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guide_en.doc/v1 iii
Contents
Introduction .................................................................................................................................. 1
1. Objectives ............................................................................................................................. 3
Policy.................................................................................................................................... 8
3.1. OSH policy................................................................................................................. 8
3.2. Worker participation ................................................................................................... 10
Organizing ............................................................................................................................ 10
3.3. Responsibility and accountability................................................................................ 10
3.4. Competence and training ......................................................................................... 12
3.5. OSH management system documentation.................................................................... 12
3.6. Communication .......................................................................................................... 13
Evaluation............................................................................................................................. 19
3.11. Performance measurement .......................................................................................... 19
3.12. Accident, disease and incident investigation ................................................................ 20
3.13. Auditing..................................................................................................................... 21
3.14. Management review.................................................................................................... 22
Action................................................................................................................................... 23
3.15. Preventive and corrective action.................................................................................. 23
3.16. Continual improvement .............................................................................................. 23
Glossary........................................................................................................................................ 25
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References ................................................................................................................................... 28
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Introduction
The protection of the worker against sickness, disease and injury arising out of
employment is one of the tasks assigned to the ILO in the words of Preamble of its
Constitution. More recently, protection of the safety and health of workers was
restated as an essential element in achieving decent working conditions for all in
the current context of globalization of world economies. Occupational safety and
health (OSH) is therefore not only a key prerequisite for achieving decent work, but
it is also a major positive factor in favour of economic growth and productivity.
Over the past 80 years the ILO has elaborated and adopted 30 Conventions, 28
Recommendations and 25 codes of practice and produced over 100 technical
publications, all directly concerned with OSH issues. This represents a unique and
formidable body of definitions, principles, obligations, duties and rights as well as
technical guidance reflecting the consensus views of labour stakeholders from 174
member States on most aspects of occupational safety and health.
Holistic, coherent, flexible and sound approaches which are an integral part of
the enterprise business cycle and structure at all levels are the only management
strategies which can provide the strong incentive necessary for continual
identification, evaluation and control of hazards and risks in constantly evolving
workplaces. The positive impact of introducing OSH management systems at the
organization level both on the reduction of hazards and risks and on productivity
are now recognized by governments, employers and workers.
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The ILO has therefore developed guidelines on OSH management systems
which reflect ILO values and instruments relevant to the protection of the safety
and health of workers but which are designed as a practical tool for assisting
organizations and competent national institutions in reducing the heavy human and
economic toll that is still exacted by occupational accidents and diseases as well as
property losses.
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1. Objectives
(a) be used for the establishment of a national occupational safety and health
(OSH) management system framework, preferably supported by national laws
and regulations, and for the development of voluntary arrangements to
strengthen compliance with regulations and standards;
(b) provide guidance on the development of both national (section 2.2) and
tailored (section 2.3) guidelines to respond appropriately to the real needs of
organizations according to their size and the nature of their activities.
1.2. At the level of the organization, these guidelines are intended to:
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2. National OSH management
system framework
2.1.3. With a view to ensuring the coherence of the national policy and of
measures for its implementation, the competent institution should establish a
national framework for OSH management systems to:
(a) identify and establish the respective functions and responsibilities of the
various institutions called upon to implement the national policy and make
appropriate arrangements to ensure the necessary coordination between them;
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(b) publish and review periodically national guidelines on the voluntary
application and systematic implementation of OSH management systems in
organizations;
(c) establish criteria for the designation and respective duties of the institutions
responsible for the preparation and implementation of tailored guidelines on
OSH management systems;
(a) the immediate use of the ILO guidelines in organizations with a well-
developed management structure where the OSH management provisions can
be integrated immediately;
(c) the promotion of effective cooperation of the organization with the regulatory
authorities, labour inspection and occupational health services and other
services, including NGOs;
(e) suitable and applicable means of recognition for successful OSH management
systems and practice.
