Five Star Occupational

Health and Safety Audit

Specification August 2016

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 2016 Five Star Occupational Health and Safety Audit specification 2016 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 continuous improvement
towards best practice.

Utilising extensive worldwide industry experience and acknowledging aspects of

internationally recognised occupational health and safety management systems,
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: 2016 specification

Pl
an

Policy and
structure
Act

Management
Strategic

review and
Five Best planning
improvement
Practice
Indicators

Performance Implementation
evaluation and operation

Ch
e ck
Do

Five Best Practice Indicators:

• Leadership
• Stakeholder engagement
• Risk management
• Organisational health and safety culture
• Continual improvement

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 1
 2. Five Star Audit process

The Five Star Audit is undertaken 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 and staff 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 2016: Integrated 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 2016 Five Star Occupational Health and Safety Audit specification 2016 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

85 – 91.9: Very good

75 – 84.9: Good

60 – 74.9: Satisfactory

50 – 59.9: Basic

The Five Star Audit process focuses on five sections (62 elements) and five best
practice indicators (BPI) as shown below:

Section Audit criteria Maximum accredited audit figure

1. Policy and structure 750 points
2. Strategic planning 1,125 points
3. Implementation and operation 1,500 points
4. Performance evaluation 1,125 points
5. Management review 500 points
and improvement
Total: 5,000 points

BPI 1: Leadership
BPI 2: Stakeholder engagement
BPI 3: Risk management
BPI 4: Organisational health and safety culture
BPI 5: Continual improvement

The five sections of the audit are divided into 62 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 safety management
systems and culture.

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 3
4. Audit report and
action planning

Upon completion of the audit process, a detailed 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 criteria requirements of the Five Star Audit
are presented in tabulated colour coded format as per the key below:

Grading system
Colour code Priority Definition
High: Recommendations to
Differential over be implemented as a
40% in this area priority 1 action

Medium: Recommendations to
Differential of be implemented as a
1 – 40% in this area priority 2 action

Low: Monitor existing

Full marks arrangements in this
awarded area to demonstrate
continuous improvement
Not applicable The requirements of
this section are not
applicable

The red coded differential indicates where significant marks (over 40%) have been
deducted in respect of the Five Star Audit scoring criteria and the amber coded
differential indicates where marks have been deducted (1–40%). Wherever marks
have been deducted, a recommendation will be provided that, if followed and
implemented, will assist the organisation in working toward best practice standards.

