The OHS Professional Capability Framework A Global Framework for Practice Role, Knowledge and Skills

Transcription

1 The OHS Professional Capability Framework A Global Framework for Practice Role, Knowledge and Skills October 2015 International Network of Safety and Health Practitioner Organisations

2 Contents ACKNOWLEDGEMENTS 1. INTRODUCTION 1.1 INSHPO 1.2 Definition of Capability Figure 1: A Global Framework for Practice 1.3 Clarifying OHS roles OHS Professionals OHS Technicians Comparison 2. THE OHS PROFESSIONAL FRAMEWORK 3. CONTEXT 3.1 The OHS profession and the OHS Professional 3.2 Employment context 3.3 Scope of practice in the context of other professionals and specialists 4. ROLE OF THE OHS PROFESSIONAL 5. KNOWLEDGE 6. SKILLS APPENDIX 1: Hazard types managed by the OHS Professional and required underlying science APPENDIX 2: Hazard types managed by the OHS Professional and required underlying science Citation of this document: Pryor, P., Hale, A., Hudson, D., (2015). The OHS Professional: A framework for practice Role, knowledge and skills. International Network of Safety and Health Practitioner Organisations (INSHPO). Park Ridge, IL, USA. While the term Occupational Health and Safety or OHS is used in this document, it should be considered interchangeable with Occupational Safety and Health (OSH) or Work Health and Safety (WHS). 2

3 Acknowledgments The development of the Occupational Health and Safety (OHS) Capability Framework was initiated by the Board of Directors of the International Network of Safety and Health Practitioner Organisations (INSHPO). With the editorial support of Laura Clements at the American Society of Safety Engineers and research support from Bradley Turner, the Framework was developed by a small working party consisting of: Pam Pryor, Registrar of the Australian OHS Education Accreditation Board (AOHSAB) Andrew Hale, Professor Emeritus, Delft University of Technology, Netherlands and Chairman of HASTAM in UK Dennis Hudson, Director of Professional Affairs, American Society of Safety Engineers (ASSE) The INSHPO Board of Directors supported the development of the Framework by providing documentation, access to national experts and critical reviews of the emerging results. They also provided review of the Framework by seeking comments from their respective member organisations. Thanks are due to the following past and present Board members and supporters: Bae Gye-Wan, KOSHA (South Korea) Giancarlo Bianchi, AIAS (Italy) Andrew Cooper, CSSE (Canada) Ron Durdle, BCRSP (Canada) Wayne Glover, CSSE (Canada) Carl Heinlein, BCSP (USA) Paul Jarvie, NZISM (New Zealand) Kim Dong-Chan, KOSHA (South Korea) Philippe Lai Choo, IOSHM (Mauritius) Phil Lovelock, SIA (Australia) Dan Lyons, BCRSP (Canada) Vincent McNeilly, IOSH (United Kingdom) Stuart Naylor, NEBOSH (United Kingdom) Terrie Norris, ASSE (USA) Nikolay Novikov, NACOT (Russia) Eldeen Pozniak, CSSE (Canada) Martin Ralph, IFAP (Australia) Seet Choh San, SISO (Singapore) Treasa Turnbeaugh, BCSP (USA) Barry Wilkes, NEBOSH (United Kingdom) Nicola Wright, BCRSP (Canada) The working party collected and reviewed the documentation from national professional associations and certification bodies, including that already analysed by ENSHPO in the EUSafe project, to define the role, functions and competencies of occupational health and safety practitioners and professionals. Given the great diversity of approaches across countries, the working party developed a new overarching structure designed to encompass all approaches. The draft framework document was subject to critical review, both through INSHPO s own channels and at international conferences and presentations, including the XX World Congress on Safety and Health at Work 2014 in Frankfurt and the the 7th international conference of the Working on Safety Network (wosnet2014) in Scotland. The final version has been endorsed by the INSHPO Board of Directors. 3

4 1. Introduction 1.1 INSHPO The International Network of Safety and Health Practitioner Organisations (INSHPO) is the global voice for the occupational health and safety (OHS) profession. INSHPO provides an international forum for engagement on OHS-related matters and for advancing the OHS profession through the exchange of evidence-based practices and the development of a harmonized framework for the profession. Its member organisations include OHS professional bodies from the United States, Canada, the United Kingdom, the European Union, Australia, New Zealand, the Russian Federation, Singapore and Korea. INSHPO has recognized the need for a global framework for practice of OHS Professionals. In addition to this project, which defines the roles, knowledge and skills for both vocationally and university-educated (or other higher education) OHS personnel, related projects undertaken by INSHPO include: a model code of conduct for OHS professionals and practitioners guidelines for: accreditation of OHS education certification of individuals a literature review providing the basis for formulating a value statement for the OHS Professional. 1 OHS Professional must go beyond competence to capability. Competence has been defined as the ability to transfer and apply knowledge and skills to new situations and environments, consistently applying knowledge and skills to a standard of performance required in the workplace. 2 In comparison, capability is: The applied theoretical knowledge that underpins practice in occupations and professions and also the industry specific knowledge and skills that transcend particular workplaces and the tacit knowledge of the workplace. 3 The difference between competency and capability is that competency is about delivering the present based on the past, while capability is about imagining and being able to realize the future. 4 Competency is a necessary part of capability 5 but capability goes much further in that it is about confidence and adaptability; the development and effective use of the knowledge and skills in complex and changing circumstances, including those that may not have been previously experienced. Capable people have the knowledge, skills, selfesteem and values such that they have confidence in their ability to: 1.2 Definition of Capability While many may see it to be more normative to use competency to describe the nature of a professional framework, this document adopts a different approach in using the term capability. In developing this framework INSHPO considered that while it is vital for an OHS Professional to be competent, the effective and influential 1 See for details. 2 Naidu, R., Stanwick, J., & Fraser, K. (2013). Glossary of VET. Adelaide: NCVER. 3 Wheelahan, L., & Moodie, G. (2011). Rethinking skills in Vocational Education and Training [Electronic Version], from 4 Stephenson, quoted in Lewis, J. (2009). Introducing the ACEL leadership capability framework. Curriculum and Leadership Journal, 7(16). 5 Hase, G., & Davis, L. (1999). From competence to capability: the implications for human resource development and management. Paper presented at the Millennial challenges in management, education, cybertechnology and leadership: Association of International Management, 17th Annual Conference San Diego. 4

