OHSAS 18001 Overview

4.1   General requirements

The   organization shall establish, document, implement, maintain and continually   improve an OH&S management system in accordance with the requirements of   this OHSAS Standard and determine how it will fulfill these requirements.

The organization shall define and document the scope of its OH&S   management system.

4.2   OH&S policy

Top   management shall define and authorize the organization’s OH&S policy and   ensure that within the defined scope of its OH&S management system it:
a) is appropriate to the nature and scale of the organization’s OH&S   risks;
b) includes a commitment to prevention of injury and ill health and continual improvement in OH&S management and OH&S performance;
c) includes a commitment to at least   comply with applicable legal requirements and with other requirements to   which the organization subscribes that relate to its OH&S hazards;
d) provides the framework for setting and reviewing OH&S objectives;
e) is documented, implemented and maintained;
f) is communicated to all persons working under the control of the   organization with the intent that they are made aware of their individual   OH&S obligations;
g) is available to interested parties; and
h) is reviewed periodically to ensure that it remains relevant and appropriate   to the organization.

4.3.1   Hazard identification, risk assessment and determining controls

The organization shall establish, implement and   maintain a procedure(s) for the ongoing   hazard identification, risk assessment, and determination of necessary controls.

The procedure(s) for hazard identification and risk assessment shall take   into account:
a) routine and non-routine activities;
b) activities of all persons having access to the workplace (including   contractors and visitors);
c) human behavior, capabilities and other human factors;
d) identified hazards originating outside the workplace capable of adversely   affecting the health and safety of persons under the control of the   organization within the workplace;
e) hazards created in the vicinity of the workplace by work-related   activities under the control of the organization;
f) infrastructure, equipment and materials at the workplace, whether provided   by the organization or others;
g) changes or proposed changes in the organization, its activities, or   materials;
h) modifications to the OH&S management system, including temporary   changes, and their impacts on operations, processes, and activities;
i) any applicable legal obligations relating to risk assessment and   implementation of necessary controls (see also the NOTE to 3.12);
j) the design of work areas, processes, installations, machinery/equipment,   operating procedures and work
organization, including their adaptation to human capabilities.

The organization’s methodology for hazard identification and risk assessment   shall:
a) be defined with respect to its scope, nature and timing to ensure it is proactive rather than reactive; and
b) provide for the identification, prioritization and documentation of risks,   and the application of controls, as appropriate.

For the management of change,   the organization shall identify the OH&S hazards and OH&S risks   associated with changes in the organization, the OH&S management system,   or its activities, prior to   the introduction of such changes.

The organization shall ensure that the results of these assessments are   considered when determining controls.
When determining controls, or considering changes to existing controls,   consideration shall be given to reducing the risks according to the following   hierarchy:
a) elimination;
b) substitution;
c) engineering controls;

d) signage/warnings and/or   administrative controls;
e) personal protective equipment.

The organization shall document and keep the results of identification of   hazards, risk assessments and determined controls up-to-date.

The organization shall ensure that the OH&S risks and determined controls   are taken into account when establishing, implementing and maintaining its   OH&S management system.

4.3.2   Legal and other requirements

The   organization shall establish, implement and maintain a procedure(s) for   identifying and accessing the legal and other OH&S requirements that are   applicable to it.

The organization shall ensure that these applicable legal requirements and   other requirements to which the organization subscribes are taken into   account in establishing, implementing and maintaining its OH&S management   system.

The organization shall keep this information up-to-date.

The organization shall communicate   relevant information on legal and other requirements to persons   working under the control of the organization, and other relevant interested   parties.

 

4.3.3   Objectives and programme(s)

The   organization shall establish, implement and maintain documented OH&S   objectives, at relevant functions and levels within the organization.

The objectives shall be measurable, where practicable, and consistent with   the OH&S policy, including the commitments to the prevention of injury   and ill health, to compliance with applicable legal requirements and with   other requirements to which the organization subscribes, and to continual   improvement.

