Five Star Occupational Health and Safety Audit Specification 2017 PDF

Five Star Occupational Health and Safety Audit Specification August 2017 Membership · Training · Qualifications · Audit and Consultancy · Policy and Opinion · Awards  Contents Page...

Five Star Occupational Health and Safety Audit Specification August 2017 Membership · Training · Qualifications · Audit and Consultancy · Policy and Opinion · Awards  Contents Page 1 Introduction to the Five Star Audit model 1 2 Five Star Audit process 2 3 Scoring and grading system 3 4 Audit report and action planning 4 5 Preparing for the audit 5 6 Standardisation and quality assurance 5 7 Specification details 6 8 Specification guidance 8 © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 D 1. Introduction to the Five Star Audit model This document is intended to provide a summary of the British Safety Council Five Star Audit process, together with details of the audit specification. The Five Star Audit process involves an in-depth examination of an organisation’s entire health and safety management system(s) and associated arrangements. The audit focuses on the key aspects of managing occupational health and safety in the workplace and offers a structured path for continual improvement towards best practice status. Utilising extensive worldwide industry experience and acknowledging aspects of internationally recognised occupational health and safety management systems and standards, the British Safety Council has developed a unique Five Star Audit model that objectively evaluates occupational health and safety systems and arrangements against current best practice techniques. The audit model is reflective of the recognised PLAN – DO – CHECK – ACT management cycle. Five Star Occupational Health and Safety Audit: 2017 specification Pl an Organisational commitment and structure Senior (top) Act Management Strategic review and Five Best planning continual improvement Practice Indicators Performance Implementation evaluation and operation Ch e ck Do Five Best Practice Indicators: Leadership Stakeholder participation Risk management Organisational health and safety culture Continual improvement © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 1  2. Five Star Audit process The Five Star Audit is carried out using the following process of objective verification: The auditor will review all aspects of the organisation’s health and safety systems and supportive arrangements against the requirements of the British Safety Council’s Five Star Audit specification. The auditor will also assess the effectiveness of implementation of these arrangements through an inspection of relevant (agreed) site(s) and sampling of operational activities. During the audit process, management, staff and other stakeholders will be interviewed (as agreed) to confidentially discuss aspects of occupational health and safety relevant to their roles and responsibilities. A subsequent report is produced identifying the strengths and areas for improvement within the organisation’s health and safety management systems. The report also includes observations and recommendations, together with action planning, for consideration. Five Star Audit 2017: Audit delivery process steps Review of health and safety management documentation Interview with management, staff and other stakeholders Site tour, inspection and operational sampling © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 2 3. Scoring and grading system The Five Star Audit process outcome is determined by application of the British Safety Council’s quantified system of evaluation (see below). The overall audit grading is as follows: Marks % Star rating 92 – 100: Excellent (best practice verified in most elements) 85 – 91.9: Very good (best practice verified in many elements) 75 – 84.9: Good (best practice verified in some elements) 60 – 74.9: Adequate (significant improvements required to achieve best practice) 50 – 59.9: Less than adequate (extensive improvements required to achieve best practice) The Five Star Audit process focuses on five sections (59 elements) and five best practice indicators (BPI) as shown below: Section Audit criteria Maximum accredited audit figure 1. Organisational commitment 750 points and structure 2. Strategic planning 1,125 points 3. Implementation and operation 1,500 points 4. Performance evaluation 1,125 points 5. Senior (top) Management review 500 points and continual improvement Total: 5,000 points BPI 1: Leadership BPI 2: Stakeholder participation BPI 3: Risk management BPI 4: Organisational health and safety culture BPI 5: Continual improvement The five sections of the audit are divided into 59 elements which attract a maximum numerical value of 5,000 points. Several of these elements are considered as essential components within a best practice safety management system, reflected by their inclusion within more