Ohsas18001:2007, Notas de estudo de Engenharia de Materiais
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Ohsas18001:2007, Notas de estudo de Engenharia de Materiais

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OHSAS 18001:2007 OCCUPATIONAL HEALTH AND SAFETY ASSESSMENT SERIES

Note: This document is to be used for training only.

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Occupational Health and Safety Management Systems

Requirements

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INTRODUCTION

Organizations of all kinds are increasingly concerned with achieving and demonstrating sound occupational

health and safety (OH&S) performance by controlling their OH&S risks, consistent with their OH&S policy

and objectives. They do so in the context of increasingly stringent legislation, the development of economic

policies and other measures that foster good OH&S practices, and increased concern expressed by interested

parties about OH&S issues.

Many organizations have undertaken OH&S “reviews” or “audits” to assess their OH&S performance. On

their own, however, these “reviews” and “audits” may not be sufficient to provide an organization with the

assurance that its performance not only meets, but will continue meet, its legal and policy requirements. To

be effective, they need to be conducted within a structured management system that is integrated within the

organization.

The OHSAS Standards covering OH&S management are intended to provide organizations with the elements of an effective OH&S management system that can be integrated with other management requirements and

help organizations achieve OH&S and economic objectives. These standards, like other International

Standards, are not intended to be used to create non-tariff trade barriers or to increase or change

organization’s legal obligations.

This OHSAS Standards specifies requirements for an OH&S management system to enable an organization

to develop and implement a policy and objectives which take into account legal requirements and information

about OH&S risks. It is intended to apply to all types and sizes of organizations and to accommodate diverse

geographical, cultural and social conditions. The basis of the approach is shown in Figure 1. The success of

the system depends on commitment from all levels and functions of the organization, and especially from top

management. A system of this kind enables an organization to develop an OH&S policy, establish objectives

and processes to achieve the policy commitments, take action as needed to improve its performance and

demonstrate the conformity of the system to the requirements of this OHSAS Standard. The overall aim of

this OHSAS Standard is to support and promote good OH&S practices, in balance with socio-economic

needs. It should be noted that many of the requirements can be addressed concurrently or revisited at any

time.

The second edition of this OHSAS Standard is focused on clarification of the first edition, and has taken due

consideration of the provisions of ISO 9001, ISO 14001, ILO-OSH, and other management system standards

or publications to enhance the compatibility of these standards for the benefit of the user community.

There is an important distinction between this OHAS Standard, which describes the requirements for an

organization’s OH&S management system and can be used for certification / registration and / or self-

declaration of an organization’s OH&S management system, and a non-certifiable guideline intended to

provide generic assistance to an organization for establishing, implementing or improving an OH&S management system. OH&S management encompasses a full range of issues, including those with strategic

and competitive implications. Demonstration of successful implementation of this OHSAS Standard can be

used by an organization to assure interested parties that an appropriate OH&S management system is in place.

Those organizations requiring more general guidance on a broad range of OH&S management system issues

are referred to OHSAS 18002. Any reference to other International Standards is for information only.

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Figure 1 – OH&S Management System Model for OHSAS Standard

Note:

This OHSAS Standard is based on the methodology known as Plan-Do-Check-Act (PDCA). PDCA can be

briefly described as follows:

a)Plan: establish the objectives and processes necessary to deliver results in accordance with organization’s OH&S policy;

b)Do: implement the processes;

c)Check: monitor and measure processes against OH&S policy, objectives, legal and other requirements, and report the results;

d)Act: take actions to continually improve OH&S performance.

Many organizations manage their operations via the application of a system of processes and their

interactions, which can be referred to as the “process approach”. ISO 9001 promotes the use of the process

approach. Since PDCA can be applied to all processes, the two methodologies are considered to be

compatible.

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This OHAS Standard contains requirements that can be objectively audited; however it does not establish

absolute requirements for OH&S performance beyond the commitments, in the OH&S policy, to comply with

applicable legal requirements and with other requirements to which the organization subscribes, to the prevention of injury and ill health and the continual improvement. Thus, two organizations carrying out

similar operations but having different OH&S performance can both conform to its requirements.

