b

e id

enti

fied

beca

use

wor

kers

are

not

eng

aged

or

may

fee

l tha

t th

ey h

ave

no r

espo

nsib

ility

to

iden

tify

haz

ards

.

The

failu

re t

o cl

earl

y as

sign

rol

es a

nd r

espo

nsib

iliti

es m

ay r

esul

t in

a la

ckin

g of

OS

H p

lann

ing,

and

tha

t no

cle

ar p

roce

ss e

xist

s fo

r ha

zard

iden

tific

atio

n.

Failu

re t

o de

velo

p O

SH

com

pete

nces

of

the

wor

kfor

ce is

like

ly t

o be

a m

ajor

blo

ck t

o th

e co

ntin

uous

impr

ovem

ent

of O

SH

wit

hin

the

orga

niza

tion

.

111Appendices

App

endi

x 2

It

em 3

.2 W

orke

r pa

rtic

ipat

ion

– S

econ

d w

orke

d ex

ampl

e

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

ATh

ere

is n

o cl

ear

evid

ence

w

ithi

n th

e or

gani

zati

on o

f m

anag

emen

t en

cour

agin

g or

see

king

to

invo

lve

or g

et

wor

kers

to

part

icip

ate

in

OS

H m

atte

rs.

Par

tici

pati

on is

lim

ited

to

fol

low

ing

OS

H

rule

s, p

roce

dure

s, a

nd

inst

ruct

ions

. Th

ere

is li

ttle

in

put

by w

orke

rs in

OS

H

mat

ters

.

Par

tici

pati

on is

en

cour

aged

by

man

agem

ent,

but

is

limit

ed t

o de

alin

g w

ith

spec

ific

OS

H p

robl

ems

wit

hin

the

orga

niza

tion

. It

doe

s no

t ge

t in

volv

ed

in p

lann

ing

or h

azar

d re

cogn

itio

n ac

tivi

ties

.

Man

agem

ent

has

cl

earl

y de

fined

the

rol

es

and

resp

onsi

bilit

ies

of

indi

vidu

al w

orke

rs, an

d of

the

saf

ety

and

heal

th

com

mit

tee.

The

man

agem

ent

polic

y an

d sy

stem

s do

cum

enta

tion

des

crib

es

the

impo

rtan

ce o

f w

orke

r pa

rtic

ipat

ion

and

invo

lvem

ent

in c

reat

ing

a sa

fe a

nd h

ealt

hy

wor

kpla

ce.

4

BO

SH

com

mun

icat

ion

wit

h w

orke

rs is

infr

eque

nt,

and

tend

s to

invo

lve

mai

nly

smal

l num

bers

of

wor

kers

and

be

focu

sed

on

supe

rvis

ors.

Man

agem

ent

has

min

imum

com

mun

icat

ion

wit

h w

orke

rs o

n O

SH

m

atte

rs.

Man

agem

ent

mai

ntai

ns

a lim

ited

am

ount

of

com

mun

icat

ion

wit

h w

orke

rs. Th

is

com

mun

icat

ion

is

gene

rally

a t

op-d

own

proc

ess,

and

litt

le

evid

ence

exi

sts

that

m

anag

emen

t kn

ows

wha

t th

eir

wor

kers

’ con

cern

s ar

e.

Ther

e is

reg

ular

and

fr

eque

nt d

ialo

gue

wit

h w

orke

rs, an

d th

e w

orke

rs’

view

s ar

e re

gard

ed a

s be

ing

very

impo

rtan

t.

The

docu

men

tati

on

desc

ribe

s sp

ecifi

c w

orke

r pa

rtic

ipat

ion

goal

s, a

nd

the

bene

fits

that

are

ga

ined

for

the

org

aniz

atio

n an

d it

s w

orke

rs. It

m

akes

saf

ety

and

heal

th

com

mun

icat

ions

to

be

vita

l to

ensu

re t

hat

ever

y pe

rson

in t

he o

rgan

izat

ion

unde

rsta

nds

thei

r ro

les

and

resp

onsi

bilit

ies.