5 take effective and appropriate action explain what they are about live and work effectively with others and continue to learn from their experience as individuals and in association with others in a diverse and changing society. 6 Thus, while competence is essential for OHS practice, the concept of capability provides a further dimension that expands our understanding of the required knowledge and skills and how these should be applied a part of positioning the OHS profession and OHS Professionals for the future. 6 Stephenson, J. (1992). Capability and quality in Higher Education In J. Stephenson & S. Weil (Eds.), Quality in Learning Kogan Page. 1.3 Clarifying OHS roles OHS is an emerging profession that is often not well defined, locally or globally. The scope and nature of the role, education requirements, and regulatory context vary across and even within countries. Perceptions of the role, including recognition by employers and the community, also vary both across and within countries. Only a few countries have a regulated requirement for practice, with the result that unqualified people are practicing in the area which not only affects the quality of OHS advice, but creates a negative perception of the subject, the role and the profession. The lack of clarity around the OHS role has also negatively affected the perceived value of the OHS professional role in organisations. Figure 1: A Global Framework for Practice 5

6 The OHS role originated in many organisations as a technical compliance officer, educated via a vocational track and mainly engaged at lower levels in the organisation, providing technical advice focused on compliance, personal protective equipment and a reactive response. Over the last half century it has diverged into two paths, one path vocational and the other a more managerial/professional role that influences, engages and coaches all levels of the organisation, including senior management. In contrast to historical roles, OHS professionals are increasingly being recognized as strategic partners in organisational change who facilitate the integration of OHS into the overall function of the organisation. OHS education is also changing, as OHS professionals and the organisations that employ them are increasingly demanding university-level professional qualifications that meet professional accreditation requirements. OHS professional bodies are reviewing their requirements for membership recognition and a number of countries are undertaking high-level projects to advance professionalism. 7 While there may be a range of OHS roles in the workplace, INSHPO has recognized the need to formally define the OHS role in two clear categories: the OHS Practitioner, who is vocationallyeducated, and the OHS Professional, who is universityeducated (or has attained a similar level of higher education). 7 See for example the Australian OHS Body of Knowledge project and the IOSH Competency Framework. The two roles are defined in generic terms in the next two sections. While this framework provides the roles and tasks, knowledge and skill requirements and core hazards of the OHS Professional, greater detail on the OHS Practitioner role is provided in The OHS Practitioner Competency Framework: A Framework for Practice. OHS Professionals OHS Professionals design an organisation s OHS management strategy within the wider context of business processes and external regulatory, market and societal influences. Influential with senior management, they are advisers and consultants involved in problem solving and organisational review/change. Mediated by experience, analysis of evidence and critical thought, their advice is based on conceptual and technical knowledge of design and operations, enabling them to extend their understanding and control to novel, unknown and complex risks and their controls. OHS Professionals understand how to access, use, critically evaluate and develop the evidence base and they value professional collaboration. They are likely to work solo or give direction to others. In the majority of cases they gain their OHS education through the higher education sector. OHS Practitioners OHS Practitioners implement strategies and actions usually designed by an OHS Professional. They support a safe working environment by maintaining OHS administrative processes, conducting basic training and using a range of state-of-the-art 6

7 tools, processes and standard practice solutions to manage OHS risks. Particularly focused on evaluating routine and well-known processes and work, OHS Practitioners oversee and drive monitoring and compliance in relation to technical and behavioural risk controls. They are likely to have a focus on the workplace and the organisation s primary processes and communicate predominantly at middle management, supervisor and shop-floor levels. They usually work under direct or indirect supervision or mentorship and have positions focused on known contexts within established parameters. Within those parameters they have substantial personal responsibility for the planning and quality of their own work. They usually gain their OHS education through the vocational or technical education sector. Role Profiles INSHPO recognises that there are gradations within both the OHS Practitioner and OHS Professional categories and have developed role profiles at 3 levels within each of the categories. Table 1 gives the profile details for the core level for the OHS Practitioner and for the OHS Professional with the full profiles for each category provided in Appendix 1. Individuals on the OHS Professional and OSH Practitioner paths are increasingly educated in either the vocational/technical track or the higher education/professional track, respectively. Except for those on the Practitioner path willing to acquire a university-level qualification or equivalent to bridge the gap between the two roles, there is no obvious career progression between the two. The OHS role originated in many organisations as a technical compliance officer, educated via a vocational track and mainly engaged at lower levels in the organisation, providing technical advice focused on compliance, personal protective equipment and a reactive response. Over the last half century it has diverged into two paths, one path vocational the other a more managerial/ professional role that is influencing, engaging and coaching all levels of the organisation, including senior management. 7