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2.3. Tailored guidelines
The links between the national framework for OSH management systems
(OSH-MS) and its essential elements are illustrated below:
ILO guidelines
on
OSH-MS
OSH-MS
National
guidelines in
on OSH-MS
organiz-
ations
Tailored
guidelines on
OSH-MS
6 guide_en.doc/v1
guide_en.doc/v1 7
3. The OSH management system
in the organization
3.0. The employer should show strong visible leadership and commitment to
OSH activities in the organization, and make appropriate arrangements for the
establishment of an OSH management system. The OSH management system
should contain the main elements of policy, organizing, planning and
implementation, evaluation and action, as shown in the diagram below:
Continual improvement
Policy
OSH policy; Organizing
Worker Responsibility and Planning & implementation
accountability; Initial review;
participation
Competence and OSH objectives;
training; System planning,
OSH management development and
implementation; Evaluation
system Performance
documentation; Hazard control system
(hazard/risk control measurement;
Communication Accident, disease
measures; management of
change; emergency and incident
investigation; Action
preparedness and response; Preventive and
procurement and contracting) Auditing;
Management corrective action;
review Review and back
to Organizing
Policy
3.1.1. The employer should set out in writing an OSH policy which should be:
(a) specific to the organization and appropriate to, and consistent with, its size and
the nature of its activities;
(b) concise, clearly written, dated and made effective by the signature or
equivalent of the employer or the most senior person in the organization;
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(d) reviewed for continuing suitability;
3.1.2. The OSH policy should include the following key principles and
objectives to which the organization is committed, in particular:
(d) recognizing OSH as an integral part of the overall management structure and
OSH performance as an integral part of the organizations business
performance;
(g) ensuring that workers and their representatives are consulted and participate as
appropriate in all levels of OSH organizing, planning and implementation,
evaluation and action processes;
(i) ensuring that management and workers are competent to carry out their
assigned duties and responsibilities, and understand their rights;
(j) allocating the necessary resources, whether human, financial or other, for the
implementation of the OSH management system;
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3.2. Worker participation
(a) an underlying principle of the organizations safety and health policy; and
(a) are consulted at all appropriate levels on all relevant aspects of OSH
associated with their work;
(b) are competent enough and encouraged to participate actively in the planning,
implementation, evaluation and improvement processes of the OSH
management system. The extent of this participation should be consistent with
the size of the organization and the nature of its activities.
Organizing
3.3.1. The employer should have overall responsibility for the protection of
workers safety and health and provide leadership for OSH activities in the
organization.
3.3.2. The employer and senior management, consistently with the size and
nature of the organization, should allocate responsibility, accountability and
authority for the development, implementation and performance of OSH
management systems and achieving the relevant OSH objectives; structures and
processes should be established which:
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(b) define the responsibility, accountability and authority of persons who identify,
evaluate or control OSH hazards and risks and promote health;
(d) integrate OSH as a prime responsibility within the management systems for
comprehensive planning of the organization;
(f) establish and implement a clear OSH policy with measurable and preferably
quantifiable objectives;
(g) establish effective arrangements to control hazards and risks to safety and
health (see section 3.10);
(i) provide appropriate resources to ensure adequate functioning of the safety and
health committee, where it exists;
(j) ensure the full participation of workers and their representatives in the safety
and health committee, where it exists.
(a) the development, implementation, periodic review and evaluation of the OSH
management system;
(b) periodic reporting to the senior management on the performance of the OSH
management system;
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(d) creating opportunities for the members of the organizations management and
supervisory staff to demonstrate their commitment to and involvement in the
OSH management system.
1
3.4. Competence and training
(e) be reviewed periodically by the safety and health committee, where it exists,
and modified as necessary to ensure its relevance and effectiveness;
3.5.1. Consistently with the size of the organization and the nature of its
activity, OSH management system documentation should be established and
maintained, and may cover:
1
OSH competence includes education, work experience and training, or a combination thereof.
