OHSAS 18001 Requirements

Clause #

Clause Title

4.1

General

1 1 2 3 4 5 6 7

4.2

Policy

8 9 10 11 12 13 14 1 2 3 4 5 6

7 8 9 10 11 12 Hazard Identification, risk assessments and determining controls 13 14 15 16 17 18 19 20 21 22 23 1

4.3.1

2 3 4 5 4.3.2 Legal and Other Requirements 6

7 8 9 10 11 1 2 3 4 5 6

4.3.3

Objectives and Programme(s)

4.3.3

Objectives and Programme(s)

10 11 12 13 14 1 2 3 4 5 6 7 4.4.1 Resources, roles, responsibility, accountability and authority 8 9 10

11 12

13 1 2 3 4 5 6 7 8 9 4.4.2 Competence, training and awareness 10

11

12 13 14 15 16 1

4.4.3.1

Communication

2 4.4.3.1 Communication 3 4 5 1 2 3 4 4.4.3.2 Participation and consultation 5 6 7 8 9 1 2 4.4.4 Documentation 3 4 5 1

2 3

4 5 4.4.5 Control of Documents 6 7

9 1

3 4.4.6 Operational Control 4

6 1 2 3 4 5 4.4.7 Emergency preparedness & response 6 7 8 9 10 11 1 2 3 4 5 6 4.5.1 Performance measurement and monitoring 7 8 9

10 11 12 1 4.5.2.1 Evaluation of Compliance - LEGAL 2 3 4.5.2.2 Evaluation of Compliance - OTHER 4 5 4.5.2 Evaluation of Compliance - BOTH 6 1 2 3

4.5.3.1

Incident Investigation

4 5 6 7 8 1

3 4 4.5.3.2 Nonconformity, corrective action & preventive action 5 6 7 8 9 10 11 1 2 3 4 5 6 7 8 9 1

4.5.4

Control of Records

2 3 4 5 6 7 8 9 4.5.5 Internal Audit 10 11 12 13 14 15 16 17 18 19

1 2 3 4 5 6 7 8 9 10 11 12 4.6 Management Review 13 14 15 16 17 18

19

20

21

22 23

Requirement

Yes, No or Partial

Notes / Evidence / Observations

Has the organization defined and documented the scope of its OH&S MS ? (Location, exclusions, etc) Does the organization have an OH&S policy? Is there evidence that Top Management defined the policy? Is the OH&S policy appropriate to the nature and scale of the organizations OH&S risks? Does the policy contain a commitment to prevention of injury and ill-health? Does the policy contain a commitment to continual improvement? Does the policy contain a commitment to comply with relevant OH&S LEGAL requirements (regulations)? Does the policy contain a commitment to comply with relevant OH&S "OTHER" requirements (corporate, customers, trade associations, etc)? Does the policy provide the "framework" for setting and reviewing OH&S objectives? Is the OH&S policy documented? Has the OH&S policy been implemented? Has the policy been REVIEWED and UPDATED, IF NECESSARY (maintained), to ensure it remains relevant & appropriate to the organization)? Has the policy been communicated to all employees (working for the organization) with the intent they are made aware of their obligations ? Has the policy been communicated to those working under the control of the organization (temps, contractors, etc)? Is the policy available to the interested parties? Does the organization have a procedure for ongoing identification of hazards, assessment of risks, and the determination of controls? Have OH&S Hazards been identified ? Have OH&S Risks been determined? Has the level of acceptability (tolerable) Risks been determined including specifying which are "Unacceptable Risks"? Have necessary controls, based on the results of the risk assessment, been identified? Have necessary controls, based on the results of the risk assessment, been implemented?

Is there evidence demonstrating the aspects procedure was USED (implemented) in the Hazard ID, Risk Assessment and Controls Determination process? Is there evidence demonstrating the aspects procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Is there evidence demonstrating the list of hazards, risks and controls is kept up to date (maintained)? Did the above - cover routine and non-routine activities ? Did the above - cover all employees including subcontractors and visitors? Did the above - take into account human behavior, capabilities & other human factors? Did the above - cover hazards originating outside the workplace which could affect H&S of persons under the control of the organization? Did the above - cover "hazards created in the vicinity of the workplace" by workrelated activities under the control of the organization? Did the above - cover infrastructure, equipment and materials at the workplace? Did the above - cover changes or planned changes in activities or materials? Is there evidence - that hazard ID, risk assessment and controls determinations, were made to proposed changes to the organization, OH&S MS or operations prior to implementing those change(s)? Did the above - modifications to the OH&S MS & their impacts on the facility? Did the above - take in account legal obligations relating to risk assessment and implementing necessary controls? Did the above - take in account the design of work areas, processes, machinery/equipment, operating procedures and work organization - including the adaption to human capabilities? Was the methodology used for IDing hazards and risks - defined - as to be proactive rather than reactive? When determining controls, was consideration given to reducing the controls through - elimination; substitution, engineering controls, administrative controls and PPE ? Are those identified hazards, risks and controls considered in establishing, implementing and maintaining the OHSMS? Does the organization have a procedure to identify "legal" and "other" requirements?

