OHSAS181.

doc

OHSAS 18002:1999

Occupational Health and Safety Assessment Series

Draft

OHSAS 18002

Occupational health and safety

management systems: - Guidance

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OHSAS 18002:1999

Contents
Page
4

Foreword

Acknowledgement
5
------------------------------------------------------------------------------------------------------------------------------------------------------1

Scope

Reference publications

Definitions

OH&S management system elements

4.1

General requirements

4.2

OH&S Policy

4.3

Planning

4.3.1

Planning for hazard identification, risk assessment and risk control

4.3.2

Legal and other requirements

10

4.3.3

Objectives

10

4.3.4

OH&S management programme(s)

10

4.4

4.5

Implementation and operation

10

4.4.1

Structure and responsibility

10

4.4.2

Training, awareness and competence

11

4.4.3

Consultation and communication

11

4.4.4

Documentation

11

4.4.5

Document and data control

12

4.4.6

Operational control

12

4.4.7

Emergency preparedness and response

12

Checking and corrective action

13

4.5.1

Performance measurement and monitoring

13

4.5.2

Accidents, incidents, non-conformances, corrective and preventive action

13

4.5.3

Records and records management

4.5.4

Audit

14
14

4.6
Management review
14
------------------------------------------------------------------------------------------------------------------------------------------Annex A (informative): Correspondence between OHSAS 18001, ISO 14001:1996, ISO 9001:1994 15
Bibliography
16
United Kingdom supplement

16

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Foreword
This Health and Safety Assessment Series (OHSAS) Specification, and the accompanying OHSAS 18001, have
been developed in response to urgent customer demand for a recognisable occupational health and safety
management system standard against which their management systems can be assessed and certified.
OHSAS 18001 has been developed to be compatible with the ISO 9001:1994 (Quality) and ISO 14001:1996
(Environmental) management systems standards, in order to facilitate the integration of quality, environmental and
occupational health and safety management systems by organizations, should they wish to do so.
This OHSAS Specification will be reviewed or amended when considered appropriate. Reviews will be conducted
when new editions of either ISO 9001 or ISO 14001 are published, to ensure continuing compatibility.
This OHSAS Specification will be withdrawn on publication of its contents in, or as, an international standard.
The following documents were referenced during the development of this OHSAS Specification:
BS 8800:1996 Guide to occupational health and safety management systems
Technical Report NPR 5001: 1997 Guide to an occupational health and safety management system
SGS & ISMOL ISA 2000:1997 Requirements for Safety and Health Management Systems
BVQI SafetyCert: Occupational Safety and Health Management Standard
DNV Standard for Certification of Occupational Health and Safety Management Systems (OHSMS):1997
Draft NSAI SR 320 Recommendation for an Occupational Health and Safety (OH and S) Management System
Draft AS/NZ 4801 Occupational health and safety management systems - Specification with guidance for use
Draft BSI PAS 088 Occupational health and safety management systems
UNE 81900 series of Prevention of occupational risks pre-standards
Draft LRQA SMS 8800 Health & safety management systems assessment criteria
OHSAS 18001 will supersede some of these referenced documents.
OHSAS 18001 maintains a high level of compatibility with, and technical equivalence to:
- AS/NZ 4801
- UNE 81900

Compliance with this Occupational Health and Safety Assessment Series Specification does not of itself
confer immunity from legal obligations.
Notes to the Foreword:
For the United Kingdom:
BSI-OHSAS 18001 is not a British Standard.
BSI-OHSAS 18001 will be withdrawn on publication of its content in, or as, a British Standard.
BSI-OHSAS is published by BSI which retains its ownership and copyright.
The development process used for BSI-OHSAS 18001 is open to other sponsors wishing to produce similar types of
documents in association with BSI, provided that those sponsors are willing to comply with BSI's conditions for
such documents.
For the Republic of Ireland:
NSAI-OHSAS 18001 is not an Irish Standard.
NSAI-OHSAS 18001 will be withdrawn on publication of its content in, or as, an Irish Standard.
NSAI-OHSAS is published by NSAI which retains its ownership and copyright.

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Acknowledgement
OHSAS 18001 has been developed with the assistance of the following co-operating organisations:
National Standards Authority of Ireland
Standards Australia
British Standards Institution
Bureau Veritas Quality International
Det Norske Veritas
Lloyds Register Quality Assurance
National Quality Assurance
SFS Certification
SGS Yarsley International Certification Services
Asociacin Espaola de Normalizacin y Certificacin
International Safety Management Organisation Ltd
Standards and Industry Research Institute of Malaysia-Quality Assurance Services
International Certification Services

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Scope

This Occupational Health and Safety Assessment Series (OHSAS) Specification gives requirements for an
occupational health and safety (OH&S) management system , to enable an organization to control its OH&S risks
and improve its performance. It does not state specific OH&S performance criteria, nor does it seek to give detailed
specifications on general management systems design..
This OHSAS Specification is applicable to any organization that wishes to:
(a)

establish an OH&S management system to eliminate or minimize risk to employees and other interested
parties who may be exposed to OH&S risks associated with its activities

(b)

implement, maintain and continually improve an OH&S management system;

(c)

assure itself of its conformance with its stated OH&S policy;

(d)

demonstrate such conformance to others;

(e)

seek certification/registration of its OH&S management system by an external organization; or

(f)

make a self-determination and declaration of conformance with this OHSAS Specification.

All the requirements in this OHSAS Specification are intended to be incorporated into any OH&S management
system. The extent of the application will depend on such factors as the OH&S policy of the organization, the
nature of its activities, the risks and complexity of its operations.
This Specification is intended to address occupational health and safety rather than product and services safety.

Reference publications

Other publications that provide information or guidance are listed in the bibliography. It is advisable that the latest
editions of such publications be consulted. Specifically, reference should be made to:
OHSAS 18001:1999 Occupational Health & Safety Specification
BS 8800:1996 Guide to occupational health and safety management systems
3

Definitions

For the purposes of this OHSAS Specification the following definitions apply.
3.1

accident

Undesired event giving rise to death, ill-health, injury, damage or other loss.
3.2

audit

A systematic and, wherever possible, independent examination to determine whether activities and related results
conform to planned arrangements and whether these arrangements are implemented effectively and are suitable to
achieve the organization's policy and objectives (see 3.9).
NOTE: The word independent here does not necessarily mean external to the organization.

3.3

continual improvement

The process of enhancing the OH&S management system, to achieve improvements in overall occupational health
and safety performances, in line with the organization's OH&S policy.

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NOTE: The process need not take place in all areas of activity simultaneously.
3.4

hazard

A source or a situation with a potential for harm in terms of human injury or ill-health, damage to property,
damage to the workplace environment, or a combination of these.
3.5

hazard identification

The process of recognising that a hazard (see 3.4) exists and defining its characteristics.
3.6

incident

Undesired event that had the potential to lead to accident.

NOTE: The term "incident" includes both accidents (see 3.1) as well as no-loss incidents, also called "near-misses".
3.7

interested parties

An individual or group concerned with, or affected by the OH&S performance of an organization.

3.8

non-conformance

Any deviation from work standards, practices, procedures, regulations, management system performance etc. that
could either directly or indirectly lead to personal injury or illness, property damage, damage to the workplace
environment, or a combination thereof.
3.9

objectives

The goals, in terms of OH&S performance, that an organization sets itself to achieve and which should be
quantified wherever practicable.
3.10

occupational health and safety

Conditions and factors in the workplace which affect the wellbeing of employees, temporary workers, contractor
personnel and others.
3.11

OH&S management system

That part of the overall management system which includes organizational structure, planning activities,
responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing
and maintaining an OH&S policy, and thereby facilitating the management of the OH&S risks associated with the
business of the organization.
3.12

organization

A company, operation, firm, enterprise, institution, or association, or part therefore, whether incorporated or not,
public or private, that has its own functions and administration. For organizations with more than one operating
unit, a single operating unit may be defined as an organization.
3.13

performance

The measurable results of the OH&S management system, related to the organization's control of health and safety
risks, based on its OH&S policy and objectives. Performance measurement includes measurement of OH&S
management activities and results.
3.14

risk

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The combination of the predicted frequency and consequences of a specified undesired event occurring due to the
realization of a hazard.

3.15

risk assessment

The overall process of estimating the magnitude of risk and deciding whether or not the risk is tolerable.
3.16

safety

Freedom from unacceptable risk of harm [ISO/IEC Guide 2]

3.17

target

A detailed performance requirement, quantified wherever practicable, pertaining to the organization, that arises
from the objectives (see 3.9) and that needs to be met in order to achieve those objectives.
3.18

tolerable risk

A risk that has been reduced to a level that can be endured by the organization having regard to its legal obligations
and its own OH&S policy.

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OH&S management system elements

4.1 General requirements

The organization shall establish and maintain and OH&S management
system, the requirements of which are set out in clause 4.

General requirements.
There are 5 elements to establish within the Occupational Health and
Safety (OH&S) Management System. The manner and extent to which
individual elements of the Standard OHSAS 18001: 1999 will be
applied, will depend on factors such as size of the organization, the
nature of its activities and the risks involved.

Policy
An Organization defines its OH & S policy through a policy
statement appropriate to the organization and ensures
commitment to its OH & S Management System.

Planning
An Organization formulates a plan to fulfil its OH & S
policy.

Implementation and Operation

For effective implementation, an Organization develops the
capabilities and support mechanisms necessary to achieve its
OH & S policy, objectives and targets.

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Checking and Corrective Action

An Organization measures, monitors and evaluates its OH & S
performance.

Management Review
An Organization reviews and continually improves its OH & S
management system, with the objective of improving its
overall OH & S performance.

This document offers guidance to persons wishing to implement an OHS

management system to meet the requirements of HASAS 18001. It is
structured precisely according to HASAS 18001. In that way the user
can refer quickly from the requirements to the guidance.
The OH&S management system provides a structured process for the
achievement of continual improvement, the rate and extent of which
should be determined by the organization in the light of economic and
other circumstances. Although some improvement in OH&S performance
can be expected due to the adoption of a systematic approach, it
should be understood that the OH&S management system is a tool which
enables the organization to achieve and systematically control the
level of OH&S performance that it sets itself.
A number of options are given against each paragraph of HASAS 18001.
That is not to suggest that all options need to be addressed. Each
user will have to tailor his or her system to meet particular needs,
taking account of the circumstances and hazards that obtain.