5

112 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

CW

orke

rs’ s

afet

y an

d he

alth

re

pres

enta

tive

s ha

ve

been

app

oint

ed b

ut r

arel

y m

eet.

The

ir r

ole

has

not

been

defi

ned,

and

the

y ha

ve li

ttle

invo

lvem

ent

in p

lann

ing,

eva

luat

ing

or s

eeki

ng im

prov

emen

t an

d so

luti

ons

to O

SH

pr

oble

ms.

A s

afet

y an

d he

alth

co

mm

itte

e ha

s be

en

form

ed, bu

t ha

s no

cle

ar

role

, an

d m

eets

ver

y in

freq

uent

ly. S

afet

y an

d he

alth

rep

rese

ntat

ives

ha

ve li

ttle

invo

lvem

ent

in

plan

ning

.

The

orga

niza

tion

has

es

tabl

ishe

d a

safe

ty a

nd

heal

th c

omm

itte

e th

at

conf

orm

s an

d co

mpl

ies

wit

h th

e re

quir

emen

ts

of n

atio

nal l

aws

and

regu

lati

ons,

and

pra

ctic

e.

The

com

mit

tee’

s ro

le

has

been

defi

ned,

an

d in

clud

es w

orki

ng

wit

h m

anag

emen

t in

ev

alua

ting

, pl

anni

ng a

nd

impl

emen

ting

sol

utio

ns

and

impr

ovem

ents

.

The

orga

niza

tion

has

es

tabl

ishe

d a

safe

ty a

nd

heal

th c

omm

itte

e th

at

conf

orm

s an

d co

mpl

ies

wit

h th

e re

quir

emen

ts

of n

atio

nal l

aws

and

regu

lati

ons,

and

pr

acti

ce. Th

e ro

le o

f th

e co

mm

itte

e ha

s be

en

defin

ed, an

d in

clud

es

haza

rd r

ecog

niti

on a

nd

OS

H c

omm

unic

atio

ns.

The

com

mit

tee

also

ha

s an

act

ive

role

in

eval

uati

ng O

SH

cha

nges

, an

d in

bui

ldin

g w

orke

r co

mpe

tenc

es in

OS

H.

The

orga

niza

tion

ens

ures

th

at a

ll ch

ange

s to

the

w

ork

envi

ronm

ent

and

proc

edur

es a

re d

iscu

ssed

w

ith

wor

kers

and

the

ir

repr

esen

tati

ves.

The

be

nefit

s ar

e co

mm

unic

ated

so

tha

t w

orke

rs c

an

prop

erly

und

erst

and

why

ch

ange

s ar

e be

ing

mad

e,

and

how

the

se c

hang

es w

ill

be b

enefi

cial

. Th

e sa

fety

an

d he

alth

com

mit

tee

is

high

ly in

volv

ed in

all

OS

H

mat

ters

, an

d en

sure

s th

at

wor

kers

’ con

cern

s ar

e de

alt

wit

h in

a t

imel

y m

anne

r.

4

DW

orke

rs a

nd t

heir

re

pres

enta

tive

s ar

e ra

rely

co

nsul

ted

on c

hang

es t

o pr

oces

ses

and

proc

edur

es.

Ther

e is

onl

y m

inim

al

cons

ulta

tion

wit

h w

orke

rs

rega

rdin

g O

SH

mat

ters

, an

d ch

ange

s to

pro

cess

es

and

proc

edur

es.

Ther

e is

onl

y lim

ited

co

nsul

tati

on w

ith

wor

kers

re

gard

ing

OS

H m

atte

rs,

and

chan

ges

to p

roce

sses

an

d pr

oced

ures

.

Ther

e is

a p

osit

ive

appr

oach

to

invo

lvin

g w

orke

rs in

OS

H m

atte

rs,

and

this

incl

udes

co

nsul

tati

on o

n ch

ange

s to

pr

oces

ses

and

proc

edur

es.

