This document outlines the key elements of a health and safety management system according to several standards and guidelines, including HSG 65, OHSAS 18001, and ILO-OSH 2001. It describes the common basis for an effective system as having four phases - planning, doing, checking, and acting. The key elements that should be included in each phase are setting policy, organizing, identifying hazards and assessing risks, implementing procedures, communication, auditing, review and continual improvement. The document provides details on the requirements and recommendations of the different standards and guidelines.

1. NEBOSH International General Certificate
Resource Pack
Ian Harries CMIOSH
© 2013 Ian Harries. All rights reserved. No part of this material may be reprinted or
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2. NEBOSH International General Certificate
in Occupational Safety and Health
IGC1.2
Health and Safety Management
Systems 1: Policy
Chapter 2

3. Unit contents
 Learning outcomes
 The key elements of a health and safety
management system

4. Learning outcomes
 Outline the key elements of a health and safety
management system
 Explain the purpose and importance of setting policy for
health and safety
 Describe the key features and appropriate content of an
effective health and safety policy.

5. Key elements of aKey elements of a
health and safetyhealth and safety
management systemmanagement system

6. Group
discussion
ILO-OSH
2001
OHSAS
18001
Key elements of all H&S
management systems
Auditing &
Improvement
HSG
65
Key elements
All recognized occupational health and safety management
systems follow the same basic and common elements:
A planning phase
A planning phase
A performance phase
A performance phase
A performance assessment phase
A performance assessment phase
A performance improvement
phase
A performance improvement
phase

7. Group
discussion
ILO-OSH
2001
OHSAS
18001
Key elements of all H&S
management systems
Auditing &
Improvement
HSG
65
Setting policy
Setting policy
Organizing
Organizing
Identification &
assessment
Identification &
assessment
Procedures
Procedures
Communication
Communication
Employee
participation
Employee
participation
Acceptance
monitoring
Acceptance
monitoring
Active
monitoring
Active
monitoring
Reactive
monitoring
Reactive
monitoring
Review
Review
Continual
improvement
Continual
improvement
Planning phase
Performance
phase
Assessment
phase
Improvement
phase
Key elements

8. Group
discussion
ILO-OSH
2001
OHSAS
18001
Key elements of all H&S
management systems
Auditing &
Improvement
HSG
65
Common basis for HSG 65, OHSAS 18001 and
ILO-OSH 2001
Plan
Plan
Do
Do
Check
Check
Act
Act
Plan:
Establish
standards for
health and safety
management
based on risk
assessment and
legal requirements
Plan:
Establish
standards for
health and safety
management
based on risk
assessment and
legal requirements
Do:
Implement plans to
achieve objectives
and standards
Do:
Implement plans to
achieve objectives
and standards
Check:
Measure progress
with plans and
compliance with
standards
Check:
Measure progress
with plans and
compliance with
standards
Act
Review against
objectives and
standards and take
appropriate action
Act
Review against
objectives and
standards and take
appropriate action
Key elements

9. Group
discussion
ILO-OSH
2001
OHSAS
18001
Auditing &
Improvement
Key elements of all H&S
management systems
HSG
65
HSG 65 is published in the UK by the Health & Safety
Executive (HSE) as a guide to successful health and safety
management.
The guide is more concerned with continual improvement
than the attainment of minimum health and safety
standards.
This framework is used by HSE Inspectors when auditing
the health and safety management arrangements of
employers.
Key elements

