C

Five Star Occupational Health

and Safety Audit
Specification August 2015
Change summary document

Content
1.0: Introduction
1.1: Background to Five Star (FSA) Occupational Health and Safety Audit Specification 2015
2 .0: Summary of changes
2.1: Sectional changes
2.2: Safety Management Indicator(s)
2.3: Element(s) changes
2.4: Scoring and grading

1.0: Introduction
This summary document has been prepared to outline the main areas of change within the British
Safety Councils Five Star Audit (FSA) Occupational Health and Safety Audit specification 2015
when compared to the previous version.
The document is intended to assist those organisations who have previously undertaken the Five
Star Audit in their preparation process for being audited against the FSA 2015 model.
However, it is important to note that the content of this summary should not be interpreted
as a definitive or exhaustive source of information when preparing for the audit itself.
It is strongly recommended that the summary document is read and used in conjunction with the
specification document itself, pre audit reports (if applicable) and other related sources of
information.

1.1: Background to the Five Star (FSA) Occupational Health and Safety Specification 2015
As part of the British Safety Councils commitment to the continual improvement of our products,
together with a recognition of recent developments in both legislative and safety management trends,
our five star audit specification(s) are reviewed on an annual basis.
The subsequent 2015 version of the Five Star Occupational Health and Safety Audit specification has
been designed to complement the improved processes relating to auditor standardisation and report
documentation, to ensure a quality experience for the auditee.
The review of the audit specification was carried out by a technical project team of health and safety
professionals. The review process monitored various internationally recognised safety management
system models (including the current draft ISO 45001) together with sector and safety management
trends and consultation with various professional bodies.
The specification continues to adopt an examination of an organisations health and safety management
arrangements in a holistic and coherent manner, recognising the need for robust leadership and
continual improvement in implementing such systems.
The model is reflective of a PLAN / DO / CHECK / ACT management cycle.
The specification also recognises the importance of an integrated approach toward safety management
and links to other management disciplines within an organisation in this respect.
The Five Star Audit specification 2015 offers organisations the opportunity to progress toward a
genuine best practice occupational health and safety management system(s) and the subsequent
business benefits that such arrangements can produce.

2.0: Summary of changes:

This section of the document is intended to outline the specific changes between the previous Five Star
Audit specification and the 2015 version.
Again, it is emphasised that reference to the actual FSA 2015 specification document is essential in
conjunction to this information.
2.1: Sectional changes
The FSA 2015 specification model has retained the previous format in terms of sectional subject areas
and headings
Table 1:

2015
version
Previous
version

Plan
Section 1
Policy and
Organisation
Policy and
Organisation

Section 2
Strategy and
Planning
Strategy and
Planning

Do
Section 3
Implementation
and Operation
Implementation
and Operation

Check
Section 4
Performance
Measurement
Performance
Measurement

Act
Section 5
Evaluation
and Review
Evaluation
and Review

The 2015 specification sectional headings, and related content, are intended to examine how the
organisation PLAN (S1 AND S2), IMPLEMENT (S3), MEASURE (S4) AND REVIEW (S5) the
component parts of their safety management systems.
It is reflective of a recognisable PLAN / DO / CHECK / ACT management model.
The auditor will examine a specific occupational health and safety issue and review how well the
organisation can demonstrate an integrated approach to this subject area across the cycle and five
sections.

Example: Table 2:
Plan
Subject Area

Consultation,
Communication
and
Participation
(1.6)(2.6)
SMI Indicators

S1: Policy and

Organisation
(750 points)

S2: Strategy
and Planning
(1,125 points)

Example of
typical
information
required

Example of
typical
information
required

Policy/process
for consulting
and
communicating
with staff and
other
stakeholders

Employee/stakeh
older
involvement in
objective setting
Schedule for
OH&S
committee
meetings
Terms of
reference for
OH&S forums
Training
schedules

Do

Check

Act

S3:
Implementation
and Operation
(1,500 points)
Example of
typical
information
required

S4:
Performance
Measurement
(1,125 points)