The

orga

niza

tion

ens

ures

th

at w

orke

rs a

nd t

heir

re

pres

enta

tive

s ar

e co

nsul

ted,

info

rmed

and

tr

aine

d on

all

aspe

cts

of

OS

H t

hat

impa

ct o

n th

eir

wor

k an

d sa

fety

.

5

ETh

e or

gani

zati

on m

akes

no

tim

e av

aila

ble

for

wor

kers

or

the

ir r

epre

sent

ativ

es t

o ha

ve m

eeti

ngs

insi

de t

heir

no

rmal

wor

king

hou

rs.

The

orga

niza

tion

mak

es

littl

e ti

me

avai

labl

e fo

r w

orke

rs o

r th

eir

repr

esen

tati

ves

to h

ave

mee

ting

s. T

hese

are

ver

y in

freq

uent

; th

ey f

ocus

m

ainl

y on

issu

es r

aise

d by

man

agem

ent,

and

onl

y ra

rely

on

issu

es r

aise

d by

w

orke

rs.

The

orga

niza

tion

doe

s ha

ve m

eeti

ngs

on a

re

gula

r ba

sis,

but

the

se

tend

to

occu

r on

ly

once

per

qua

rter

, an

d th

e ag

enda

item

s fo

r di

scus

sion

ten

d to

not

in

clud

e is

sues

rai

sed

by w

orke

rs o

r th

eir

repr

esen

tati

ves.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w r

egul

ar

mee

ting

s to

dis

cuss

OS

H

issu

es. W

orke

rs h

ave

the

oppo

rtun

ity

to p

ut

issu

es o

n th

e ag

enda

for

di

scus

sion

.

The

orga

niza

tion

mak

es

tim

e an

d re

sour

ces

avai

labl

e to

allo

w w

orke

rs

and

thei

r sa

fety

and

hea

lth

repr

esen

tati

ves

to a

ctiv

ely

part

icip

ate

in e

valu

atin

g,

orga

nizi

ng, pl

anni

ng a

nd

impl

emen

tati

on o

f ac

tion

s to

impr

ove

the

OS

H

man

agem

ent

syst

em.

3

113Appendices

NO

NE

(1

)P

OO

r (

2)

FAIr

(3

)G

OO

D (

4)

ExC

ELL

EN

T (5

)r

ATIN

G

FTh

e O

SH

cul

ture

wit

hin

the

orga

niza

tion

is t

hat

safe

ty a

nd h

ealt

h is

an

extr

a ex

pens

e, a

nd c

ause

s ex

tra

wor

k to

be

done

.

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on f

ails

to

prop

erly

see

the

val

ue o

f go

od O

SH

pro

cedu

re a

nd

prac

tice

s. T

his

nega

tive

at

titu

de is

tra

nsm

itte

d to

w

orke

rs.

The

OSH

cul

ture

in t

he

orga

niza

tion

is in

diff

eren

t to

OSH

, and

tak

es n

o re

ally

pos

itive

initi

ativ

es

to p

rom

ote

wor

ker

part

icip

atio

n or

invo

lvem

ent

in O

SH m

atte

rs.

The

OS

H c

ultu

re in

th

e or

gani

zati

on is

po

siti

ve,

and

this

has

en

cour

aged

goo

d le

vels

of

wor

ker

invo

lvem

ent

and

part

icip

atio

n.

The

OS

H c

ultu

re is

ex

trem

ely

posi

tive

, an

d is

val

ued

by b

oth

man

agem

ent

and

wor

kers

. W

orke

rs a

re f

ully

eng

aged

an

d pa

rtic

ipat

e w

idel

y on

O

SH

mat

ters

.

4

GW

orke

rs f

eel l

ittl

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

. Th

ey r

egar

d it

as

the

resp

onsi

bilit

y of

th

e m

anag

emen

t or

the

O

SH

pro

fess

iona

l.Jo

b de

scri

ptio

ns d

o no

t de

tail

OS

H p

erfo

rman

ce.

