Performance Evaluation and Improvement

BY
MANOJKUMAR PONNUSAMY
TEACHER FOR THIS PROGRAM
 LEARNING OUTCOMES

Describe the
performance
Be able to
evaluation of Explain what is Define what Summarize the
discuss Describe the
occupational involved in 'continual 'check and act'
monitoring, process involved
health and safety management enhancement' part of the
measurements in internal audits
management reviews means OH&SMS 
and analysis
systems
(OH&SMS) 
 PERFORMANCE MEASUREMENT

PERFORMANC
TASKS CRITERIA RECORDS
E
 PERFORMANCE
Performance evaluation (Clause 9) lists the requirements of
assessing the performance of the OH&SMS.
This clause encompasses three areas of evaluation:
Monitoring, measurement and analysis
Internal auditing
Management reviews
Management must develop, apply and carry out (Clause 9.1)
different processes for monitoring, measurement and analysis.
Management must identify the following:

• The level of compliance to laws and other requirements

• The activities and processes involved in recognizing hazards, risks
and opportunities
• Improvements toward the attainment of the organization's health
and safety objectives
• The impact and efficiency of operational (and other) controls
 TASKS
Monitoring can be based
on:

Observation of work being

done

Assessment of
documented information

Interviews with people to

discuss performance levels
Measurement is the allocation of numbers or values to
performance, i.e. events and objects.
• It is related to performance evaluation and involves verifying
equipment and actions with respect to risks and hazards.

Analysis is the study and interpretation of data to discover

patterns, relationships and trends in workplace activities.
• It is closely associated with measuring events.
 CRITERIA
• Management relates its performance in the area of occupational
health and safety, according to certain criteria. 

• For example, the performance of other companies, accepted

codes, the company’s own codes, acknowledged standards, the
organization’s objectives and historical OH&S statistics.
• Management must assess its health and safety performance and
be aware of the efficiency of its OH&SMS.
• Management must ensure, for example, that work equipment is
relevant, calibrated, verified and used appropriately.
RECORDS

Management must keep

relevant documentation
 as proof of performance
measurement,
monitoring, analysis and
to demonstrate results.
 COMPETENCE
Clause 9.1 defines the meaning of “measuring and monitoring” and offers
particular instances of what can be measured to fulfill the standard. For example: 
• Measurement against objectives 
• Progress on continual improvement
• The monitoring of workers health and fitness
• Recorded instances of injuries and illness
• Trends

Competence is identified in Clause 9.1, as evidence that workers and

management work effectively together, in terms of the recognition of hazards and
risk mitigation measures.
 COMPLIANCE
The ISO 45001:2018 standard states what must be measured
and monitored to ensure OH&S legal compliance. Discontinuities
must be recognized, solved and documented. Examples of other
factors that must be taken into account are:

• Corporate policies and agreements

• Insurance requirements
• Company and union agreements
• Other rules regulations
 System Criteria and Assessment
systematic
An organization should have a systematic method for monitoring and measuring
its health and safety performance on a continuous basis and this should be part of
its OH&SMS.

Without, hopefully, laboring the point too much, monitoring and measuring an
organization's health and safety performance, should include the following:
• All relevant health and safety legislation
• Mutual relevant agreements
• Standards and codes
• Insurance requirements
• Activities and processes concerning the recognition of risks, hazards and
opportunities
 ASSESSMENT

A compliance assessment
A compliance assessment plan
program covers all
can be joined to other This means the organization,
occupational exposure to It should be remembered that
evaluation activities. These at a minimum, must comply
legislation requirements. legal compliance is
can form part of the with all legal requirements.
Evaluation can be influenced the minimum requirement in
management system audit, Finally, as discussed, the
by elements such as historic the standard, for evaluating
for example environmental organization must keep
compliance, or the time at the effective implementation
audits or quality management documentation of the results
which legislation was adopted of the OH&SMS.
system assessments. of its compliance evaluation.
or changed. 
 INTERNAL AUDIT
Clause 9.2.1 in ISO 45001, outlines the execution of internal audits by management in
organizations.

The internal audit must meet the criteria of the OH&SMS and the results (outputs) must be
made presentable to top management and relevant personnel. 

The internal audit plan must be well-scheduled and developed, with a thorough understanding of
the OH&SMS scope.

The plan should be developed on the basis of risk assessments and former audit reporting. 