S5: Evaluation
and Review
(500 points)

Effective
communication
of OH&S controls
(verified through
sampling,
interview
and review)

Evaluation of
training

OH&S committee
meeting (other
such forums)
minutes

Example of
typical
information
required

OH&S
committee (and
other such
forums)
meeting minutes

close out of
actions

Example of
typical
information
required
Relevant
stakeholder
involvement in
review
process
Communication of
top
management
review
Corporate reports

Audit records
Communication
with and
involvement of
other stakeholders
(e.g. contractors)

Internal reports
Evidence of
monitoring
OH&S
objectives

Audit reports

Training records

The subject area under examination may well have specific elements assigned to it (as per example in
table 2: 1.6 / 2.6) within a section, but may well also have links to many other elements within other
sections (as per example in table 2: 3.2-3.23, 4.3, 4.5, 4.7, 4.10, 5.1, 5.3, 5.5).
The auditor will examine the holistic approach (effective flow process) to the subject area and
determine how well this has been applied across the management cycle.

2.2: Safety Management Indicators

The effective implementation and progression of mature health and safety management systems (and
associated arrangements) toward overall business efficiency cannot be overstated.
It is recognised that there are a number of factors involved for any organisation in reaching this status,
but it is considered that two essential indicators are primary management tools in respect of this:

Leadership and Commitment at all levels throughout the organisation

Continual Improvement of systems and arrangements

In order to reflect the significance of these two indicators, the FSA specification 2015 includes a
quantifiable (scored) measurement of an organisations performance within these areas.
They may be specific elements within a section (e.g. 2.05) or may be linked to many other elements
throughout the audit process (e.g. 1.01, 1.02, 1.09, 2.01 etc.).
Organisations that can demonstrate robust and committed leadership, together with evidence of
continual improvement across the system, will be rewarded with additional scoring which may enhance
their overall audit star rating outcome.
The subsequent audit report document includes a summary of performance within these two areas and
also recommendations for improvement wherever appropriate.
An explanation of how the scoring is implemented is provided later within this document and also within
the FSA 2015 Specification document.

Example of SMI factors: Table 3:

SMI

Leadership

Section 1

Section 2

Section 3

Section 4

Section 5

Example of
typical
information
required

Example of
typical
information
required

Example of
typical
information
required

Example of
typical
information
required

Example of
typical
information
required

Policy endorsed
by senior
management

Development of
OH&S
objectives and
plans

Provision of
effective
supervision

Audit/
inspection
monitoring

Top
management
reviews

Risk
assessment
completion and
implementation

Management
reports

Corporate
reporting

Statutory
compliance
reviews

Policy review

Staff surveys

Top
management
OHSMS review

Explicit
commitment to
provide
adequate
resources

Continual
Improvement

Consideration of
OH&S issues
within other
plans / projects

Clearly defined
management
roles and
responsibilities

Training
analysis and
programme

Explicit
commitment
within policy
statement

Objective setting
at corporate,
functional and
individual levels

Explicit
commitment to
prevention of
injury and ill
health

Training and
CPD
programmes
OH&S plans
and
programmes

Inspections and
audits by
management

Risk
assessment
implementation
Provision of
equipment and
controls

Objective / KPI
monitoring

Review of
objectives and
setting of targets

Appraisals
Inspection and
audit records

Project / Plan
reviews

Implementation
of training

2.3: Element changes:

The number of elements within the FSA specification 2015 has decreased slightly to (65) and there are
several elements which are duplicated within more than one section (eg Consultation and
Communication 1.6 / 2.6).
This is in keeping with the holistic approach to the audit process as an element may well be considered
pertinent to more than one section in its own right.
The amended elements from the previous specification are detailed below. It should be noted that those
elements which have been retained from the previous specification have been subject to revision and
have, in many cases, been updated from a content perspective.