Have the Legal Requirements - all been identified? Have the "Other" Requirements - all been identified? Is there evidence demonstrating the L/O procedure was USED (implemented) in the above identification? Is there evidence demonstrating the L/O procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Is there evidence that the Legal and Other requirements are kept up to date? Periodically reviewed for changes ? NOTE: This is also a 4.6 requirement - input data for Management Reviews. Has information on the Legal and Other requirements been communicated to persons working under control of the organization and other relevant interested parties? Can the organization access the LEGAL requirements? Can the organization access the OTHER requirements? Does the organization take into account the legal and other requirements in establishing, implementing and maintaining its OHSMS ? Are all applicable OH&S areas - covered by the list of Legal Requirements? Does the organization have documented OH&S objectives? Are the objectives established at relevant function and level within the organization? Are objectives measurable (where practical)? Are the objectives consistent with the OH&S policy -- including the commitment to prevention injury and ill-health? Are the objectives consistent with the OH&S policy -- including the commitment to compliance with legal and other requirements? Are the objectives consistent with the OH&S policy - including the commitment continual improvement When establishing and reviewing its objectives - did the organization consider: Legal and other requirements;

When establishing and reviewing its objectives - did the organization consider: OH&S Risks ?

When establishing and reviewing its objectives - did the organization consider: - Technological options; - Financial, operational and business requirements; - Views of interested parties? Does the organization have a program for achieving its objectives? Does the program include a designation of - responsibility for achieving objectives? Does the program include a designation of - the means (resources, detailed plans, etc) for achieving objectives? Does the program include a designation of - Time-frames (milestone deadlines, task due dates, etc.) for achieving objectives? Are objectives - tracked and monitored - at planned intervals? Adjusted if necessary? Has Top Management provided resources - essential to IMPLEMENT the OH&S MS? Has Top Management provided resources - essential to MAINTAIN the OH&S MS? Has Top Management provided resources - essential to IMPROVE the OH&S MS? Has Top Management defined OH&S MS roles & responsibilities? Has Top Management defined OH&S accountabilities and authorities ? Are these roles and responsibilities - clearly documented and communicated? Are these accountabilities and authorities - clearly documented and communicated? Has a "Top Management appointee" (i.e., Management Representative)- been appointed? Is the Management Appointee a member of "Top Management"? Does the "Management Appointee" - have defined roles and authority for - ensuring that the OH&S MS has been - established , implemented and maintained in accordance with OHSAS 18001? Does the "Management Appointee" - have defined roles and authority for - ensuring that reports on the OH&S MS performance - are presented to top management? Does the "Management Appointee" - report on OHS MS Performance Reports to Top Management? Are they used as a basis for improvement?

Have all those with Management responsibility - demonstrated their commitment to continual improvement of OH&S performance? Has the organization identified what tasks may impact on OH&S in the workplace? Has the organization defined the competence level - for individuals performing those tasks (above)? Has the organization - evaluated competence - for those individuals? Records? Has the organization identified training needs for personnel that are associated with OH&S Risks? Is there evidence that - training has been conducted and meets those training needs (training records)? Is there evidence that - training effectiveness has been evaluated? Has the organization established an OH&S training procedure ? Is there evidence demonstrating the training procedure was USED (implemented)? Is there evidence demonstrating the training procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained) - especially in light of other changes to the OH&S MS? Is there evidence that employees have been trained on: - the OH&S consequences of their work/behavior and the OH&S benefits of improved personal performance? Is there evidence that employees have been trained on: - their roles and responsibilities and importance of conformity w/ policy & OH&S MS? Is there evidence that employees have been trained on: - their roles and responsibilities in emergency preparedness and response requirements? Is there evidence that employees have been trained on: -the potential consequences of deviation from OHS MS procedures? Is there evidence that trainings take into account different levels of - responsibility and ability? Is there evidence that trainings take into account different levels of language/literacy and risk? Is there evidence that trainings take into account different levels - of risk? Is there a procedure for communicating OH&S information that covers; - internally?