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An organization has the freedom and flexibility to define its

boundaries and may choose to implement this standard with respect to
the entire organization, or to specific operating units or activities
of the organization. If this standard is implemented for a specific
operating unit or activity, the policies and procedures developed by
other parts of the organization can be used to meet the requirements
of this standard. This is provided that they are applicable to the
specific operation unit or activity that will be subject to the
standard. The level of detail and complexity of the OH&S management
system, the extent of documentation and the resources devoted to it
will be dependent on the size of an organization and the nature of
its activities. This may be the case in particular for small and
medium-sized enterprises.
Companies whom have already established quality and/or environmental
systems (DQS, EMS) may wish to use their document control system to
control the Health and Safety documents.
Annex C contains a detailed cross-reference to BS EN ISO 9001

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4.2

OHSAS 18002:1999

OH&S policy

There shall be an occupational health and safety policy authorized by

the organization's top management that clearly states overall health
and safety objectives and a commitment to improving health and safety
performance.
The policy shall:
(a)

be appropriate to the nature and scale of the organization's OH&S

risks;

(b) include a commitment to continual improvement;

(c)

include a commitment to at least comply with current applicable

OH&S legislation and with other requirements to which the
organization subscribes;

(d)

be documented, implemented and maintained;

(e)

be communicated to all employees with the intent that employees

are made aware of their individual OH&S obligations;

(f)

be available to interested parties; and

(g)

be reviewed periodically to ensure

appropriate to the organization.

it

remains

relevant

and

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The OH&S policy is the driver for implementing and improving the
organization's OH&S management system so that it can maintain and
potentially improve its OH&S performance. The policy should therefore
reflect the commitment of top management to compliance with
applicable laws and continual improvement. The policy forms the basis
upon which the organization sets objectives and targets. The policy
shall be sufficiently clear to be capable of being understood by
internal and external interested parties and should be periodically
reviewed and revised to reflect changing conditions and information.
Its area of application should be clearly identifiable.
The policy should be defined and documented. It should state absolute
commitment to protecting the health and safety of anybody affected by
its activities. The senior manager and probably other senior managers
should sign it.
The policy must be communicated to all personnel. There should be some
definite mechanisms for doing this, e.g. distributing it annually in
wage packets or including it in the Terms and Conditions or employee
handbooks. Frequency of revisions should be defined. All changes must be
brought to the attention of all employees.

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4.3.1 Planning for hazard identification, risk assessment and risk

control
The organization shall establish and maintain procedures for the
ongoing identification of hazards, the assessment of risks, and the
implementation of necessary control measures. These shall include:
routine and non-routine activities
activities of all personnel having access to the workplace
facilities at the workplace, whether provided by the organization
or others.
The organization shall ensure that the results of these assessments
and the effects of these controls are considered when setting its
OH&S objectives. The organization shall document and keep this
information up to date.
The organizations methodology for hazard identification and risk
assessment shall:
(a)be defined with respect to its scope, nature and timing to ensure
it is pro-active rather than reactive ;
(b)provide for the classification of risks and identification of
those that are to be eliminated or controlled by measures as
defined in 4.3.3 and 4.3.4;
(c)be consistent with operating experience and the capabilities of
risk control measures employed;
(d)provide input into the determination of facility requirements,
identification of training needs and/or development of operational
controls;
(e)provide for the monitoring of required actions to ensure both
effectiveness and timeliness of their implementation.
NOTE: For further guidance on hazard identification, risk assessment
and risk control, see OHSAS 18002.

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Risk Assessment
A plan should be made out, with a schedule, for carrying out a survey to
identify the hazards and assess the risks associated with each critical
task / process. Task analysis and risk assessment should be carried out
systematically by trained personnel. A survey should be completed, and
fully documented, and should result in detailed work instructions and
safety rules. At appropriate stages management should review the results
of this analysis and ensure that action is taken to implement any essential corrective action.
Where safety equipment is considered mandatory for a task this fact
should be documented. Risk rating shall take into account of both the
probability that harm will occur and the degree of injury or damage.
This will aid in the prioritising the risk and determining methods of
control.
The review should cover four key areas:
1. Legislative and regulatory requirements
2. Assessement of significant OH&S risks
3. Examination of all/any existing OH&S management practices and
procedures
4. Evaluation of feedback from the investigation of previous
incidents

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Hazard Identification.
Management shall ensure that there is a systematic evaluation of all
hazards, by referencing the following sources of information:

Legislation/approved codes of practice which provide guidance

and minimum requirements;
Guidance produced by relevant enforcing authorities;
International guidance;
Relevant national/international standards;
Industry/trade association guidance;
Personal knowledge and experience;
Accident, ill health, incident and near miss data;
Expert advice from competent personnel.

Management shall carry out an analysis of the entire operation and each
workplace to identify hazards and associated risks. To facilitate this
lists should be prepared of tasks broken down by job, occupation, trade,
or individual work station, as appropriate.
A set of physical conditions standards should be prepared for each area.
See 4.10.5.
Appropriate procedures, inspections and controls should be put in place
where hazards are identified to minimise the risk of accident.
The process and its environment should comply with all applicable
statutory regulations.
The organization should adopt the hierarchy of risk control measures:

OHSAS181.doc
a)
b)
c)
d)
i)
ii)

OHSAS 18002:1999
Elimination/substitution a permanent solution.
Engineering controls measures to reduce the
risk, (i.e. machine guarding, protective barriers, etc.)
Administrative controls measures to reduce risk
(i.e. following strict procedure, permit to work,
supervision)
Personal protective equipment PPE only as a last
resort.

be in possession of an assessment in writing of the risks to

safety and health and;
ensure that the risks to health and safety or employees are
periodically evaluated.

Risk assessment is the process of examining what in the workplace can

cause harm to people (or damage to property) so that a judgement can
be made as to whether sufficient arrangements and precautions are in
place or additional measures are required. The aim is to identify
potential sources of harm and put in place adequate preventative
measures before they result in an accident.

Key Stages
The key stages in the risk assessment programme are as follows.
i)

persons with responsibility for carrying out risk assessment

must be given appropriate training. The training must include
a specific focus on the methodology to be used. Risk assessors
must be familiar with any relevant OH and S legislation,
standards, codes of practice or guidance;

ii)

an inventory of all activities, processes, machines must be

prepared for each area. It is vital to include infrequent
maintenance tasks, as well as day-to-day production work.
Possible ways of classifying work activities include:

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While executing the procedure(s) to identify and evaluate OH&S risks,

consideration should be given to adverse conditions resulting from:

Normal operating conditions;

Abnormal operating conditions, including shut-down and
start-up conditions;
Incidents, accidents and potential emergency situations;
Past activities, current activities and planned activities.
Geographical areas within/outside the organisations
premises;
Stages in the production process, or in the provision of a
service;
Planned and reactive work;
Specific tasks (eg driving).

10

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For each activity, the hazards must be identified. Typical hazards to

be considered include:
1)
2)
3)
4)
5)
6)
7)
8)
9)
10)
11)
12)
13)
14)
15)
16)
17)
18)
19)
20)
21)
22)
23)
24)
25)
26)
27)
28)
29)

11

Slips/falls on the level;

Chemical hazards;
Physical hazards;
Biological hazards;
Ergonomic hazards;
Monotonous work;
Influence of shift work;
Overtime loading;
Fatigue;
Falls of persons from heights;
Falls of tools, materials, from heights;
Inadequate headroom;
Hazards associated with manual lifting/handling of tools and
materials;
Hazards from plant and machinery associated with assembly,
commissioning, operation, maintenance, modification, repair
and dismantling;
Vehicle hazards, covering both site transport and travel by
road;
Fire and explosion;
Violence to staff;
Substances that may be inhaled, absorbed or ingested;
Substances or agents that may damage the eye;
Harmful energies (i.e. electricity, radiation, noise
vibration);
Work-related upper limb disorders resulting from frequently
repeated tasks;
Inadequate thermal environment,(too hot, too cold);
Inadequate lighting level for tasks;
Slippery, uneven ground/surfaces;
Inadequate or no guard rails/hand rails or stairs/steps;
Contractors activities on site;
Confined space entry;
Human factor hazards (i.e. worker error, stress);
Inadequate maintenance programmes.

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The above list is NOT exhaustive. Organisations should draw up their

own hazard checklists taking into account the nature of their work
activities and locations where work is carried out. Relevant OH and
S legislation, codes of practice, standards and guidelines should be
used for drawing up hazard checklists.
The risks associated with each hazard must then be assessed by
determining who (or what) might be harmed (or damaged) and how (i.e.
to what extent). The assessment should evaluate the potential for
harm and its consequences. Consideration should be given to the
number of persons exposed to the hazard, the frequency and duration
of exposure. The consequence of harm could range from slight injury
or ill-health, to lacerations, fractures, amputations, chronic pain,
poisonings, cancer or fatal injuries.
The most practical ways for carrying out the risk assessment include
comparing the situation found with that set out in the relevant OH
and S legislation, code of practice, or authoritative
standards/guidance appropriate to the hazard.
OH&S legislation requires employees (including the safety
representative) to be consulted and involved in the risk assessment
process. This to ensure they understand the reasons for it and take
ownership of the remedial measures/precautions which are put in
place.

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Health Hazards / Industrial Hygiene.

Risk analysis (already discussed) should be carried out, of the entire
operation, to identify all potential causes of occupational illness,
(including all relevant exposure levels, and consequences as
appropriate). This could be done using a task-hazard inventory and
technical and non-technical surveys, as appropriate. The results of this
analysis should be made known to persons likely to be affected by the
particular conditions.
Where practicable health hazards should be eliminated. Where this is not
possible, controls should be introduced to reduce the risk to personnel
to acceptable levels as required by law. Such controls should include
engineering controls, work practice controls, exposure time controls,
administrative controls, PPE controls, and training in occupational
health hazards.
Adequate monitoring equipment should be provided to protect personnel
against any health hazards. The system of monitoring the environment,
where that is necessary, should be reviewed regularly.
Employees should be adequately informed on the risk posed by the
workplace or the process. Risks should be minimised by the most
effective means, as required by law.
Where necessary, special first aid facilities for health risks should be
provided. First aid reports should be analysed with a view to
identifying improvements in health-related first-aid facilities.
If the arrangements in place for the activity being assessed are not
in accordance with the relevant OH&S legislation, code of practice or
authoritative standard/guidance then the deficiencies should be noted
and appropriate action identified. Items in need of attention can be
prioritised as:
Immediate;
Short term;
medium term;
long term.