Wor

kers

acc

ept

som

e re

spon

sibi

lity

for

OS

H

perf

orm

ance

, bu

t ar

e no

t gi

ven

the

oppo

rtun

ity

to

part

icip

ate

fully

in O

SH

m

atte

rs.

OS

H is

not

det

aile

d in

job

desc

ript

ions

.

Wor

kers

see

OS

H a

s pa

rt o

f th

eir

role

and

re

spon

sibi

lity,

and

OS

H

is a

n el

emen

t in

the

ir jo

b de

scri

ptio

ns.

Wor

kers

do

not

rece

ive

feed

back

or

reco

gnit

ion

for

OS

H p

erfo

rman

ce.

Wor

kers

see

OS

H a

s pa

rt

of t

heir

res

pons

ibili

ties

, w

hich

is s

tate

d in

th

eir

job

desc

ript

ion.

Th

ey a

re e

ncou

rage

d to

mak

e su

gges

tion

s th

at w

ill im

prov

e O

SH

pe

rfor

man

ce.

Wor

kers

rec

eive

fee

dbac

k on

OS

H p

erfo

rman

ce,

but

no f

orm

al a

war

d or

re

cogn

itio

n pr

oces

s ex

ists

.

Wor

kers

tak

e ow

ners

hip

of O

SH

pro

gram

mes

; th

ey

appl

y th

em d

ilige

ntly

, an

d ta

ke p

ride

in p

rom

otin

g th

em.

OS

H p

erfo

rman

ce is

su

bjec

t to

a r

igor

ous

appr

aisa

l pro

cess

by

supe

rvis

ors

and

man

ager

s.

A r

ewar

d an

d re

cogn

itio

n pr

oces

s is

in p

lace

.

3

HW

orke

rs h

ave

rece

ived

ve

ry li

ttle

info

rmat

ion

or

trai

ning

on

OS

H is

sues

.Th

ey a

re u

nabl

e to

sta

te

the

maj

or h

azar

ds in

the

ir

wor

k en

viro

nmen

t, o

r th

e m

easu

res

to b

e ta

ken

to

min

imiz

e ri

sks.

Wor

kers

rec

eive

d ba

sic

OS

H in

form

atio

n an

d tr

aini

ng a

t th

e ti

me

of

thei

r in

duct

ion.

They

hav

e re

ceiv

ed

no r

efre

sher

or

OS

H

com

pete

nce-

build

ing

trai

ning

, an

d ha

ve li

mit

ed

unde

rsta

ndin

g of

OS

H.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g, a

nd

som

e ad

diti

onal

tra

inin

g re

gard

ing

OS

H la

ws,

re

gula

tion

and

rul

es.

They

are

abl

e to

id

enti

fy h

azar

ds in

the

ir

wor

kpla

ce, an

d st

ate

the

risk

s th

at e

xist

and

the

m

easu

res

to b

e ta

ken

to

min

imiz

e th

ese

risk

s.

Wor

kers

hav

e re

ceiv

ed

basi

c O

SH

tra

inin

g an

d re

fres

her

trai

ning

. Th

ey

can

stat

e th

e ha

zard

s in

th

eir

wor

kpla

ce.

They

are

cap

able

of

unde

rtak

ing

task

ana

lysi

s to

iden

tify

haz

ards

, an

d ar

e ab

le t

o ev

alua

te

pote

ntia

l sol

utio

ns.

The

orga

niza

tion

has

de

velo

ped

and

use

com

pete

nce-

build

ing

tool

s w

hich

ens

ure

that

all

wor

kers

hav

e a

thor

ough

un

ders

tand

ing

of O

SH

co

ncep

ts a

nd t

he s

ite-

spec

ific

risk

s th

at t

hey

may

enc

ount

er.