This OH&S Standard does not include requirements specific to other management systems, such as those for

quality, environmental, security, or financial management, though its elements can be aligned or integrated

with those of other management systems. It is possible for an organization to adapt its existing management

system(s) in order to establish an OH&S management system that conforms to the requirements of this

OHSAS Standard. It is pointed out, however, that the application of various elements of the management

system might differ depending on the intended purpose and the interested parties involved.

The level of detail and complexity of the OH&S management system, the extent of documentation and the

resources devoted to it depend on a number of factors, such as the scope of the system, the size of an

organization and the nature of its activities, products and services, and the organizational culture. The may be

the case in particular for small and medium-sized enterprises.

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1. SCOPE

This Occupational Health and Safety Assessment Series (OHSAS) Standard specifies requirements

for an occupational health and safety (OH&S) management system, to enable an organization to

control its OH&S risks and improve its OH&S performance. It does not state specific OH&S

performance criteria, nor does it give detailed specifications for the design of a management system.

This OHSAS Standard is applicable to any organization that wishes to:

a) Establish an OH&S management system to eliminate or minimize risks to personnel and other interested parties who could be exposed to OH&S hazards associated with activities;

b) Implement, maintain and continually improve an OH&S management system;

c) Assure itself of its conformity with its stated OH&S policy;

d) Demonstrate conformity with this OHSAS Standard by:

• making a self-determination and self-declaration, or

• seeking confirmation of its conformance by parties having an interest in the organization, such as customers, or

• seeking confirmation of its self-declaration by a party external to the organization, or

• seeking certification / registration of its OH&S management system by an external organization.

All requirements in this OHSAS Standard 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 and the risks and complexity of its operations.

This OHSAS Standard is intended to address occupational health and safety, and is not intended to

address other health and safety areas such as employee wellbeing / wellness programmes, product

safety, property damage or environmental impacts.

2. REFERENCE PUBLICATIONS

Other publications that provide information or guidance are listed in the bibliography. It is advisable

that latest editions of such publications be consulted. Specifically, reference should be made to:

OHSAS 18002 – Occupational Health and Safety Management Systems – Guidelines for the

Implementation of OHSAS 18001

International Labour Organization: 2001 – Guidelines on Occupational Health and Safety

Management Systems (OSH-MS)

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3. TERMS AND DEFINITONS

For the purpose of this document, the following terms and definitions apply:

3.1 Acceptable Risk

Risk that has been reduced to a level that can be tolerated by the organization having regard to its

legal obligations and its own OH&S policy (3.16).

3.2 Audit

Systematic, independent and documented process for obtaining “audit evidence” and evaluating it

objectively to determine the extent to which “audit criteria” are fulfilled.

[ISO 9000:2005, Item 3.9.1]

Note 1:

Independent does not necessarily mean external to the organization. In many cases, particularly in

smaller organizations, independence can be demonstrated by the freedom from responsibility for the

activity being audited.

Note 2:

For further guidance on “audit evidence” and “audit criteria”, see ISO 19011.

3.3 Continual Improvement

Recurring process of enhancing the OH&S management system (3.13) in order to achieve

improvements in overall OH&S performance (3.15) consistent with organization’s (3.17) OH&S

policy (3.16).

Note 1:

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

Note 2:

Adapted from ISO 14001:2004, Item 3.2.

3.4 Corrective Action

Action to eliminate the cause of a detected nonconformity (3.11) or other undesirable situation.

[ISO 9000:2005, Item 3.6.5]

Note 1:

There can be more that one cause for a nonconformity.

Note 2:

Corrective action is taken to prevent recurrence whereas preventive action (3.18) is taken to prevent

occurrence.

3.5 Document

Information and its supporting medium.

[ISO 14001:2004, Item 3.4]

Note:

The medium can be paper, magnetic, electronic or optical computer disk, photograph or master

sample, or a combination thereof.

3.6 Hazard

Source, situation, or act with a potential for harm in terms of human injury or ill health (3.8), or a

combination of these.