The green coded area indicates wherever full marks have been awarded
in respect of the Five Star Audit scoring criteria. The organisation should
monitor these elements in order to maintain best practice and demonstrate
continual improvement. 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 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 2016 Five Star Occupational Health and Safety Audit specification 2016 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 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).
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 2016 Five Star Occupational Health and Safety Audit specification 2016 5
7.
Element headings
Plan
Section 1
Policy and structure
(750 points)
1.01 Scope, nature and scale
of occupational health
and safety management
system
1.02 Occupational health and
safety policy statement
1.03 Structure (roles,
responsibilities,
accountabilities and
authorities)
1.04 Competence and
capability
1.05 Leadership
1.06 Stakeholder consultation
and participation
1.07 Information and
communication
management
1.08 Occupational health and
wellbeing
1.09 Change management
1.10 L
 egislative (and other)
compliance
© British Safety Council 2016
Specification details
Do Check Act
Section 2 Section 3 Section 4 Section 5
Strategic planning Implementation Performance evaluation Management review
(1,125 points) and operation (1,125 points) and improvement
(1,500 points) (500 points)
2.01 Status assessment 3.01 Identification of 4.01 Monitoring of 5.01 Senior (top)
(including hazards, opportunities occupational health management review
benchmarking) and assessment of risk and safety objectives process (includes health
and safety programme
and objective setting)
2.02 Occupational health 3.02 Operational health 4.02 Monitoring of 5.02 Review of adequacy of
and safety objectives and safety controls occupational health resource and support
and safety plan(s) provision
2.03 Occupational health 3.03 Safe operating Proactive measurement 5.03 Continual improvement
and safety planning procedures (safe (leading indicators) (evaluation and
systems of work) planning)
4.03 Inspection and audit
2.04 Provision of resource 3.04 Work equipment 4.04 Risk assessment 5.04 Corporate and social
and support review responsibility reporting
2.05 Strategic leadership 3.05 Manual handling 4.05 Evaluation of legislative
(and other) compliance
2.06 Stakeholder 3.06 Workstation 4.06 Health surveillance
consultation and ergonomics monitoring
participation
2.07 Risk management 3.07 Workplace management 4.07 Monitoring of
and control (including (Housekeeping, contractors, suppliers
risk profiling) storage, welfare and outsourced
facilities, temperature, function(s) performance
ventilation, etc)
2.08 Change management 3.08 Traffic and transport 4.08 Evaluation of
(planning) management information and
communication
management
2.09 Competence and 3.09 Permit (and Reactive measurement
capability (planning) authorisation) to (lagging indicators)
work systems
4.09 Accident, incident,
near miss report and
investigation,non
conformance monitoring
2.10 Emergency incident 3.10 Safe isolation 4.10 Ill health and
and post-event absenteeism
recovery planning monitoring
2.11 Procurement, 3.11 Working at height 4.11 Loss/damage analysis
outsourcing and
contractor appointment
2.12 Occupational health 3.12 Lifting equipment
and wellbeing
(planning)
2.13 Planning for a positive 3.13 Pressure systems
health and safety
culture
Five Star Occupational Health and Safety Audit specification 2016 6
7. Specification details cont.

Element headings
Plan Do Check Act

Section 1 Section 2 Section 3 Section 4 Section 5

Policy and structure
(750 points)
Strategic planning
(1,125 points)
Implementation Performance evaluation Management review
and operation (1,125 points) and improvement
(1,500 points) (500 points)
3.14 Control of hazardous
substances (including
biological agents)
3.15 Management and
control of asbestos
3.16 Management and
control of electrical
hazards
3.17 Management and
control of noise
3.18 Management and
control of vibration
3.19 Personal protective
equipment
3.20 Competence
and capability
(implementation)
3.21 Management and
control of psycho-
social hazards
3.22 Implementing a
positive health and
safety culture
3.23 Implementing
emergency incident
and post-event
recovery controls
3.24 Fire safety
management
(protective and
preventive controls)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 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: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required information required
Policy statement Explicit commitment Policy statement Policy statement Review of training Evidence that top
and occupational within the policy consistent with readily available to, records (senior) management
health and safety statement to: subsequent OH&S and understood by, all carry out a formal
Interviews with senior
management system • legislative (and other) objectives and levels of management, review of OHSMS
management
compliance; continual planning staff and other performance
improvement; stakeholders (verified Accident/incident/near
Description of how Evidence of policy
periodic review, through interview) miss/non-conformance
OHSMS elements statement reviewed
prevention of injury & analysis
interlink with Training and induction
ill health; provision of Evidence of strategy
each other records Corporate and other
adequate resources; planning reflective of
management reports
management of risk; Evidence of OHSMS Effective top management review
consultation with planning aligned implementation of Minutes from outcomes
stakeholders with overall business OHSMS through management and other
Interview with top
strategy and processes observation and relevant meetings
• Policy readily senior management
interviews
available and provides Evidence of OHSMS Inspection and audit
the framework for Corporate health and
status assessment Effective reports
occupational health safety reporting
implementation of
and safety (OH&S) Evidence of internal Evidence of risk
risk assessment and Primary related
objective setting and and/or external assessment review
controls (sampling) elements
is consistent with OHSMS performance
OH&S objectives and All elements in this
corporate values benchmarking Primary related
programme monitoring section
elements
• Endorsed by top OHSMS programme/
(3.01)(3.02) Evaluation of
management plan
legislative compliance
• OHSMS is defined Primary related
and suitably elements Primary related
scoped including (2.01)(2.05)(2.06) elements
consideration of (2.07)(2.13) (4.01)(4.02)(4.03)
the full context of (4.04)(4.05) (4.09)
the organisation’s (4.10)
activities
• Operational
procedures and
arrangements are
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 2016 Five Star Occupational Health and Safety Audit specification 2016 8
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required 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
Primary related
Demonstrable management of evidence of
elements
support for lines of operational risk management
(1.01)(1.02)(1.03)(1.05)
responsibility (including psycho- involvement (minutes
social) of meetings,
Evidence of stakeholder investigations, site
engagement (minutes Primary related inspections, risk
of meetings, training, elements assessment, etc)
etc) All applicable in the evaluation of
elements in this leading and lagging
Evidence of managing
section performance indicators
change