than one section of the audit model. Wherever an element of the audit is not applicable to the organisation, it is excluded from the audit. Individual element findings and outcomes are detailed within the subsequent audit report. Throughout the audit, five best practice indicators are evaluated either as elements in their own right, or alternatively as scoring areas within other elements. The overall scoring for each of these indicators is illustrated separately within the report’s executive summary against an indicative level of best practice. This aspect of the audit process is designed to encourage organisations to focus upon continually developing their health and safety management systems and culture. © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 3 4. Audit report and action planning Upon completion of the audit process, a comprehensive report is prepared by the auditor and will be issued within 28 days. The report content will include: Executive summary (including graphical performance indicators) Overall star grading and sectional scoring Observations Recommendations for improvement Action planning tables. The recommendations against the requirements of the Five Star Audit specification are presented in tabulated colour coded format as per the key below: Grading system Colour code Priority Definition High: Recommendations to be Less than 60% awarded implemented as a high in this element priority action Medium: Recommendations to be Between 60% and 99.9% implemented as a medium awarded in this element priority action Low: Monitor existing 100% awarded in this arrangements in this area element to maintain best practice Not applicable The requirements of this element are not applicable The green coded area indicates full marks have been awarded in respect of the Five Star Audit scoring criteria. The organisation should continue to monitor these elements in order to maintain best practice. The amber coded area indicates were some marks have been deducted. The red coded area indicates were significant marks have been deducted in respect of the Five Star Audit scoring criteria. Wherever marks have been deducted, a recommendation will be provided that, if followed and effectively implemented, will assist the organisation in working toward best practice standards. The action planning tables are also designed to allow the organisation to plan for implementation of the recommendations by self populating the relevant columns as appropriate. If any elements of the audit specification are not applicable to the audited organisation then these will be left blank within the relevant table and indicated as N/A. As with any time-bound audit, observations and recommendations made are based upon the agreed scope and depth of information made available during the audit process. © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 4 5. Preparing for the audit In order for the audit process to be as effective as possible, it is considered important that pre-audit preparations are agreed and completed. Once all logistical arrangements have been confirmed with the relevant British Safety Council account manager, the allocated auditor will make contact with the appropriate person within the organisation no later than 10 days before the audit start date to discuss and agree the audit details (timings, interviews, site inspections, induction process, security / PPE arrangements, etc) This specification document (see section 8) outlines the various forms of information and documentation that the auditor is likely to request for review, together with personnel who may be requested for interview. It would be advantageous if documentation is readily available (either electronically or in hard copy) for the auditor. Some of this material may be retained by the auditor during the audit process (with explicit consent of the auditee). All British Safety Council auditors are mindful of operational demands and requirements and will apply as much flexibility with the audit schedule as is reasonably practicable to accommodate such matters. 6. Standardisation and quality assurance British Safety Council auditors are appropriately qualified, highly experienced health and safety professionals who are subject to a robust internal quality assurance and appraisal process, in addition to the requirements of relevant professional bodies with whom they are members. All audit reports are technically verified and quality endorsed before being issued to clients. Auditors are also subject to “on-site” monitoring (subject to client agreement) on a sampling basis. Mandatory auditor standardisation meetings also take place on a regular basis. This specification document is reviewed at least annually to reflect changes in legislation and relevant developments and trends in occupational health and safety management best practice technique. © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 