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3.7 Hazard Identification

Process of recognizing that a hazard (3.6) exists and defining its characteristics

3.8 Ill Health

Identifiable, adverse physical or mental condition arising from and / or made worse by a work

activity and / or work-related situation.

3.9 Incident

Work-related event(s) in which an injury or ill health (3.8) (regardless of severity) or fatality

occurred, or could have occurred.

Note 1:

An accident is an incident which has given rise to injury, ill health or fatality.

Note 2:

An incident where no injury, ill health, or fatality occurs may also be referred to as a “near-miss”,

“near-hit”, “close call” or “dangerous occurrence”.

Note 3:

An emergency situation (see 4.4.7) is a particular type of incident.

3.10 Interested Party

Person or group, inside or outside the workplace (3.23), concerned with or affected by the

OH&S performance (3.15) of an organization (3.17).

3.11 Nonconformity

Non-fulfillment of a requirement.

[ISO 9000:2005, Item 3.6.2; ISO 14001, Item 3.15]

Note:

A nonconformity can be any deviation from:

Relevant work standards, practices, procedures, legal requirements, etc.

OH&S management system (3.13) requirements.

3.12 Occupational Health and Safety (OH&S)

Conditions and factors that affect, or could affect the health and safety of employees or other

workers (including temporary workers and contractor personnel), visitors, or any other

person in the workplace (3.23).

Note:

Organizations can be subject to legal requirements for the health and safety of persons

beyond the immediate workplace, or who are exposed to the workplace activities.

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3.13 OH&S Management System

Part of an organization’s (3.17) management system used to develop and implement its

OH&S policy (3.16) and manage its OH&S risks (3.21).

Note 1:

A management system is a set of interrelated elements used to establish policy and objectives

and to achieve those objectives.

Note 2:

A management system includes organizational structure, planning activities (including, for

example, risk assessment and the setting of objectives), responsibilities, practices,

procedures (3.19), processes and resources.

Note 3:

Adapted from ISO 14001:2004, Item 3.8.

3.14 OH&S Objective

OH&S goal, in term of OH&S performance (3.15), that an organization’s (3.17) sets itself to

achieve.

Note 1:

Objectives should be qualified wherever practicable.

Note 2:

The item 4.3.3 requires that OH&S objectives are consistent with the OH&S policy (3.16).

3.15 OH&S Performance

Measurable results of an organization’s (3.17) management of its OH&S risks (3.21).

Note 1:

OH&S performance measurement includes measuring the effectiveness of the organization’s

controls.

Note 2:

In the context of OH&S management systems (3.13) OH&S policy (3.16), OH&S objectives

(3.14), and OH&S performance requirements.

3.16 OH&S Policy

Overall intentions and direction of an organization’s (3.17) related to its OH&S performance

(3.15) as formally expressed by top management.

Note 1:

The OH&S policy provides a framework for action and for the setting of OH&S objectives.

(3.14).

Note 2:

Adapted from ISO 14001:2004, Item 3.11.

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3.17 Organization

Company, corporation, firm, enterprise, authority or institution, or part or combination

thereof, whether incorporated or not, public or private, that has its own functions and

administration.

[ISO 14001:2004, Item 3.16]

Note:

For organizations with more than one operating unit, a single operating unit may be defined

as an organization.

3.18 Preventive Action

Action to eliminate the cause of a potential nonconformity (3.11) or other undesirable potential situation.

[ISO 9000:2005, Item 3.6.4]

Note 1:

There can be more than one cause for a potential nonconformity.

Note 2:

Preventive action is taken to prevent occurrence whereas corrective action (3.4) is taken to

prevent recurrence.

3.19 Procedure

Specified way to carry out an activity or a process.

[ISO 9000:2005, Item 3.4.5]

Note:

Procedure can be documented or not.

3.20 Record

Document (3.5) stating results achieved or providing evidence of activities performed.

[ISO 14001:2004, Item 3.20]

3.21 Risk

Combination of the likelihood of an occurrence of a hazardous event or exposure(s) and the severity of injury or ill health (3.18) that can be caused by the event or exposure(s).