8 Table 1: Core position profiles for OHS Practitioner and Professional Roles 8 Position details Typical titles Key purpose of role Typical reporting Professional parameters Autonomy Influence Complexity Business and organisational skills Knowledge and skills Knowledge Analysis and evaluation of information Problem Solving Transmission of knowledge skills and ideas Qualifications Qualification level Example qualifications Vocationally-Educated OHS Practitioner Profile OHS advisor, practitioner, officer, coordinator, technician/technologist To contribute to the maintenance of a safe work environment by managing OHS administrative processes, conducting training and effectively using a range of OHS tools and processes to implement OHS programs and drive compliance. In larger organisations: to an OHS professional. In small or medium-sized enterprises ( SMEs ): may report to manager/ceo with advice from contracted consultant. Works under defined responsibility in known or changing contexts and within broad but established parameters. Works under general direction with personal responsibility for own outputs within broad parameters; determines when issues should be escalated to a higher level. Interacts with and influences operational, supervisory and middle management staff and consultative groups across a designated area. May make decisions with the potential to affect the work of others. Performs a range of work that is sometimes complex and non-routine in a range of environments. Demonstrates an understanding of the wider implications of OHS strategies and activities for other functions and areas of the organisation. Applies cognitive and communication skills to identify, analyse, synthesise and act on information from a range of workplace sources. Applies cognitive and communication skills to identify, analyse, synthesise and act on information from a range of workplace sources. Applies cognitive and technical skills to analyse, plan and evaluate approaches to sometimes unpredictable problems in known environments. Uses communications skills to transfer knowledge and skills to others. AQF 9 5/EQF 10 4 AQF 7,8/EQF 6 Diploma in OHS Higher Education/University-Educated OHS Professional Profile OHS director, vice-president, manager, professional, consultant, specialist To initiate, develop and maintain a safe and healthy work environment by identifying organisational OHS staffing and training needs; applying specialist skills and knowledge of the OHS evidence base to develop, implement and evaluate OHS strategy and programs across an organisation or division. In larger organisations: directly to the board of directors, or indirectly via a board member (i.e., managing director, CEO, operations director). In SMEs: managing director/ceo, operations manager, human resources manager. Makes high-level independent judgments; plans, implements and monitors substantial projects. Develops relationships with senior management, OHS professionals and practitioners to create/influence OHS-related policy, objectives and strategy. May manage an OHS group. Liaises with industry leaders and OHS regulatory agencies. Creatively performs a range of highly complex OHS activities and leads the formulation and implementation of OHS strategy. Understands and influences the wider organisational/business environment and its impact on OHS management. Demonstrates understanding of advanced theoretical OHS concepts and technical knowledge within a systematic and coherent OHS Body of Knowledge. Applies cognitive and technical skills to: access, analyse and evaluate information; think critically and generate and evaluate complex ideas inform OHS practice. Applies critical thinking, information gathering, communication skills and judgment to identify and analyse complex OHS problems to generate practical evidence-informed solutions taking into account legislation, industry standards and the organisational environment. Interprets and tailors information to communicate knowledge and ideas to workplace and professional audiences using appropriate written, oral and non-verbal communication strategies and formats. Bachelor, Graduate Diploma in OHS 8 This table was developed with reference to The Australian Qualification Framework, Ed 2. (2013). The European Qualification Framework ploteus/en/content/descriptors-page; Skills Framework for the Information Age. 5th Ed, (2011). SFIA Foundation. en.r4.pdf; OHS Professional Capabilities. (2012). Australian OHS Education Accreditation Board. OHS-Capability-3-Capability-statements.pdf 9 Australian Qualifications Framework 10 European Qualifications Framework 8

9 2. THE OHS PROFESSIONAL FRAMEWORK INSHPO has developed this framework to facilitate a shared understanding of the role of the OHS Professional as a key advisor, strategist and leader in fully integrating the management of OHS risk into a sustainable business practice. The framework promotes a high standard of capability among OHS Professionals and in turn informs employers and regulators as to the capabilities of OHS Professionals. The sections on knowledge and skills provide benchmarks for education and training bodies and OHS professional associations in their development of the detail of certification schemes, educational programs and continuing professional development. It is recognized that there will be differences in terminology and emphasis across different countries depending on history, legal and regulatory frameworks and industry mix. This framework gives generic guidance which will need to be adapted and developed in more detail by each country to account for such differences. The framework was developed by comparing documents provided by OHS professional bodies and OHS certification bodies for European Union countries (particularly the United Kingdom, the Netherlands and those included in the EUSafe project), the United States, Canada, Australia, Singapore and the Russian Federation. Tremendous variation in these documents structures and underlying organising principles lent itself to the creation of a new structure that draws on the strengths of each country. This structure uses dimensions and domains to describe the role of the OHS Professional at a generic level that allows for variations in national regulations, histories and cultures as they pertain to OHS practice. This document is intended for six target audiences: OHS professional associations: to inform their certification and other assessment processes. OHS Professionals: to act as a reference for their professional practice, to aid the development of continuing professional development plans and to assist in promoting the OHS Professional role in relation to that of the OHS Practitioner. OHS educators: to use while developing and reviewing OHS education programs. Employers and recruiters: to assist in developing position descriptions for OHS roles and in recruiting OHS personnel. OHS regulators: to aid in the understanding of the OHS Professional role, clarify the requirements for certification/registration/licensing of OHS Professionals and to inform the professional development of inspectors. The community: to assist in creating a better understanding of the scope of the OHS Professional role. The Capability Framework has four components: Context Role of the OHS Professional Knowledge Skills 9