5 7. Specification details Element headings Plan Do Check Act Section 1 Section 2 Section 3 Section 4 Section 5 Organisational Commitment Strategic planning Implementation Performance evaluation Senior (top) Management and structure (1,125 points) and operation (1,125 points) review and continual (750 points) (1,500 points) improvement (500 points) 1.01 S  cope, nature and scale 2.01 Status assessment 3.01 Identification of 4.01 Monitoring of 5.01 Senior (top) of occupational health (including hazards, opportunities occupational health management review and safety management benchmarking) and assessment of risk and safety objectives process system 1.02 O  ccupational health and 2.02 Occupational health 3.02 Safe operating 4.02 Monitoring of 5.02 R  eview of effectiveness safety policy statement and safety objectives procedures (safe occupational of leadership, systems of work) health and safety resources and support programmes and plan(s) 1.03 S  tructure (roles, 2.03 Occupational 3.03 Management and Proactive measurement 5.03 Continual improvement responsibilities, health and safety Control of Work (evaluation and accountabilities and programmes and equipment 4.03 Auditing (internal and planning) authorities) planning external) 1.04 C  ompetence and 2.04 Competence and 3.04 Manual handling 4.04 Monitoring systems 5.04 Corporate social capabilities capability (planning) (including inspection, responsibility risk assessment review, sampling, surveys) 1.05 L  eadership and 2.05 Strategic leadership 3.05 Management and 4.05 Evaluation of legislative commitment control of workstation (and other) compliance ergonomics (including DSE) 1.06 S  takeholder consultation 2.06 Provision of resources 3.06 Workplace welfare 4.06 Health surveillance and participation and support (Housekeeping, monitoring storage, welfare facilities, etc) 1.07 Information and 2.07 Risk management, 3.07 Management of 4.07 Monitoring of communication risk profiling and occupational road risk contractors, suppliers management operational control (including traffic and and outsourced transport management) function(s) 1.08 Organisational 2.08 Occupational health 3.08 Permit to work and 4.08 Evaluation of commitment toward and wellbeing safe isolation systems effectiveness of health and wellbeing (planning) information and communication management 1.09 C  hange management 2.09 Emergency incident 3.09 Working at height Reactive measurement and post-event recovery planning 4.09 Accident, incident, near miss report and investigation monitoring 1.10 L  egislative (and other) 2.10 Procurement, 3.10 Lifting equipment 4.10 Ill health and compliance outsourcing and absenteeism contractor approval monitoring 2.11 Planning for a positive 3.11 Pressure systems 4.11 Loss/damage analysis health and safety culture 3.12 Control of hazardous 4.12 Non-conformance substances (including monitoring and biological agents) evaluation © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 6 7. Specification details cont. Element headings Plan Do Check Act Section 1 Section 2 Section 3 Section 4 Section 5 Organisational Commitment Strategic planning Implementation Performance evaluation Senior (top) Management and structure (1,125 points) and operation (1,125 points) review and continual (750 points) (1,500 points) improvement (500 points) 3.13 Management and control of asbestos 3.14 Management and control of electrical hazards 3.15 Management and control of noise 3.16 Management and control of vibration 3.17 Personal protective equipment 3.18 Competence and capability (implementation) 3.19 Management and control of psycho- social hazards 3.20 Implementing a positive health and safety culture 3.21 Implementing emergency incident and post-event recovery controls 3.22 Fire safety management (protective and preventive controls) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 7 8. Specification guidance Five Star Audit 2016: Specification details (Please note: This table contains typical information likely to be reviewed during the audit process but is not a definitive index) Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Organisational Explicit commitment Policy statement Policy statement Review of training Evidence that top Commitment within the policy consistent with readily available to, records (senior) management and occupational statement to: subsequent OH&S and understood by, all carry out a formal Interviews with senior health and safety objectives and levels of management, review of OHSMS Legislative (and management management system planning staff and other performance other) compliance; stakeholders (verified Accident/incident/near continual improvement; Description of how Evidence of policy through interview) miss/non-conformance periodic review, OHSMS elements statement reviewed analysis prevention of injury & interlink with Training and induction Evidence