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(b) the OSH policy and objectives of the organization;
(c) the allocated key OSH management roles and responsibilities for the
implementation of the OSH management system;
(d) the significant OSH hazards/risks arising from the organizations activities,
and the arrangements for their control;
(g) the interactions between the elements of the OSH management system within
the organization.
(a) clearly written and in a language understood by those who have to use it;
3.6. Communication
(c) ensuring that the concerns, ideas and inputs of workers and their
representatives on OSH matters are received and considered.
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Planning and implementation
3.7.2. The initial review should be carried out, in consultation with workers
and/or their representatives, and qualified persons (see paragraph 3.3.2(b)), as
appropriate, to:
(a) identify the current applicable legal OSH requirements, voluntary protection
arrangements and other requirements to which the organization subscribes;
(b) identify hazards and assess risks to workers safety and health arising from the
working environment;
(a) be documented and become the basis for making decisions regarding changes
to the OSH policy or the planning and implementation processes for the
improvement of the OSH management system;
(b) provide the baseline from which continual improvement of the OSH
management system can be measured.
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3.8. OSH objectives
3.8.1. Based on and consistently with the OSH policy and initial review of the
organization, measurable and quantifiable objectives for the implementation of the
policy and continuously improved OSH protection of the workers should be
established. Such objectives should be:
(a) specific to the organization, and appropriate to and consistent with its size and
the nature of its activity;
(b) consistent with the relevant and applicable legal, technical and business
obligations of the organization with regard to OSH;
3.9.1. Based on the results of the initial review and other available data (see
section 3.7), arrangements should be made for adequate and appropriate OSH
planning. The purpose of the planning should be to achieve:
(a) compliance with legal requirements, as the minimum, and the organizations
OSH objectives; and
(a) a clear definition, priority setting and quantification, where appropriate, of the
organizations OSH objectives;
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(b) the preparation of a plan for achieving each objective with defined
responsibility and clear performance criteria indicating what is to be done by
whom and when;
(c) the selection of suitable measurement criteria for confirming that the
objectives are achieved;
(d) the provision of adequate resources, including human and financial resources
and technical support, as appropriate.
(b) control of the hazards and risks identified in the initial review or made known
by other data (see sections 3.7 and 3.10);
(d) performance measurement (see section 3.11), audits (see section 3.13) and
management reviews (see section 3.14);
3.10.1.1. Hazards should be identified and risks to safety and health assessed.
Preventive and protective measures should be implemented in the following order
of priority:
(b) control the risk at source, through the use of engineering or organizational
measures;
(c) minimize the risk by means that include the design of safe work systems;
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(d) in so far as the risk remains, provide for the use of personal protective
equipment.
(b) first aid and medical assistance, fire fighting and evacuation of people;
(c) training of all members of the organization, at all levels, including regular
exercises in emergency preparedness and response procedures.
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3.10.3.2. In major hazard installations, emergency plans should be drawn up
in conformity with the arrangements recommended in the ILO Code of practice on
prevention of major industrial accidents (Geneva, 1991).
(a) compliance with safety and health requirements is identified, evaluated and
incorporated into purchasing and leasing specifications;
(b) legal and the organizations own OSH obligations/requirements are satisfied
prior to the procurement of goods and services.
(b) set up communication links between appropriate levels of the organization and
the contractor prior to commencing work, including provisions for
communicating hazards associated with the work and information on
accidents, diseases and incidents suffered by the contractors workers while
performing work for the organization;
(c) provide relevant safety and health hazard awareness and training, if necessary,
to contractor workers prior to commencing work;
(e) ensure that site OSH rules and procedures are followed by the contractor(s).
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Evaluation
(b) be consistent with the organizations hazards and risks, the OSH variables
expressed in the OSH policy (see section 3.1) and the OSH objectives (see
section 3.8);
(c) support the organizations evaluation process and the management review (see
section 3.14).
(a) be used as a means of determining the extent to which OSH policy and
objectives are being implemented and risks are controlled;
(b) include both active and reactive monitoring and not be based only upon
occupational accident and disease statistics.