Demonstrable Primary related

involvement in elements
promoting positive All elements in this
health and safety section
culture

Primary related
elements
(2.01 – 2.08)(2.12)
(2.13)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 9
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required 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 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)(2.06) internal and external
(verified through (5.01)(5.04)
Primary related communication
interview and
elements
observation) Primary related
(1.01)(1.02)(1.03)
elements
(1.06)(1.07) Primary related
(4.01)(4.02)(4.08)
elements
(3.02)(3.03)(3.09)
(3,23)(3.24)
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 and development of OH&S process
OH&S committee
planning risk management
Policy/process meetings (and other Communication of top
and controls (verified
for stakeholder Schedule for OH&S such forums) management review
through sampling,
participation in committee meetings
interview and review) Evidence of completed Corporate reporting
policy and OHSMS
Terms of reference for actions arising from
development Risk assessments Internal reporting
OH&S forums leading and lagging
Organisational Training records performance indicators Audit reports
Training schedule
structure (inspections, audits,
Evidence of OH&S Primary related
Primary related accident investigation
Defined roles and committee meetings elements
elements etc)
responsibilities (and other such (5.01)(5.04)
(2.02)(2.03)(2.06)
forums) Evidence of monitoring
Primary related (2.09)
of objectives
elements Site induction records
(1.01)(1.02)(1.03) Primary related
Permit to work records
(1.05)(1.06) elements
Primary related All elements in this
elements section
All elements in this
section

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 10
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required 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)
(2.09) through interview,
Appraisal records
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
Primary related records (interviews)
Training plan (5.01)(5.02)(5.04)
elements
Evidence of lifestyle First aid records
(1.01)(1.02)(1.08) OH and wellbeing
and wellbeing
objectives Stakeholder surveys
promotion
Primary related Health surveillance
Return to work
elements records
interviews
(2.02)(2.03)(2.12)
Primary related
(2.13) Support mechanisms
elements
Risk assessments (4.01)(4.02)(4.04)
(4.06)(4.09)(4.10)
Primary related
elements
(3.01)(3.02)(3.05)
(3.06)(3.07)(3.14)
(3.15)(3.21)(3.22)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 11
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required 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
Primary related OH&S committee Change management
Safety surveys
elements Evidence of meeting minutes project review
(1.01)(1.03)(1.09) stakeholder Risk assessment
Risk assessment Top management review
consultation in reviews
(change management) process
planning for change
sampling Effective
Corporate reporting
Primary related understanding and
Inspection and audit
elements awareness of amended Primary related
outcomes
(2.03)(2.04)(2.05) risk assessment, elements
(2.06)(2.08) Primary related operational controls (5.01)(5.03)(5.04)
elements and procedures
(3.01)(3.02)(3.03) (verified through
(3.21)(3.22) interview and
observation)