of strategy ill health; provision of each other records Corporate and other planning reflective of adequate resources; management reports Evidence of OHSMS Effective top management review management of risk; planning aligned implementation of Minutes from outcomes consultation with with overall business OHSMS through management and other stakeholders Interview with top strategy and processes observation and relevant meetings senior management Policy readily available interviews Evidence of OHSMS Inspection and audit and provides the Corporate health and status assessment Effective reports framework for safety reporting implementation of occupational health Evidence of internal Evidence of risk risk assessment and Primary related and safety (OH&S) and/or external assessment review controls (sampling) elements objective setting and OHSMS performance is consistent with OH&S objectives and All elements in this benchmarking Primary related corporate values programme monitoring section elements OHSMS programme/ (3.01)(3.02) Evaluation of Endorsed by top plan remainder of legislative compliance management Evidence of strategic applicable section 3 OHSMS is defined leadership and elements Primary related and suitably scoped provision of suitable elements including consideration resources and support (4.01)(4.02)(4.03) of the full context of (4.04)(4.05) (4.09) the organisation’s Primary related (4.10)(4.12) activities elements (1.06)(2.01)(2.03) Operational procedures (2.05)(2.06)(2.07) and arrangements are (2.11) clearly stipulated within OHSMS Stakeholder awareness of policy and OHSMS content (verified through interview) Primary related elements (1.01)(1.02)(1.10) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 8 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Structure Defined roles and Defined roles and Evidence of effective Evaluation of training Regular CPD/appraisal (Roles and responsibilities within responsibilities within supervision and role records reviews responsibilities, OHSMS OHSMS competency Confirmation Role development plans authorities and Defined organisational OH&S objectives Training records of awareness, accountabilities) Improvement planning structure (organisational and understanding and CPD programmes individual) development of job Records of management Leadership and Appointed top Employee roles through interview review commitment level management Appraisal planning understanding and and appraisal records responsible for OH&S Corporate reports Role development awareness (verified Accident/incident Policy statement through interview and Primary related Responsible actions statistics, ill health, endorsement by top inspection) elements allocated within OH&S non conformance level management All elements in this planning Appraisal records monitoring and analysis section Demonstrable Demonstrable Suitable levels of commitment (verified involvement in OHSMS supervision and Review of OH&S through interview) at status assessment resource objectives and plans all levels process Evidence of effective Demonstrable Ownership of Demonstrable management of evidence of relevant health and support for lines of operational risk management safety issues by top responsibility (including psycho- involvement (minutes management social) of meetings, Evidence of stakeholder investigations, site Primary related engagement (minutes Evidence of inspections, risk elements of meetings, training, participation in health assessment, etc) (1.01)(1.02)(1.03)(1.05) etc) and safety of non- in the evaluation (1.06)(1.08)(1.10) managerial roles of effectiveness of Evidence of managing change Primary related proactive and reactive elements measures Demonstrable All applicable Primary related involvement in elements in this elements promoting positive section All elements in this health and safety culture section Primary related elements (1.06)(2.01-2.08)(2.11) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 9 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Information and Policy/process for OH&S planning Current information Internal/external Top management review communication information control documentation and documentation inspection and audit process factor management and communication and information readily available outcomes Stakeholder management consistent with policy Policy requirements Evidence of effective involvement in continual requirements Clear link to quality verified document control improvement management systems Training schedules Effective Evidence of effective Corporate reports (if referenced) OH&S objectives/ understanding monitoring of change Records of management Evidence of effective programmes/plans and awareness of management process review communication of risk assessment, Primary related Evidence of effective policy statement and operational controls Primary related elements monitoring of content of