13

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Prioritisation should take account of the analysis of the

probabilities and the consequences already carried out.
Remedial measures to control the risk should be chosen taking into
account the following:

the elimination of hazards altogether, where possible, or

combat risks at source, eg totally enclosed chemical process;
if elimination is not possible, try to reduce the risk eg use
a safe substance instead of a dangerous one or by using a low
voltage electrical appliance;
measures that protect everyone, eg local exhaust ventilation,
noise reduction measures, machine guarding, restricting access
to trained and authorised personnel, safe work procedures and
systems;
the need to introduce planned maintenance of, for example,
machinery safeguards;
the use of personal protective equipment, but only as a last
resort after all other control options have been considered;
the need for emergency arrangements;
any improved control measures that may arise from technical
progress.

14

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Documentation
A written record of the risk assessment should be retained and all
relevant OH and S procedures documented. These should be integrated
into the organisations safety statement and brought to the attention
of all affected persons.

4.3.2 Legal and other requirements

The organization shall establish and maintain a procedure to identify
and have access to the legal and other OH&S requirements that are
applicable to it.
The organization shall keep this information up-to-date. It shall
communicate relevant information on legal and other requirements to
its employees and other relevant interested parties.
Consideration of requirements other than legislation is equally
important. Care should be taken to ensure that the organization has
taken account of relevant codes of practice, industry agreements and
guidelines as appropriate to the commitment of the organization.
Examples of other requirements to which the organization may
subscribe are:
1. Industry codes and practices
2. Agreements with authorities
3. Applicable Non-regulatory guidelines.
If the organization has signed specific codes, even if this is done
by a corporate body, the organization should be able to identify
those requirements to be fulfilled and how this has been done.

15

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4.3.3 Objectives
The organization shall establish and maintain documented occupational
health and safety objectives, at each relevant function and level
within the organization.
When establishing and reviewing its objectives, an organization shall
consider its legal and other requirements, its OH&S hazards and
risks, its technological options, its financial, operational and
business requirements, and the views of interested parties. The
objectives shall be consistent with the OH&S policy, including the
commitment to continual improvement.
A safety plan should be drawn up annually, detailing safety
goals/improvements to be achieved.
Objectives in the plan should be:

Specific and targets should be measurable wherever practicable

Set for each level of management in the organisation
Agreed with the managers responsible for achieving the plan
Clearly communicated to those involved with its implementation.
Preventive in nature, where appropriate.

Ideally, targets should be SMART: Specific, Measurable, Achievable,

Result oriented, and with a Time constraint.
Some performance measures, in particular accident data, are direct
indicators of OH&S performance. However, time has to elapse before
they can be used as a reliable indicator on whether
targets/objectives are fulfilled. Accident data, therefore, should
never be used as the sole measure of OH&S performance.
Managers must be given the appropriate levels of authority and resources
necessary to achieve the established targets.

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4.3.4 OH&S management programme(s)

The organization shall establish and maintain (an) OH&S management
programme(s) for achieving its objectives. This shall include
documentation of:
(a)

the designated responsibility for achievement of objectives at

relevant functions and levels of the organization; and

(b)

the means and time-scale by which objectives are to be achieved.

The OH&S management programme (s) shall be reviewed at regular and

planned intervals. Where necessary the OH&S management programme (s)
shall be amended to address changes to the activities, products,
services, or operating conditions of the organization.

17

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The creation and use of (a) program(s) is a key to the successful

implementation of an OH&S management system. The program should
describe how the organization's targets would be achieved, including
time-scales and personnel responsible for implementing the
organizations OH&S policy. This program may be sub-divided to address
specific elements of the organizations operations. The program
should include an OH&S review of new activities.
The program may include where appropriate and practical,
consideration of planning, design, production and maintenance. This
may be undertaken for current and new activities, products and
services. For products, this may address design, materials,
production, processes, use and disposal. For installations or
significant modifications of processes this may address planning,
design, construction, commissioning, operation and, at the
appropriate time determined by the organization, decommissioning.
The organization should be able to demonstrate a procedure to review
any developments or modifications in existing activities, products
and services. Such reviews should include OH&S risk identification
and evaluation as a basis. Depending on the results of such an
identification and evaluation, the organization should determine
whether new programmes need to be set up or existing ones amended to
ensure proper application of its OH&S policy.
4.4

Implementation and operation

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4.4.1 Structure and responsibility

Roles, responsibilities and authorities shall be defined, documented
and communicated in order to facilitate effective OH&S management. In
particular the roles, responsibilities and authorities shall be
defined of those personnel who manage, perform and verify activities
having an effect on the OH&S risks of the organizations activities,
facilities and processes.
Ultimate responsibility for occupational health and safety rests with
top management. The organization shall appoint a member of top
management (e.g. in a large organization, a Board or executive
committee member) with particular responsibility for ensuring that
the OH&S management system is properly implemented and performing to
requirements in all locations and spheres of operation within the
organization.
Management shall provide resources essential to the implementation,
control and improvement of the OH&S management system. Resources
include human resources and specialized skills, technology and
financial resources.
The organizations management appointee
responsibilities and authority for:

shall

have

defined

roles,

a) ensuring that OH&S management system requirements are established,

implemented
and
maintained
in
accordance
with
this
OHSAS
Specification;
b) ensuring that reports on the performance of the OH&S management
system are presented to top management for review and as a basis
for improvement of the OH&S management system.
All those with management responsibility shall demonstrate, by
example, their commitment by being actively involved in the continual
improvement of OH&S performance.

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OH&S is a line responsibility, and this should be documented.

The responsibility and authority of all persons who perform duties in
relation to the safety system should be defined. The organizational
structure should be illustrated. Job descriptions should be available
for all management personnel.
Specific safety objectives should be set out for each management level.
Where practicable, these objectives should be expressed in quantifiable
terms.
Each manager should be responsible for ensuring that safety is managed
in his/her department. Responsibilities should be clearly defined at
interfaces between different functions.
Senior management should establish the organizations OH&S policy and
ensure that the OH&S management system is implemented. As part of
this commitment, the top management should designate a specific
management representative(s) with defined responsibility and
authority for implementing the OH&S management system. (In large or
complex organizations there are likely to be more than one designated
representative).
It is also important that the essential OH&S management system
responsibilities are well defined and communicated to the relevant
personnel.
To this end, the organization should document a description of the
organizational form, the reporting lines and interactions in the
organization.
In addition, documents should describe individual responsibilities
and authorities for general and specific OH&S activities at all
organizational levels. This could be of any form including job
descriptions, task descriptions, procedures, etc.
The descriptions should be such that individuals are aware of the
scope, responsibility and authority of their functions, and also
understand their freedom and authority and the channels to be used to
initiate action.
Definition of the roles, responsibilities and authorities should,
among others, be considered for:

Individual managers and supervisors.

The management representative(s).
The employee representation or works council.

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Resources
Management should ensure that adequate resources are available for the
maintenance of a safe workplace, including training, equipment, expert
advice and auditing resources.
Resources can be considered adequate if they are sufficient to carry
out the programmes and activities. For an existing management
system, this can also be determined by comparing objectives and
targets with actual results.
Human Resources
For each job-type a person-specification should be drawn up giving
details of the personal requirements for the job. Prospective employees
should be subjected to a pre-placement medical examination to ensure
that they have the necessary physical and mental capacity, when
appropriate (i.e. if identified by risk assessment).
This should be considered also when personnel are transferred to a task,
which has been identified as requiring a medical examination to be
satisfactorily completed.
Personnel should be medically examined prior to leaving the employment.
Where particular skills are required references from former employers or
licensing agencies should be checked.

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Management Appointees
The Board or Top manager should designate a member of executive
management as the OH&S Management Representative having ultimate
responsibility for safety and health, on behalf of the board, and he/she
should report directly to the Top Manager. This person should operate at
Board level or equivalent, and should be assisted by a safety programme
co-ordinator (unless he/she undertakes this role directly). A written
brief should set out clearly the responsibilities of this function, and
should define the role as primary. The brief should specify that the
Representative (and the Safety Programme Co-ordinator) is provided with
the necessary resources to carry out the function such as training,
external technical assistance, and system resources to include
sufficient time to perform his duties. The Safety Programme Coordinator (SPC) should be responsible for monitoring overall operation
of the OH&S system. The SPC should not have any other functions, which
conflict with these duties.

Commitment
Managers can demonstrate commitment to the OH&S programme by visiting
sites (tours), participating in accident investigation, and providing
resources in the context of corrective action. Occasionally attending
regular safety meetings, which he/she is not expected to attend, and
issuing messages of support.

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4.4.2 Training, awareness and competence

The organization shall identify training needs. It shall require that
all persons shall receive training appropriate to the OH&S risks they
face. The organization shall maintain records of OH&S related
training provided to its individual employees.
It shall establish and maintain procedures to make its employees
working at each relevant function and level aware of:
a) The importance of conformance to the OH&S policy and procedures
and with the requirements of the OH&S management system;
b) The OH&S consequences, actual or potential, of their work
activities and the OH&S benefits of improved personal performance;
c) Their roles and responsibilities in achieving conformance with the
OH&S policy and procedures and with the requirements of the OH&S
management system including emergency preparedness and response
requirements;
d) The potential consequences of departure from specified operating
procedures.
The training procedures shall take into account differing levels of:
a) responsibility, ability and literacy; and
b) risk.
Personnel performing tasks, which may impact on OH&S in the
workplace, shall be competent on the basis of appropriate education,
training and/or experience.