10 3. CONTEXT 3.1 The OHS profession and the OHS Professional The OHS profession comprises a number of disciplines, including occupational health and safety, occupational/industrial hygiene and ergonomics. The relationship of the OHS Professional to the OHS profession is analogous to that of the general practitioner in the medical profession. Like a general practitioner, the OHS Professional is a generalist in the practice of OHS, liaising with and referring as appropriate to supporting professions. The OHS Professional role requires an understanding of a unique multidisciplinary Body of Knowledge concerning risk and the elimination or reduction of fatalities, injuries, occupational diseases, ill health, property damage and the associated social and financial losses. Typically, the OHS Professional provides broad-based advice, support and analysis to organisations regarding risk assessment and controls and their management processes. The role also supports health and wellness as it relates to the work environment. The capable OHS Professional has generic knowledge appropriate to risk in all activities and employment, backed up by deeper knowledge of his or her specific industry, including its characteristic hazards and standard risk prevention, management and mitigation processes. OHS Professionals support organisations by: Developing a comprehensive risk profile for the organisation s activities Designing and supporting the implementation of OHS strategies to control those risks Influencing managers and decision makers Problem solving and providing advice based on conceptual and technical knowledge mediated by experience, analysis of evidence and critical thought and an understanding of how to use and access the evidence base. The OHS Professional possesses a broad understanding of a core range of hazards and hazard controls. As necessary, the OHS Professional should also liaise with and enlist the assistance of OHS specialists with deeper knowledge bases which may not be core to the OHS Professional, but are important in the overall risk picture. These specialists include, among others, ergonomists, occupational/industrial hygienists, organisational/occupational psychologists, occupational health professionals and professionals from allied professions such as engineers, fire protection engineers/specialists and physiotherapists. OHS Professionals trained initially as generalists may themselves develop these or other deeper specialisations relevant to their industry or type of employment as part of their career development. The OHS Professional may also collaborate with experts from disciplines such as sustainability, environmental protection, product safety, emergency response, security, rehabilitation and mental health, law and insurance. The OHS Professional should have sufficient understanding of each of these fields to identify the potential need for involvement with professionals in these and other disciplines. 3.2 Employment context OHS Professionals may be engaged as internal employees in medium to large or global organisations, particularly in complex and major hazard technologies, or as external consultants advising small to global organisations. They may work solo, as part of a team, or give direction to others. OHS Professionals will engage with any level of the organisation from shop floor to board room as well as other functions and professionals. They should report at a high level in the organisation, for example to the managing director, CEO, higher level OHS or risk director, operations director, or human resources director. They may have a team of OHS personnel reporting to them. This document is written at a generic level which allows for variation according to country, industry and organisation-specific application. 10

11 3.3 Scope of practice in the context of other professionals and specialists The focus of the activity of the OHS Professional s activity focus is providing advice in and support for the prevention and management of work-related fatality, injury, disease and ill health, property damage and associated social and financial losses. Work health and the promotion of physical and mental wellness are increasingly important areas for the OHS Professional. In some countries and in some organisations the OHS role also encompasses prevention and management of environmental hazards and sustainability. While many OHS Professional position descriptions may include one or more of the following areas of responsibility, this document does not consider them to be core functions and hence does not address them in detail: Environment: the core OHS Professional role is limited to environmental aspects and impacts associated with work activities. Emergency response management: the core OHS Professional role is limited to planning and liaising with other services providing firefighting, rescue and emergency treatment. Rehabilitation, return to work: the core role of the OHS Professional is limited to liaising with medical and occupational nursing specialists and advising on workplace adjustments to aid early return to work. Security: the core OHS Professional role is limited to managing and resolving conflicts between safety and security measures. Appendix 1 sets out a range of hazards of which the OHS Professional may be expected to have some knowledge. It is likely that there will be considerable variation in the range of hazards forming the core of the OHS Professional s knowledge base and practice depending on the industry within which they work, their professional interests and the country or countries within which they practice. Individual position descriptions may also note other areas of safety that share approaches, knowledge and skill bases and management and regulatory principles with OHS, such as transportation safety, product safety, patient safety, public safety, home and leisure safety and sport safety. These are not covered in this document. The OHS Professional role requires an understanding of a unique multidisciplinary Body of Knowledge concerning risk and the elimination or reduction of fatalities, injuries, occupational diseases, ill health, property damage and the associated social and financial losses. 4. ROLE OF THE OHS PROFESSIONAL The first level of the framework for the OHS Professional is the role statement. This is described at three levels: Dimensions provide the scope of the distinguishing boundaries of the OHS Professional role. Domains describe fields of activity within the dimensions. Explanatory comments provide information on the scope of activity within the domain. Seven dimensions are used to outline a framework for describing the area of activity of the OHS Professional: 1. Systems management approach 2. Organisational OHS culture 3. OHS risk management processes 4. Measurement and evaluation of OHS performance 5. Knowledge management 6. Communication, engagement and influence 7. Professional and ethical practice 11