OHSMS and procedures elements (2.02)(2.03)(2.04) internal and external (verified through (5.01)(5.04) Primary related (2.06)(2.07)(2.09) communication interview and elements (2.11) observation) Primary related (1.01)(1.02)(1.03) elements (1.04)(1.05)(1.06) Primary related (4.01)(4.02)(4.08) (1.07) elements (3.02)(3.20)(3.21) (3.22) Stakeholder Policy/process for Evidence of Evidence of Evaluation of training Evidence of stakeholder consultation and consultation with stakeholder stakeholder Involvement in Evidence of completed participation stakeholders (internal involvement in OH&S involvement in management review actions arising from and external) objective setting, development of OH&S process OH&S committee planning and risk risk management Policy/process meetings (and other Communication of top management process and controls (verified for stakeholder such forums) management review through sampling, participation in Schedule for OH&S interview and review) Evidence of completed Corporate reporting policy and OHSMS committee meetings actions arising from development Risk assessments Internal reporting Terms of reference for leading and lagging Organisational stakeholder forums Training records performance indicators Audit reports structure (inspections, audits, Training schedule Evidence of OH&S Primary related accident investigation Defined roles and committee meetings elements Primary related etc) responsibilities (and other such (5.01)(5.03)(5.04) elements forums) Evidence of monitoring Consultation and (2.02)(2.03)(2.04) of objectives participation in change (2.06)(2.07)(2.08) Site induction records management (2.11) Primary related Permit to work records elements Primary related Primary related All elements in this elements elements section (1.01)(1.02)(1.03)(1.05) All elements in this (1.06)(1.09) section © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 10 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Competence and Policy/process for Training needs analysis Training records Accident/incident Top management review capability ensuring competency analysis and Plan/programme for Evidence of trainer Appraisal records requirements investigation reports ensuring competency competency Effective continual Defined roles and Audit findings CPD/appraisal planning Training evaluation improvement process responsibilities Risk assessment Mentoring/coaching Role competency Review of statutory Organisational reviews plan records training requirements structure Statutory training Primary related Effectiveness Primary related Primary related compliance elements of operational elements elements (2.02)(2.03)(2.04) controls (verification CPD maintenance (5.01)(5.02)(5.04) (1.01)(1.02)(1.04)(1.05) (2.05)(2.06)(2.07) through interview, (1.06)(1.10) Appraisal records (2.09) observations) Review of training Risk assessment records and schedules sampling Primary related Permit to work records elements Evacuation drill All elements in this records section Primary related elements All elements in this section Occupational health Policy/process for OH plan/schedule Evidence of first aid Accident/ill health/ OH plan review and wellbeing OH and wellbeing provision (including absenteeism statistics Lifestyle/wellbeing Review and setting of (including psycho- equipment and promotion plan/ Risk assessment OH&S objectives social hazards) personnel) schedule reviews Corporate reporting Defined roles and Training records Health surveillance Stakeholder perception responsibilities Primary related schedules Health surveillance and awareness elements Demonstrable records (interviews) Training plan (5.01)(5.02)(5.04) commitment (verified Evidence of lifestyle First aid records through interview) at OH and wellbeing and wellbeing all levels objectives Stakeholder surveys promotion Ownership of Primary related Health surveillance Return to work relevant health and elements records interviews safety issues by top (2.02)(2.03)(2.05) management Primary related (2.08)(2.11) Support mechanisms elements Primary related Risk assessments (4.01)(4.02)(4.04) elements (4.06)(4.09)(4.10) (1.01)(1.02)(1.04)(1.05) Primary related (1.06)(1.08)(1.10) elements (3.01)(3.02)(3.05) (3.06)(3.07)(3.12) (3.13)(3.15)(3.16) (3.19)(3.20) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 11 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Change management Policy/process for Examples of Effective risk control Effective monitoring of Review of change management of planning for change implementation audit outcomes management policy/ change (organisational, and (observation and process Inspection records operational) interview) Defined roles and Continual improvement Project meeting responsibilities Design and project Training records planning minutes plans Evidence of OH&S committee Change management Safety surveys consultation with Evidence of meeting minutes project review and