Is there a procedure for communicating OH&S information that covers; - with contractors and visitors? Is there a procedure for communicating OH&S information that covers; - and other interested parties? Is there evidence demonstrating the communication procedure was USED (implemented)? Is there evidence demonstrating the communication procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Is there a procedure for participation by the workers for their involvement in: - Hazard ID, risk assessment and determination of controls? Is there a procedure for participation by the workers for their involvement in: - incident investigation? Is there a procedure for participation by the workers for their involvement in: - development and review of policies and objectives? Is there a procedure for participation by the workers for their involvement in: - consultation regarding changes to the OH&S MS? Is there a procedure for participation by the workers for their involvement in: - representation in OH&S matters? Are employees - consulted when changes may affect workplace OH&S? Are employees - informed as to - what their participation arrangements are? - who their OH&S representative is? Is there evidence demonstrating the participation/consultation procedure was USED (implemented)? Is there evidence demonstrating the participation/consultation procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Does the OH&S document system include - the OH&S policy and objectives? Does the OH&S document system include - description of the scope? Does the OH&S document system include - a description of the main elements of the OH&S MS, their interaction and reference related documents (typically in the Level 1 doc)? Does the OH&S document system include - documents and records, needed to meet OHSAS 18001? Does the OH&S document system include - documents and records, needed to manage its OH&S risks? Has the organization established a document control procedure?

Is there evidence that: - documents are approved for adequacy? Is there evidence that: - documents are periodically reviewed, revised as necessary and re-approved? Is there evidence that: - documents include identification of status and what changes have been made? Is there evidence that: - documents are available at locations of points of use? Is there evidence that: - documents are legible and readily identifiable? Is there evidence that: - external documents required for planning and operation of the OH&S MS, are identified and their distribution controlled? Is there evidence that: - the unintended use of obsolete documents is prevented and identified if retained Is there evidence demonstrating the doc control procedure was USED (implemented)? Is there evidence demonstrating the doc control procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Has the organization identified all of those operations and activities that are associated with the identified hazards where controls are necessary to manage OH&S risks? For these identified operations and activities - is there evidence that controls have been implemented & integrated into the overall OH&S management system? For OH&S risks associated with purchased goods, equipment and services - is there evidence controls have been implemented (communicated to suppliers and used)? For OH&S risks associated with on-site CONTRACTORS and VISITORs - is there evidence controls have been implemented (communicated & used)? Are there documented work instructions covering the above controls - where needed?

Do the identified controls - stipulate operating criteria in the documented work instructions (if needed)? Does the organization have a procedure to: a) identify the potential for accidents and emergency situations b) respond to accidents and emergency situations? Have potential emergencies been identified? Are response plans (procedures) designated for each potential emergency listed ? Has the organization responded to actual emergencies - according to the response plans Has the organization responded to actual emergencies - and prevented or mitigated adverse OH&S consequences? In planning for emergency response, did you take into account local emergency responders, neighbors and other relevant interested parties? Are the procedures periodically tested - where practicable? Are the procedures periodically tested - involving "relevant interested parties (external responders, etc)? Are the procedures reviewed and updated (if necessary) - periodically? Are the procedures reviewed and updated (if necessary) - particularly after testing of emergency situations? Are the procedures reviewed and updated (if necessary) - particularly after the occurrence of accidents or emergency situations? Is there a procedure - to monitor and measure - OH&S performance? Is there evidence OH&S performance parameters have been identified and are being monitored? Is there evidence that - status of OH&S objectives are being monitored? Is there evidence that - the effectiveness of OH&S controls is being monitored? Is there evidence that - the "proactive measures" of the OH&S performance (objectives, controls, etc) are being monitored? Is there evidence that - the "reactive measures" of OH&S performance (ill-health, incidents, accidents, near misses, etc) are being monitored? Is the monitoring of data sufficient to "facilitate corrective action / preventive action analyses"? Do procedures stipulate recording information on calibrations or verifications, if needed, for OH&S monitoring equipment? Is there evidence calibrations or verifications are being completed as stipulated in the procedure?

Is the monitored information being used to determine performance, i.e. trend analysis (not just data collection) ? Is there evidence demonstrating the monitoring procedure was USED (implemented)? Is there evidence demonstrating the monitoring procedure has been REVIEWED and UPDATED, IF NECESSARY (maintained)? Has the organization established a procedure for periodically evaluating compliance with OH&S LEGAL requirements? Have ALL the "legal" compliance evaluations been performed (records)? Has the organization established a procedure for periodically evaluating compliance with OH&S OTHER requirements? Have ALL the "other" compliance evaluations been performed (records)? Is there evidence demonstrating the compliance evaluation procedure has been USED (implemented)? Is the compliance evaluation procedure REVIEWED and UPDATED (maintained) ? Has the organization established procedures to record, investigate and analyze OH&S incidents? Does the procedure address AND are there records to show: 1) underlying OH&S deficiencies & causes incidents? Does the procedure address AND are there records to show: 2) Need for corrective action 3) Opportunities for preventive action Does the procedure address AND are there records to show: 4) Opportunities for continual improvement 5) Communications of the results of investigations Were the "investigations" conducted in a "timely manner"? Were Corrective Actions and/or Preventive actions conducted according to 4.5.3.2 (see next element below)? Is there evidence demonstrating the incident investigation procedure has been USED (implemented)? Is the incident investigation procedure REVIEWED and UPDATED (maintained) ? Has the organization established procedure(s) for "dealing with" - actual and potential - non-conformities associated with the OH&S MS and taking corrective and preventive action?