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Training general.
Personnel should be adequately trained and supervised. Appropriate
procedures and practices should facilitate the co-operation of all
personnel in assuring safety. Employees need to be aware of exposure to
possible harm in their work environment including physical, chemical,
biological and psychological hazards. Employees should have an
understanding of these hazards and their controls as they relate to
their work environment, so that they able to recognise and take action
to avoid work practices/activities likely to lead to incidents.
All persons affected by work or entry permits should be given
appropriate training.
Training needs should be identified according to a documented procedure.
This should be used to draw up a documented annual training plan.
Training needs should be identified from a variety of sources including:

Task/job descriptions,
Task-hazard inventory,
Accident data,
Supervisor questionnaires,
Employee questionnaires, and
Previous training course assessments

This may be documented in a list, job descriptions, a matrix/table of

functions against competencies/training or other suitable means.

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Suitable training facilities should be provided. This includes a

suitable location, which facilitates training without interruption, and
appropriate presentation equipment. Where appropriate, handouts should
be given to trainees which describe the material covered in the
training.
Training should be provided in the following areas:
operational standards, including safety rules;
safety practices and procedures, including manual and mechanical
handling;
hazardous chemicals and occupational health hazards.
All employees should be given refresher training annually in all
relevant safety rules.
Training should involve reference to procedures, work instructions,
safety rules, work permits, task analyses, and data in relation to
accidents, as appropriate. Where it is considered necessary trainees
should be tested. If appropriate, such tests should be written.
In the case of external training a lesson plan outlining the content of
the course should be provided and evaluated beforehand.
Records should be kept of all formal training carried out. Management
should review and evaluate all such training.

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Training for Managers.

All senior and front-line managers and the Management Representative
should be trained to an appropriate level in the OH&S programme, and
should receive refresher training at appropriate intervals.
Middle and senior managers should be trained in accident causation
theory.
Supervisory staff should be trained in people management skills, safety
inspection techniques, and accident investigation and reporting.
Particular attention should be paid to the training necessary for the
OH&S programme co-ordinator and internal auditors.
Specialised Training.
A sufficient number of persons trained in first aid should be on site
during working periods. The majority of front-line managers should be
trained to Emergency Aid or First Aid level.
Testing and licensing.
Specific tasks, which require particular safety training, should be
identified, and only employees instructed in relevant specialised safety
rules should be required to perform such tasks.
Licences should be issued where the work is particularly hazardous, and
only on successful completion of training, and testing. Licences should
only be renewed on satisfactory performance over a defined recent
period.
Recently trained employees should be checked for safe task performance
at appropriate intervals immediately after training.

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Induction.
All new and transferred employees should undergo an induction programme.
This programme should include:
general safety rules;
specialised department rules;
safety hazards, particularly health hazards to which they might
be immediately exposed;
action to be taken by them in case of emergency.
Newly appointed managers (and internal auditors) should be inducted in
safety management systems emphasising their own specific roles and
duties.

Quality of Training.
Training should be evaluated for effectiveness. Participants should be
requested to fill out an internal evaluation form and return it for
review.
In the case of major courses, a responsible manager observing part of
the course should evaluate these. Where appropriate field checks should
be carried out subsequently to verify that the trainee is complying with
the training.
Competence.
Where competence of personnel is a determining factor in ensuring the
effectiveness of the programme the management of the organisation should
employ such competent people either directly, or on a consultancy basis.
Competence should be demonstrated on the basis of academic qualification
and/or relevant experience, depending on the circumstances.
Disciplinary Measures.
Failure to observe safety rules or procedures should be a reason for
disciplinary action. Records should be kept of disciplinary action.
Managers should receive written guidelines on disciplinary procedures.

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Training, Awareness and Competency

The organisations OH&S management system should ensure that
arrangements exist for staff at all levels to receive sufficient
training and are competent to carry out the duties and
responsibilities assigned to them before starting the job.
OH&S Management System Training Requirements
The OH&S management system training should include:

A systematic identification of the competencies required by

each member of staff and training needed to remedy any
shortfalls between the required competence and the level of
competence currently possessed by the individual;

Provision of any training identified as being necessary in a

timely and systematic manner;

An assessment of individuals to ensure that they have

acquired and maintain the knowledge and skills necessary for
the level of competence required and the maintenance of
appropriate training/skills records.

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Elements in Organisational Training Programmes

Organisations should ensure that the following elements are included
in their training programmes:

29

An understanding of the organisations OH&S arrangements and

the individuals specific roles and responsibilities for
them;

A systematic programme of induction and on-going training

for employees and those who transfer between divisions,
sites, department, areas, jobs or tasks in the organisation.

The training should include the local OH&S arrangements; the

hazards, risks, precautions and procedures of work to be
undertaken before work commences;

Specific in-house or external training which may be required

for employees engaged in the organizations OH&S
consultation system and for the safety representative(s);

A procedure to ensure that the training has been effective;

Training for all individuals who manage staff, contractors

and others, (i.e. temporary workers), in their
responsibilities to ensure that they understand the hazards
and risks of the operations for which they are responsible,
wherever they may take place, the competencies necessary to
carry out the activities safely and for ensuring the safe
working procedures are followed by personnel under their
control;

The roles and responsibilities of directors and senior

managers for ensuring that the OH&S management system
functions as necessary to control risks and minimise illhealth, injury and other losses to the organisation;

A training programme for contractors and temporary employees

according to the level of risks to which they may be
exposed.

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Specialist Advice and Services

Access to Specialist Advice and Services
Organisations should have access to sufficient OH&S knowledge, skills
or experience to identify and manage OH&S risks effectively, and to
set appropriate objectives. One or more of the following may achieve
them:

Training managers to a sufficient level of competence to be

able to manage their activities safely and keep up-to-date
with developments in OH&S;

Employing appropriate OH&S professionals as part of the

management team;

Acquiring the necessary skills and advice from external

providers, as required.

Whichever method or combination of methods is chosen, there should be

adequate provision of information, resources and co-operation to
ensure specialist advisers are able to discharge their duties
effectively. Specific tasks and responsibilities of parties need to
be clearly understood.
It should be noted that employment of an OH and S adviser by an
organisation does not relieve the employer/management of the
organisation from their legal responsibilities.

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External Specialist Support

From time to time an organisation may require further specialist
support. Areas where specialist support may be needed, where inhouse expertise and/or resources are sufficient to meet the
organisations needs or where they wish to have an independent view,
include:

31

Initial status review;

Guidance in following and interpretation of statutory

requirements;

Hazard identification and risk assessment;

The design of new facilities, equipment and processes;

OH&S investigations;

Personal monitoring of exposure to hazardous agents;

Health surveillance;

Control strategies for eliminating or reducing risk, ie

engineering control or personal protective equipment (PPE)
etc;

Accident or incident investigation and specifying remedial

actions;

Specialist training;

OH&S reviews;

OH&S audits.

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4.4.3 Consultation and communication

The organization shall have procedures for ensuring that pertinent
OH&S information is communicated to and from employees and other
interested parties.
Employee
involvement
and
consultation
documented and interested parties informed.

arrangements

shall

be

Employees shall be:

a)
b)
c)
d)

involved in the development and review of policies and procedures

to manage risks;
consulted where there are any changes that affect workplace
health and safety;
represented on health and safety matters; and
informed as to who is their employee OH&S representatives and
specified management nominee (see clause 4.4.1).

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Safety Representative.
Management should afford employees the opportunity of selecting safety
representative(s), in accordance with the relevant regulations, which
require consultation. The position of the safety representatives should
be affirmed with a written brief outlining the rights and duties of the
position.
Ensure reasonable facilities are provided for the safety
representative to make representations to the employer on workplace
OH&S matters and to carry out other representative functions in a
competent manner. For example:
i)
ii)
iii)

For carrying out workplace inspections;

For investigating accidents and complaints;
when making reports and copies of reports on OH&S
information for colleagues;

Consultation Safety Committees and Safety Teams.

Management should establish an executive safety committee and/or a joint
labour-management safety committee, which should meet according to a
planned schedule. The arrangements for this committee should indicate:
who should attend;
the frequency of the meetings;
the purpose and scope.
Management should set up teams of competent personnel to investigate and
advise on safety issues, where appropriate.

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OH&S Consultation
Consultation arrangements should cover at least the following, the
extent of their usage will depend on the size and complexity of the
organisation:
a)

the procedures to be used to facilitate effective co-operation

and communication on OH and S matters between the employer and
his employees;

b)

these procedures should be written into the organisations

safety statement and include the role of the safety
representative, safety committees, works councils, tool-box
talks or informal one to one discussions, which might take
place if necessary;

c)

be balanced with no one side trying to get the upper hand;

d)

be in advance and in good time of any work activities, which

can have a substantial effect on employee OH and S. For
example:

The introduction of new technology, equipment or chemicals;

The employment of OH and S experts to study company OH and S

activities;

The outcome of risk assessments on work place hazards;

emergency planning;

OH&S information for employees and its dissemination;

OH&S training.

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Commendation.
Positive recognition should be given for exemplary observance of safety
rules and procedures, and other effort or success on the part of
individuals and groups of employees.
The commendation should be based on written criteria as far as possible.
Managers should receive written guidelines on commendation procedures
from the Top Manager or his designated OH&S Representative (see 4.4.3
above).
Management Meetings.
The agenda of general management meetings should include safety at an
appropriate frequency. When safety is discussed minutes of such meetings
should be kept as part of safety records. The agenda should include a
review of accident investigations, inspection reports, hazard reports,
and corrective action reports since the previous meeting. It should also
address the progress to date in building the safety system, and
maintenance of the existing system, including compliance with
initiatives already introduced.
An effective procedure should ensure that adequate corrective action
is taken arising out of such meetings.
Knowledge of Safety Rules.
Management should ensure that all employees have an adequate knowledge
of the safety rules

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Safety Awareness.
There should be a documented policy in relation to the promotion of
safety awareness. Procedures should address the communication of safety
information to all personnel.
Team talks (toolbox talks) should be given regularly by front-line
managers on safety topics of current interest. If appropriate handouts
should be given to participants. The front-line manager should follow up
any matters arising from these talks. In addition, front-line managers
should engage in one-to-one training/awareness sessions with their team
members.
Safety talks or presentations should be given at appropriate intervals
to all personnel.
A newsletter or other similar medium should be used to promote safety
awareness. Use should be made of a Notice Board, which should be under
the control of a nominated person. A Safety Poster programme should be
in place, under the control of a nominated person. Posters should be
replaced frequently.
Procedures / Work Instructions.
Work instructions should be prepared from identified critical tasks, and
should describe the safety procedures to be carried out and precautions
to be observed, in appropriate detail. All work procedures /
instructions should be available as required, and should be distributed
and communicated effectively. They should refer to any other relevant
safety documentation. Work instructions should be available for every
safety-significant piece of equipment. Ideally, safety aspects should be
incorporated within process work instructions.
Work instructions, safety signs and notices should be in a language,
which can be easily understood by all personnel.