participation of stakeholder Risk assessment Risk assessment Top management review stakeholders with consultation in reviews (change management) process change management planning for change sampling Effective process Corporate reporting Evidence of risk understanding and Inspection and audit Primary related assessment for change awareness of amended Primary related outcomes elements management risk assessment, elements (1.01)(1.03)(1.04) Primary related operational controls (5.01)(5.03)(5.04) Primary related (1.06)(1.07)(1.09) elements and procedures elements (1.10) (3.01)(3.02)(3.03) (verified through (2.03)(2.04)(2.05) (3.18)(3.19)(3.20) interview and (2.06)(2.07)(2.09) (3.21) observation) (2.10) Primary related elements (4.02)(4.03)(4.04) (4.05)(4.07)(4.08) (4.12) Occupational health Reference to OH&S OH&S objectives set Awareness of OH&S Evidence of monitoring Top management review and safety objectives objectives within at organisational, objectives throughout of OH&S objectives of OH&S objectives policy statement functional and organisation (eg audits, senior Revised planning for individual levels (interview) management meeting Policy/process achievement of OH&S minutes and OH&S for setting OH&S Evidence of Evidence of objectives committee meeting objectives stakeholder consultation and minutes) Corporate reports participation during involvement of relevant Reference to setting of objectives stakeholders (eg.OH&S Management reports Management meeting objective setting committee meeting minutes within stakeholder Planning for provision Appraisal records minutes, appraisal involvement process of resources required Primary related records) Audit outcomes to achieve objectives elements Primary related Sampling of Primary related All elements within elements OH&S plans reflective progression of OH&S elements section (1.01)(1.02)(1.05)(1.06) of targets objectives (4.01)(4.02)(4.03) Appraisal process Risk profiles Primary related (organisational and elements operational) (2.02)(2.03)(2.04) Primary related (2.05)(2.06)(2.09) elements (2.11) (3.01)(3.19)(3.20) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 12 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Occupational health Commitment to OH&S Documented OH&S Sampling of OH&S Audit outcomes Top management review and safety planning planning within policy plan plan (inspection and Minutes from Continual improvement statement interview) Link to other management and Evaluation of Policy/process for operational plans Risk assessments OH&S committee compliance records OH&S planning and (sampling) meetings (or other Audit planning review such forums) External accreditation Maintenance records Training schedules Defined roles and Accident/ill health Financial and project Statutory inspections responsibilities Evidence of OH&S analysis reviews etc considerations within Evidence of Management reports Management reports financial planning Effective participation of implementation of OH&S objective Corporate reports stakeholders in Documented OH&S OH&S plan/control monitoring OHSMS development budget Primary related arrangements Risk assessment elements Primary related Project planning (inspection, and reviews All elements within elements interview) (1.01)(1.02)(1.03) Business recovery section Evaluation of plans PTW documentation (1.05)(1.06) compliance records Evidence of stakeholder Evidence of resource Audit and inspection involvement in OH&S provision records planning Training records Primary related Primary related Primary related elements elements elements (4.01)(4.02)(4.03) (2.01)(2.03)(2.04) (3.01)(3.02)(3.19) (4.04)(4.05)(4.06) (2.05)(2.06)(2.07) (4.12) (2.08)(2.09)(2.11) Procurement, Policy/process for Strategic planning for Approved contractor/ Audit outcomes Planning and review of outsourcing outsourcing, and the outsourcing supplier index resources Contractor and contractor procurement of goods Risk profiling Interview with performance Top management review appointment and services contractors and monitoring reports Evidence of Policy/process for suppliers consultation with OH&S plan monitoring Interviews with senior approval, appointment contractors during Risk assessment and management and management of Permit to work appointment process operational control contractors/suppliers sampling Continual improvement sampling (interview Defined roles and of OHSMS Commitment to and observation) Non conformance responsibilities provision of resource reviews Primary related Permit to work process within policy Inclusion of elements sampling Management reports statement outsourcing (5.01)(5.02)(5.03) and contractor Evidence of contractor Accident/ill health Defined roles and appointment within understanding and analysis responsibilities change management awareness of OH&S Primary related plans and resource issues Primary related elements consideration process elements Primary related (4.02)(4.03)(4.04) (1.01)(1.03)(1.06)(1.10) Primary related elements (4.05)(4.07)(4.08) elements (3.01)(3.02)(3.08) (4.09) (2.03)(2.04)(2.06) (3.20) (2.07)(2.10) © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 13 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Risk management, Commitment to Planning for risk Risk assessment External accreditation External accreditation risk profiling and a process of risk profiling, hazard (sampling) and (statutory and Records of top operational control control within policy and opportunity evidence of alignment otherwise) management review statement identification, with SOPs and incident Management reports management, and reports Evidence of legislative Policy/process for control Audit and inspection updates to OHSMS risk management/ Effective records assessment & control Risk/hazard matrix/ implementation of Management meeting index/register controls (observation Non-conformance records Defined roles and and interview) monitoring responsibilities OH&S plan Primary related Training records OH&S objective elements Process for Planning for provision monitoring All elements within stakeholder of suitable resources Maintenance records section involvement in risk and support Statutory compliance Statutory examination management and records Change management records control planning Accident investigations Inspection records Primary related Training schedules Health surveillance elements Evacuation drill (1.01)(1.02)(1.03) records Business recovery records (1.04)(1.05)(1.06)(1.10) planning Primary related Permit to work records elements Primary related Primary related (4.02)(4.03)(4.04) elements elements (4.05)(4.06)(4.09) (2.03)(2.04)(2.05) All elements within (4.12) (2.06)(2.07)(2.08) section (2.09) Emergency incident Commitment to Business recovery/ Evidence of emergency Review of evacuation Records of management planning manage emergency emergency planning procedure testing (fire tests review of OHSMS events, staff welfare drills, environmental Emergency procedure Loss/damage analysis Improved emergency etc. incidents, recovery planning planning and tests, etc.) Audit and inspection Emergency arrangements Risk assessment reports management policy/ Stakeholder awareness process Evidence of legislative process (interviews) Primary related updates to OHSMS Training/competency elements Defined roles and Signage (escape routes matrix (4.02)(4.03)(4.04) Primary related responsibilities etc.) (4.05)(4.09) elements OH&S plan Competency policy/ Provision of equipment (5.01)(5.02)(5.03) process OH&S objectives (fire extinguishers, first aid etc.) Consultation with Change management and participation of planning Inspection and relevant stakeholders maintenance records in development of Primary related elements Training records arrangements (2.03)(2.04)(2.05) Risk assessment Primary related (2.06)(2.07)(2.08) sampling elements (2.09) (1.01)(1.02)(1.03) Primary related (1.04)(1.05)(1.06) elements (1.07)(1.10) (3.01)(3.02)(3.03) (3.08)(3.14)(3.17) (3.18)(3.21)(3.22 © British Safety Council 2017 Five Star Occupational Health and Safety Audit specification 2017 14 8. Specification guidance cont. Plan Do Check Act Subject area S1: Organisational S2: Strategic S3: Implementation S4: Performance S5: Senior(top) Commitment and planning and operation evaluation management review structure (750 points) (1125 points) (1500 points) (1125 points) and continual Example of typical Example of typical Example of typical Example of typical improvement information required information required information required information required (500 points) Example of typical information required Development and Commitment Training matrix/ Evidence of Staff surveys Stakeholder maintenance of a to develop and programme stakeholder OH&S objectives involvement in OHSMS positive health and continually improve CPD development and involvement, monitoring reviews safety culture Policy/process appraisal empowerment External accreditation Accident/incident for competency, and management Mentoring and analysis and reports Forward planning and consultation and commitment coaching Management reports objective setting communication (interviews and OH&S plan observation) OH&S plan monitoring Appraisal reviews Defined roles and OH&S objectives Minutes from health External accreditation Corporate reports responsibilities Specific development and safety meetings Primary related Process for Evidence of programmes Training records stakeholder elements stakeholder Terms of reference for participation in All elements within consultation and Audit reports health and safety (and performance reviews section participation Stakeholder surveys other) forums Contractor approval Evidence of top Inspection reports management Occupational health records and wellbeing plans/ Change management commitment and Review of training programmes plans ownership needs