12 Table 2: Role of the OHS Professional Dimension Domain Explanatory Comments 11 1 Lead and support the development and implementation of a systems approach to OHS. 2 Lead and support key influencers, including managers, on strategies to foster a positive, resilient OHS culture. 1.1 Lead the development of OHS management systems, policies, procedures. 1.2 Advise on and facilitate commitment of appropriate resources for sustainably managing OHS. 1.3 Support and motivate senior management and through them, all people in the organisation, to provide OHS leadership and to give appropriate priority to OHS in relation to other business objectives. 1.4 Facilitate development and utilization of strategic and operational plans to address and improve the control of OHS hazards, their associated risks and related costs. 2.1 Advise managers on appropriate management practices to achieve a positive, resilient safety culture. 2.2 Facilitate the identification and management of OHS implications of organisational change and influence the change process to minimize adverse and maximize positive effects of the change. 2.3 Engage with stakeholders and others to promote innovation in managing OHS. 11 Where no explanation is felt to be necessary the cells are deliberately left blank. Integrates with the overall goals, strategies and operation of the organisation. Takes account of both internal factors (technology, employee relations, hazards) and external factors (market, jurisdiction, regulations, insurance, national and organisational culture etc.). Applies to OHS management systems which cover the full cycle of risk assessment, policy, planning, consultation, resourcing, communication, implementation, documentation, motivation, measurement, evaluation and improvement. Applies to the whole technology and human factors cycle as appropriate to an organisation: design, construction, procurement, operation, maintenance, modification, decommissioning and disposal. Applies to the business cycle including new opportunities, partnerships, mergers, acquisitions and disposals. Applies to all who are affected by the organisation s activities, including employees, contractors, visitors, local residents, users of products. Resources include finance, competent personnel and equipment required for proactively managing OHS. People in the organisation includes contractors. OHS strategic and operational planning is integrated with broader organisational and operational planning. Includes furthering the engagement and empowerment of those in the organisation to enable better understanding and control of risks. In certain jurisdictions this may include collaborating with employee and trade union representatives. Stakeholders are those who may be affected or perceive themselves to be affected by an activity or decision. Relevant stakeholders include executives, managers, supervisors, worker safety representatives, workers, contractors, and in some cases the community and others who may influence or be affected by OHS hazards and management processes. Others who may have a role in promoting innovation in managing OHS include those who participate in OHS-related decision making such as finance, procurement, HR and maintenance. 12

13 Dimension Domain Explanatory Comments 11 3 Lead the development of OHS risk management processes and facilitate and support their implementation and maintenance. 4 Develop and lead processes for monitoring, measuring and evaluating OHS performance. 3.1 Develop and implement processes for hazard identification. 3.2 Using technical, human factors and other theoretical knowledge to research, review and interpret information on hazards to identify causation, consequences, possible risk controls and potential failure in controls. 3.3 Develop and lead processes to identify risk factors, analyse and prioritize OHS risks. 3.4 Provide technical information to inform risk analysis and risk estimation processes. 3.5 Provide advice on the requirements for compliance with OHS-related laws and standards. 3.6 Advise on cost effective and efficient hazard controls and risk minimization/ mitigation strategies taking a life cycle approach. 3.7 Support the implementation of controls for resilient OHS risk management and OHS risk minimization. 3.8 Monitor the integrity and effectiveness of controls to identify actual and potential failure in controls. 4.1 Develop criteria for monitoring OHS performance that take account of the overall organisational goals. 4.2 Implement processes for monitoring OHS performance that integrate with operational activities. In collaboration with other specialists for hazards outside the core expertise of the OHS Professional. Information may be obtained from a number of sources, including historical data, task analysis, monitoring of the work environment and relevant industry data. Range of hazards depends on the organisation and the division of roles (see Appendix 1). Hazard identification includes processes to identify previously unknown or unexpected (emergent) hazards for the organisation. Risk controls include systems, engineering, administrative, procedural, ergonomic, and behavioural controls and personal protective equipment. They include both prevention and mitigation. Risk assessment processes may be qualitative and/or quantitative. Risk analysis and risk estimation processes go beyond checklist and matrix-driven processes. Standards may include international, national, sector-specific and internal standards. Consideration should be given to barriers and controls (technical, human and organisational) in initial design and procurement, construction and installation, maintenance and modification, demolition and redevelopment of facilities, structures and equipment. Recommendations take into account requirements for legal compliance and minimizing level of risk, differentiating between compliance and beyond compliance. Recommendations should take into account the hierarchy of controls, legal requirements, organisational and workforce factors, and requisite variety, defence in depth and redundancy of controls. Recommendations cover both prevention and reduction of consequences, including emergency planning. Failures in control may be indicated by factors such as non-conformities which may become normalized. Criteria include lead/positive and lag/negative indicators. Processes for collecting data include observations, surveys, inspections, audits, incident, accident and non-conformity investigations, etc. Information may be obtained from a number of sources, including historical data, task analysis, monitoring the work environment, data recording, data management and analysis. 13