Primary related
elements
(4.02)(4.03)(4.04)
(4.08)
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)(1.06) of targets
objectives (4.01)(4.03)
Appraisal process
Risk profiles
Primary related (organisational and
elements operational)
(2.02)(2.03)(2.04)
Primary related
(2.06)(2.09)(2.13)
elements
(3.01)(3.20)(3.22)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 12
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required 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
Primary related Management reports Management reports
financial planning Effective
elements
implementation of OH&S objective Corporate reports
(1.01)(1.02)(1.03) Documented OH&S
OH&S plan/control monitoring
budget Primary related
arrangements
Risk assessment elements
Project planning (inspection, and
reviews All elements within
interview)
Business recovery section
Evaluation of
plans PTW documentation
compliance records
Evidence of stakeholder Evidence of resource
Primary related
involvement in OH&S provision
elements
planning
Training records (4.01)(4.02)(4.04)
Primary related (4.05)(4.08)
Primary related
elements
elements
(2.01)(2.03)(2.04)
(3.01)(3.02)(3.22)
(2.05)(2.06)(2.07)
(3.23)
(2.08)(2.09)(2.10)
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)
(1.02)(1.03)(1.10)
Primary related elements (4.07)(4.08)(4.09)
elements (3.01)(3.02)(3.03)
(2.03)(2.04)(2.06) (3.09)(3.22)
(2.07)(2.08)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 13
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required information required
Risk management Commitment to Planning for risk Risk assessment Risk assessment/ Records of top
and control a process of risk profiling, hazard (sampling) and register review management review
control within policy and opportunity evidence of alignment
Accident/incident/ill External accreditation
statement identification, with SOPs and incident
health/loss analysis
management, and reports Development of risk
Policy/process for
control Management reports register
risk management/ Effective
assessment & control Risk/hazard matrix/ implementation of Audit and inspection Corporate reviews
index/register controls (observation records and reports
Defined roles and
and interview)
responsibilities OH&S plan Non conformance Primary related
Training records monitoring elements
Process for Planning for provision
All elements within
stakeholder of suitable resources Maintenance records OH&S objective
section
involvement in risk and support monitoring
Statutory examination
management and
Change management records Statutory compliance
control
planning records
Inspection records
Primary related
Training schedules Primary related
elements Evacuation drill
(1.01)(1.02)(1.03)(1.06) elements
Business recovery records
All elements within
planning
Permit to work records section
Primary related
Primary related
elements
elements
(2.03)(2.04)(2.05)
All elements within
(2.07)(2.08)(2.09)
section
(2.10)
Legislative compliance Commitment to Legislative register Statutory records External accreditation External accreditation
and sector best legal (and other (statutory and
Planning for audit/ Audit and inspection Records of top
practice requirements) otherwise)
evaluation of records management review
compliance within
compliance Management reports
policy statement Training records Evidence of legislative
OH&S plan Audit and inspection updates to OHSMS
Defined roles and Risk assessment(s)
records
responsibilities Training schedules Management meeting
Signage (observation)
Non conformance records
Process for identifying Appraisal process
Effective monitoring
and evaluating Primary related
relevant legislative Change management implementation of
OH&S objective elements
requirements planning controls (observation
monitoring (5.01)(5.03)
and interview)
Primary related Business recovery
Statutory compliance
elements planning Legislative register
records
(1.01)(1.02)(1.03)(1.07) Primary related Permit to work records
(1.10) Accident investigations
elements
Evacuation drill
(2.01)(2.03)(2.04) Health surveillance
records
(2.07)(2.08)(2.09) records
(2.10) Primary related
Primary related
elements
elements
All elements within
(4.02)(4.03)(4.04)
section
(4.05)(4.06)(4.09)
(4.10)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 14
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required information required
Emergency incident Commitment to Business recovery/ Evidence of emergency Review of evacuation Records of management
management 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)
Primary related Change management
elements planning Inspection and
(1.01)(1.02)(1.03) maintenance records
(1.04)(1.06) Primary related
elements Training records
(1.10)
(2.03)(2.04)(2.05)
Risk assessment
(2.06)(2.07)
sampling
(2.08)(2.10)
Primary related
elements
(3.01)(3.02)(3.03)
(3.07)(3.09)(3.14)(3.16)
(3.20)(3.23)(3.24)
Development and Commitment Training matrix/ Evidence of Staff surveys Stakeholder
maintenance of a to develop and programme stakeholder involvement in OHSMS
OH&S objectives
positive health and continually improve involvement, reviews
CPD development and monitoring
safety culture empowerment
Policy/process appraisal External accreditation
and management Accident/incident
for competency,
Mentoring and commitment analysis and reports Forward planning and
consultation and
coaching (interviews and objective setting
communication Management reports
observation)
OH&S plan Appraisal reviews
Defined roles and OH&S plan monitoring
Minutes from health
responsibilities OH&S objectives Corporate reports
and safety meetings External accreditation
Process for Specific development Primary related
Training records Evidence of
stakeholder programmes elements
consultation and Audit reports stakeholder
All elements within
participation Terms of reference for participation in
section
health and safety (and Stakeholder surveys performance reviews
Primary related other) forums
Inspection reports Contractor approval
elements
(1.03)(1.04)(1.05) Occupational health records
Change management
(1.06)(1.07) and wellbeing plans/
plans Review of training
programmes
needs
Risk assessment
Planning for
sampling Review of health
participation of
surveillance records
stakeholders in Appraisal and
development of OHSMS development records Primary related
elements
Occupational health Primary related
(4.01)(4.02)(4.04)
support programmes elements
(4.06)(4.07)(4.08)
and planning (3.01)(3.02)(3.03)
(4.09)(4.10)
(3.07)(3.20)(3.21)
Primary related
(3.22)
elements
All elements within
section