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Safety Rules.
General safety rules to be observed by all persons on site, whether
employees or visitors, should be documented and communicated by posting
up at suitable locations. Specialised safety rules should be identified
from critical tasks. These rules should be distributed and communicated
effectively to all relevant persons. Adequate controls should be in
place to ensure compliance with safety rules.
These rules should be reviewed for adequacy according to a schedule.
Employees should have input into formulation of safety rules.

4.4.4 Documentation
The organization shall establish and maintain information,
suitable medium such as paper or electronic form, to:

in

(a)

describe the core elements of the management system and their

interaction; and

(b)

provide direction to related documentation.

NOTE It is important that documentation is kept to the minimum

required for effectiveness and efficiency.
General.
Documentation/information may be in paper or electronic form.
A system of documented procedures should be set out, covering all
sections of the OH&S management system, to control safety hazards and
minimise the risk of accidents/incidents. The underlying philosophy of
the system should be one of prevention, in normal and abnormal
conditions.
The OH&S management system documentation should include a Safety Manual,
which outlines the structure of the safety system. It should also
describe the way the system complies with the requirements OHSAS 18001,
and defines the major responsibilities of personnel in relation to
safety.

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Reference Documentation.
Copies of relevant legislation and any relevant statutory obligations or
codes of practice should be available on site. All documentation should
be, where practicable, consistent in approach and content. This
information shall be readily available to all relevant personnel.
Management with responsibilities in relation to safety should have an
adequate knowledge of the requirements of these regulations /
obligations.
Reference documentation should be available and kept up to date. In
particular, information specific to hazardous activities and materials
should be readily available to personnel. All personnel should be aware
of the location of this material, and should avail of it as necessary.
An adequate supply catalogue for safety training and specialist
services, and personal protective equipment should be available.
4.4.5 Document

and data control

The organization shall establish and maintain procedures for

controlling
all
documents
and
data
required
by
this
OHSAS
Specification to ensure that:
(a)

they can be located;

(b)

they are periodically reviewed, revised as necessary and approved

for adequacy by authorized personnel;

(c)

current versions of relevant documents and data are available at

all locations where operations essential to the effective
functioning of the OH&S system are performed;

(d)

obsolete documents and data are promptly removed from all points
of issue and points of use or otherwise assured against
unintended use; and

(e)
archival documents and data retained for legal and knowledge
preservation purposes or both, are suitably identified.

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General.
A written procedure should define the controls for the approval, issue,
and removal of safety documentation.
Document Identification and Issue.
All documents containing information critical to safety ("safety documents") should be controlled. A master list of these documents should be
maintained, and should itself be a controlled document. The document
control procedure should indicate how to identify the current valid
safety documents.
Every safety document should have a unique title, document number and
issue date. It should be approved and signed by an authorised person.
The person responsible for the content of each document should be
clearly identified. This person should approve the document, and should
be responsible for ensuring its adequacy.
Where appropriate, safety documents should be marked with an expiry
date, and should be reviewed at specified intervals.
A specific individual should be nominated to control the issue of all
safety documentation.
Changes to Documentation.
The process of changing controlled documents should include:
a clear statement of the reason for the request for change;
the review of the proposed change by competent and authorised
individuals;
the re-issuing of the modified document, duly approved by the
person who approved it initially;
the removal and destruction of obsolete documents;
the clear identification of obsolete documents retained for
reference.

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4.4.6

OHSAS 18002:1999

Operational control

The organization shall identify those operations and activities that

are associated with identified risks where control measures need to
be applied. The organization shall plan these activities, including
maintenance, in order to ensure that they are carried out under
specified conditions by:
a) Establishing and maintaining documented procedures to cover
situations where their absence could lead to deviations from the OH&S
policy and the objectives;
b) Stipulating operating criteria in the procedures;
c) Establishing and maintaining procedures related to the identified
OH&S risks of goods, equipment and services purchased and/or used by
the organization and communicating relevant procedures and
requirements to suppliers and contractors;
d) Establishing and maintaining procedures for the design of
workplace, process, installations, machinery, operating procedures
and work organization, including their adaptation to human
capabilities, in order to eliminate or reduce OH&S risks at their
source.
Identification and Traceability.
Hazardous Materials.
All hazardous materials should be adequately identified and labelled
according to law. An inventory should be maintained of all hazardous
materials used, indicating the identity of the material involved its
location and any other relevant information.
Safety Equipment.
Where appropriate, safety equipment should have unique identification to
facilitate servicing and maintenance. Critical items of equipment,
required in an emergency, should be clearly identified, e.g. master
control valves and switches.

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Product Traceability.
An analysis of the process should be carried out to establish the degree
of product traceability required. Product should be identified to the
extent necessary to facilitate traceability, and appropriate records
should be maintained to facilitate this.
As a minimum, the material or item should be readily identifiable, where
this information is necessary for its safe use.
Purchasing.
General.
Only equipment, goods, and services which comply with safety
requirements should be purchased, as far as is reasonably practicable.
Suppliers and contractors should be selected on that basis.
Assessment of Suppliers and Contractors.
A list of approved suppliers of materials, equipment, and services, and
contractors should be maintained. Approved suppliers should be reviewed
at an adequate frequency to ensure continuing receipt of safe goods and
services.
Safety compliance should be demanded of contractors at the point of
bidding for significant contracts. For major and safety-critical
projects approval of a contractor, or selection for a particular job,
should include a review of the contractors safety programme, safety
performance, and insurance arrangements, as appropriate.

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Purchasing Procedure.
Materials, equipment, and services with which a safety hazard is
associated should be listed. The hazards should be evaluated. Where
appropriate, a formal specification detailing safety requirements should
be documented. A documented purchasing procedure should describe the
purchase of these items.
Safety requirements should be specified or referenced on the purchase
order, or other equivalent documentation. Where a national or
international standard or legal requirement is involved this should be
quoted on the purchase order. Purchase orders should be reviewed for
adequacy prior to issue.
The purchasing procedure should require that Material Safety Data
Sheets, in standard format, are obtained for all bought-in substances.
Records.
Management should ensure that adequate records are maintained of all
purchases, which have a safety requirement.
Safety in Product and Process Design.
Planning Safety in the Design Phase.
New products and process changes should be implemented in a controlled
manner, which ensures that safety is designed into the product and
process. A design brief should be drawn up to include safety requirements and the methods for verifying safety. Where appropriate, safety
should be assessed at intermediate stages of the design phase. Changes
to intermediate designs should be controlled, and the safety of the
modified design adequately assessed.
Verification.
New facilities should be inspected for safety prior to going into use.
Where appropriate, changes to an existing process should be subjected to
the same controls as a new process.

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Responsibilities
Responsibilities in relation to design activities should be clearly
defined, particularly at interfaces between disciplines.
Safety of Contractors' Equipment.
Where a contractor supplies equipment for use on site, whether it
belongs to the contractor or not, adequate control should be maintained
over its use, as far as is reasonably practicable.
This equipment should be subject to safety compliance checks during its
time on site.
Work / Entry Permits.
A survey of the entire operation should be undertaken to identify those
areas where particular operations can only be carried out safely under
entry or work permit. Reference should be made to best practice in
similar organisations. Examples of such permits include entry (to
confined space) permits, hot work permits, and excavation permits.
The permit system(s) should be documented. They should be reviewed
regularly, and should be included in the internal safety audits.
Activities covered by permit system should be permitted only when
controlled by permit.
Preventive Maintenance.
Where practicable a programme of routine preventive maintenance should
operate. The programme should be documented in adequate detail, and
records kept of work carried out under the programme. Unscheduled
downtime and non-casualty repair costs should be used to identify
preventive maintenance needs.

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Safety Equipment and Personal Protective Equipment.

A policy on personal protective equipment should be drawn up explaining
the need for it, and the importance of following fully procedures in
relation to proper fitting, use, and care of such equipment.
The need for safety equipment, including personal protective equipment,
should be identified using the task-hazard inventory and input from
employees. Where appropriate this should be documented in the form of a
task - PPE requirements matrix.
PPE should be supplied free of charge where the equipment is necessary
for the job.
An inventory should be maintained of all such items. Safety equipment
should be available at, or close, to those locations where it is needed.
Personnel should receive adequate instruction its use, fitting,
adjustment and replacement.
Records should be kept of the issue and use of protective equipment. In
particular, records should be kept of cleaning and replacing of parts of
respiratory protective equipment and other safety-critical equipment, as
appropriate. These records should be analysed by a nominated person to
identify any patterns, where appropriate.
Managers should enforce the use / wearing of such equipment and monitor
compliance. When required this should be quantified using the task - PPE
requirements matrix.
Process Changes.
Process changes, including the introduction of new equipment or changes
to the mode of operation of existing equipment, should be introduced
according to written procedures, which should identify the need to
perform additional risk assessments of the change. These procedures
should identify OH&S as one of the parameters to be assessed. The
manager responsible for approving such changes should be clearly identified.

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Control of Contractors.
Contractors carrying out significant work on the premises should be
controlled according to a written procedure.
At appropriate points before and during the job meetings should be held
to agree safety needs and rules.
Safety should be monitored during the contract, as appropriate.
The contractor should be required to submit to the Safety Co-ordinator
reports of accidents, planned inspections, and corrective action.
Procedures should be established and maintained for controlling all
aspects of the contractors work, including:
a)
pre-planning. For medium/long-term contracts this
would involve carrying out full OH&S pre-qualification. For
short term contracts OH&S aspects should be suitably checked via
questionnaire/interview/review.
b)
Communication. Communication links between
appropriate levels in the organization and the contractor shall
be established, prior to and throughout the contract.
c)
Provision of safety rules.
d)
Provision of OH&S training of the contractor(s)
personnel, where necessary, before commencement of work.
e)
Arrangements for monitoring/reviewing aspects of the
contractors work activities on site.
f)
Procedures for communicating accidents and incidents
involving the contractors personnel.
Safety Signs.
Adequate safety signs should be displayed prominently, in accordance
with legal and other requirements. Requirements should be determined by
a systematic survey.
Colour Coding.
Where appropriate colour coding of piped and other services should be
used to facilitate identification. The need for such coding should be
determined by a systematic survey.

