6. Planning
6.1 Risks and Opportunities
Planning starts from the context (Clause 4) and the requirements identified there. From those, the organisation works out which risks and opportunities matter — the ones that need active management to:
1
Give confidence that the SHEQ management system will hit its intended results
2
Strengthen the upside where it exists
3
Prevent or reduce the downside
4
Drive continual improvement
Planning requirements
For each risk and opportunity, the plan covers:
1
The actions that will be taken
2
How those actions will:
- Be built into existing SHEQ processes rather than run as side projects
- Be evaluated for whether they actually worked
Proportionality:
Effort scales with stakes. Actions match the potential impact on operational, product and service conformance — not every risk gets the same treatment.
Effort scales with stakes. Actions match the potential impact on operational, product and service conformance — not every risk gets the same treatment.
Documentation requirements:
A live register of risks and opportunities
The processes and actions used to identify and treat them — captured at enough detail to confirm they ran as planned
6.1.2 Hazard Identification and Assessment
6.1.2.1 Hazard Identification
Hazard identification is a continuous, forward-looking process — not a once-a-year audit. The process is structured to surface hazards across, at minimum:
Work Organization & Social Factors
How work is organized
Social factors (including workload, work hours, victimization, harassment and bullying)
Leadership and the culture in the organization
Routine and Non-routine Activities
Including hazards arising from:
Infrastructure, equipment, materials, substances and the physical conditions of the workplace
Product and service design, research, development, testing, production, assembly, construction, service delivery, maintenance and disposal
Human factors
How the work is performed
Incidents, Changes & Emergency Situations
Past relevant incidents, internal or external to the organization, including emergencies, and their causes
Potential emergency situations
Actual or proposed changes in organization, operations, processes, activities and the SHE management system
Changes in knowledge of, and information about, hazards
6.1.2.2 Assessment of SHE Risks and Other Risks
A working risk-assessment process covers two streams:
1
SHEQ risks attached to the identified hazards — assessed with the effectiveness of existing controls factored in
2
Other risks tied to setting up, running and maintaining the SHEQ management system itself
Methodology:
The methodology and criteria are defined upfront — scope, nature and timing — so risk work is systematic and proactive rather than ad hoc. Both methodology and criteria are documented and retained.
The methodology and criteria are defined upfront — scope, nature and timing — so risk work is systematic and proactive rather than ad hoc. Both methodology and criteria are documented and retained.
6.1.2.3 Assessment of SHE Opportunities
A parallel process picks up the upside:
1
SHEQ opportunities to enhance SHEQ performance, while taking into account planned changes to the organization, its policies, its processes or its activities and:
- Opportunities to adapt work, work organization and work environment to employees
- Opportunities to eliminate hazards and reduce SHEQ risks
2
Other opportunities for improving the SHEQ management system
6.1.3 Determination of Legal Requirements and Other Requirements
A process is in place to:
1
Identify and stay current with the legal and other requirements that apply to the hazards, OH&S risks and the OH&S management system
2
Translate those requirements into what they mean for this organisation and what needs to be communicated to whom
3
Factor them into how the OH&S management system is built, run, maintained and improved
Documentation:
A controlled register of legal and other requirements is maintained and updated whenever the underlying obligations change.
A controlled register of legal and other requirements is maintained and updated whenever the underlying obligations change.
6.1.4 Planning Action
The action plan covers two dimensions:
A
What will be done to:
- Treat the identified risks and opportunities
- Meet legal and other requirements
- Prepare for, and respond to, emergencies
B
How those actions will:
- Be embedded in OH&S processes or in wider business processes
- Be evaluated for effectiveness once in place
Planning Considerations:
- Hierarchy of Controls: Consider control hierarchy and OH&S management system outputs
- Best Practices: Consider industry best practices and standards
- Technology Options: Evaluate available technological solutions
- Requirements: Consider financial, operational and business requirements
6.2 Objectives and Planning
6.2.1 SHEQ Objectives
SHEQ objectives sit at the function, level and process level — wherever the system needs to drive a specific result, an objective is set.
Each objective:
1
Lines up with the SHEQ policies
2
Is measurable, or at least capable of being evaluated
3
Reflects:
- Applicable requirements
- The results of the risk and opportunity assessment
- Inputs from employees and their representatives
4
Is relevant to product and service conformance and to customer satisfaction
5
Is actively monitored
6
Is communicated to the people who need to act on it
7
Is refreshed as conditions change
6.2.2 Planning to achieve objectives
For each SHEQ objective the plan answers five questions:
1
What will be done
2
What resources are needed
3
Who owns it
4
By when
5
How the result will be evaluated
6.3 Planning for Change
Changes to the SHEQ management system go through deliberate planning — never ad hoc, never quietly slipped in.
Each change is weighed against:
1
Why the change is being made and what it could trigger downstream
2
Whether the integrity of the management system is preserved
3
Whether the resources to deliver it are actually available
4
Where responsibilities and authorities need to move
Change Management Best Practices:
- Impact Assessment: Evaluate potential effects on all stakeholders
- Communication Plan: Ensure clear communication throughout the change process
- Training Requirements: Identify and provide necessary training for changes
- Monitoring & Review: Establish mechanisms to monitor change effectiveness
- Rollback Plans: Prepare contingency plans if changes need to be reversed