(b) information to determine whether the day-to-day arrangements for hazard and
risk control are in place and operating effectively;
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(c) the basis for decisions about improvement in hazard and risk control and the
OSH management system.
(b) the systematic inspection of work systems, premises, plant and equipment;
(c) deficient safety and health performance and OSH management system
failures.
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3.12.3. The results of such investigations should be communicated to and be
considered by the safety and health committee, where it exists, and the committee
should make any appropriate recommendations.
3.12.4. The results of the investigation and any recommendations of the safety
and health committee should be communicated to appropriate persons for
corrective action (see section 3.15), included in the management review (see
section 3.14) and considered for continual improvement activities (see section
3.16).
3.13. Audit
(b) has been effectively integrated, implemented and maintained for achieving the
required standard of OSH performance, or whether there are possible
organizational causes of OSH-related deficiencies;
(c) complies with statutory requirements and other obligations with respect to
OSH.
2
This does not necessarily mean an independent external audit (i.e. by an auditor(s) from outside
the organization).
guide_en.doc/v1 21
(b) recording and reporting results;
(a) evaluate the overall performance of the OSH management system and its
individual components to determine whether it meets planned performance
objectives;
(b) evaluate the OSH management systems ability to meet the overall needs of
the organization and its stakeholders, including its workers and the regulating
authorities;
(c) evaluate the need for changes to the OSH management system, including OSH
policy and objectives;
(e) provide the feedback direction, including the determination of priorities, for
meaningful planning (see section 3.9) and continual improvement (see section
3.16).
(a) the results of accident, disease and incident investigations, the findings of
audits and monitoring activities, the results of hazard identifications, risk
assessments and surveillance activities, and the report of the management
representative, if appointed (see section 3.3);
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(b) the internal and external factors as well as changes, including organizational
changes, that could affect the OSH management system;
(c) progress towards the organizations OSH objectives and corrective action;
Action
3.15.1. When the evaluation of the OHS management system (see sections
3.11 to 3.14) or other sources show that preventive and protective measures (see
section 3.10) for hazards and risks are inadequate or likely to become inadequate,
hazards and risks should be:
guide_en.doc/v1 23
(a) the OSH objectives of the organization;
(d) accident, disease and incident investigations and the results and
recommendations of audits;
(f) recommendations from all members of the organization, including the safety
and health committee, where it exists;
3.16.2. The safety and health processes and performance of the organization
should be compared with others to learn how to reduce accidents and diseases,
improve compliance with safety and health law and/or cut compliance costs
(benchmarking).
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Glossary
In these guidelines, the following terms have the meanings hereby assigned to
them:
Employer: Any physical or legal person who employs one or more workers.
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Occupational disease: Disease known, under prescribed conditions, to arise out of
exposure to substances or dangerous conditions in processes, trades or
occupations.
Occupational safety and health (OSH) policy: Overall intention and direction of an
organization in relation to OSH as formally expressed by the employer and top
management.
Risk: The likelihood that a specified undesired event will occur causing physical
injury or damage to the health of people.
Risk assessment: The process of evaluating and ranking the risks to safety and
health at work arising from hazards at the workplace.
Worker: Any person who performs work, either regularly or temporarily, for an
employer.
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laws or regulations or of collective agreements and whose functions do
not include activities which are recognized as the exclusive prerogative of
trade unions in the country concerned.
guide_en.doc/v1 27
References
Conventions
No. Title
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Recommendations
No. Title
guide_en.doc/v1 29
Management of alcohol and drug-related issues in the workplace (Geneva, 1996)
Relevant publications
Bavarian Ministry of State for Labour and Social Affairs, Family, Women and
Health: Management systems for occupational health and plant safety, Volume
1: Occupational health and risk management system (OHRIS) Principles and
system elements (Munich, 1998).
Health and Safety Authority (Ireland): Workplace health and safety management:
Practical guidelines on the implementation of an occupational safety, health
and welfare management system (Dublin, 1998).