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Materials Handling.
Manual Handling.
Heavy or awkward items should be lifted or moved at all times in a safe
manner, according to written procedures or rules, where appropriate.
Personnel should be trained in relevant manual handling techniques.
Mechanical Handling.
Goods should be lifted mechanically rather than manually where feasible.
Equipment used for mechanical handling should conform to relevant
legislation. It should be operated, maintained and inspected according
to written procedures or rules.
Storage
Procedures for the operation of storage areas should be documented,
particularly with regard to hazardous goods.
Handling of Hazardous Materials.
Hazardous substances and preparations, as defined by law, should be
handled and disposed of in a safe manner. Written handling procedures
should cover rules, storage requirements, inspection, and housekeeping.
These materials should at all times be handled and stored in accordance
with the relevant Material Safety Data Sheet, an up-to-date version of
which should be kept readily available, nearby.
Transport.
Transport vehicles should be operated, maintained and inspected
according to written procedures.
Healthcare.
Personnel should have ready access to medical advice from a doctor or
nurse. Where necessary monitoring of employees health with respect to
known health hazards should be undertaken as part of a health care
surveillance programme. A general health care and health promotion
programme should be operated. Employee health records should be kept
confidential, and retained for a period of at least 20 years, or as
required by law.

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4.4.7

OHSAS 18002:1999

Emergency preparedness and response

The organization shall establish and maintain plans and procedures to

identify potential for and response to incidents and emergency
situations, and for preventing and mitigating the likely illness and
injury that may be associated with them.
The organization shall review its response plans and emergency
preparedness and response plans and procedures, in particular, after
the occurrence of incidents or emergency situations.
The organization shall also periodically test such procedures where
practicable.
Planning for Emergencies.
A nominated custodian, appointed in writing should draw up an emergency
plan.

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Emergency Plan.
The emergency plan should be drawn up from actual emergencies
experienced or desktop simulation exercises, with input from the public
emergency services. The plan should outline the actions to be taken when
specified emergency situations arise, and should include:
identification of all potential emergencies considered reasonably
probable;
identification of the Emergency Co-ordinator, who will take charge
during the emergency (i.e. the Main Controller);
general duties of all personnel during the emergency (i.e. apart
from the following);
responsibility, authority, and duties of teams set up for the
emergency, including Main Control and Forward Control;
responsibility, authority, and duties of personnel with other
specific duties in an emergency;
evacuation procedures;
identification and location of hazardous materials, and emergency
action required;
interface with external emergency services;
communication with statutory bodies;
communication with neighbours and the general public;
protection of vital records, equipment, samples, and models.
The involvement of external agencies in emergency planning should be
clearly documented.
If appropriate, a mutual aid agreement should be set up with neighbours,
with a view to sharing resources in an emergency in either location.
Communication in Emergency.
Telephone numbers necessary or useful in an emergency should be posted
at appropriate locations, and kept up to date.
Adequate alternative means of communication within the site should be
available in case the normal means fail. The details should be
documented.

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Emergency Equipment.
Emergency equipment needs under the following headings should be
identified:
alarm systems;
emergency lighting and power;
means of escape;
rescue equipment;
critical valves, switches, and cut-outs;
fire-fighting equipment;
first aid equipment (including emergency showers);
communication facilities.
Adequate equipment for use in emergencies should be provided. All such
equipment should be tested at specified intervals for continuing
operability.
Drills and Practices.
Emergency drills and practices should be carried out according to a
written schedule. These should be carried out in such a way as to give
maximum information about the preparedness of the organisation.
Business Protection.
Management should prepare a contingency plan outlining the strategy for:
securing those records necessary to protect the organisation's
business, or to minimise the effect of the emergency;
supplying customers by alternative means until the process is
operational again;
repair of damage, including identification of suppliers and contractors with the necessary capability.

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4.5 Checking and corrective action

Implementing and operation

Audit

Checking
and
Feedback from
corrective action
measuring
performance
Management review

4.5.1 Performance measurement and monitoring

The organisation shall establish and maintain parameters and
procedures to monitor and measure OH&S performance on a regular
basis. These procedures shall provide for:
(a)monitoring of the extent to which the organisations OH&S
objectives are met;
(b)proactive measures of performance that monitor compliance with the
OH&S management programme, operational criteria and applicable
legislation and regulatory requirements
(c)reactive measures of performance to monitor accidents, near
misses, ill health, incidents and other historical evidence of
deficient OH&S performance
(d)recording of data and results of monitoring and measurement
sufficient to facilitate subsequent corrective and preventative
action analysis.
Both qualitative and quantitative measures shall be considered, as
appropriate, and shall be tailored to the needs of the organisation.
If monitoring equipment is required for performance measurement and
monitoring it shall be calibrated and maintained and records of this
process shall be retained.

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Introduction
Performance management is an essential part of the OH&S management
system. Key purposes of performance measurement are to:

51

Determine whether OH&S plans have been implemented and

achieved;

Check that risk controls have been implemented and are

effective;

Learn from OH&S management system failures including

hazardous events (accidents, near misses and ill-health
cases);

Promote implementation of plans and risk controls by

providing feedback to all parties;

Provide information that can be used to review and where

necessary, improve aspects of an OH&S management system.

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Proactive and Reactive Monitoring

An organisations OH&S management system should incorporate both
proactive and reactive monitoring as follows:

Proactive monitoring should be used to check compliance with

the organisations OH&S activities, for example to confirm
that recently appointed staff have attended an induction
course;

Reactive monitoring should be used to investigate, analyse

and record OH and S management system failures including
accidents, near misses and ill-health cases;

It is often necessary to use proactive and reactive monitoring data

to determine whether objectives are achieved.

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Measurement Techniques
The following are examples of methods that can be used to measure
OH&S performance:

Systematic workplace inspections using checklists;

Safety tours for example, on a walk through basis;

Inspections of specific machinery and plant to check that

safety related parts are fitted and in good condition;

Safety sampling examining specific aspects of OH&S;

Environmental sampling measuring exposure to chemical,

biological or physical agents (eg noise, dusts, x-rays) and
comparing with recognised standards;

Behaviour sampling assessing workers behaviour to identify

unsafe work practices that might require correction;

Analysis of documentation and records;

Benchmarking against good OH&S practices in other

organisation.

Organisations need to decide how often monitoring should take place

based on the level of risk. Frequency of plant machinery inspections
is in some cases defined by law (eg air receivers, steam plant,
lifting equipment).

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Safety inspection.
Routine Safety Monitoring.
Routine safety monitoring of the process, workplace and practices should
be carried out according to a documented monitoring scheme by front-line
or middle managers. Unsafe situations and items should be corrected.
All front-line supervisory personnel should undertake spot checks of
critical tasks in order to assure compliance with safety rules.
Technical Inspection of Equipment.
An inventory (using unique identification)should be drawn up of all
equipment subject to statutory or technical examination by relevant
personnel (maybe external bodies). Such equipment should be inspected as
required, and should be included in the inspection schemes.
Physical Conditions Inspection.
A set of physical conditions standards should be prepared, specifying
how work-place conditions should be. At specified intervals, front-line
managers should undertake an inspection against these standards. A
checklist giving details of the standards and all items to be inspected
should be used for this purpose. Sub-standard conditions should be
recorded and assessed as to risk.
The Safety Programme Co-ordinator should carry out back-up inspections,
but these should not absolve the front-line manager from carrying out
regular inspections, or from identifying hazards.
Inspection Records - Review and Follow-up.
A record should be kept of every safety inspection carried out. The
records should show clearly that the documented safety procedures were
complied with.
Records of safety inspections, tours, surveys, and audits should be
sampled to identify underlying causes of non-compliance and repetitive
hazards. Any necessary preventive action should be taken.

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Use of Measuring Equipment.

Measurement.
Measuring equipment, which is used to assess safety conditions, should
be listed, identified uniquely, and controlled. The accuracy of this
equipment should be known. Where necessary, written procedures should be
available describing how safety measurements are performed.
Equipment used for safety measurement should be maintained and stored in
a proper manner, and should be capable of giving measurements of the
accuracy required.
Calibration.
When required, a calibration scheme should be documented for the above
measuring equipment. This scheme should include:
the frequency of calibration;
reference to test methods, where applicable;
identity of the equipment to be used for the calibration;
action to be taken when the specified measuring equipment is found
to be out of calibration.
Standards and equipment used for calibration should be traceable to
national standards, where such standards exist. Otherwise the basis for
the standards used should be documented.
Records should be kept of all calibrations. Records should give details
of the measurements before and after adjustment.
The calibration status of measuring equipment should be clearly
identified to the users. Safety measuring equipment whose calibration
status is unknown, or which is known to be out of calibration, should
not be used.
Measurements and calibrations should be carried out under appropriate
conditions.
Measuring equipment used by contractors should be subject to the same
controls as in-house equipment. Contractors should be required to give
assurances that their equipment conforms to these requirements.

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Safety Status.
Any item found to be potentially unsafe (i.e. outside of its
calibration period) should, in addition to being removed from use, be
clearly labelled tagged, or otherwise marked, so that it may not be
inadvertently used, or cause an accident. Such marking should be in
accordance with written instructions. The procedures should include the
status identification of product.
Statistical Techniques.
Any statistical or other theoretical analytical techniques used to
assess the safety of a situation, to investigate safety failure or to
assist in decision-making in relation to safety should be based on sound
scientific principles. The Safety Programme Co-ordinator should identify
if there is a need for such techniques.
Where appropriate, guidelines for their use should be documented, along
with the circumstances in which they are appropriate.

