Management system guidance
5.0 Leadership and Worker Participation
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5.3 Organizational roles, responsibilities and authorities
Clause 5.3 requires top management to make sure responsibilities and authorities for relevant OH&S roles are assigned, communicated at all levels of the organization and maintained as documented information. Workers at every level must also take responsibility for the parts of the OH&S management system that they control. Responsibility and authority can be delegated, but top management remains ultimately accountable for how the OH&S management system functions.
In addition, top management must assign the responsibility and authority for:
- Ensuring that the OH&S management system conforms to the requirements of ISO 45001;
- Reporting OH&S management system performance to top management.
These two roles can be given to one person, shared between several people, or held by a member of top management. ISO 45001 does not require a single “management representative”.
Defining and communicating roles
Each worker needs to know who is responsible for the various elements of the OH&S management system. Develop an organization chart and job descriptions that clearly define OH&S roles, responsibilities and authorities, and communicate them throughout your organization. Other methods, such as a responsibilities matrix in your OH&S manual or procedures, are equally acceptable.
Make the list of key personnel, their OH&S responsibilities and the organization chart available to all workers. Records should include a definition of the levels of management with authority to make decisions, for example who can stop work, approve a permit to work, authorize expenditure on controls or sign off a risk assessment. Clause 5.4 requires the organization to emphasize the consultation of non-managerial workers when assigning these roles, responsibilities and authorities, as applicable.
Safety accountability and responsibilities
Your organization should clearly define the lines of OH&S accountability throughout its operations, including the direct accountability of top management. Define the OH&S responsibilities and expected behaviors of key personnel, such as the health and safety manager, safety coordinators, supervisors, health and safety representatives and safety committee members. Safety is everyone’s responsibility: every person in the workplace needs to consider not only their own health and safety but also that of others, and all workers should understand their role in this regard.
It is essential that OH&S management is seen as an integral, strategic part of your organization’s business. There has to be a demonstrable board-level commitment (see 5.1 Leadership and commitment). Top management should:
- Approve the OH&S policy and actively support it;
- Continuously promote the OH&S policy to all workers and demonstrate their commitment to it;
- Specify and allocate the necessary human and financial resources;
- Establish OH&S objectives and performance standards for the organization;
- Establish appropriate indicators to monitor and measure OH&S performance and the effectiveness of the OH&S management system (see 9.1.1).
Typical OH&S roles
The structure of your OH&S organization should reflect the size, nature and complexity of your business. ISO 45001 does not prescribe particular job titles, but many organizations:
- Nominate a director or senior manager to lead OH&S on behalf of top management;
- Appoint a health and safety manager or coordinator;
- Use competent health and safety advisors, internal or external;
- Have health and safety representatives chosen by workers;
- Run a health and safety committee.
Top management
Top management is responsible for business planning, OH&S management system planning, setting and deploying the policy and objectives, providing the resources needed to implement and improve the system, and conducting management reviews. Typical responsibilities include:
- Holding final accountability for OH&S performance;
- Ensuring activities can be financed and carried out safely, with adequate staffing levels;
- Promoting the OH&S policy when communicating with managers, workers and contractors;
- Ensuring resources are provided for maintaining and improving the OH&S management system;
- Ensuring management teams meet regularly to monitor and review OH&S performance;
- Promoting, recognizing and rewarding safe behaviors;
- Monitoring resource levels and approving expenditure;
- Reviewing and approving incident investigation reports;
- Participating in health and safety committee meetings.
Top management must accept their legal and moral obligations to ensure, as far as reasonably practicable, a safe and healthy working environment, and may appoint competent health and safety specialists to help discharge these duties.
Health and safety manager
Where appointed, the health and safety manager is the focal point for the day-to-day operation of the OH&S management system and often holds the two roles required by clause 5.3 a) and b). The post should have appropriate status and a direct reporting line to top management, so that it carries the necessary authority when dealing with OH&S matters. The role may be full time or combined with other duties in smaller organizations. Useful attributes include:
- Broad operational knowledge of the organization’s activities;
- Analytical and problem-solving skills;
- Effective oral and written communication skills;
- An understanding of human and organizational factors;
- Detailed knowledge of OH&S management principles and practices.
Remember that accountability for the OH&S management system rests with top management, not the health and safety manager. Typical functions include:
- Managing the OH&S management system implementation plan on behalf of top management;
- Facilitating hazard identification and risk assessment and the selection of controls;
- Monitoring corrective actions to make sure they are completed;
- Providing periodic reports on OH&S performance to top management;
- Maintaining OH&S documented information;
- Ensuring that OH&S training is available and meets acceptable standards;
- Providing advice on health and safety matters;
- Initiating and participating in incident investigations;
- Collating and sharing information from similar organizations, regulators and contractors.
Health and safety representatives
Health and safety representatives represent the health and safety interests of workers and are a common mechanism for consultation and participation. In the UK, their rights are set out in the Safety Representatives and Safety Committees Regulations 1977 (for representatives appointed by recognized trade unions) and the Health and Safety (Consultation with Employees) Regulations 1996 (for elected representatives); check the equivalent legislation in your country. Representatives should be chosen by workers and receive appropriate training, refreshed as needed. Their functions commonly include:
- Attending health and safety committee meetings;
- Investigating potential hazards, dangerous occurrences and the causes of incidents;
- Investigating colleagues’ concerns and complaints and presenting them to management;
- Carrying out workplace inspections;
- Inspecting documents relevant to health and safety in the workplace;
- Making representations to top management;
- Meeting and receiving information from regulatory inspectors;
- Helping to plan and organize health and safety training.
Representatives must be given access to the information necessary to fulfil their function, be notified of visits by the regulator, and be protected from reprisals for carrying out their role.
Health and safety advisors
Health and safety advisors support the health and safety manager by:
- Providing advice and information on health and safety matters to workers and others;
- Identifying hazards and assessing OH&S risks;
- Ensuring operational controls are implemented and monitored;
- Coordinating OH&S issues with workers and improvement groups;
- Publishing internal communications and safety newsletters;
- Completing audits according to the internal audit programme;
- Increasing the competence and awareness of workers at all levels through training, awareness initiatives and sharing good practice.
Workers
Every worker is responsible for the aspects of the OH&S management system within their control, such as following safe systems of work, using controls and personal protective equipment correctly, and reporting hazards, incidents and near misses. Workers should be able to report hazardous situations and concerns without the threat of dismissal, disciplinary action or other reprisals, and should be aware of their ability to remove themselves from work situations they consider present an imminent and serious danger (see 7.3 Awareness).
You should seek and record evidence that OH&S responsibilities and authorities are defined and maintained as documented information (organization charts, job descriptions, responsibility matrices), that they have been communicated at all levels, and that named people hold the responsibility and authority for ISO 45001 conformity and for reporting OH&S performance to top management. Interview workers to confirm they understand their own OH&S responsibilities, know who to go to with concerns, and recognize that top management remains accountable.
More information on PDCA
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