10. Group
discussion
ILO-OSH
2001
OHSAS
18001
Auditing &
Improvement
Key elements of all H&S
management systems
HSG
65
Policy:
Set a clear
direction, aims and
objectives for the
organization to
follow
REVIEW
REVIEW
Organize:
Put in a structure
and arrangements
to deliver the policy
effectively
Plan and
Implement:
Establish, operate
and maintain good
systems to deliver
the policy’s aims
and objectives
effectively
Measure:
Measure
performance
against agreed
standards to reveal
where improvement
is needed also
praise instances of
good working
practice,
compliance with
procedures, etc.
Audit:
Planned
assessment of
arrangements to
ensure they are
effective, suitable
and meet any legal
requirements as
well as in-house
standards
Review
Review of
performance –
actual vs. planned
taking into account
relevant
experiences and
applying lessons
learnt
POLICY
POLICY
ORGANIZE
ORGANIZE
PLAN &
IMPLEMENT
PLAN &
IMPLEMENT
MEASURE
PERFORMANCE
MEASURE
PERFORMANCE
Key elements

11. OHSAS
18001
HSG
65
Group
discussion
ILO-OSH
2001
Auditing &
Improvement
Key elements of all H&S
management systems
OHSAS 18001 is an internationally recognized accredited
standard for occupational health and safety management.
The standard is similar in structure to ILO-OSH 2001, with
the main exception that it is only awarded to organizations
following a successful audit by an awarding institution.
Key elements

12. OHSAS
18001
HSG
65
Group
discussion
ILO-OSH
2001
Auditing &
Improvement
Key elements of all H&S
management systems
MANAGEMENT
REVIEW
MANAGEMENT
REVIEW
POLICY
POLICY
PLANNING
PLANNING
IMPLEMENTATION
& OPERATION
IMPLEMENTATION
& OPERATION
CHECKING &
CORRECTIVE ACTION
CHECKING &
CORRECTIVE ACTION
Key elements
 Appropriate to the nature
and scale of organizational
risks
 Commitment to the
prevention of injury and
continual improvement
 Commitment to at least
comply with legal
requirements
 Provides a framework for
setting and reviewing
occupational standards
 Communicated
 Is reviewed periodically
 Appropriate to the nature
and scale of organizational
risks
 Commitment to the
prevention of injury and
continual improvement
 Commitment to at least
comply with legal
requirements
 Provides a framework for
setting and reviewing
occupational standards
 Communicated
 Is reviewed periodically
 On-going hazard
identification, risk assessment
and establishment of
necessary control measures.
 Results of risk assessments
considered when determining
risk control measures.
 Results documented and kept
up-to-date.
 Establish, implement and
maintain a procedure for
identifying and accessing
legal and other OH&S
requirements.
 Establish, implement and
maintain OH&S objectives
which must be measureable.
 On-going hazard
identification, risk assessment
and establishment of
necessary control measures.
 Results of risk assessments
considered when determining
risk control measures.
 Results documented and kept
up-to-date.
 Establish, implement and
maintain a procedure for
identifying and accessing
legal and other OH&S
requirements.
 Establish, implement and
maintain OH&S objectives
which must be measureable.
 Provide adequate resources
 Define roles, responsibilities
and accountabilities.
 Appoint a senior manager
with specific OH&S
responsibilities.
 Competent persons in
place.
 Effective internal
communication structures.
 Procedures for employee
consultation.
 Appropriate level of
documentation.
 Appropriate operational
controls – purchasing,
emergencies, etc.
 Provide adequate resources
 Define roles, responsibilities
and accountabilities.
 Appoint a senior manager
with specific OH&S
responsibilities.
 Competent persons in
place.
 Effective internal
communication structures.
 Procedures for employee
consultation.
 Appropriate level of
documentation.
 Appropriate operational
controls – purchasing,
emergencies, etc.
 Procedures to monitor and
measure OH&S
performance.
 Procedures for evaluating
legal etc. compliance.
 Procedures to record,
investigate and analyse
accidents.
 Procedures for dealing with
actual or potential non-
conformity including taking
corrective action.
 Records demonstrating
compliance with the
management system &
18001.
 Internal audit programme.
 Procedures to monitor and
measure OH&S
performance.
 Procedures for evaluating
legal etc. compliance.
 Procedures to record,
investigate and analyse
accidents.
 Procedures for dealing with
actual or potential non-
conformity including taking
corrective action.
 Records demonstrating
compliance with the
management system &
18001.
 Internal audit programme.
 Results of internal audits
and evaluations of
compliance
 Results of consultation
 Communications from
external parties (including
complaints)
 OH&S performance
 How well objectives have
been met
 Status of investigations and
corrective actions
 Follow up from previous
reviews
 Recommendations for
improvement
 Results of internal audits
and evaluations of
compliance
 Results of consultation
 Communications from
external parties (including
complaints)
 OH&S performance
 How well objectives have
been met
 Status of investigations and
corrective actions
 Follow up from previous
reviews
 Recommendations for
improvement