3.22 Risk Assessment

Process of evaluating the risk(s) (3.21) arises from a hazard(s), taking into account the

adequacy of any existing controls, and deciding whether or not the risk(s) is acceptable.

3.23 Workplace

Any physical location in which work related activities are performed under the control of the

organization.

Note:

When giving consideration to what constitutes a workplace, the organization (3.17) should

take into account the OH&S effects on personnel who are, for example, traveling or in transit

(e.g.: driving, flying, on boats or trains), working at the premises of a client or customer, or

working at home.

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4. OH&S MANAGEMENT SYSTEM REQUIREMENTS

4.1 General Requirements

The organization shall establish, document, implement, maintain and continually improve an OH&S

management system in accordance with the requirements of this OHSAS Standard and determine

how it will fulfill these requirements.

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

4.2 OH&S Policy

Top management shall define and authorize the organization’s OH&S policy and ensure that within

the defined scope of its OH&S management system it:

a) Is appropriate to the nature and scale of the organization’s OH&S risks;

b) Includes a commitment to prevention of injury and ill health and continual improvement in OH&S management and OH&S performance;

c) Includes a commitment to at least comply with applicable legal requirements and with other requirements to which the organization subscribes that relate to its OH&S hazards;

d) Provides the framework for setting and reviewing OH&S objectives;

e) Is documented, implemented and maintained;

f) Is communicated to all persons working under the control of the organization with the intent that they are made of their individual OH&S obligations;

g) Is available to interested parties; and

h) Is reviewed periodically to ensure that it remains relevant and appropriate to the organization.

4.3 Planning

4.3.1 Hazard Identification, Risk Assessment and Determining Controls

The organization shall establish, implement and maintain a procedure(s) for the ongoing

hazard identification, risk assessment, and determination of necessary controls.

The procedure(s) for hazard identification and risk assessment shall take into account:

a) routine and non-routine activities;

b) activities of all persons having access to workplace (including contractors and visitors) ;

c) human behavior, capabilities and other human factors;

d) identified hazards originating outside the workplace capable of adversely affecting the health and safety of persons under the control of the organization within the

workplace;

e) hazards created in the vicinity of the workplace by work-related activities under the control of the organization;

Note:

It may be more appropriate for such hazards to be assessed as an environmental

aspect.

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f) infrastructure, equipment and materials at the workplace, whether provided by the organization or others;

g) changes or proposed changes in the organization, its activities, or materials;

h) modifications to the OH&S management system, including temporary changes, and their impacts on operations, processes, and activities;

i) any applicable legal obligations relating to risk assessment and implementation of necessary controls;

j) the design of work area processes. Installations, machinery / equipment, operating procedures and work organization, including their adaptation to human capabilities.

The organization’s methodology for hazard identification and risk assessment shall:

a) be defined with respect to its scope, nature and timing to ensure it is proactive rather than reactive; and

b) provide for the identification, priorization and documentation of risks, and the application of controls, as appropriate.

For the management of change, the organization shall identify the OH&S hazards and OH&S

risks associated with changes in the organization, the OH&S management system, or its

activities, prior to the introduction of such changes.

The organization shall ensure that results of these assessments are considered when

determining controls.

When determining controls, or considering changes to existing controls, consideration shall

be given to reducing the risks according to the following hierarchy:

a) elimination;

b) substitution;

c) engineering controls;

d) signage / warnings and / or administrative controls;

e) personal protective equipment.

The organization shall document and keep the results of identification of hazards, risk

assessment and determined control up-to-date.

The organization shall ensure that OH&S risks and determined controls are taken into

account when establishing, implementing and maintaining its OH&S management system.

4.3.2 Legal and Other Requirements

The organization shall establish, implement and maintain a procedure(s) for identifying and

accessing the legal and other OH&S requirements that are applicable to it.

The organization shall ensure that these applicable legal requirements and other requirements

to which the organization subscribes are taken into account in establishing, implementing and

maintaining its OH&S management system.