14 Table 2: Role of the OHS Professional (Continued) Dimension Domain Explanatory Comments 11 4 Develop and lead processes for monitoring, measuring and evaluating OHS performance. 5 Develop and implement processes for knowledge collection and management to enable positive OHS outcomes. 6 Communicate with, engage and influence decision makers and other stakeholders to mitigate risk and optimize worker health and safety. 4.3 Monitor the effectiveness of hazard and risk controls. 4.4 Monitor the effectiveness of risk management and OHS management processes. 4.5 Implement processes and procedures to investigate, analyse and report on incidents and non-conformities indicating failures or inadequacies of barriers and controls. 4.6 Manage OHS audit processes and conduct OHS hazard and system audits. 4.7 Support and structure periodic management reviews to systematically assess, monitor and identify areas for improvement in the OHS management system and OHS culture. 4.9 Make recommendations to address identified issues and improve OHS management and risk minimization. 5.1 Specify and use data management systems for collecting and validating information relevant to OHS. 5.2 Collect and critically evaluate information from diverse sources and databases as part of evidence-based practice. 5.3 Apply data and information to monitor OHS performance. 6.1 Develop and implement OHS-related communication and consultation systems and processes for the organisation. 6.2 Lead and facilitate OHS knowledge and skill development and understanding of OHS responsibilities, obligations and actions required to meet legal and risk management requirements. Takes account of cost effectiveness. Monitoring includes compliance with internal policies, procedures and standards as well as external legislative and industry-specific requirements. Investigation and analysis includes application of appropriate techniques for data collection through interview, document analysis and observation. Including both internal and external third party audits. Recommendations may be made through informal or formal reporting processes in oral or written formats. Data collection identifies current and emerging issues. Sources of information include both internal and external sources. Information collected and managed may include: Hazard and risk-related information (hazard, incident and injury reports; risk assessments; human factors analyses; workplace inspections; audit reports; specialist reports; safety data sheets and registers; systems failures; and trend reports) Organisational information (policies, programs, procedures, surveys, resourcing, project plans, production schedules, etc.) External information (laws, standards, guidance material, industry and research information). Data collection identifies current and emerging issues. Includes collection of tacit OHS-relevant knowledge developed by experienced employees. Evaluation should cover a variety of measures benchmarked against both internal and external data. For gathering and disseminating information and for actively engaging stakeholders in OHS management processes. Implemented with sensitivity to organisational and other cultural influences such as ethnic and age structures. Includes legal and organisational responsibilities. Others who may have OHS responsibilities are people who are involved in OHS decision making or who are affected by decisions. This may include finance, procurement, human resources, maintenance and other functional management areas. Where training strategies are applied, processes include training needs analysis, development of training programs, delivery of training, evaluation of training effectiveness against defined standards and development and maintenance of appropriate records. 14

15 Dimension Domain Explanatory Comments 11 7 Apply professional and ethical standards to practice. 6.3 Analyse and interpret information to communicate technical and theoretical concepts and knowledge about OHS. 6.4 Communicate and liaise with business partners, OHS regulators and other external bodies on behalf of the organisation. 6.5 Be a trusted advisor to influence management decision making to consider OHS implications. 7.1 Comply with laws and regulations governing professional practice of OHS and related activities. 7.2 Make impartial decisions and judgments based on scientific evidence and verifiable theoretical and professional knowledge and practice. 7.3 Operate with a level of autonomy to conceptualize, plan, implement and evaluate OHS projects and risk control and management processes. 7.4 Observe relevant codes of conduct provided by professional associations and other assessment and advisory bodies nationally and internationally. 7.5 Ensure that clients, employers and others who may be affected by their activities are aware of their levels of professional capability and seek specialist advice where appropriate. 7.6 Ensure currency of conceptual understanding, technical knowledge and industry practice. 7.7 Engage in evidence-informed reflective practice, evaluative activities and professional discussion with a view to testing ideas through peer appraisal. 7.8 Act as an exemplar of good OHS practice and behaviour to peers, co-workers and the public. Audiences may include all levels within the organisation as well as external audiences such as industry and local community, specialist and non-specialist audiences. Audiences at the organisational level may include shop floor workers, OHS committees, supervisors, managers, executive managers, boards, and organisational functions such as production, human resources, finance, procurement, external consultants, suppliers, contractors, and emergency services. A range of communication formats and media are to be utilised as appropriate to the audience. Interpretation and communication of information includes providing the underpinning rationale and taking into account the attributes of the target audience, including culture, terminology and business perspective. Covers government regulators, insurance companies and other organisations imposing OHS requirements. With sensitivity to organisational and other cultural influences such as ethnic and age structures. Where working in a number of countries, this entails comparing and reconciling national differences in laws and regulation. OHS professional association and/or certification organisation codes of conduct. Calls upon those with deeper knowledge as appropriate when advising on issues and problems beyond their personal capability. Keeping up to date with new developments and knowledge through professional development, certification and further qualification. Contribute to the further development of the profession. 15