13. OHSAS
18001
HSG
65
Group
discussion
Auditing &
Improvement
Key elements of all H&S
management systems
ILO-OSH
2001
ILO-OSH 2001 is a guideline offering a recommended
occupational health and safety management framework.
There are main common elements with the UK’s HSG 65
and OHSAS 18001; the framework is not legally binding on
ILO member states and does not seek to replace national
laws, regulations or standards.
To be successful the ILO recognizes that there must be a
national policy on health and safety and occupational health
and safety management systems in place.
Key elements

14. OHSAS
18001
HSG
65
Group
discussion
Auditing &
Improvement
Key elements of all H&S
management systems
ILO-OSH
2001
POLICY
Key elements
 More emphasis on
employee participation
 Employees and safety
representatives to have
sufficient time and
resources to allow
effective participation.
 Formation of a health
and safety committee.
 Occupational health
and safety should be
compatible or
integrated with the
organization’s other
management systems
 More emphasis on
employee participation
 Employees and safety
representatives to have
sufficient time and
resources to allow
effective participation.
 Formation of a health
and safety committee.
 Occupational health
and safety should be
compatible or
integrated with the
organization’s other
management systems
ACTION FOR
IMPROVEMENT
ACTION FOR
IMPROVEMENT
 Setting of
responsibilities,
accountability,
competence, training
and communication.
 Effective supervision to
ensure protection of
workers
 Establishment of
prevention and health
promotion programmes.
 Worker access to
records, monitoring
documents, etc.
 Health and safety
training available to all
employees.
 Setting of
responsibilities,
accountability,
competence, training
and communication.
 Effective supervision to
ensure protection of
workers
 Establishment of
prevention and health
promotion programmes.
 Worker access to
records, monitoring
documents, etc.
 Health and safety
training available to all
employees.
 Development of a plan
following an initial
review of any existing
health and safety
system.
 Plan to remedy any
deficiencies.
 Support compliance
with national legislation
and require continual
improvement.
 Contain measureable
and realistic objectives.
 Hazard identification
and risk assessment.
 Establish, implement
and monitor
procedures.
 Development of a plan
following an initial
review of any existing
health and safety
system.
 Plan to remedy any
deficiencies.
 Support compliance
with national legislation
and require continual
improvement.
 Contain measureable
and realistic objectives.
 Hazard identification
and risk assessment.
 Establish, implement
and monitor
procedures.
 Emphasis on the health
and welfare of workers.
 Recommendations
concerning
investigation of work-
related accidents,
injuries, ill-health,
disease and incidents.
 Emphasis on the health
and welfare of workers.
 Recommendations
concerning
investigation of work-
related accidents,
injuries, ill-health,
disease and incidents.
 Arrangements
introduced and
maintained for any
preventative and/or
corrective actions in
relation to performance
monitoring, audits and
management reviews.
 Arrangements in place
for continued
improvement of the
management system.
 Arrangements
introduced and
maintained for any
preventative and/or
corrective actions in
relation to performance
monitoring, audits and
management reviews.
 Arrangements in place
for continued
improvement of the
management system.
 Performed by
competent and
trained personnel at
agreed intervals.
 Cover:
 Elements of the
management
system.
 Employee
participation and
consultation.
 National legislation
compliance.
 Meeting objectives.
 Performed by
competent and
trained personnel at
agreed intervals.
 Cover:
 Elements of the
management
system.
 Employee
participation and
consultation.
 National legislation
compliance.
 Meeting objectives.
POLICY
POLICY
ORGANIZING
ORGANIZING
PLANNING &
IMPLEMENTATION
PLANNING &
IMPLEMENTATION
EVALUATION
EVALUATION