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4.5.2 Accidents,
preventive action

OHSAS 18002:1999

incidents,

nonconformances

and

corrective

and

The organization shall establish and maintain procedures for defining

responsilibity and authority for:
(a) the handling and investigation of:
- accidents
- incidents
- nonconformances
(b) taking action to mitigate any consequences arising from
accidents, incidents or nonconfomances;
(c) the initiation and completion of corrective and preventive
actions;
(d) confirmation of the effectiveness of corrective and preventive
actions taken.
These procedures shall require that all proposed corrective and
preventive actions shall be reviewed through the risk assessment
process prior to implementation.
Any corrective or preventive action taken to eliminate the causes of
actual and potential non-conformances shall be appropriate to the
magnitude of problems and commensurate with the OH&S risk
encountered.
The organization shall implement and record any changes in the
documented procedures resulting from corrective and preventive
action.

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Accident and Incident Investigation

Organisations should have effective procedures for reporting or
investigating accidents and incidents. The prime purpose of the
investigation procedure is to prevent further accidents and
incidents. The occurrence of accidents and incidents is usually
evidence of OH&S management failures. Therefore, to find out why an
accident or near miss happened, shortcomings in the OH&S management
system should be investigated.
The investigation procedure should include:

Type of events to be investigated (eg near misses that

could have led to serious harm);
Where appropriate, co-ordination with emergency plans and
procedures;
The purpose of investigations;
The scale of investigative effort in relation to the
potential or actual harm;
Who is to investigate, the authority of the investigators,
required competencies and associated training needs
(including line management);
Arrangements and location for witness interviews;
Practical issues such as availability of cameras and
storage of evidence;
Investigation reporting arrangements including statutory
reporting requirements.

Investigation personnel should begin their preliminary analysis of

the facts while further information is collected. Data collection and
analysis should continue until an adequate and sufficiently
comprehensive explanation is obtained.

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Reporting of Hazards and Accidents.

A documented procedure should require that all accidents and hazards be
reported. This requirement should apply to all personnel. The details of
the accident or hazard should be recorded. A suitable form for recording
the details should be provided, and the procedure should require that
action be taken immediately or as soon as practicable. The procedure
should guarantee that no employee should suffer any hardship as a result
of reporting a safety failure or potential hazard. In this respect a
"near miss" should be regarded as an accident, and should be reported.
This procedure may also be used for suggestions for safety improvement.
Copies of all reports and suggestions should go to the Safety Programme
Co-ordinator or Safety Representative, for filing and analysis.
Learning from and Communicating Results from Investigations
The organisation, having learnt from the investigation, should:

59

Identify root causes in the OH&S and general management of

the organisation;
Communicate findings and recommendations to all relevant
parties;
Include relevant findings and recommendations from
investigations in the continuing OH&S review process.
Implementation of remedial controls should be monitored to
ensure timely and effective change.

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Cautions in Using Accident and Ill-Health Data as OH&S Performance

Indicators
Accident and ill-health data/information is vital, as it can be a
direct indicator of OH&S performance. However, there are cautions
relating to their use, for example:

Most organisations have too few injury accidents or cases

of work related ill-health to distinguish real trends from
random effects;
If more work is done by the same number of people in the
same time, increased workload alone may account for an
increase in accident rates;
The length of absence from work attributed through injury
or work related ill health may be influenced by factors
other than the severity of injury or occupational ill
health such as poor morale, monotonous work and poor
management/employee relations;
Accidents are often under reported (and occasionally over
reported). Levels of reporting can change. They can
improve as a result of increased workforce awareness and
better reporting and recording systems;
A time delay will occur between OH and S management system
failures and harmful effects. Moreover, many occupational
diseases have long latent periods. It is not desirable to
wait for harm to occur before judging whether OH and S
management systems are working.

Assessment and Control of Safety Failure.

Items or materials found to be, or suspected of being, unsafe should be
removed from use as soon as practicable, or otherwise controlled in an
effective manner, according to written procedures. The degree of risk
involved should be established and immediate action taken commensurate
with the risk. It should be specifically stipulated that a seriously
unsafe situation must be corrected or neutralised immediately.

Should not a non-conformance be written and through

the non-conformance process determine the risk and
action required.

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Management of Serious or High-Potential Accident Situations.

Documented procedures should describe the action to be taken in the case
of serious or high potential accidents.
In the immediate aftermath, a middle manager and / or a senior manager
should visit the scene of the accident. The manager concerned should coordinate the remedial action.
Where necessary teams should be set up to address priorities in relation
to corrective action.
First Aid and Medical Assistance.
Adequate first aid and medical assistance should be available promptly
in case of an accident. The arrangements for such assistance should be
documented and available to all relevant personnel.
Accident Awareness.
An effective procedure should operate for making appropriate personnel
aware of serious and high-potential accidents. This procedure should
comply with statutory requirements.
Other middle and senior managers should be notified of the significant
facts of the accident within 24 hours. All staff should be notified of
the relevant facts of the accident within seven days.

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Corrective and Preventive Action.

Accident Investigation.
An effective procedure outlining the accident investigation process
should be documented. Appropriate forms should be used to record the
relevant information in relation to the immediate preliminary
investigation and the subsequent detailed investigation. Personnel
responsible for performing investigations shall be clearly identified.
In establishing and maintaining procedures for investigating and
correcting non-conformance, the organization should include these
basic elements:
1. Identifying the root cause of non-conformance;
2. Identifying and implementing the necessary corrective action;
3. Implementing or modifying controls necessary to avoid repetition
of the non conformance;
4. Recording any changes in written procedures resulting from the
corrective action.
Depending on the situation this may be accomplished rapidly and with
a minimum of formal planning or it may be a more complex and long
term activity. The associated documentation should be appropriate to
the level of corrective action.
The organization shall maintain a register including all accidents
and incidents with the potential of significant OH&S consequences.
Such a register is often required by legislation.
Middle and senior managers should become actively involved in the
investigation of serious and high-potential accidents at the appropriate
time.
Task analysis, procedures, work instructions, and safety rules should be
reviewed following accidents, as appropriate. Risks should be assessed
to determine the priority for corrective action.
Other records should be examined regularly to confirm that all accidents
are being reported.

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Special Safety Investigation.

Teams of persons specially constituted for the purpose should
investigate repetitive safety failures and other recurrent and highpotential safety problems. The responsibility and authority of this team
should be documented.
The effectiveness of safety reporting and investigation should be
assessed. The assessment should be objective, and should yield a
quantitative result if possible.
The result of the investigation should be documented and presented to
the appropriate managers.
Accident Analysis.
Identified causes of accidents should be analysed. This analysis should
be carried out at a specified frequency. Type and other factors should
also classify accidents. Accident frequency and severity ratings should
be calculated in accordance with accepted practice for comparison
purposes.
Analysis should be carried out of:
reportable or lost-time injury (and illness) frequency or
severity rates;
location, injury type, body part, activity involved, agency
involved, day, time of day (whichever is appropriate);
Type and amount of property damage;
Direct, and underlying, root causes.
Valid conclusions should be drawn and corrective action taken. At least
annually, this analysis should be circulated to senior managers.
Accidental Damage.
Due attention should be given to accidents involving accidental property
damage. Records of such casualty repairs should be examined to establish instances of damage caused by accident, and this analysis should
be reported to managers.

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Follow-up.
Corrective or preventive action taken should be as permanent and
effective as practicable. Written reports should be made on the
evaluation of the effectiveness of corrective/preventive action taken.
Outstanding/overdue actions should be reported in writing to senior
management at the earliest opportunity.
4.5.3 Records and records management
The organization shall establish and maintain procedures for the
identification, maintenance and disposition of OH&S records, as well
as the results of audits and reviews.
OH&S records shall be legible, identifiable and traceable to the
activities involved. OH&S records shall be stored and maintained in
such a way that they are readily retrievable and protected against
damage, deterioration or loss. Their retention times shall be
established and recorded.
Records shall be maintained, as appropriate to the system and to the
organization, to demonstrate conformance to the requirements of this
OHSAS Specification.
Records
Records should be kept which demonstrate that the OH&S system operates
effectively, and that processes have been carried out under safe conditions. Safety records should be fully filled out, legible, and
adequately identified. A front-line or more senior manager should sign
off completed records.
Retention times for safety records should be defined. Records should be
stored in a safe place, readily retrievable and protected from
deterioration. Critical safety records should be protected from possible
fire and other damage as appropriate or as required by law. (Records
include: training/personnel files, safety inspections, audit reports,
consultations, accident reports, follow-up reports, safety meeting
minutes, medical tests, health surveillance, PPE issue, drills, reviews,
risk assessments, procedures etc.)

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4.5.4

OHSAS 18002:1999

Audit

The organization shall establish and maintain an audit program and

procedures for periodic OH&S management system audits to be carried
out, in order to:
(a)

determine whether or not the OH&S management system:

(i)

conforms to planned arrangements for OH&S management

including the requirements of this OHSAS Specification;

(ii) has been properly implemented and maintained; and

(iii) is effective
objectives;

in

meeting

the

organization's

policy

(b)

review the results of previous audits;

(c)

provide information on the results of audits to management.

and

The audit program, including any schedule, shall be based on the OH&S
importance of the activity concerned, and the results of previous
audits. The audit procedures shall cover the scope, frequency,
methodologies and competencies, as well as the responsibilities and
requirements for conducting audits and reporting results.

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General.
Planned audits of the safety system should be carried out by internal
personnel, to establish the degree of compliance with the documented
safety procedures, and whether the system is effective in meeting the
safety objectives of the organisation.
The annual safety plan should include a schedule for carrying out
internal safety audits. The safety audit should cover the entire
operation, which is subject to the OH&S management system, and assess
compliance with OHSAS 18001.
Audits should be carried out according to a written procedure, and only
by competent, trained personnel. The results of the audits should be
recorded and reported to management. A review should be carried out by
management, and effective corrective action taken, where necessary.
The general principles and methodology described in ISO 10011-1 may be
taken as being appropriate for OH&S management system auditing.
OH&S Management System Auditing
OH&S management system auditing is a method whereby organisations can
review and continuously evaluate their OH&S effectiveness.
Organisations should evaluate their OH&S programmes in order to:

Maximise learning;

Ensure that appropriate action is taken to improve the

control of specific risks;

Improve overall OH&S performance;

Further develop their OH&S policies and procedures;

In general, OH&S audits need to consider overall policy and

procedures, and the conditions and practices in the workplace.