When establishing and reviewing its objectives, an organization shall take   into account the legal requirements and other requirements to which the   organization subscribes, and its   OH&S risks. It shall also consider its technological options, its   financial, operational and business requirements, and the views of relevant   interested parties.

The organization shall establish, implement and maintain a programme(s) for   achieving its objectives. Programme(s) shall include as a minimum:

a) designation of responsibility and authority for achieving objectives at   relevant functions and levels of the organization; and
b) the means and time-frame by which the objectives are to be achieved.

The programme(s) shall be reviewed at regular and planned intervals, and   adjusted as necessary, to ensure that the objectives are achieved.

4.4.1   Resources, roles, responsibility, accountability and authority

Top management shall take   ultimate responsibility for OH&S and the OH&S management system.
Top management shall demonstrate its commitment by:

a) ensuring the availability of resources essential to establish, implement,   maintain and improve the OH&S management system;

b) defining roles, allocating responsibilities and accountabilities, and   delegating authorities, to facilitate effective OH&S management; roles,   responsibilities, accountabilities, and authorities shall be documented and   communicated.

The organization shall appoint a   member(s) of top management with specific responsibility for   OH&S, irrespective of other responsibilities, and with defined roles and   authority for:

a) ensuring that the OH&S management system is established, implemented   and maintained in accordance with this OHSAS Standard;
b) ensuring that reports on the performance of the OH&S management system   are presented to top management for review and used as a basis for   improvement of the OH&S management system.

The identity of the top management   appointee shall be made available   to all persons working under the control of the organization.

All those with management responsibility shall demonstrate their   commitment to the continual improvement of OH&S performance.

The organization shall ensure that persons in the workplace take   responsibility for aspects of OH&S over which they have control,   including adherence to the organization’s applicable OH&S requirements.

 

4.4.2   Competence, training and awareness

The   organization shall ensure that any person(s) under its control performing   tasks that can impact on OH&S is (are) competent on the basis of   appropriate education, training or experience, and shall retain
associated records.

The organization shall identify   training needs associated with its OH&S risks and its OH&S   management system. It shall provide training or take other action to meet   these needs, evaluate the effectiveness of the training or action taken, and   retain associated records.

The organization shall establish, implement and maintain a procedure(s) to   make persons working under its control aware of:
a) the OH&S consequences, actual or potential, of their work activities,   their behavior, and the OH&S benefits of improved personal performance;
b) their roles and responsibilities and importance in achieving conformity to   the OH&S policy and procedures and to the requirements of the OH&S   management system, including emergency preparedness and response requirements   (see 4.4.7);
c) the potential consequences of departure from specified procedures.

Training procedures shall   take into account differing levels of:
a) responsibility, ability, language skills and literacy; and
b) risk.

 

4.4.3   Communication, participation and consultation
4.4.3.1 Communication

With   regard to its OH&S hazards and OH&S management system, the   organization shall establish, implement and maintain a procedure(s) for:
a) internal communication among the various levels and functions of the   organization;
b) communication with contractors   and other visitors to the workplace;
c) receiving, documenting and responding to relevant communications from external interested parties.

4.4.3.2 Participation and   consultation

The organization shall establish, implement and maintain a procedure(s) for:
a) the participation of workers   by their:
• appropriate involvement in hazard   identification, risk assessments and determination of controls;
appropriate involvement in incident investigation;
• involvement in the development and   review of OH&S policies and objectives;
• consultation where there are any changes that affect their OH&S;
• representation on OH&S matters.

Workers shall be informed about their   participation arrangements, including who is their representative(s) on   OH&S matters.

b)   consultation with contractors where there are changes that affect their   OH&S.

The organization shall ensure that, when appropriate, relevant external   interested parties are consulted about pertinent OH&S matters.

4.4.4   Documentation

The OH&S management system documentation shall include:
a) the OH&S policy and objectives;
b) description of the scope of the OH&S management system;
c) description of the main elements of   the OH&S management system and their interaction, and reference to   related documents;
d) documents, including records, required by this OHSAS Standard; and
e) documents, including records, determined by the organization to be   necessary to ensure the effective planning, operation and control of   processes that relate to the management of its OH&S risks.