15. Key elements
ILO-OSH
2001
OHSAS
18001
HSG
65
Group
discussion
Key elements of all H&S
management systems
Auditing and
Improvement
Auditing should establish how effective the following three
components of the health and safety management are in
reality:
1 Management organization and arrangements
2 Identification and implementation of risk control
measures
3 Workplace precautions and control measures.

16. ILO-OSH
2001
OHSAS
18001
HSG
65
Group
discussion
Key elements of all H&S
management systems
Key elements
Auditing and
Improvement
To be effective improvement does not need to be expensive
or complex but can benefit organization:
 By decreasing the rate of injuries, ill health and damage
 By a possible reduction in the resources required to
maintain the system
 By accepting high standards and improvement in the
health and safety culture
 With overall improvements in the management system
itself.

17. Auditing &
Improvement
ILO-OSH
2001
OHSAS
18001
HSG
65
Key elements of all H&S
management systems
Group
discussion
1 What are the main elements of an occupational health
and safety management system?
Key elements

18. Key features andKey features and
content of a healthcontent of a health
and safety policyand safety policy

19. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
Key features and content
ILO-OSH 2001 identifies that the employer, in consultation
with the workforce and their representatives, should set out
in writing a health and safety policy:
 Specific to the organization and appropriate to its size
and activities
 Concise, clearly written, dated and made effective by
the signature of the most senior accountable person
 Communicated and readily accessible to all persons at
their place of work
 Reviewed for continuing suitability
 Made available to relevant external interested parties.

20. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
The ILO further recommends:
 Protecting the safety and health of all members of the
organization by preventing work-related injuries, ill
health, disease and incidents
 Complying with relevant occupational health and safety
national laws and regulations, voluntary programmes,
etc.
 Ensuring that workers and their representatives are
consulted and encouraged to participate actively in all
areas of occupational health and safety management
 Continual improvement in the performance.
Key features and content

21. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
The statement of intent should set out in clear and simple
language the commitment of the organization to meeting its
obligations for managing the health and safety risks arising
from its normal operations.
This should include:
 A commitment to the effective management of health
and safety risks arising from the normal operations of
the organization
Key features and content

22. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 The aims and objectives should be set and agreed by the
health and safety committee, following consultation with
safety representatives
 It should be signed by the most senior accountable
person to signal senior management commitment to
effectively managing health and safety.
Key features and content

23. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
What the
organization is
aiming to
achieve in
relation
managing health
and safety
What the
organization is
aiming to
achieve in
relation
managing health
and safety
Who has
general and
specific roles &
functions in
relation to
managing
health and
safety
Who has
general and
specific roles &
functions in
relation to
managing
health and
safety
The measures
in place to
manage general
and specific
aspects of the
organization’s
health and
safety
The measures
in place to
manage general
and specific
aspects of the
organization’s
health and
safety
Key features and content
What Who How
Arrangements
Arrangements
Organization
OrganizationStatement of
intent
Statement of
intent

24. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
The policy should include the following:
 The name or job title of the senior accountable person
in the organization who is responsible for health and
safety
 The name of the Health and Safety Adviser, any safety
representatives and others who have specific roles and
responsibilities for health and safety
Key features and content

25. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 The commitment to employee consultation e.g. using a
safety committee, recognition of safety representatives
 Identify the relevant health and safety, welfare and
environmental issues relating to the organization's
activities
 A commitment to risk assessment, emergency
procedures, health surveillance and employment of
competent persons
 Duties towards non-employees, e.g. contractors, visitors,
members of the public
Key features and content

26. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 Reference to specific policies of the organization e.g.
smoking, violence to staff etc.
 Duties of employees
 Specific performance targets for the immediate and long-
term future
 The aims and objectives should be set and agreed by the
health and safety committee, following consultation with
safety representatives.
Key features and content

27. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
Key features and content
Common health and safety performance targets:
 A specific reduction in the number of accidents, incidents and
cases of work-related illness
 A reduction in the level of sickness absence
 A specific increase in the number of minor accidents and near
miss incidents
 A reduction in the number of civil claims
 No enforcement notices from the relevant ‘Enforcement
Agency’
 A specific improvement in health and safety audit scores
 Achievement of a nationally recognised health and safety
management system (e.g. OHSAS 18001).

28. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
Key features and content
The setting of health and safety performance standards is an
important aspect of the statement of intent, because:
They indicate that there is management commitment to
improve health and safety performance
They motivate the workforce with goals
They provide evidence during the monitoring, review and
auditing of phases of a safety management system.

29. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
The organization section of the policy should define the
names and duties of the people within the organization who
are responsible for the development and communication to
the workplace of the health and safety policy.
Two key personnel to be identified are:
 the most senior accountable person for managing
occupational health and safety and
 the Health & Safety Competent Person.
Key features and content

30. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 Managers (e.g. directors, departmental managers,
supervisors etc.) with delegated health & safety
responsibilities
 Competent persons (e.g. occupational nurse, first
aiders, fire marshals, in-house inspection/testing
personnel, etc.)
 Safety representatives.
Key features and content

31. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
Key features and content

32. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
This section of the policy will outline the arrangements in
place within the organization for meeting any specific
hazards, legal requirements, etc.
This will include health and safety rules and procedures and
the provision of facilities, such as a first aid room and wash
rooms.
Key features and content

33. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 For evaluating and managing risks arising from
workplaces, hazardous substances, activities, fire, etc.
 Health and safety inspection and audit procedures
 Accident and illness reporting and investigation
procedure, emergency procedures, first aid
 Employee health and safety responsibilities
 Control of hazardous substances, manual handling,
noise, vibration, etc.
Key features and content

34. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 Electricity and electrical equipment (maintenance and
testing)
 Machinery safety (including safe systems of work), lifting
and pressure equipment permits to work procedures
 Procedures for contractors and visitors
 Catering and food hygiene procedures
 Terms of reference and constitution of the safety
committee (where appropriate).
Key features and content

35. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
Specific arrangements
 Accident investigation and reporting
 Health and safety training and information
 Health and safety monitoring and audit
 Health surveillance
 Monitoring of plant and equipment and its maintenance
 Liaison with external agencies.
Key features and content

36. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
The best control systems will deteriorate over time, or
become obsolete as a result of change, new processes,
etc.
Therefore it makes sense to periodically review the policy to
ensure it remains effective, measure the aims and
objectives and update the organizational and arrangement
sections as necessary.
When and why should an organization review its
health and safety policy?
Key features and content

37. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
 Annually as part of a formal review cycle, and following:
 A change in the health and safety responsible person
and/or health and safety competent person
 Changes in management affecting delegated
responsibilities
 Changes in workplace arrangements, facilities, or the
introduction of new processes
 Introduction of new legislation introducing new duties
or responsibilities
 A prosecution or issuing of an enforcement notice.
Key features and content

38. Review
ILO
recommendations
Group
discussion
Organization Arrangements
Statement
of intent
1 a What is the general content of the three sections of a
health and safety policy?
b Why should the most senior person in an
organization sign the health and safety policy?
2 What should be covered in the arrangements section of a
health and safety policy?
3 Under what circumstances should a health and safety
policy be reviewed?
Key features and content