Wor

kers

are

cap

able

of

und

erta

king

haz

ard

iden

tific

atio

n an

d ri

sk

asse

ssm

ent,

and

are

ab

le t

o co

nduc

t sa

fety

be

havi

our

obse

rvat

ions

.

3

OVE

rA

LL S

CO

rE

FO

r I

TEM

3.2

WO

rK

Er

PA

rTI

CIP

ATIO

N: 3

1 (

max

. sc

ore

for

this

item

is 4

0)

114 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Aud

itor

’s f

eedb

ack

Str

engt

hs

The

orga

niza

tion

mak

es e

xten

sive

eff

orts

to

enco

urag

e w

orke

r pa

rtic

ipat

ion,

wit

h cl

earl

y w

ritt

en g

oals

and

exp

ecta

tion

s.

Wor

kers

and

the

ir r

epre

sent

ativ

es a

re c

onsu

lted

, in

form

ed a

nd t

rain

ed o

n O

SH

and

the

OS

H is

sues

tha

t im

pact

on

thei

r w

ork

and

wor

kpla

ce.

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on is

ver

y po

siti

ve, an

d is

hig

hly

valu

ed b

y bo

th w

orke

rs a

nd t

he m

anag

emen

t.

Wea

knes

ses

Ther

e is

not

eno

ugh

tim

e al

loca

ted

for

safe

ty m

eeti

ngs,

whi

ch n

eed

to b

e he

ld m

ore

freq

uent

ly a

nd a

llow

tim

e to

dis

cuss

wor

kers

’ OS

H c

once

rns

and

issu

es.

OS

H p

erfo

rman

ce c

ould

be

impr

oved

if w

orke

rs w

ere

to t

ake

a hi

gher

leve

l of

owne

rshi

p of

the

OS

H p

roce

ss.

The

deve

lopm

ent

of O

SH

com

pete

nces

nee

ds t

o be

giv

en h

ighe

r pr

iori

ty a

nd b

e w

iden

ed.

Opp

ortu

niti

es

A p

osit

ive

OS

H c

ultu

re e

xist

s w

ithi

n th

e or

gani

zati

on, sh

ared

by

wor

kers

and

man

agem

ent,

and

thi

s al

low

s O

SH

impr

ovem

ent

oppo

rtun

itie

s to

be

take

n.

Ther

e ex

ists

the

opp

ortu

nity

to

get

wor

kers

to

take

gre

ater

ow

ners

hip

of t

he O

SH

pro

cess

and

pro

gram

me.

Insu

ffici

ent

atte

ntio

n is

cur

rent

ly p

lace

d on

dev

elop

ing

the

OS

H c

ompe

tenc

es o

f th

e w

orkf

orce

.

Thre

ats

Failu

re t

o de

velo

p th

e O

SH

com

pete

nces

of

the

wor

kfor

ce is

like

ly t

o be

a m

ajor

blo

ck t

o th

e co

ntin

uous

impr

ovem

ent

of O

SH

wit

hin

the

orga

niza

tion

.

Failu

re t

o al

low

suf

ficie

nt t

ime

for

regu

lar

and

nece

ssar

y O

SH

mee

ting

s m

ay r

esul

t in

a d

eter

iora

tion

of

the

OS

H c

ultu

re o

f th

e or

gani

zati

on.

Con

tinu

ous

impr

ovem

ent

of O

SH

will

not

be

poss

ible

unl

ess

atte

ntio

n is

giv

en t

o de

velo

ping

wor

kers

OS

H c

ompe

tenc

es.