 

4.4.5   Control of documents

Documents   required by the OH&S management system and by this OHSAS Standard shall   be controlled. Records are a special type of document and shall be controlled   in accordance with the requirements given in 4.5.4.

The organization shall establish, implement and maintain a procedure(s) to:
a) approve documents for adequacy prior to issue;
b) review and update as necessary and re-approve documents;
c) ensure that changes and the current revision status of documents are   identified;
d) ensure that relevant versions of applicable documents are available at   points of use;
e) ensure that documents remain legible and readily identifiable;
f) ensure that documents of external origin determined by the organization to   be necessary for the planning and operation of the OH&S management system   are identified and their distribution controlled; and
g) prevent the unintended use of obsolete documents and apply suitable   identification to them if they are retained for any purpose.

4.4.6   Operational control

The   organization shall determine those operations and activities that are   associated with the identified   hazard(s) where the implementation of controls is necessary to manage the   OH&S risk(s). This shall include the management of change (see   4.3.1).

For those operations and activities, the organization shall implement and   maintain:
a) operational controls, as applicable to the organization and its   activities; the organization shall integrate those operational controls into   its overall OH&S management system;
b) controls related to purchased goods, equipment and services;
c) controls related to contractors and other visitors to the workplace;
d) documented procedures, to cover situations where their absence could lead   to deviations from the OH&S policy and the objectives;
e) stipulated operating criteria where their absence could lead to deviations   from the OH&S policy and objectives.

 

 

4.4.7   Emergency preparedness and response

The   organization shall establish, implement and maintain a procedure(s):
a) to identify the potential for emergency situations;
b) to respond to such emergency situations.

The organization shall respond to actual emergency situations and prevent or   mitigate associated adverse OH&S consequences. In planning its emergency   response the organization shall take account of the needs of relevant   interested parties, e.g. emergency services and neighbors.

The organization shall also periodically test its procedure(s) to respond to   emergency situations, where practicable, involving relevant interested   parties as appropriate.

The organization shall periodically review and, where necessary, revise its   emergency preparedness and response procedure(s), in particular, after   periodical testing and after the occurrence of emergency situations
(see 4.5.3).

 

4.5   Checking
4.5.1 Performance measurement and monitoring

The   organization shall establish, implement and maintain a procedure(s) to   monitor and measure OH&S performance on a regular basis. This   procedure(s) shall provide for:
a) both qualitative and quantitative measures, appropriate to the needs of   the organization;
b) monitoring of the extent to which the organization’s OH&S objectives   are met;
c) monitoring the effectiveness of controls (for health as well as for   safety);
d) proactive measures of performance   that monitor conformance with the OH&S programme(s), controls and   operational criteria;
e) reactive measures of performance   that monitor ill health, incidents (including accidents, near-misses,   etc.), and other historical evidence of deficient OH&S performance;
f) recording of data and results of monitoring and measurement sufficient to   facilitate subsequent corrective action and preventive action analysis.

If equipment is required to monitor or measure performance, the organization   shall establish and maintain procedures for the calibration and maintenance   of such equipment, as appropriate. Records of calibration and maintenance   activities and results shall be retained.

4.5.2   Evaluation of compliance

4.5.2.1   Consistent with its commitment to compliance [see 4.2c)], the organization shall   establish, implement and maintain a procedure(s) for periodically evaluating   compliance with applicable legal requirements
(see 4.3.2).

The organization shall keep records of the results of the periodic   evaluations.

4.5.2.2 The organization shall evaluate compliance with other   requirements to which it subscribes (see 4.3.2). The organization may wish to   combine this evaluation with the evaluation of legal compliance referred to   in 4.5.2.1 or to establish a separate procedure(s).

The organization shall keep records of the results of the periodic   evaluations.

4.5.3   Incident investigation, nonconformity, corrective action and preventive   action
4.5.3.1 Incident investigation

The   organization shall establish, implement and maintain a procedure(s) to record,   investigate and analyze incidents in order to:
a) determine underlying OH&S deficiencies and other factors that might   be causing or contributing to the occurrence of incidents;
b) identify the need for corrective action;
c) identify opportunities for preventive action;
d) identify opportunities for continual improvement;
e) communicate the results of such investigations.

