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Five Star Occupational Health and Safety Audit Specification August 2015

Change summary document

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Content 1.0: Introduction 1.1: Background to Five Star (FSA) Occupational Health and Safety Audit Specification 2015 2 .0: Summary of changes 2.1: Sectional changes 2.2: Safety Management Indicator(s) 2.3: Element(s) changes 2.4: Scoring and grading 1.0: Introduction This summary document has been prepared to outline the main areas of change within the British Safety Council’s Five Star Audit (FSA) Occupational Health and Safety Audit specification 2015 when compared to the previous version. The document is intended to assist those organisations who have previously undertaken the Five Star Audit in their preparation process for being audited against the FSA 2015 model. However, it is important to note that the content of this summary should not be interpreted as a definitive or exhaustive source of information when preparing for the audit itself. It is strongly recommended that the summary document is read and used in conjunction with the specification document itself, pre audit reports (if applicable) and other related sources of information.

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1.1: Background to the Five Star (FSA) Occupational Health and Safety Specification 2015 As part of the British Safety Council’s commitment to the continual improvement of our products, together with a recognition of recent developments in both legislative and safety management trends, our five star audit specification(s) are reviewed on an annual basis. The subsequent 2015 version of the Five Star Occupational Health and Safety Audit specification has been designed to complement the improved processes relating to auditor standardisation and report documentation, to ensure a quality experience for the auditee. The review of the audit specification was carried out by a technical project team of health and safety professionals. The review process monitored various internationally recognised safety management system models (including the current draft ISO 45001) together with sector and safety management trends and consultation with various professional bodies. The specification continues to adopt an examination of an organisations health and safety management arrangements in a holistic and coherent manner, recognising the need for robust leadership and continual improvement in implementing such systems. The model is reflective of a PLAN / DO / CHECK / ACT management cycle. The specification also recognises the importance of an integrated approach toward safety management and links to other management disciplines within an organisation in this respect. The Five Star Audit specification 2015 offers organisations the opportunity to progress toward a genuine best practice occupational health and safety management system(s) and the subsequent business benefits that such arrangements can produce.

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2.0: Summary of changes: This section of the document is intended to outline the specific changes between the previous Five Star Audit specification and the 2015 version. Again, it is emphasised that reference to the actual FSA 2015 specification document is essential in conjunction to this information. 2.1: Sectional changes The FSA 2015 specification model has retained the previous format in terms of sectional subject areas and headings Table 1: Plan Do Check Act

Section 1 Section 2 Section 3 Section 4 Section 5

2015 version

Policy and Organisation

Strategy and Planning

Implementation and Operation

Performance Measurement

Evaluation and Review

Previous version

Policy and Organisation

Strategy and Planning

Implementation and Operation

Performance Measurement

Evaluation and Review

The 2015 specification sectional headings, and related content, are intended to examine how the organisation PLAN (S1 AND S2), IMPLEMENT (S3), MEASURE (S4) AND REVIEW (S5) the component parts of their safety management systems. It is reflective of a recognisable PLAN / DO / CHECK / ACT management model. The auditor will examine a specific occupational health and safety issue and review how well the organisation can demonstrate an integrated approach to this subject area across the cycle and five sections. Example: Table 2: Plan Do Check Act

Subject Area S1: Policy and Organisation (750 points) Example of typical information required

S2: Strategy and Planning (1,125 points) Example of typical information required

S3: Implementation and Operation (1,500 points) Example of typical information required

S4: Performance Measurement (1,125 points) Example of typical information required

S5: Evaluation and Review (500 points) Example of typical information required

Consultation, Communication and Participation (1.6)(2.6) SMI Indicators

Policy/process for consulting and communicating with staff and other stakeholders

Employee/stakeholder involvement in objective setting Schedule for OH&S committee meetings Terms of reference for OH&S forums Training schedules

Effective communication of OH&S controls (verified through sampling, interview and review) OH&S committee meeting (other such forums) minutes Communication with and involvement of other stakeholders (e.g. contractors) Training records

Evaluation of training OH&S committee (and other such forums) meeting minutes – close out of actions Audit records Evidence of monitoring OH&S objectives

Relevant stakeholder involvement in review process Communication of top management review Corporate reports Internal reports Audit reports

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The subject area under examination may well have specific elements assigned to it (as per example in table 2: 1.6 / 2.6) within a section, but may well also have links to many other elements within other sections (as per example in table 2: 3.2-3.23, 4.3, 4.5, 4.7, 4.10, 5.1, 5.3, 5.5). The auditor will examine the holistic approach (effective flow process) to the subject area and determine how well this has been applied across the management cycle. 2.2: Safety Management Indicators The effective implementation and progression of mature health and safety management systems (and associated arrangements) toward overall business efficiency cannot be overstated. It is recognised that there are a number of factors involved for any organisation in reaching this status, but it is considered that two essential indicators are primary management tools in respect of this:

Leadership and Commitment at all levels throughout the organisation

Continual Improvement of systems and arrangements In order to reflect the significance of these two indicators, the FSA specification 2015 includes a quantifiable (scored) measurement of an organisation’s performance within these areas. They may be specific elements within a section (e.g. 2.05) or may be linked to many other elements throughout the audit process (e.g. 1.01, 1.02, 1.09, 2.01 etc.). Organisations that can demonstrate robust and committed leadership, together with evidence of continual improvement across the system, will be rewarded with additional scoring which may enhance their overall audit star rating outcome. The subsequent audit report document includes a summary of performance within these two areas and also recommendations for improvement wherever appropriate. An explanation of how the scoring is implemented is provided later within this document and also within the FSA 2015 Specification document.

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Example of SMI factors: Table 3:

SMI Section 1 Example of typical information required

Section 2 Example of typical information required

Section 3 Example of typical information required

Section 4 Example of typical information required

Section 5 Example of typical information required

Leadership Policy endorsed by senior management Explicit commitment to provide adequate resources Clearly defined management roles and responsibilities

Development of OH&S objectives and plans Consideration of OH&S issues within other plans / projects Training analysis and programme

Provision of effective supervision Risk assessment completion and implementation Inspections and audits by management

Audit/ inspection monitoring Management reports Statutory compliance reviews

Top management reviews Corporate reporting Policy review Review of objectives and setting of targets

Continual Improvement

Explicit commitment within policy statement Explicit commitment to prevention of injury and ill health

Objective setting at corporate, functional and individual levels Training and CPD programmes OH&S plans and programmes

Risk assessment implementation Provision of equipment and controls Implementation of training

Staff surveys Objective / KPI monitoring Inspection and audit records

Top management OHSMS review Appraisals Project / Plan reviews

2.3: Element changes: The number of elements within the FSA specification 2015 has decreased slightly to (65) and there are several elements which are duplicated within more than one section (eg Consultation and Communication 1.6 / 2.6). This is in keeping with the holistic approach to the audit process as an element may well be considered pertinent to more than one section in its own right. The amended elements from the previous specification are detailed below. It should be noted that those elements which have been retained from the previous specification have been subject to revision and have, in many cases, been updated from a content perspective.

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Table 4: Amended (and new) Elements (refer to specification document for examples of typical information required during the audit process)

2015 specification element title

Element reference

Previous specification element title

Previous element reference

Comment (rationale for amendment)

Section 1 Policy and Organisation

Scope, nature and scale of OHSMS

1.01

SMS scope, nature and scale (control arrangements)

1.02 Considered the initial point of reference for development of OHSMS

OH&S policy statement

1.02

Safety policy statement 1.01

Roles, responsibilities, accountabilities and authorities

1.03

Roles and responsibilities

1.04 Expanded to include defined levels of authority and routes of accountability

Competence and capability

1.04

No change 1.07 Considered to be coherently linked to 1.03

Leadership and commitment

1.05 No change 1.03

Consultation, communication and participation

1.06 Consultation and communication

1.06 Participation of relevant stakeholders at all levels considered essential component of policy and organisation section

Information and data management

1.07 Document management 1.05 Changed to reflect common use of IT based OHSMS platforms. Retains management of document control

Section 2 Strategy and Planning

Gap analysis (including benchmarking)

2.01 Benchmarking and initial review

2.03 Considered to be the initial point of reference for setting strategic OH&S targets and plans

Occupational health and safety objectives

2.02 No change 2.01 Considered to be coherently linked to 2.01

Occupational health and safety planning

2.03 No change 2.02 Considered to be coherently linked to 2.02

Leadership and Commitment

2.05 No change 2.07 Alignment with element reference within section 1

Consultation, communication and participation

2.06 Consultation and communication

2.06 Planning for participation of relevant stakeholders at all levels considered essential component

Risk management and control

2.07 No change 2.08 Considered to be coherently linked to 2.06 in planning strategy

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2015 specification element title

Element reference

Previous specification element title

Previous element reference

Comment (rationale for amendment)

Section 2 Strategy and Planning (cont.)

Risk profiling (organisational and operational)

2.08 Risk profiling 2.09 Considered to be coherently linked to 2.07. Defined profiling in organisational and operational activity considered best practice technique

Change management 2.09 No change 2.10 Alignment with element reference within section 1

Competence and capability

2.10 No change 2.14 Coherent link in strategic planning

Legislative (and other) compliance

2.11 Legislative compliance No change Added compliance with other standards (if relevant)

Emergency incident and post event recovery planning

2.12 Emergency incident planning

No change Added post event recovery planning for clarity of expectation

Procurement, outsourcing and contractor appointment

2.13 Procurement and design (including contractor approval)

No change Added strategy and planning for outsourcing to reflect trends in outsourcing certain services (e.g. facility management)