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 15
8. Specification guidance cont.

Plan Do Check Act

Subject area S1: Policy and S2: Strategic S3: Implementation S4: Performance S5: Management review
structure planning and operation evaluation and improvement
(750 points) (1125 points) (1500 points) (1125 points) (500 points)
Example of typical Example of typical Example of typical Example of typical Example of typical
information required information required information required information required information required
Proactive and Policy/process OH&S plan Stakeholder Accident/incident Records of top
reactive performance for performance understanding and analysis management review
Procedures/process/
measurement (leading monitoring awareness of OHSMS
plan for: Ill health and OH&S objective review
and lagging indicators) (interview)
Commitment to • Auditing absenteeism reviews and forward planning
continual improvement Audit records
• Inspection OH&S plan reviews External accreditation
within policy
• Accident Inspection records (planning and review)
statement Management reports
Investigation Accident/incident Corporate reports
Defined roles and Website/corporate
• Ill health monitoring records
responsibilities information and Primary related
Process for PTW documents reporting elements
Commitment to
assessment of All elements within
legislative compliance Contractor induction OH&S objective
OHSMS including section
within policy records monitoring
benchmarking (internal
statement
and/or external) Approved contractor/ Audit records
Process for supplier index
Incident/loss/near External accreditation
stakeholder
miss/non conformance Risk assessment(s)
consultation and Statutory records
reporting sampling
participation
Contractor/supplier Review of training
Primary related Site inspection
monitoring records and
elements Health and safety effectiveness of
(1.01)(1.02)(1.03) Training plan meeting minutes training content
(1.06)(1.10)
Risk assessment Notice board Primary related
planning information elements
All elements within
Primary related Statutory records
section
elements
(2.01)(2.02)(2.03) Staff surveys
(2.04)(2.07)(2.10) Training records

Primary related
elements
(3.01)(3.02)(3.09)
(3.20)(3.22)

© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 16
© British Safety Council 2016 Five Star Occupational Health and Safety Audit specification 2016 17
No-one should
be injured or
made ill at work.

British Safety Council

70 Chancellors Road
London W6 9RS
United Kingdom
T +44 (0)20 8741 1231
E ask@britsafe.org
www.britsafe.org/audit
/britishsafetycouncil
@britsafe
/company/british-safety-council
MA163
© British Safety Council Five Star Audit Specification Document 2013 18