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

The organization shall communicate relevant information on legal and other requirements to

persons working under the control of the organization, and other relevant interested parties.

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4.3.3 Objectives and Programme(s)

The organization shall establish, implement and maintain documented OH&S objectives, at

relevant functions and level within the organization.

The objectives shall be measurable, where practicable, and consistent with the OH&S policy,

including the commitments to the prevention of injury and ill health, to compliance with

applicable legal requirements and with other requirements to which the organization

subscribes and to continual improvement.

When establishing and reviewing its objectives, an organization shall take into account the

legal requirements and other requirements to which the organization subscribes, and its

OH&S risks. It shall also consider its technological options, its financial, operational and

business requirements, and the views of relevant interested parties.

The organization shall establish, implement and maintain a programme(s) for achieving its

objectives. Programme(s) shall include as a minimum:

a) designation of responsibility and authority for achieving objectives at relevant functions and levels of the organization; and

b) the means and time-frame by which the objectives are to be achieved.

The programme(s) shall be reviewed at regular and planned intervals, and adjusted as

necessary, to ensure that the objectives are achieved.

4.4 Implementation and Operation

4.4.1 Resources, Roles, Responsibility, Accountability and Authority

Top management shall take ultimate responsibility for OH&S and the OH&S management

system.

Top management shall demonstrate its commitment by:

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

Note:

Resources include human resources and specialized skills, organizational

infrastructure, technology and financial resources.

b) defining roles, allocating responsibilities and accountabilities, and delegating authorities, to facilitate effective OH&S management; roles, responsibilities,

accountabilities, and authorities shall be documented and communicated.

The organization shall appoint a member(s) of top management with specific responsibility

for OH&S, irrespective of other responsibilities, and with defined roles and authority for:

a) ensuring that the OH&S management system is established, implemented and maintained in accordance with this OHSAS Standard;

b) ensuring that reports on the performance of the OH&S management system are presented to top management for review and used as a basis for improvement of the

OH&S management system.

Note:

The top management appointee (e.g.: in a large organization, a Board or executive

committee member) may delegate some of their duties to a subordinate management

representative(s) while still retaining accountability.

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The identity of the top management appointee shall be made available to all persons working

under the control of the organization.

All those with management responsibility shall demonstrate their commitment to the

continual improvement of OH&S performance.

The organization shall ensure that persons in the workplace take responsibility for aspects of

OH&S, over which they have control, including adherence to the organization’s applicable

OH&S requirements.

4.4.2 Competence, Training and Awareness

The organization shall ensure that any person(s) under its control performing tasks that can

impact on OH&S is (are) competent on the basis of appropriate education, training or

experience, and shall retain associated records.

The organization shall identify training needs associated with its OH&S risks and its OH&S

management system. It shall provide training or take other action to meet these needs,

evaluate the effectiveness of the training or action taken, and retain associated records.

The organization shall establish, implement and maintain a procedure(s) to make persons

working under its control aware of:

a) the OH&S consequences, actual or potential, of their work activities, their behavior, and the OH&S benefits of improved personal performance;

b) their roles and responsibilities and importance in achieving conformity to the OH&S policy and procedures and to requirements of the OH&S management system,

including emergency preparedness and response requirements;

c) the potential consequences of departure from specified procedures.

Training procedures shall take into account differing levels of:

a) responsibility, ability, language skills and literacy; and

b) risk.

4.4.3 Communication, Participation and Consultation

4.4.3.1 Communication

With regard to its OH&S hazards and OH&S management system, the organization shall establish, implement and maintain a procedure(s) for:

a) internal communication among the various levels and functions of the organization;

b) communication with contractors and other visitors to the workplace;

c) receiving, documenting and responding to relevant communications from external interested parties.

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4.4.3.2 Participation and Consultation

The organization shall establish, implement and maintain a procedure(s) for:

a) The participation of workers by their:

• appropriate involvement in hazard identification, risk assessments and determination of controls;

• appropriate involvement in incident investigation;

• involvement in the development and review of OH&S policies and objectives;

• consultation where there are any changes that affect their OH&S;

• representation on OH&S matters.