Table 4: Amended (and new) Elements (refer to specification document for examples of typical
information required during the audit process)
2015 specification
element title
Section 1
Policy and
Organisation
Scope, nature and
scale of OHSMS

Element
reference

Previous specification
element title

Previous
element
reference

Comment (rationale for

amendment)

1.01

SMS scope, nature and

scale (control
arrangements)
Safety policy statement

1.02

Considered the initial point

of reference for
development of OHSMS

OH&S policy
statement

1.02

Roles, responsibilities,
accountabilities and
authorities

1.03

Roles and
responsibilities

1.04

Competence and
capability
Leadership and
commitment
Consultation,
communication and
participation

1.04

No change

1.07

1.05

No change

1.03

1.06

Consultation and
communication

1.06

Information and data

management

1.07

Document management

1.05

2.01

Benchmarking and
initial review

2.03

Occupational health
and safety objectives
Occupational health
and safety planning
Leadership and
Commitment
Consultation,
communication and
participation

2.02

No change

2.01

2.03

No change

2.02

2.05

No change

2.07

2.06

Consultation and
communication

2.06

Risk management and

control

2.07

No change

2.08

Section 2
Strategy and
Planning
Gap analysis
(including
benchmarking)

1.01

Expanded to include
defined levels of authority
and routes of
accountability
Considered to be
coherently linked to 1.03

Participation of relevant
stakeholders at all levels
considered essential
component of policy and
organisation section
Changed to reflect
common use of IT based
OHSMS platforms.
Retains management of
document control

Considered to be the
initial point of reference for
setting strategic OH&S
targets and plans
Considered to be
coherently linked to 2.01
Considered to be
coherently linked to 2.02
Alignment with element
reference within section 1
Planning for participation
of relevant stakeholders at
all levels considered
essential component
Considered to be
coherently linked to 2.06
in planning strategy

2015 specification
element title

Element
reference

Previous specification
element title

Previous
element
reference

Comment (rationale for

amendment)

2.08

Risk profiling

2.09

Change management

2.09

No change

2.10

Competence and
capability
Legislative (and other)
compliance

2.10

No change

2.14

2.11

Legislative compliance

No change

Emergency incident
and post event
recovery planning
Procurement,
outsourcing and
contractor appointment

2.12

Emergency incident
planning

No change

2.13

Procurement and
design (including
contractor approval)

No change

Considered to be
coherently linked to 2.07.
Defined profiling in
organisational and
operational activity
considered best practice
technique
Alignment with element
reference within section 1
Coherent link in strategic
planning
Added compliance with
other standards (if
relevant)
Added post event
recovery planning for
clarity of expectation
Added strategy and
planning for outsourcing to
reflect trends in
outsourcing certain
services (e.g. facility
management)

Occupational health
and wellbeing
Sustainable health and
safety culture

2.14

No change

2.05

2.15

Sustainable health and

safety attitudes and
behaviour

No change

Changed to emphasise
focus upon safety culture
(positive and negative
indicators) during audit
process

3.02

SMS controls (general)

No change

Changed to include
generic and specific
OHSMS controls

3.03

Safe working/operating
procedures

3.19

Coherent link to 3.02 and

term SSW considered
more appropriate

3.04
3.06

No change
Workstation (DSE)
ergonomics

3.03
No change

Section 2
Strategy and
Planning (cont.)
Risk profiling
(organisational and
operational)

Section 3
Implementation and
Operation
Occupational health
and safety
management system
controls
Safe operating
procedures (safe
systems of work)
Work equipment
Workstation
ergonomics

DSE dropped to
emphasise definition of
workstation not confined
to DSE activity /
operations

2015 specification
element title

Element
reference

Previous specification
element title

Previous
element
reference

Comment (rationale for

amendment)

3.08

Traffic management

No change

Permit (and
authorisation) to work
systems

3.09

Permit to work systems

3.10

Element requires
demonstration of
consideration and
management of all
transport related activity
Added authorisation to
work to this element to
ensure all such systems
are clearly included and
differentiated from PTW (if
appropriate). Element now
includes safe isolation
processes

Working at Height
Lifting equipment
Pressure systems
Control of hazardous
substances (including
biological agents)