The investigations shall be performed in a timely manner. Any identified need   for corrective action   or opportunities for preventive action shall be dealt with in accordance with   the relevant parts of 4.5.3.2.

The results of incident investigations shall be documented and maintained.

4.5.3.2   Nonconformity, corrective action and preventive action

The   organization shall establish, implement and maintain a procedure(s) for   dealing with actual and potential nonconformity(ies) and for taking   corrective action and preventive action. The procedure(s) shall define   requirements for:
a) identifying and correcting   nonconformity(ies) and taking action(s) to mitigate their OH&S   consequences;
b) investigating nonconformity(ies), determining their cause(s) and taking actions in order to avoid their recurrence;
c) evaluating the need for action(s) to prevent nonconformity(ies) and   implementing appropriate actions designed to avoid their occurrence;
d) recording and communicating the results of corrective action(s) and   preventive action(s) taken; and
e) reviewing the effectiveness of corrective action(s) and preventive   action(s) taken.

Where the corrective action and   preventive action identifies new or changed hazards or the need for new or   changed controls, the procedure shall require that the proposed actions shall   be taken through a risk assessment prior to implementation.

Any corrective action or preventive action taken to eliminate the causes of   actual and potential nonconformity(ies) shall be appropriate to the magnitude   of problems and commensurate with the OH&S risk(s) encountered.

The organization shall ensure that any necessary changes arising from   corrective action and preventive action are made to the OH&S management   system documentation.

4.5.4   Control of records

The   organization shall establish and maintain records as necessary to demonstrate   conformity to the requirements of its OH&S management system and of this   OHSAS Standard, and the results achieved.

The organization shall establish, implement and maintain a procedure(s) for   the identification, storage, protection, retrieval, retention and disposal of   records.

Records shall be and remain legible, identifiable and traceable.

4.5.5   Internal audit

The organization shall ensure that internal audits of the OH&S management   system are conducted at planned intervals to:
a) determine whether the OH&S management system:
1) conforms to planned arrangements for OH&S management, including the   requirements of this OHSAS Standard; and
2) has been properly implemented and is maintained; and
3) is effective in meeting the organization’s policy and objectives;
b) provide information on the results of audits to management.

Audit programme(s) shall be planned, established, implemented and maintained   by the organization, based on the results of risk assessments of the   organization’s activities, and the results of previous audits.

Audit procedure(s) shall be established, implemented and maintained that   address:
a) the responsibilities, competencies, and requirements for planning and   conducting audits, reporting results and retaining associated records; and
b) the determination of audit criteria, scope, frequency and methods.

Selection of auditors and conduct of audits shall ensure objectivity and the   impartiality of the audit process.

4.6   Management review

Top management shall review the organization’s OH&S management system, at   planned intervals, to ensure its continuing suitability, adequacy and   effectiveness. Reviews shall include assessing opportunities for improvement   and the need for changes to the OH&S management system, including the   OH&S policy and OH&S objectives. Records of the management reviews   shall be retained.

Input to management reviews shall include:
a) results of internal audits and evaluations of compliance with applicable   legal requirements and with other requirements to which the organization   subscribes;
b) the results of participation   and consultation (see 4.4.3);
c) relevant communication(s) from external interested parties,   including complaints;
d) the OH&S performance of the organization;
e) the extent to which objectives have   been met;
f) status of incident investigations, corrective actions and preventive   actions;
g) follow-up actions from previous management reviews;
h) changing circumstances, including developments in legal and other   requirements related to OH&S; and
i) recommendations for improvement.

The outputs from management reviews shall be consistent with the   organization’s commitment to continual improvement and shall include any decisions   and actions related to possible changes to:
a) OH&S performance;
b) OH&S policy and objectives;
c) resources; and
d) other elements of the OH&S management system.

Relevant outputs from management review shall be made available for   communication and consultation (see 4.4.3).

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