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

The organization shall ensure that, when appropriate, relevant external interested parties

are consulted about pertinent OH&S matters.

4.4.4 Documentation

The OH&S management system documentation shall include:

a) the OH&S policy and objectives;

b) description of the scope of the OH&S management system;

c) description of the main elements of the OH&S management system and their interaction, and reference to related documents;

d) documents, including records, required by this OHSAS Standard; and

e) documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes that relate to the

management of its OH&S risks.

Note:

It is important that documentation is proportional to the level of complexity, hazards and

risks concerned and is kept to the minimum required for effectiveness and efficiency.

4.4.5 Control of Documents

Documents required by the OH&S management system and by this OHSAS Standard shall

be controlled. Records are a special type of documents and shall be controlled in accordance

with the requirements given in item 4.5.4.

The organization shall establish, implement and maintain a procedure(s) to:

a) approve documents to adequacy prior to issue;

b) review and update as necessary and re-approve documents;

c) ensure that changes and the current revision status of documents are identified;

d) ensure that relevant versions of applicable documents are available at points of use;

e) ensure that documents remain legible and readily identifiable;

f) ensure that documents of external origin determined by the organization to be necessary for the planning and operation of the OH&S management system are

identified and their distribution controlled; and

g) prevent the unintended use of obsolete documents and apply suitable identification to them if they are retained for any purpose.

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4.4.6 Operational Control

The organization shall determine those operations and activities that are associated with the

identified hazard(s) where the implementation of controls is necessary to manage the OH&S

risk(s). This shall include the management of change.

For those operations and activities, the organization shall implement and maintain:

a) operational controls, as applicable to the organization and its activities; the organization shall integrate those operational controls into its overall OH&S

management system;

b) controls related to purchased goods, equipment and services;

c) controls related to contractors and other visitors to the workplace;

d) documented procedures, to cover situations where their absence could lead to deviations from the OH&S policy and the objectives;

e) stipulated operating criteria where there absence could lead to deviations from the OH&S policy and objectives.

4.4.7 Emergency Preparedness and Response

The organization shall establish, implement and maintain a procedure(s) to:

a) identify the potential for emergency situation;

b) respond to such emergency situation.

The organization shall respond to actual emergency situations and prevent or mitigate

associated adverse OH&S consequences.

In planning its emergency response the organization shall take account of the needs of

relevant interested parties, e.g. emergency services and neighbours.

The organization shall also periodically test its procedure(s) to respond to emergency

situations, where practicable, involving relevant interested parties as appropriate.

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

occurrence of emergency situations.

4.5 Checking

4.5.1 Performance Measurement and Monitoring

The organization shall establish, implement and maintain a procedure(s) to monitor and

measure OH&S performance on a regular basis. This procedure(s) shall provide for:

a) both quantitative and qualitative measures, appropriate to the needs of the organization;

b) monitoring of the extent to which the organization’s OH&S objectives are met;

c) monitoring the effectiveness of controls (for health as well as for safety);

d) proactive measures of performance that monitor conformance with the OH&S programme(s), controls and operational criteria;

e) reactive measures of performance that monitor ill health, incidents (including accidents, near-misses, etc.), and other historical evidence of deficient OH&S

performance;

f) recording of data and results of monitoring and measurement sufficient to facilitate subsequent corrective action and preventive action analysis.

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If equipment is required to monitor or measure performance, the organization shall establish

and maintain procedures for the calibration and maintenance of such equipment, as

appropriate. Records of calibration and maintenance activities and results shall be retained.

4.5.2 Evaluation of Compliance

4.5.2.1 Consistent with its commitment to compliance the organization shall establish, implement and maintain a procedure(s) for periodically evaluating compliance with

applicable legal requirements.

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

Note:

The frequency of periodic evaluation may vary for differing legal requirements.

4.5.2.2 The organization shall evaluate compliance with other requirements to which it subscribes. The organization may wish to combine this evaluation with the evaluation of

legal compliance referred to item 4.5.2.1 or to establish a separate procedure(s).

