ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide Part-06

ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide Part-06

Performance Evaluation and Improvement

    • Describe the performance evaluation of occupational health and safety management systems (OHSMS
    • Be able to discuss monitoring, measurements and analysis
    • Describe the process involved in internal audits
    • Explain what is involved in management reviews
    • Define what 'continual enhancement' means
    • Summarize the 'check and act' part of the OHSMS

Monitoring, Measurement and Analysis

Performance Measurement
Performance evaluation (Clause 9) lists the requirements of assessing the performance of the OHSMS. This clause encompasses three areas of evaluation:

• Monitoring, measurement and analysis
• Internal auditing
• Management reviews

Management must develop, apply and carry out (Clause 9.1) different processes for monitoring, measurement and analysis. Management must identify the following:

• The level of compliance to laws and other requirements
• The activities and processes involved in recognizing hazards, risks and opportunities
• Improvements toward the attainment of the organization's health and safety objectives
• The impact and efficiency of operational (and other) controls

Monitoring can be based on:
 • Observation of work being done
• Assessment of documented information
• Interviews with people to discuss performance levels

Measurement is the allocation of numbers or values to performance, i.e. events and objects. It is related to performance evaluation and involves verifying equipment and actions with respect to risks and hazards.

Analysis is the study and interpretation of data to discover patterns, relationships and trends in workplace activities. It is closely associated with measuring events.

Management relates its performance in the area of occupational health and safety, according to certain criteria

For example, the performance of other companies, accepted codes, the company’s own codes, acknowledged standards, the organization’s objectives and historical OH&S statistics.

Management must assess its health and safety performance and be aware of the efficiency of its OHSMS. Management must ensure, for example, that work equipment is relevant, calibrated, verified and used appropriately.

NOTE: There can be legal and other requirements (national and international standards) concerning the use, calibration and verification of equipment.

Management must keep relevant documentation as proof of performance measurement, monitoring, analysis and to demonstrate results.
Competence and Guidelines
Clause 9.1 defines the meaning of “measuring and monitoring” and offers particular instances of what can be measured to fulfill the standard. For example: 
 • Measurement against objectives 
• Progress on continual improvement
• The monitoring of workers health and fitness
• Recorded instances of injuries and illness
• Trends

Competence is identified in Clause 9.1, as evidence that workers and management work effectively together, in terms of the recognition of hazards and risk mitigation measures.
The ISO 45001:2018standard states what must be measured and monitored to ensure OH&S legal compliance. Discontinuities must be recognized, solved and documented. Examples of other factors that must be taken into account are:

• Corporate policies and agreements
• Insurance requirements
• Company and union agreements
• Other rules regulations

Reviewing an organization’s performance in certain areas, against other organizations is referred to as 'benchmarking'. Performing this type of review with respect to OH&S offers a relatively precise picture of an organization’s performance.

However, we must bear in mind the landscape in which organizations operate. For example, financial managers may be bound by a certain financial code of conduct; electronics manufacturers may be committed to being directed by certain standards etc. 

The ISO 45001standard renders certain guidelines as key factors that can be used to quantify performance. For example, if incidents are measured by occurrence, frequency and severity, this constitutes a method of measuring performance. The measurement of the completion of a corrective action, within a certain time or at a certain rate of completion, is another form of measurement.

System Criteria and Assessment
An organization should have a systematic method for monitoring and measuring its health and safety performance on a continuous basis and this should be part of its OHSMS.

Without, hopefully, labouring the point too much, monitoring and measuring an organization's health and safety performance, should include the following:

• All relevant health and safety legislation
• Mutual relevant agreements
• Standards and codes
• Insurance requirements
• Activities and processes concerning the recognition of risks, hazards and opportunities

Criteria & Indicator:
The following is the difference between 'criteria' and 'indicators' as used in the standard:

Criteria is what organizations use to check their performance in key areas. For example they may benchmark their health and safety performance against other organizations, best practices, standards etc.

To quantify particular OH&S criteria, key performance indicators are used. For example, if a criterion is a comparison of health and safety related incidents, an organization may check: occurrence, type, impact, incidents, statistics etc. The indicators are the results of the comparisons.