Health and Safety Executive (HSE): Successful health and safety management
(HSG65) (United Kingdom, HSE Books, second edition 1997, reprinted
1998).
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ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up,
adopted by the International Labour Conference at its 86th Session, 1998
(Geneva, ILO, 1998).
Japan Industrial Safety and Health Association (JISHA): Occupational safety and
health management systems (OHS-MS) guidelines (JISHA guidelines)
(Tokyo, 1997).
guide_en.doc/v1 31
Oil Industry International Exploration and Production Forum (E&P Forum):
Guidelines for the development and application of health, safety and
environmental management systems, Report No. 6.36/210 (London, 1994).
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guide_en.doc/v1 33
Appendix
Risk assessment
I.1.3. Besides the potential harm or injury to their own employees, employers should
consider in their risk assessment the effect of their work activities on other parties. For
example, there may be employees of other businesses who visit the workplace (e.g.
maintenance contractors) or members of the public (e.g. customers). Where employees of
different employers work in the same workplace, their respective employers may
sometimes have to cooperate to produce an overall risk assessment.
n the identification of workers and others who might be harmed by those hazards, and
how the harm might occur;
The steps are described in greater detail in section I.2 below (Risk assessment in
practice).
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I.1.5. The level of detail in a risk assessment should be proportionate to the risk.
Insignificant risks can usually be ignored, as can those arising from routine activities
associated with life in general and not normally thought of as being of concern (e.g. the use
by staff of office furniture) unless work activity compounds or significantly alters those
risks. The level of risk arising from the work activity should determine the degree of
sophistication of the risk assessment:
n for small businesses presenting few or simple hazards, a risk assessment can be a very
straightforward process based on informed judgement and reference to appropriate
guidance (as published by regulatory authorities, trade federations and so on). Where
the hazards and risks are obvious, they can be addressed directly; no complicated
processes or skills will be required to carry out the risk assessment;
n there may, however, be areas of an assessment for which specialist advice is needed;
for example risks which require specialist knowledge of a complex process or
technique, or those calling for specialist analytical techniques such as those used in
measuring air quality. Whenever specialist advisers are called in, employers should
ensure that the advisers have sufficient understanding of the particular work activity;
this will often require effective involvement of everyone concerned employer,
employees and specialist;
n large and hazardous sites will need the most developed and sophisticated risk
assessments, particularly where there are complex or novel processes, and the
regulator may well require the use of techniques such as quantified risk assessment.
I.1.6. When assessing risk to determine control measures, relating the assessment to
the actual people exposed is of limited usefulness. It would be necessary to carry out a risk
assessment for each person exposed, since individuals are affected differently by risk
depending, amongst other things, on their physical make-up, abilities, age and the
circumstances giving rise to their exposure. It would be very difficult to extract and distil
useful information from all the individual assessments. Instead, the assessment can be
performed in relation to a hypothetical person, i.e. a person in some fixed relation to the
hazard, for example the person most exposed to it, or a person living at some fixed point or
with some assumed pattern of life, such as a person who is in good health and works
exactly 40 hours a week with the hazard.
I.1.7. For the workplace where conditions and processes remain relatively unchanged
(such as factories or offices), the risk assessment can be such that it:
n identifies the need for a revised or different assessment when circumstances change,
e.g. when new machinery, methods or materials are introduced or non-routine work is
undertaken.
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Employers controlling a number of similar workplaces where similar activities take place
may produce a model risk assessment reflecting the core hazards and risks associated
with these activities. Model assessments may also be developed by trade associations,
employers organizations or other bodies concerned with a particular activity. To use such
a model in a particular workplace, managers should satisfy themselves that it is appropriate
to the type of work performed there and adapt it as necessary to the specific conditions of
their own work activities, including extending it to include hazards not covered in the
model.