115Appendices

App

endi

x 3

S

ampl

e au

dit

sum

mar

y

Sco

red

item

sTi

tle

Max

imum

pos

sibl

e sc

ore

Act

ual s

core

Traf

fic li

ght

3.1

Occ

upat

iona

l saf

ety

and

heal

th p

olic

y4

54

51

00

%

3.2

Wor

ker

part

icip

atio

n4

02

87

0%

3.3

Res

pons

ibili

ty a

nd a

ccou

ntab

ility

45

30

66

%

3.4

Com

pete

nce

and

trai

ning

4

51

53

3%

3.5

Occ

upat

iona

l saf

ety

and

heal

th m

anag

emen

t sy

stem

doc

umen

tati

on5

04

28

4%

3.6

Com

mun

icat

ion

40

20

50

%

3.7

Init

ial r

evie

w4

03

07

5%

3.8

Sys

tem

pla

nnin

g, d

evel

opm

ent

and

impl

emen

tati

on5

04

28

4%

3.9

Occ

upat

iona

l saf

ety

and

heal

th o

bjec

tive

s4

03

89

5%

3.1

0.1

Haz

ard

prev

enti

on:

Pre

vent

ion

and

cont

rol m

easu

res

30

20

66

%

3.1

0.2

Haz

ard

prev

enti

on:

Man

agem

ent

of c

hang

e3

01

55

0%

3.1

0.3

Haz

ard

prev

enti

on:

Em

erge

ncy

prev

enti

on, pr

epar

edne

ss a

nd r

espo

nse

30

23

77

%

3.1

0.4

Haz

ard

prev

enti

on:

Pro

cure

men

t2

52

08

0%

3.1

0.5

Haz

ard

prev

enti

on:

Con

trac

ting

35

16

46

%

3.1

1P

erfo

rman

ce m

onit

orin

g an

d m

easu

rem

ent

60

48

80

%

Aud

itor

’s f

eedb

ack

Str

engt

hs

The

orga

niza

tion

mak

es e

xten

sive

eff

orts

to

enco

urag

e w

orke

r pa

rtic

ipat

ion,

wit

h cl

earl

y w

ritt

en g

oals

and

exp

ecta

tion

s.

Wor

kers

and

the

ir r

epre

sent

ativ

es a

re c

onsu

lted

, in

form

ed a

nd t

rain

ed o

n O

SH

and

the

OS

H is

sues

tha

t im

pact

on

thei

r w

ork

and

wor

kpla

ce.

The

OS

H c

ultu

re w

ithi

n th

e or

gani

zati

on is

ver

y po

siti

ve, an

d is

hig

hly

valu

ed b

y bo

th w

orke

rs a

nd t

he m

anag

emen

t.

Wea

knes

ses

Ther

e is

not

eno

ugh

tim

e al

loca

ted

for

safe

ty m

eeti

ngs,

whi

ch n

eed

to b

e he

ld m

ore

freq

uent

ly a

nd a

llow

tim

e to

dis

cuss

wor

kers

’ OS

H c

once

rns

and

issu

es.

OS

H p

erfo

rman

ce c

ould

be

impr

oved

if w

orke

rs w

ere

to t

ake

a hi

gher

leve

l of

owne

rshi

p of

the

OS

H p

roce

ss.

The

deve

lopm

ent

of O

SH

com

pete

nces

nee

ds t

o be

giv

en h

ighe

r pr

iori

ty a

nd b

e w

iden

ed.

Opp

ortu

niti

es

A p

osit

ive

OS

H c

ultu

re e

xist

s w

ithi

n th

e or

gani

zati

on, sh

ared

by

wor

kers

and

man

agem

ent,

and

thi

s al

low

s O

SH

impr

ovem

ent

oppo

rtun

itie

s to

be

take

n.

Ther

e ex

ists

the

opp

ortu

nity

to

get

wor

kers

to

take

gre

ater

ow

ners

hip

of t

he O

SH

pro

cess

and

pro

gram

me.

Insu

ffici

ent

atte

ntio

n is

cur

rent

ly p

lace

d on

dev

elop

ing

the

OS

H c

ompe

tenc

es o

f th

e w

orkf

orce

.

Thre

ats

Failu

re t

o de

velo

p th

e O

SH

com

pete

nces

of

the

wor

kfor

ce is

like

ly t

o be

a m

ajor

blo

ck t

o th

e co

ntin

uous

impr

ovem

ent

of O

SH

wit

hin

the

orga

niza

tion

.