A compliance assessment program covers all occupational exposure to legislation requirements. Evaluation can be influenced by elements such as historic compliance, or the time at which legislation was adopted or changed. 

A compliance assessment plan can be joined to other evaluation activities. These can form part of the management system audit, for example environmental audits or quality management system assessments.

It should be remembered that legal compliance is the minimum requirement in the standard, for evaluating the effective implementation of the OHSMS. This means the organization, at a minimum, must comply with all legal requirements. Finally, as discussed, the organization must keep documentation of the results of its compliance evaluation.

Performance Evaluation and Improvement Summary

  • Three main areas of OHSMS evaluation are: monitoring, measurement and analysis; Internal audits; management reviews.
  • Management must develop, apply and carry out different processes for the monitoring, measurement and analysis of its OHSMS.
  • Monitoring can be based on observation of work being done, the assessment of documented information (e.g. records) and the utilization of interviews - this helps to identify status, so that any deviation from performance can be recognized.
  • 'Measurement' is the allocation of numbers to the performance of events or objects. It is related with performance evaluation. It can be extracted from the utilization of verified or calibrated equipment.
  • Data analysis discovers patterns, relationships and trends in performance. It is related with the measurement of events.
  • Criteria is what the management compares its performance with, for example the performance of other companies, developed codes, acknowledged standards, the organization's own codes, the organization’s objectives and its historical health and safety record (statistics).
  • Management must ensure that monitoring and measuring equipment is calibrated, verified and used as appropriate.
  • Management must develop, apply and carry out processes for evaluating organizational health and safety compliance, with legal and other requirements.
  • An organization should have a systematic method for monitoring and measuring its occupational health and safety performance, on a recurrent basis. This should be a core component of its OHSMS.
  • An organization should employ preemptive and responsive measures to OH&S gaps and should primarily focus on proactive solutions, in order to maximize its performance.
  • The internal audit plan must be scheduled and developed according to the system's scope. The plan should be developed according to a risk assessment and take into account the results of former audits. 
  • When choosing auditors to perform audits, objectivity and the absence of bias in the process, must be assured.
  • Management should conduct internal audits at regular intervals, as part of conducting management reviews of their OH&S status and processes. 
  • The ISO 45001 OHSMS standard, mandates that the results of internal audits should be presented to all employees and interested parties.
  • Documenting the internal audit, together with the outcomes, measures and results, is a requirement and a part of the OHSMS continual improvement process.
  • The management review should not only assess data and historical trends; it should aim to improve the OH&S standards and performance in the organization. 
  • Management review of the organization's OH&S status, should be performed regularly, on a quarterly, bi-annual or annual basis.
  • Management must develop, apply and carry out processes, together with investigations, reports and measures, to identify and manage OH&S-related incidents and non-conformities.
  • An organization must take into account the following: the results from the evaluation and analysis of its OH&S performance; the assessment of its OH&S compliance; the lessons learned from internal audits and the lessons learned from management reviews. 
  • Corrective actions, continuous improvements, technological changes, innovations and re-organization can improve the organization's OH&S position.
  • Incidents that lead to health and safety risks, include: near misses, disabilities, injuries, ill health, damage to property and equipment.
  • When a nonconformity or incident occurs, the organization must respond in a timely way; they must act to manage/contain the issue, correct it and deal with the outcomes.
  • Organizations must assess the corrective actions that are required to eliminate the root causes of health and safety-related incidents and non-conformities. They must endeavour to ensure that incidents and non-conformities that occur in one part of an organization, do not occur in another part of an organization.
  • Required corrective actions should be planned and implemented with the participation of employees and interested parties.
  • The concept of the continuous improvement of an organization's OHSMS, is referenced in management systems prior to ISO 45001:2018, for example ISO 14001 and ISO 9001.


Part-06: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide


Part-05: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide

Part-04: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide

Part-03: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide

Part-02: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide

Part-01: ISO 45001:2018 - Occupational Health and Safety Management Systems: Step by step implementation guide

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ISO 45001:2018 - Occupational Health and Safety Management Systems Standard Summary

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