06 Documentation

Documentation
Safety And Health Officer Certificate

Course
NOSH GLOBAL SDN BHD 1

Learning Objectives
 To describe 4 levels of documentation
 To describe writing procedure
 To describe how records are control

Scope
 Levels Of Documentation
 Documentation Requirements
 Procedure Writing
 Document Control

Levels Of Documentation
 What is a document
◦ Paper or booklet providing information
◦ Record or report in detail
 There are four levels of documentation

◦ Manual
◦ Procedures
◦ Instructions
◦ Forms and records
The Documentation Pyramid
Safety
Manual
Procedures
Instructions
Records, Forms, Reports
Hierarchy Of Documentation
Level 1 - Manuals

What are OSH Manuals For?
 Provide information for effective control

of hazards in the workplace
 To control OSH management

activities in accordance with requirements

Contents Of OSH Manual
 Statements, procedures, instructions and

records

Contents Of OSH Manual
The manual at the minimum contain:
 OSH policy statement and OSH objectives
 Assignment of roles and responsibilities
 List of significant hazards/risks and
arrangements for prevention and control
 Personnel competency and training
records
 Procedures, instructions and other internal
documents for OSH management

Level 2 - Procedures

What Are OSH Procedures?
 Translation of the organisation’s policies,
objectives, and programmes into specific
instruction.
 Basis for effective control of hazards and

of risks.

What Are OSH Procedures?
 To control management activities in

accordance with specified requirements.
 Procurement activities and arrangements
 Monitoring and control activities
 Selection and use of materials or equipment

Documentation (Procedures) are
Required when:
 A consistent and standard approach is
required
 Risky, hazardous or complex operations

requiring sequence and detailed steps
 Lesson learnt from previous mistakes need to

be captured and communicated to others so
that it will not be repeated NOSH GLOBAL SDN BHD 13
When Procedures are Required –
Support Activities
 Inter-department relationships such as finance,
human resources and general administration
 Achieving compliance with policy, programme

and legal and other requirements

When Procedures are
Required – Support Activities
 Monitoring and control arrangements and

activities
 Selection
and use of raw materials and
equipment

Example of Procedures
 New Employees  Confined Space Entry

 Injury / Illness Reporting  High Pressure System
and Investigation  Compressed Gases,
 Risk Assessment Cryogenic Liquids,Vacuum
 Relevant Legislation and Equipment
Implementation  Chemicals, Solvents,
 Rules for Visitors Flammable Materials
 Emergency Plans  General Shop Policies
 Personal Protective  Electrical Systems Safety

Equipment  Lockout / Tagout
 Construction Safety
Level 3 - Instructions

Instructions
(How we do our daily jobs)
 Provide detailed information on how to:
◦ Perform specific tasks
◦ Use of specific method and system of work
◦ Use of specific equipment
◦ Timing
◦ Result
◦ Prepare forms
◦ Refer to other documents

Example of Instruction
The instruction for unloading a tanker:
◦ Apply hand brake, use wheel chocks and connect

an earthling lead
◦ Attendance of the driver and warehouse

representative at all times whilst unloading (cross
referenced to their specific responsibilities, as
above)
Example of Instruction
◦ Checking the connection of the delivery hose,

drainage of the residual liquid into a container on
disconnection and
◦ Having a spill containment kit available during the

unloading process (cross-referenced to the
procedure covering spill response and
emergencies)
Level 4 - Records, Forms,
Reports And Registers

(How we did our daily jobs)
 Records are documents used to track and
demonstrate performance
 A form is a documentation to standardise

records

(How we did our daily jobs)
 Reports are summaries of performance

or their analysis
 Register is an official or formal list

recording names, events, or transactions

Records may Include:
 Management system implementation records
 Work-related injuries, ill health, diseases and

incidents
 Regulatory requirements

Records may Include:
 Workers' exposures, surveillance of the

working environment and workers' health
 Results of both active and reactive monitoring

Examples Of Records
To Be Kept
 Legal, regulatory and other  Hazardous material spill /
code requirements other incident reports
 Results of risk Assessment  Communications with
 Permits, licenses and other customers, suppliers,
approvals contractors and other
 Training records
external parties
 Results of management
 Audit and regulatory
reviews, minutes of meeting
compliance audit reports
 Sampling and monitoring
 Reports of identified
data
nonconformities, corrective
action plans and corrective  Maintenance records
action tracking data  Equipment calibration
records
Records And Retention Periods
On-site Records/files
Document Retention
time
Training records 10 yrs.
Monitoring data 30 yrs.
Failures, incidents, complaints and 30 yrs.
follow-up actions
Maintenance records 10 yrs.
Chemical inventory reports 30 yrs.
Hazard communication documents 30 yrs.
MSDS 10 yrs.
Permits-while active
Procedure Writing

Documentation vs. Training
 Keep procedures to the minimum
 Supplement procedures with education,

training and supervision. Many accidents are
caused by:
 Lack of procedures
 People are unaware of the procedures
 They do not understand the procedures
 Procedures without training is ineffective
Documentation vs.Training
 Procedures not reviewed, revised and updated

could be hazardous

What Should Be in the
Procedures
 Clear definition of the organisational structure

 Reporting relationships if any
 Authorities
 Management controls (approvals, etc,)
 The competence, qualification, training and
education of personnel
 Process steps

Making Use of Procedures
 Safe system of work procedures can be

incorporated into a method statement.
 A collection of safe systems of work can be

put together to form a wide-ranging and
practical rulebook for employees.