Failu

re t

o al

low

suf

ficie

nt t

ime

for

regu

lar

and

nece

ssar

y O

SH

mee

ting

s m

ay r

esul

t in

a d

eter

iora

tion

of

the

OS

H c

ultu

re o

f th

e or

gani

zati

on.

Con

tinu

ous

impr

ovem

ent

of O

SH

will

not

be

poss

ible

unl

ess

atte

ntio

n is

giv

en t

o de

velo

ping

wor

kers

OS

H c

ompe

tenc

es.

116 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Sco

red

item

sTi

tle

Max

imum

pos

sibl

e sc

ore

Act

ual s

core

Traf

fic li

ght

3.1

2In

vest

igat

ion

of w

ork-

rela

ted

inju

ries

, ill

hea

lth

dise

ase

and

inci

dent

s,

and

thei

r im

pact

on

safe

ty a

nd h

ealt

h pe

rfor

man

ce3

52

05

7%

3.1

3A

udit

50

20

40

%

3.1

4M

anag

emen

t re

view

35

20

57

%

3.1

5P

reve

ntiv

e an

d co

rrec

tive

act

ion

30

27

90

%

3.1

6C

onti

nual

impr

ovem

ent

40

34

85

%

Tota

l sco

re7

95

55

36

9%

Key

0%

to

49

%:

RE

D5

0%

to

69

%:

OR

AN

GE

70

% a

nd o

ver:

G

RE

EN

117Appendices

App

endi

x 4

P

re-a

udit

pla

nnin

g

Ass

essm

ent

item

Doc

umen

tati

on r

evie

wIn

terv

iew

s/Q

uest

ions

Obs

erva

tion

sTe

st

3.1

O

SH

pol

icy

3.2

W

orke

r pa

rtic

ipat

ion

3.3

r

espo

nsib

ility

/ ac

coun

tabi

lity

3.4

C

ompe

tenc

e an

d tr

aini

ng

118 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Ass

essm

ent

item

Doc

umen

tati

on r

evie

wIn

terv

iew

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de

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and

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3.9

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obj

ecti

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119Appendices

Ass

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ent

item

Doc

umen

tati

on r

evie

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terv

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s/Q

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ions

Obs

erva

tion

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anag

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3.1

0.3

E

mer

genc

y pr

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, pr

epar

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ss a

nd r

espo

nse

3.1

0.4

P

rocu

rem

ent

3.1

0.5

C

ontr

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120 Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems

Ass

essm

ent

item

Doc

umen

tati

on r

evie

wIn

terv

iew

s/Q

uest

ions

Obs

erva

tion

sTe

st

3.1

1

Per

form

ance

mon

itor

ing

an

d m

easu

rem

ent

3.1

2

Inve

stig

atio

n of

wor

k-re

late

d in

juri

es, ill

hea

lth,

dis

ease

s

and

inci

dent

s. I

mpa

cts

on

OS

H p

erfo

rman

ce

3.1

3

Aud

it

3.1

4

Man

agem

ent

revi

ew

3.1

5

Pre

vent

ive

an

d co

rrec

tive

act

ion

3.1

6

Con

tinu

al im

prov

emen

t

Programme on Safety and Health at Work and the Environment (SafeWork)International Labour OrganizationRoute des Morillons 4CH -1211 Geneva 22Switzerland

TeL. + 41 22 7996715Fax + 41 22 7996878

e-mail : safework @ ilo.org www.ilo.org / safework

ILO

A

udit

Mat

rix

for

the

ILO

Gui

delin

es o

n O

ccup

atio

nal S

afet

y an

d H

ealt

h M

anag

emen

t S

yste

ms,

ILO

-OS

H 2

00

1

Audit Matrix for the ILO Guidelines on Occupational Safety and Health Management Systems ( ILO-OSH 2001)

InternationalLabourOffice

Geneva

ISBN 978-92-2-127059-1

9 789221 270591