Occupational health and wellbeing

2.14 No change 2.05

Sustainable health and safety culture

2.15 Sustainable health and safety attitudes and behaviour

No change Changed to emphasise focus upon safety culture (positive and negative indicators) during audit process

Section 3 Implementation and Operation

Occupational health and safety management system controls

3.02 SMS controls (general) No change Changed to include generic and specific OHSMS controls

Safe operating procedures (safe systems of work)

3.03 Safe working/operating procedures

3.19 Coherent link to 3.02 and term SSW considered more appropriate

Work equipment 3.04 No change 3.03

Workstation ergonomics

3.06 Workstation (DSE) ergonomics

No change DSE dropped to emphasise definition of workstation not confined to DSE activity / operations

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2015 specification element title

Element reference

Previous specification element title

Previous element reference

Comment (rationale for amendment)

Section 3 Implementation and Operation (cont.)

Traffic and transport management

3.08 Traffic management No change Element requires demonstration of consideration and management of all transport related activity

Permit (and authorisation) to work systems

3.09 Permit to work systems 3.10 Added authorisation to work to this element to ensure all such systems are clearly included and differentiated from PTW (if appropriate). Element now includes safe isolation processes

Working at Height 3.11 No change 3.11

Lifting equipment 3.12 No change 3.13

Pressure systems 3.13 No change 3.14

Control of hazardous substances (including biological agents)

3.14 Hazardous substances 3.15 More emphasis on control aspect and definitive inclusion of biological hazards

Management and control of asbestos

3.15 New element Considered warranted as generic legislative requirement leading to best practice management factors

Management and control of noise

3.17 Management of noise 3.17 Added emphasis on control factors

Management and control of vibration

3.18 Management of vibration

3.18 Added emphasis on control factors

Personal protective equipment (PPE)

3.19 No change 3.04 Moved to reflect hierarchal control principles in relation to PPE (last resort)

Sustainable health and safety culture

3.21 Sustainable health and safety attitudes and behaviours

No change Changed to emphasise focus upon safety culture (positive and negative indicators) during audit process

Emergency incident and post event recovery management

3.22 Emergency incident management

No change Added post event recovery management for clarity of expectation

Section 4 Performance measurement

Considered to be the initial focal point for OH&S performance monitoring

4.01 Occupational health and safety objectives (monitoring)

4.02

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2015 specification element title

Element reference

Previous specification element title

Previous element reference

Comment (rationale for amendment)

Section 4 Performance measurement (cont.)

Monitoring of Occupational health and safety objectives

4.02 Occupational health and safety objectives (monitoring)

4.01 Coherent link to 4.01

Proactive measurement (leading indicators)

4.03 Active measurement No change Emphasis on proactive nature of organisational measurement systems. Outcomes providing leading indicators of OHSMS performance

Monitoring of legislative (and other) compliance

4.06 Legal and other requirements compliance monitoring

No change

Monitoring of contractors, suppliers and outsourcing

4.08 Contractor and supplier monitoring

No change Added monitoring of outsourcing performance to reflect trends in outsourcing certain services (eg facility management)

Review of information and data management

4.09 Documentation management

No change Changed to reflect common use of IT based OHSMS platforms. Retains performance monitoring of document control

Reactive measurement (lagging indicators)

4.10 Reactive measurement No change Emphasis on proactive nature of organisational measurement systems. Outcomes providing lagging indicators of OHSMS performance

Section 5 Evaluation and Review

Senior (top) management review

5.01 Management review and reporting

No change Emphasis on top management review of OHSMS performance

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2.4: Scoring and grading The quantifiable scoring systems and grading criteria from the previous model have been retained. Thus, the five sections of the audit are divided into sixty five (65) elements which attract a maximum numerical value of 5000 points. Wherever an element of the audit is not applicable to the organisation, it is subsequently withdrawn from the audit. Scores are expressed as a percentage of the total available mark for each element, section and the audit as a whole. The total available mark is that which is applicable to the organisation and will discount areas of the audit that are agreed not applicable. Throughout the audit, two safety management indicators (SMIs; sub-sections of leadership and continual improvement) are evaluated either as elements within their own right in certain sections, or alternatively as scoring areas within other elements. The cumulative scoring for these two sub-sections are then converted into a percentage figure which can provide an additional 0.5% - 2% to the overall audit grading when measured against the threshold criteria shown below. SMI 1 and 2 cumulative scoring:

85% - 88% Add an additional 0.5% to overall grade 89% - 92% Add an additional 1.0% to overall grade 93% - 96% Add an additional 1.5% to overall grade 97% - 100% Add an additional 2.0% to overall grade

This aspect of the audit process is designed to encourage organisations to focus upon continually developing their safety management systems and culture through demonstration of commitment and robust leadership at all levels. Grading system:

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This document will be included within the specification review process and is intended as a supportive guide to be read in conjunction with the Five Star Occupational Health and Safety Audit Specification document 2015. Find out more about our audit products at www.britsafe.org/audit