Basic Requirements
 Clearly written (what people need to do),
accurate, and comprehensive
 To be understood by those who have to use

them (user-friendly)
 Involve users in writing

Basic Requirements
 Periodically reviewed
 Revised as necessary
 Communicated to users
 Readily accessible to all affected by them

Basic Requirements
 Procedures should be appropriate to the
nature, complexity and significant risk
 Established, managed and maintained
locally
 Should be identifiable
 Records
◦ Traceable
◦ Retention times should be specified
◦ Health records are confidential
Writing A Procedure
 Procedures should cover, where relevant, the

three periods of undertaking:
◦ Before work is begun (preparation)

◦ During
◦ After (cleanup and commissioning)

Writing A Procedure
 Procedures should also cover periods of:
◦ Start-up operations
◦ Normal operations
◦ Abnormal operations e.g. during maintenance
◦ Emergency Operations e.g. during a flood

Writing A Procedure
Approval Requirements
◦ New procedures and all revisions
◦ Approval assures that all involved and affected have

the opportunity to take exception to, offer input
to, or approve of administrative procedures
◦ The approval of head or CEO of issuing

organisation is most important
Writing A Procedure
Approving authority
A. Issuing department's manager

B. Person primarily responsible
C. Any manager whose department is affected
D. Author of the document
E The SHO
F. Head or CEO of the issuing or using organisation

Documenting Standards
 Effective date
 Responsibilities
 Approval signature line
 Title of document
 Effective date
 Revision number
 Purpose of the document (work instruction,

procedure, etc.)
 Scope/applicability of the document

 References
 Page numbering (page 1 of 4,2 of 4, etc.)
 Procedural steps

Purpose Of Procedure And
Records Control
 There should be a procedure to ensure:
◦ That they can be located

◦ Are periodically reviewed, revised as
necessary
◦ Approved for adequacy by authorized
personnel
◦ Current versions of relevant documents are
accessible for those who need them
Prevent Non-current Documents
From Unintended Use
 Remove promptly from:

◦ All points of issue
◦ All points of use
 Archival documents are suitably identified

 Note: Archival documents are data retained for legal
and knowledge preservation purposes.

Summary
 Procedures ensure consistency and
continuity of work.
 Procedures minimise accidents especially for

hazardous operations or workplace
environments.

Summary
 Procedures have to be clear written, simple

and supplemented by training
 Procedures have to be reviewed and

revised
 Procedures have to be controlled

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Documentation

Safety And Health Officer Certificate

NOSH GLOBAL SDN BHD 1

 To describe 4 levels of documentation

 To describe writing procedure

 To describe how records are control

NOSH GLOBAL SDN BHD 2

NOSH GLOBAL SDN BHD 3

 There are four levels of documentation

Records, Forms, Reports

NOSH GLOBAL SDN BHD 6

 Provide information for effective control

 To control OSH management

NOSH GLOBAL SDN BHD 7

 Statements, procedures, instructions and

NOSH GLOBAL SDN BHD 8

NOSH GLOBAL SDN BHD 9

NOSH GLOBAL SDN BHD 10

 Basis for effective control of hazards and

NOSH GLOBAL SDN BHD 11

 To control management activities in

NOSH GLOBAL SDN BHD 12

 Risky, hazardous or complex operations

 Lesson learnt from previous mistakes need to

 Achieving compliance with policy, programme

NOSH GLOBAL SDN BHD 14

 Monitoring and control arrangements and

NOSH GLOBAL SDN BHD 15

 New Employees  Confined Space Entry

 Personal Protective  Electrical Systems Safety

NOSH GLOBAL SDN BHD 17

NOSH GLOBAL SDN BHD 18

The instruction for unloading a tanker:

◦ Apply hand brake, use wheel chocks and connect

◦ Attendance of the driver and warehouse

◦ Checking the connection of the delivery hose,

◦ Having a spill containment kit available during the

NOSH GLOBAL SDN BHD 21

 A form is a documentation to standardise

NOSH GLOBAL SDN BHD 22

 Reports are summaries of performance

 Register is an official or formal list

NOSH GLOBAL SDN BHD 23

 Management system implementation records

 Work-related injuries, ill health, diseases and

NOSH GLOBAL SDN BHD 24

 Workers' exposures, surveillance of the

 Results of both active and reactive monitoring

NOSH GLOBAL SDN BHD 25

NOSH GLOBAL SDN BHD 28

 Supplement procedures with education,

 Procedures not reviewed, revised and updated

NOSH GLOBAL SDN BHD 30

 Clear definition of the organisational structure

NOSH GLOBAL SDN BHD 31

 Safe system of work procedures can be

 A collection of safe systems of work can be

NOSH GLOBAL SDN BHD 32

 To be understood by those who have to use

 Involve users in writing

NOSH GLOBAL SDN BHD 33

 Readily accessible to all affected by them

NOSH GLOBAL SDN BHD 34