The internal audit should be conducted more vigilantly than in the comparable standards of ISO
9001 (quality management system) and ISO 14001 (environmental management system). 
 PURPOSE

The justification for conducting serious internal audits is

simple: Nonproductive internal audits in an OH&S system, can
threaten the health and safety of an organization’s workforce. 
 AUDITING SCOPE

MANAGEMENT AUDITOR OBJECTIVITY

 MANAGEMENT
Internal audit program (Clause 9.2.1): Top management or their delegated personnel must
perform the following:
(a) Plan, develop, apply and carry out an audit program, that accounts for rate of
occurrence, techniques, responsibilities, consultation, planning needs and reporting. It must
also take into account the significance of processes and the results of former audits.
(b) Outline the criteria of the audit and its scope.
(c) Choose auditors and perform audits to ensure objectivity and non-bias in the audit
process.
(d) Make sure the results of audits are presented to: the relevant managers, employees, and
other interested parties.
(e) Take measures to remove any nonconformities and "continually improve health and
safety performance". 
(f) As always, produce documentation as proof of the audit and results.
 AUDITOR

The internal audit should be performed at “scheduled intervals,” or additionally, if it is seen as helpful to the ISO
45001 system.

WHO?: The standard states that the choice of the auditor should ensure “impartiality and neutrality.” Also,
the auditor must have knowledge, work experience, recognized training and be familiar with health and
safety policies, objectives and performance. 

Managements should receive external advice from professionals, for their internal audits.

This shows that the internal audit is a critical process.

 HOW?

The internal auditor must have all the relevant information available, as part of
the “input” of the auditing process, i.e. risk assessment, data and outcomes,
health and safety performance results, stakeholder inputs and health and safety
objectives. 

The auditor must also have full access to all of the information and people
relevant to the performance of OH&S in the organization.
 OBJECTIVE
h e
f t he
s o f t mo ma In
m t o S, wo re  nag thi
t er en M rk obj em s m
i n em &S kes s, a w ec en an
ul, rov H ma on gs req ud ith tiv t w n
pf p s O or ti in ui it f . A e f ill er,
el i m n ' it da nd rem ul ls ra h
s h al tio ud en fi fil o, m av
tI i tinu iza e a mm it's .  e
th nt ls th ew e a
e s s th e i or
n an t h o ud ts
co org hen rec e a sul tan and e d nte k t
w und n th d re da sc irec rna o
rd op t l
so ed o an .  eo
a s f
b
 MANAGEMENT REVIEWS
Criteria
The ISO 45001 standard (Clause 9.3), necessitates the review of the organization's OH&SMS
appropriateness and suitability, to be carried out by top management at scheduled intervals. 
Management review enables an organization to systematically analyze and gauge the performance of its
OH&SMS, to determine if it continues to be:

APPROPRIATE - processes, values and business systems

SATISFACTORY - is the management system applied properly?
USEFUL - does the management system achieve its intended results?

Management reviews should be completed on a regular basis, for example: quarterly, bi-annually or
annually. 
Fractional management reviews of an organization's OH&SMS, can be performed at more regular intervals, if
needed.
 FEATURES

• The status of actions taken following previous management review(s)

• Internal and external issues that influence the OH&SMS, for example risks and opportunities,
the requirements and expectations of interested parties, legal and other requirements.
• Sufficient dialogue with internal and external interested parties
• An analysis of the resources needed for
achieving an effective OH&SMS
• Prospects for
continuous improvement
 PERFORMANCE
• Reviews should include information on the organization’s
OH&S performance, including developments in the following:
1. The attainment of OH&S objectives
2. Incidents, accidents, nonconformities and corrective actions
3. Measurement and monitoring
4. The assessment of compliance with legal and other requirements
5. Internal and external audits
6. Participation, discussion and consultation with employees
7. Risks, prospects and opportunities
 EVALUATION
1. The ongoing sufficiency, rationality and effectiveness of the OH&SMS, with regard to the achievement of its
intended results.

2. Areas for continual improvement.

3. Requirements for modifications to the system.

4. Additional resources required.

5. Other actions required.

6. Opportunities to integrate the OH&SMS further/differently with business processes, e.g. quality, the
environment, continuity etc.

7. Impacts on the strategic direction of the organization.

CONTINUOUS IMPROVEMENT STEPS

INVOLVEMENT

ACTIONS DOCUMENTATION
 INCIDENT ANALYSIS

ANALYSIS ROOT CAUSE FACTORS INVESTIGAT

IONS
 CORRECTIVE ACTIONS
Modifications
Organizations are responsible for corrective actions concerning
the management of change and the hierarchy of controls.
A. Updating process maps
B. Revising procedures
C. Updating the risk register
 CONTROLS
Eradicate hazards

Use less dangerous materials

Re-engineer or change machinery and tools

Modify the rate of using equipment

Enforcing the use of personal protective equipment (PPE)

REFERENCES

The concept
of continuous
improvement is
referenced in other
management systems
(Annex SL), for example:
ISO 14001, ISO 9001
as well as in the ISO
45001:2018 standard.
THANK YOU