Does the procedure address AND are there records to show: 1) identifying and CORRECTING non-conformities ? 2) mitigation their OH&S consequences ? Does the procedure address AND are there records to show: 3) investigating non-conformities & determining their cause (where appropriate)? 4) taking action to avoid their re-ccurrence (CORRECTION)? Are the results from corrective and / or preventive actions recorded Does the procedure address AND are there records to show: 1) evaluating the need for action to PREVENT nonconformities? 2) taking action to avoid their o-ccurrence (PREVENTION)? Are the CA or PA reviewed for effectiveness If the corrective or preventive actions identifies new or changed hazards/controls do the proposed actions go through risk assessment before being implemented? Are actions taken appropriate to the magnitude of problems and the OH&S risks encountered? Are changes made to the OH&S MS documentation (procedures) arising from this process, recorded and implemented? Is there evidence demonstrating the Corrective Action procedure has been USED (implemented)? Is the Corrective Action procedure REVIEWED and UPDATED (maintained) ? Has the organization established a procedure for the identification, storage, protection, retrieval, retention and disposal of OH&S records? Have the required records - been identified? Are the required records - stored as indicated? Are the required records - protected? Can the required records - be retrieved? Are the designated retention times and disposal methods for these records - met? Are OH&S records legible, identifiable and traceable? (especially traceable) Is there evidence demonstrating the Records procedure has been USED (implemented)? Is the Records procedure REVIEWED and UPDATED (maintained) ? Does the organization have a program (schedule, etc) for periodic OH&S MS internal audits?

Have audits - been conducted according the schedule or frequency stipulated? Have audits - determined if the organization is meeting "planned arrangements"? Have audits -determined if the organization is meeting OHSAS 18001? Have audits -determined if the OH&S MS is properly implemented? Have audits - determined if the OH&S MS is properly maintained? Have audits - determined if the OH&S MS is meeting OH&S policy and objectives? Are audit results communicated to management? Have audits been conducted - based on the results of previous risk assessments? Have audits been conducted - based on the results of previous audits? Does the organization have a procedure for internal OH&S MS audits? Does the procedure address AND are there records to show how: audit responsibilities are used? Does the procedure address AND are there records to show how: auditor competencies are addressed? Does the procedure address AND are there records to show how: how results are reported? Does the procedure address AND are there records to show: what audit records are kept? Does the procedure address AND are there records to show how: audit criteria, scope, frequency and methodology are addressed? Is there evidence that auditors are selected - to ensure objectivity & impartiality? Is there evidence demonstrating the Audit procedure has been USED (implemented)? Is the Audit procedure REVIEWED and UPDATED (maintained) ?

Has top management established a schedule for reviewing the OH&S MS (planned intervals)? Has top management reviewed the OH&S MS: - according to this schedule? Has top management reviewed the OH&S MS for: - continuing suitability? Has top management reviewed the OH&S MS for: - adequacy? Has top management reviewed the EMS for: - effectiveness Have Management Reviews included: - assessing opportunities for improvement? Have Management Reviews included: - and the need for changes ? Are documented records of reviews available? Have Management Reviews included: - OH&S MS audit results Have Management Reviews included: - OH&S regulatory compliance evaluations Have Management Reviews included: - participation and consultation Have Management Reviews included: - external communications (including complaints) Have Management Reviews included: - OH&S performance Have Management Reviews included: - status of objectives Have Management Reviews included: - follow-up actions from previous MR's Have Management Reviews included: - status of CA's and PA's Have Management Reviews included: - recommendations for improvement Have Management Reviews included: - if any changes have occurred in legal and other requirements

Have Management Review Outputs included Action Items OR Decisions On possible changes to: - OH&S performance Have Management Review Outputs included Action Items OR Decisions On possible changes to: - OH&S policy and objectives Have Management Review Outputs included Action Items OR Decisions On possible changes to: - resources Have Management Review Outputs included Action Items OR Decisions On possible changes to: - other elements of the OH&S MS Have Management Review Outputs - been made available for communication and consultation?