3.11
3.12
3.13
3.14

No change
No change
No change
Hazardous substances

3.11
3.13
3.14
3.15

Management and
control of asbestos

3.15

New element

Management and
control of noise
Management and
control of vibration
Personal protective
equipment (PPE)

3.17

Management of noise

3.17

3.18

Management of
vibration
No change

3.18

Sustainable health and

safety culture

3.21

Sustainable health and

safety attitudes and
behaviours

No change

Emergency incident
and post event
recovery management
Section 4
Performance
measurement
Considered to be the
initial focal point for
OH&S performance
monitoring

3.22

Emergency incident
management

No change

4.01

Occupational health and

safety objectives
(monitoring)

4.02

Section 3
Implementation and
Operation (cont.)
Traffic and transport
management

3.19

3.04

More emphasis on control

aspect and definitive
inclusion of biological
hazards
Considered warranted as
generic legislative
requirement leading to
best practice management
factors
Added emphasis on
control factors
Added emphasis on
control factors
Moved to reflect hierarchal
control principles in
relation to PPE (last
resort)
Changed to emphasise
focus upon safety culture
(positive and negative
indicators) during audit
process
Added post event
recovery management for
clarity of expectation

2015 specification
element title

Element
reference

Previous specification
element title

Previous
element
reference

Comment (rationale for

amendment)

4.02

Occupational health and

safety objectives
(monitoring)

4.01

Coherent link to 4.01

Proactive
measurement (leading
indicators)

4.03

Active measurement

No change

Emphasis on proactive
nature of organisational
measurement systems.
Outcomes providing
leading indicators of
OHSMS performance

Monitoring of
legislative (and other)
compliance
Monitoring of
contractors, suppliers
and outsourcing

4.06

Legal and other

requirements
compliance monitoring
Contractor and supplier
monitoring

No change

Review of information
and data management

4.09

Documentation
management

No change

Reactive measurement
(lagging indicators)

4.10

Reactive measurement

No change

5.01

Management review
and reporting

No change

Section 4
Performance
measurement (cont.)
Monitoring of
Occupational health
and safety objectives

Section 5
Evaluation and
Review
Senior (top)
management review

4.08

No change

Added monitoring of
outsourcing performance
to reflect trends in
outsourcing certain
services (eg facility
management)
Changed to reflect
common use of IT based
OHSMS platforms.
Retains performance
monitoring of document
control
Emphasis on proactive
nature of organisational
measurement systems.
Outcomes providing
lagging indicators of
OHSMS performance

Emphasis on top
management review of
OHSMS performance

2.4: Scoring and grading

The quantifiable scoring systems and grading criteria from the previous model have been retained.
Thus, the five sections of the audit are divided into sixty five (65) elements which attract a maximum
numerical value of 5000 points. Wherever an element of the audit is not applicable to the organisation,
it is subsequently withdrawn from the audit. Scores are expressed as a percentage of the total available
mark for each element, section and the audit as a whole. The total available mark is that which is
applicable to the organisation and will discount areas of the audit that are agreed not applicable.
Throughout the audit, two safety management indicators (SMIs; sub-sections of leadership and
continual improvement) are evaluated either as elements within their own right in certain sections, or
alternatively as scoring areas within other elements.
The cumulative scoring for these two sub-sections are then converted into a percentage figure which
can provide an additional 0.5% - 2% to the overall audit grading when measured against the threshold
criteria shown below.

SMI 1 and 2 cumulative scoring:

85% - 88%
89% - 92%
93% - 96%
97% - 100%

Add an additional 0.5% to overall grade

Add an additional 1.0% to overall grade
Add an additional 1.5% to overall grade
Add an additional 2.0% to overall grade

This aspect of the audit process is designed to encourage organisations to focus upon continually
developing their safety management systems and culture through demonstration of commitment and
robust leadership at all levels.

Grading system:

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This document will be included within the specification review process and is intended as a supportive
guide to be read in conjunction with the Five Star Occupational Health and Safety Audit Specification
document 2015.

Find out more about our audit products at www.britsafe.org/audit

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