16 5. KNOWLEDGE This section of the OHS Professional Capability Framework describes the knowledge required to undertake the tasks described in Section 4. The first section of the knowledge matrix describes the categories of knowledge with some description of the intended scope of the knowledge included in the category. This is described at a high level to allow flexibility in the way it is applied to suit the legal and OHS context in individual countries. The areas of knowledge are grouped under six headings, covering the following generic topics: A: Understanding hazards and risks B: Understanding risk controls C: Safety and health management D: Professional role and functioning E: Underlying technical and behavioural disciplines F: Underlying management science. Examples of topics that may be relevant to each of the knowledge categories are provided to illustrate the potential scope of the knowledge category. The relevance of the illustrative examples and the breadth and depth in which they may apply will vary across countries, and to some extent, the organisational role and background of the individual OHS Professional. It should be noted that knowledge may be at six levels: Remembering (fact retention) Understanding Applying Analysing Evaluating 12 Synthesizing/creating.1 An OHS Professional who is fully competent (i.e., has completed education and a period of practical experience) is expected, at minimum, to operate at the level of applying for every knowledge category, at analysing for the majority of the knowledge and, depending on the level of the professional, at evaluating and synthesizing for many areas of knowledge. The skills and attitudes which are required for the OHS Professional are discussed in Section 6. The classification used to discuss the knowledge base of the OHS Professional is not the same as that used for the dimensions and domains described in Section 4. While Section 4 discussed tasks, this section describes the underlying knowledge needed to carry out those tasks, which means a move to a classification which resides in the underlying disciplines and subjects which constitute OHS. For each task in the roles there are many pieces of knowledge which are relevant, and each piece of knowledge may underpin several, if not many, of the tasks. This produces a manyto-many mapping or matrix, which is not made explicit in this document. In designing education and training in the specified knowledge, course designers decide how to combine the learning of underpinning disciplines with learning how to perform the tasks which draw on a combination of those disciplines. Even within this section on knowledge there is also a many-to-many mapping between the headings A to D of applied knowledge and the underlying disciplines of headings E and F. 12 These levels of knowledge are based on the Bloom Taxonomy. See B.S., Engelhart, M.D., Furst, E.J., Hill, W.H., & Krathwohl, D.R. (Eds) (1956). Taxonomy of Educational Objectives: Handbook 1 Cognitive domain. New York: David McKay. 16

17 Table 3: Knowledge of OHS Professional Code Knowledge category A Understanding hazards and risks (see also Appendix 2) 1. Causation Health & Psychosocial Causation Safety 3. Causation Environmental 15 Multifactorial nature of health determinants Work related impacts on health Concept & models of healthy work and wellness Models of causation of fatigue and stress Mental illness in the workplace Models of accident 14 causation (linear to complex) Models of environmental harm (air, water, soil) Illustrative generic topics 4. Risk Difference between hazard and risk Risk as a complex concept (qualitative/quantitative; uncertainty) 5. Hazards Hazard analysis methods (i.e., JSA, FMEA, HAZOP, Fault Tree, etc.) Knowledge of exposure standards and their application For each specific hazard 16 : Basic underpinning science to understand the behaviour of the hazard, how it causes damage and how it can be controlled Relevant definitions, units and methods of measurement Mechanisms of damage, injury and health outcomes How the hazard is used/occurs in the occupational environment and specific industries Risk factors Hazard specific legislation and standards B Understanding hazard and risk controls 6. Control Principles 7. Control Process and workplace design 8. Control Barriers 9. Control Procedural and administrative controls Time sequence of pre-event, event and post event and relevant control/intervention points Requisite variety in controls Hierarchies of control, barriers and defences Health protection and promotion Hazard specific risk control strategies Concept of inherent safety Process and equipment instrumentation and control Human factors and ergonomics (including anthropometry, cognitive ergonomics) User-centred design Workplace layout Impact of technology, including automation Types of barriers (machinery guarding, access control, separation, containment, work skills, PPE, etc.) Role and limitations of barriers Barrier maintenance requirements Establishing and managing a PPE program (including selection and fitting) Systems of work Rules and procedures Handovers, permit to work systems, lock out/tag out Inspection, maintenance and testing Competent workers: recruitment and selection processes, fitness for work Competent workers: training - needs analysis; development and documentation of training; multimodal delivery; assessment of individuals and of the training programs, coaching Behaviour management and modification Licensed operators Outsourcing, contractor management Supply chain management 13 The degree to which OHS Professionals are involved with the control of psycho-social hazards differs from country to country. The degree of involvement will govern how much knowledge is required under these headings. 14 The term accident in this document includes incidents (sometimes called dangerous situations, near-misses or precursors) leading towards, but stopping short of harm. 15 The degree to which OHS Professionals are involved with the control of environmental hazards differs from country to country. The degree of involvement will govern how much knowledge is required under these headings. 16 See Appendix 2. 17

18 Table 3: Knowledge of OHS Professional (Continued) Code Knowledge category 10. Mitigation Emergency preparedness 11. Mitigation Health impacts 17 C Safety & health management 12. Safety management 13. Organisational culture 14. Law, regulation and societal context 15. Risk assessment and decision making on risk Illustrative generic topics For the range of hazards and emergency types covered (see Appendix 1) Liaison with external agencies: chain of command Relevant standards Detection and mitigation methods Development and implementation of preparedness, including testing of preparedness Recovery including organisation continuity plans and management Provision of first aid and medical services Workers compensation and local legal requirements Injury management, case management, and claims management Role of work and the workplace in worker recovery (establishing and managing a return-to-work program) OHS management systems (structure and elements, relevant standards, limitations) System safety Systems of work, work procedures and instructions Decision making Theories of safety management (such as High Reliability, Error and Performance variation, Resilience Engineering) Relation of safety management systems to environmental, quality and business management approaches Organisations as complex socio-technical systems Concepts of national, organisational and safety culture Relationship between employee (manager and workforce) behaviour, organisational culture, safety culture and safety climate Organisational maturity Leadership Healthy work Role, use and limitations of safety and health incentives, awards and competitions in relation to culture Regional, national and international regulatory context Legal principles comparative legal systems and regulatory frameworks Criminal and civil law and impact on OHS OHS-specific law Compliance and enforcement policies and strategies in the jurisdiction Workers compensation law 18 Product liability law Basics of contract law Due diligence Best practice as it affects common law, standard of care and regulation ILO, ISO and other international standards Market and societal influences Risk identification/analysis/control/evaluation methods Sources of information on risk Process and task analysis Estimating levels of risk (quantitative and qualitative; including issues and limitations) Defining acceptable levels of risk (legal requirements, internal standards, ALARP 19 ) Risk and decision making (individual and organisational decision making processes, balancing priorities, risk perception, risk communication, role of workforce, trade unions, public and other stakeholders) Risk management standards (process, application and limitations) Risk assessment methods and their application for specific hazards 17 The degree to which OHS Professionals are involved with these health mitigations differs from country to country. The degree of involvement will govern how much knowledge is required under these headings. 18 The degree to which OHS Professionals are involved with these legal aspects differs from country to country depending on their legal and compensation systems. The degree of involvement will govern how much knowledge is required under these headings. 19 As Low As is Reasonably Practicable. 18