There are no fixed rules about how a risk assessment should be carried out; it will
depend on the nature of the work or business and the types of hazards and risks. However,
whatever approach is taken, it is important that it be:
(a) Comprehensive ensuring all aspects of the work activity are assessed, including
routine and non-routine activities. The assessment should cover all parts of the work
activity, including those that are not under the immediate supervision of the
employer, such as employees working off site as contractors and peripatetic workers.
(b) Systematic this can be done, for example, by looking at hazards in groups under
headings such as machinery, transport, substances, etc., or dividing up the
worksite on a geographical basis. In other cases, an operation-by-operation approach
may be needed.
(c) Practical looking at what actually happens in the workplace whilst the work activity
is taking place. Actual practice may differ from what the works manual says should
be happening.
I.2.1. It is often helpful for employers to make a first rough assessment in order to
eliminate from consideration those risks on which no further action is needed. This should
also show where a fuller assessment is needed, using more sophisticated techniques (such
as environmental monitoring for chemicals, noise-level measurement).
I.2.2. As indicated in paragraph I.1.4, the following five steps need to be taken:
(1) Identifying the hazards: Besides drawing on their own knowledge and experience,
employers will help themselves identify aspects of their work with the potential to
cause harm by looking at appropriate sources of information such as guidance
published by the regulator or manufacturers instructions. The knowledge and
experience of the workforce should also be tapped.
36 guide_en.doc/v1
(2) Identifying who might be harmed and how it might happen: Besides employees, other
workers and members of the public should be considered. These might include office
staff, night cleaners, security guards and customers. Groups of workers who might be
particularly at risk should be identified, such as young or inexperienced workers, new
and expectant mothers, those who work alone, or disabled staff. Account should be
taken of the fact that workers do not have to be involved in a hazardous process to be
at risk from it (e.g. a worker engaged in grinding metal will be at risk of hearing
damage, as might workers engaged in other activities nearby).
(3) Evaluating the risk from the hazard: The objective of this step is to decide whether
existing control measures are adequate or whether more should be done to reduce the
level of risk from the hazard. The first consideration should be whether the risk can
be removed by eliminating the hazard altogether.
Where the hazard cannot be eliminated, in the majority of cases (where the hazards
are of little concern and/or the risks are well understood) all that need be done is to
compare the existing control measures against those required by established good
practice as found in guidance produced by the regulatory authorities, industry
representative bodies and so on. No explicit estimation of the risk is required in these
circumstances. (However, it can be useful to prioritize the action to be taken
following the assessment by making a rough estimate of the risk from a hazard,
considering the likelihood of harm occurring and the likely severity of that harm.)
However, there will be more complex cases where risk should be explicitly estimated
and specialist knowledge support and advice could be required. For example, a
quantitative estimation of the risk may be necessary to measure the effectiveness of
the existing controls against quantitative risk criteria such as occupational exposure
standards for chemicals or noise, etc. In extreme cases, a complete quantitative risk
assessment might be required to make a judgement as to the adequacy of controls in
complex processes such as those found in large chemical plants.
(4) Recording the assessment: A record of the results of risk assessments should be kept
with the object of making it a useful tool, i.e. providing both a management record
and a source of information for managers and workers. The record should include:
n a record of the preventive and protective measures in place to control the risks;
Workers should be informed of the findings that relate to their workstation. The
record of the risk assessment should also be made available to workers with special
functions in protecting health and safety, i.e. those designated by the employer or
those appointed as workers representatives.
guide_en.doc/v1 37
(5) Review and revision of the assessment: Risk assessment is not a once-and-for-all
activity; assessments need to be reviewed because:
(i) the work process might change, say, as a result of further control measures being
introduced, or new plant, chemicals, etc., or changes to other work activities may
effect it;
(ii) new knowledge about the hazards and risks may become available (e.g. as the
result of the local investigation of an incident or local health surveillance; new
information may be provided by the regulatory authorities, trade organizations or
academic experts, etc.);
(iii) new technology to control risks more effectively and/or efficiently may become
available.
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