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Senior Management Commitment

Auditing is an essential element of an OH&S management system. For
OH&S auditing to be of value, senior management should be fully
committed to the concept of auditing and its effective implementation
within the organisation.
This includes a commitment to consider
audit findings and recommendations and to take appropriate action as
necessary, within an appropriate time. They should recognise that
once they have agreed that an audit should be carried out it should
be completed in an impartial way.
Co-operation with the Auditors
All relevant personnel should be informed of the purposes of auditing
and the benefits. Staff should be encouraged to co-operate fully
with the auditors and to respond to their questions honestly.
Developing an OH&S Management System Auditing System
OH&S auditing can involve a mixture of;
i)

Formal audits;

ii)

Regular and ad-hoc inspections.

The results of all audits and inspections should be fed back to all
relevant parties as soon as possible to allow corrective actions to
be taken. As many employees as possible including the safety
representative where selected, should be consulted on activities in
their area during each audit/inspection.

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Formal Audits
Formal audits provide a comprehensive and formal assessment of the
organisations compliance with OH&S procedures and practices. The
end result of a formal audit should include a detailed written
assessment (see reporting, below) of OH&S procedures, the level of
compliance with procedures and practices, and where necessary
identify corrective actions.

Regular and Ad-Hoc Inspections

Regular and ad-hoc inspections provide a day-to-day means of checking
compliance with individual OH&S requirements.
OH&S Audit Programme
A programme of auditing should be prepared and included in the safety
statement. In determining a suitable frequency of auditing some of
the factors that may need to be taken into account include:

The nature of the hazards;

An adverse audit or incident record;

Any legislative requirements.

Auditors
One or more persons may undertake audits. A team approach may widen
the involvement and improve co-operation. External or internal
auditors may be used. In either case, they should be independent of
the part of the organisation or the activity that is to be audited.

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Auditor Selection and Training

Auditors need to understand their task and be competent to carry it
out. They need to have the experience and knowledge of the relevant
standards and systems they are auditing to enable them to evaluate
performance and identify deficiencies. Auditors should be familiar
with the requirements set out in any relevant legislation. In
addition auditors should be aware of and have access to standards and
authoritative guidance relevant to the work they are engaged in.

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Data Collection and Interpretation

The techniques and aids used in the collection of the information
will depend on the nature of the audit being undertaken. The audit
should ensure that a representative sample of essential activities is
included in the audit and various personnel should be interviewed.
Relevant documentation should be examined. This may include:

OH&S management system documentation;

Safety statement;

OH&S and emergency procedures;

Permit to work systems and procedures;

Minutes of OH&S meetings;

Accident/incident reports and records;

Any reports or communication from the enforcing authority

(verbal, letters, notices, etc)

Statutory registers and certificates;

Training records.

The value of an audit is dependent upon the experience and knowledge

of the auditors and their ability to interpret observations and to
elaborate on the findings. It is also dependent on the integrity of
all parties involved. Wherever possible checks should be built into
the system to help to avoid misinterpretation or misapplication of
audit records.

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Reporting
At the end of the audit, the auditor or audit team should summarise
and feedback their initial findings to the manager responsible and in
particular, draw attention to any issues that are of such
significance as to necessitate immediate action.
Audit reports should contain information which addresses:

Conformity and non-conformity of the OHS management system

elements and specified requirements.
Effectiveness of implementing OH&S management system in
meeting objectives and targets.
Implementation and effectiveness of any corrective actions
from previous audits.
Conclusions and recommendations.

The audit report should assess overall performance, identify any

inadequacies and make recommendations and action for improvement.
Acting on Audit Results
An action plan of agreed remedial measures should be drawn up
together with identification of responsible persons, completion dates
and reporting requirements. Follow-up monitoring arrangements have
to be established to ensure satisfactory implementation of the
recommendations.

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4.6 Management review

Checking and corrective action
Internal
Factors

Management

External
factors

review

Policy

The organization's top management shall, at intervals that it

determines, review the OH&S management system, to ensure its
continuing suitability, adequacy and effectiveness. The management
review process shall ensure that the necessary information is
collected to allow management to carry out this evaluation. This
review shall be documented.
The management review shall address the possible need for changes to
policy, objectives and other elements of the OH&S management system,
in the light of OH&S management system audit results, changing
circumstances and the commitment to continual improvement.

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The management of the organisation should review the safety system to

ensure that it is being fully implemented, and that it remains capable
of achieving the stated objectives. The review should be carried out by
senior management. This full review should be carried out at least
annually.
The agenda for the review should include a report from the Safety
Programme Co-ordinator on the overall performance of the system. The
report should address:

Accident statistics;

the results of internal and external system audits;

corrective action carried out to the system since the previous

review;

the effectiveness of the safety inspection system;

recorded instances of procedures not being effective;

the adequacy of emergency procedures;

and possible action to generate continual improvement.

Partial reviews of system performance should be held at intervals that

are more frequent, if required. These reviews should examine, among
other things, data relating to accidents that have occurred, the results
of safety inspections, and recorded instances of procedures not being
implemented.

73

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OHSAS 18002:1999

Annex A (Informative)
Referenced Documents
1]
2]

ISO 9001:1994 Quality systems: Model for quality assurance in design, development, production, installation
and servicing
ISO 14001:1996 Environmental management systems - Specification with guidance for use

OHSAS181.doc

OHSAS 18002:1999

Annex B (Informative)
National supplement - United Kingdom
Informative references
BSI standards publications
BRITISH STANDARDS INSTITUTION, LONDON W4 4AL
1] BS 8800: 1996

Guide to occupational health and safety management systems.

2] BS EN ISO 9001: 1994 Quality systems: Model for quality assurance in design, development, production,
installation and servicing
3] BS EN 30011:
Guide to quality systems auditing
BS EN 30011 - 1: 1993 Auditing
BS EN 30011 - 2: 1993 Qualification criteria for auditors
BS EN 30011 - 3: 1993 Managing an audit programme
4] BS EN ISO 14001: 1996 Environmental management systems - Specification with guidance for use

Health and Safety Commission/Executive publications:

[1] Health and Safety Commission Management of health and safety at work: HMSO, 1992
[2] Health and Safety Executive

Successful health and safety management: HS (G) 65, HMSO, 1993

The Public Enquiry Point is:

HSE Information Centre
Broad Lane
Sheffield S3 7HQ
Tel: 0114 289 2345
Fax: 0114 289 2333
HSE priced and free publications are available from:
HSE Books
PO Box 199
Sudbury
Suffolk C10 6FS
Tel: 0178 788 1165
Fax: 0178 731 1995

OHSAS181.doc

OHSAS 18002:1999

Annex C (Informative)
LINKS TO BS EN ISO 9001 and BS EN ISO 14001
MANAGEMENT SYSTEMS
The basic principles of management are common irrespective of the
activity being managed, be it quality, environment, health and safety
or other organisational activities. Some organisations may see
benefits in having an integrated management system, whereas others may
prefer to adopt different systems based on the same management
principles. Annex D shows the links between this guide and BS EN ISO
9001 and BS EN ISO 14001 for those operating or planning to operate to
the international quality management system standard and who wish to
integrate occupational health and safety into their overall management
system. The links are illustrated for guidance only.

OHSAS181.doc

OHSAS 18002:1999

Annex D (Informative)

Correspondence between OHSAS 18001, ISO 14001:1996 and ISO 9001:1994

Clause
1
2
3
4

Clause
1
2
3
4

4.4

OHSAS 18001
Scope
Reference Publications
Definitions
OH&S management system
elements
General requirements
OH&S Policy
Planning
Planning for hazard
identification, risk assessment
and risk control
Legal and other requirements
Objectives
OH&S management
programme(s)
Implementation and operation

4.4

Legal and other requirements

Objectives and targets
Environmental management
programme(s)
Implementation and operation

4.4.1

Structure and responsibility

4.4.1

Structure and responsibility

4.4.2

4.4.2

Training, awareness and

competence
Communication

4.4.4

Training, awareness and

competence
Consultation and
communication
Documentation

4.4.5
4.4.6

Document and data control

Operational control

4.4.5
4.4.6

4.1
4.2
4.3
4.3.1

4.3.2
4.3.3
4.3.4

4.4.3

4.1
4.2
4.3
4.3.1

4.3.2
4.3.3
4.3.4

4.4.3
4.4.4

ISO 14001:1996
Scope
Normative reference
Definitions
Environmental management
system requirements
General requirements
Environmental Policy
Planning
Environmental Aspects

Environmental management
system documentation
Document control
Operational control

Clause
1
2
3
4

ISO 9001:1994
Scope
Normative reference
Definitions
Quality system requirements

4.2.1
4.1.1
4.2
4.2

General (1st sentence)

Quality policy
Quality system
Quality system

4.2
4.2

---------Quality system
Quality system

4.2
4.9
4.1
4.1.2
4.18

Quality system
Process control
Management responsibility
Organization
Training
----------

4.2.1

General (without 1st sentence)

4.5
4.2.2
4.3
4.4
4.6
4.7
4.8
4.9
4.15

Document and data control

Quality system procedures
Contract review
Design control
Purchasing
Customer supplied product
Product identification and traceability
Process control
Handling, storage, packaging,
preservation and delivery
Servicing
Statistical techniques
----------

4.19
4.20
4.4.7
4.5
4.5.1

4.5.2

4.5.3
4.5.4
4.6
Annex A

Emergency preparedness and

response
Checking and corrective action
Performance measurement and
monitoring

4.4.7

Accidents, incidents,
nonconformance and corrective
and preventive action
Records and records
management
Audit

4.5.2

Nonconformance and corrective

and preventive action

4.12
4.13
4.14

---------Inspection and testing

Control of inspection, measuring and
test equipment
Inspection and test statuus
Control of nonconforming product
Corrective and preventive action

4.5.3

Records

4.16

Control of quality records

4.5.4

4.17

Internal quality audits

Management review
Correspondence to ISO 14001,
ISO 9001
Bibliography

4.6
Annex
B
Annex
C
Annex
A

Environmental management
system audit
Management review
Correspondence to ISO 9001

4.1.3

management review
----------

Bibliography

Annex
A

Bibliography

(See OHSAS 18002)

4.5
4.5.1

Emergency preparedness and

response
Checking and corrective action
Monitoring and measurement

Guidance on the use of the

specification

4.10
4.11

----------