19 Code Knowledge category 16. Monitoring, evaluating and validating controls 17. OHS information management 18. Communication and consultation 19. Change management Illustrative generic topics Risk control and hazard monitoring techniques (including inspections and maintenance) Work environment monitoring (required equipment and programs) Investigation methods (incidents, non-conformities) Role of health surveillance and health risk assessments 20 Monitoring effectiveness of controls Auditing (hazard audits, compliance audits, OHSMS 21 audits, protocols and procedures, relevant standards) Key performance indicators (qualitative, quantitative, lead and lag) Benchmarking Basic principles of quantitative and qualitative evaluation methodologies Organisational learning Sources and communication of OHS information (internal and external) Workplace requirements for OHS information External agencies requirements for information Documentation requirements (organisational and external) Systems for managing OHS information Data collection by research, investigation, interview & observation Organisational channels of communication (formal/informal, internal/external; barriers to communication) Consultative structures (e.g., safety committees) Participatory management as it relates to OHS Models of influence and factors contributing to influence Conflict management Strategies for defining problems (e.g. root cause analysis, five whys, etc.) Strategies for analysing and understanding problems (e.g. affinity diagrams, flow charts, cause and effect, system diagrams) Potential for change to have an impact on work equipment, work processes and work environment Psychology of change as it relates to individuals Innovation and change management processes (planning, consulting, promoting, reviewing and consolidating) Role of OHS professional in consulting and supporting and managing change D Professional role and functioning (see also skills in Section 6) 20. Ethics and professional practice E Corporate governance Corporate Social Responsibility and sustainability Roles, responsibilities and rights 22 Models of ethical practice and ethical decision making 23 Professional ethics and codes of conduct Professional role (independence, impartiality, confidentiality, capability, evidence-base, collegiality, practice within capability) Professional liability and indemnity Theories of communication, advocacy, persuasion and documentation Research methodologies relating to OHS and work-based research Setting up and participating in team work Underlying technical, human & social sciences 21. Systems Systems as a concept, including variability Systems thinking in an OHS context 22. Human as a biological system Basic human biology Physiology as it relates to work Biomechanics as it relates to work Cumulative compared with acute impacts on the body Basic principles of toxicology 20 While health surveillance and health monitoring is the purview of the health professional, the OHS Professional should have an understanding of the role of these activities and be able to engage with health professionals on these activities. 21 Occupational Health and Safety Management System 22 Including right to know and right to refuse unsafe work. 23 These should take account of national differences. 19

20 Table 3: Knowledge of OHS Professional (Continued) Code Knowledge category 23. Individual Psychology 24. Social psychology 25. Statistics and quantitative analysis 26. Science and engineering Illustrative generic topics Psychobiology (structure and function of the brain and nervous systems, role of endocrine systems in response) Cognitive psychology (situation awareness, memory, cognitive biases in decision making) Behavioural psychology (learning, conditioning, motivation) Communication Human error Fatigue and stress Impact of aging on work capability Perceiving individuals (attribution theory and biases) Self in relation to others (social comparison theory) Group membership (development of groups; in-groups and out-groups; social identity and self-categorization theories; stereotypes, prejudice and discrimination contact hypothesis) Groups as they relate to team work Norms and group pressure to conform Task performance (decision making biases; group task performance) Power (sources of power, compliance, inequality, obedience to authority) Attitudes and behaviour (e.g. theory of planned behaviour; cognitive dissonance theory, persuasion theory) Understanding and resolving conflict (competition and cooperation; conflict management styles; distributive and procedural justice) Basic arithmetic and algebraic manipulation Units of measurement, prefixes and logarithmic scales Data display and reporting Probability, sampling distribution and confidence levels Basic statistical measures including sources of error Principles of survey methods Principles of epidemiological analysis Principles of designing assessments of intervention effectiveness Basic science and technology to understand the damage and control mechanisms of hazards covered (see Appendix 1), types of machinery and processes (including their functioning and hazards); standards relating to state of the art and best available technology Use and interpretation of hazard monitoring equipment (e.g. noise, ventilation, chemicals, etc.) F Understanding hazards and risks (see also Appendix 1) 27. Organisations Organisational structure, departments, roles and responsibilities, authority and accountability Impact of reporting structures Organisational goals and strategy Governance arrangements Resource allocation processes Principles of change management 28. Project management 29. Strategic and operational planning 30. Business imperatives Key requirements for successful projects Project conceptualisation and design Project planning, budgeting, implementation and monitoring Project evaluation Managing self Managing others Operational and strategic planning Financial literacy in a business context, including budgeting Business case development and cost-benefit analysis Human resources management/management of people Legislation and organisational arrangements relating to terms and conditions of employment, employee rights, consultation and participation Understanding of external environment including legal and market pressures 20