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

Note:

The frequency of periodic evaluation may vary for differing other requirements to which

the organization subscribes.

4.5.3 Incident Investigation, Nonconformity, Corrective Action and Preventive Action

4.5.3.1 Incident Investigation

The organization shall establish, implement and maintain a procedure(s) to record,

investigate and analyse incidents in order to:

a) determine underlying OH&S deficiencies and other factors that might be causing or contributing to the occurrence of incidents;

b) identify the need for corrective action;

c) identify opportunities for preventive action;

d) identify opportunities for continual improvement;

e) communicate the results of such investigations.

The investigations shall be performed in a timely manner.

Any identified need for corrective action or opportunities for preventive action shall be

dealt with the relevant parts of 4.5.3.2.

The results of incident investigations shall be documented and maintained.

4.5.3.2 Nonconformity, Corrective Action and Preventive Action

The organization shall establish, implement and maintain a procedure(s) for dealing with

actual and potential nonconformity(ies) and for taking corrective action and preventive

action. The procedure(s) shall define requirements for:

a) identifying and correcting nonconformity(ies) and taking action(s) to mitigate their OH&S consequences;

b) investigating nonconformity(ies), determining their cause(s) and taking actions in order to avoid their recurrence;

c) evaluating the need for action(s) to prevent nonconformity(ies) and implementing appropriate actions designed to avoid their occurrence;

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d) recording and communicating the results of corrective action(s) and preventive action(s) taken; and,

e) reviewing the effectiveness of corrective action(s) and preventive action(s) taken.

Where the corrective action and preventive action identifies new or changed hazards or the

need for new or changed controls, the procedure shall require that the proposed actions shall

be taken through a risk assessment prior to implementation.

Any corrective action or preventive action taken to eliminate the causes of actual and

potential nonconformity(ies) shall be appropriate to the magnitude of problems and

commensurate with the OH&S risk(s) encountered.

The organization shall ensure that any necessary changes arising from corrective action and

preventive action are made to the OH&S management system documentation.

4.5.4 Control of Records

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

results achieved.

The organization shall establish, implement and maintain a procedure(s) for the

identification, storage, protection, retrieval, retention and disposal of records.

Records shall be and remain legible, identifiable and traceable.

4.5.5 Internal Audit

The organization shall ensure that internal audits of OH&S management system are

conducted at planned intervals to:

a) determine whether the OH&S management system:

• conforms to planned arrangements for OH&S management, including the requirements of this OHSAS Standard; and

• has been properly implemented and is maintained; and

• is effective in meeting the organization’s policy and objectives.

b) provide information on the results of audits to management.

Audit programme(s) shall be planned, established, implemented and maintained by the

organization, based on the results of risk assessments of the organization’s activities, and the

results of previous audits.

Audit procedure(s) shall be established, implemented and maintained that address:

a) the responsibilities, competencies, and requirements for planning and conducting audits, reporting results and retaining associated records; and

b) the determination of audit criteria, scope, frequency and methods.

Selection of auditors and conduct of audits shall ensure objectivity and the impartiality of the

audit process.

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4.6 Management Review

Top management shall review the organization’s OH&S management system, at planned intervals, to

ensure its continuing suitability, adequacy and effectiveness. Reviews shall include assessing opportunities for improvement and the need for changes to the OH&S management system, including

the OH&S policy and OH&S objectives. Records of the management reviews shall be retained.

Input to management reviews shall include:

a) results of internal audits and evaluations of compliance with applicable legal requirements and with other requirements to which the organization subscribes;

b) the results of participation and consultation;

c) relevant communication(s) from external interested parties, including complaints;

d) the OH&S performance of the organization;

e) the extent to which objectives have been met;

f) status of incident investigations, correctives actions and preventive actions;

g) follow-up actions from previous management reviews;

h) changing circumstances, including developments in legal and other requirements related to OH&S; and

i) recommendations for improvement.

The outputs from management reviews shall be consistent with the organization’s commitment to

continual improvement and shall include decisions and actions related to possible changes to:

a) OH&S performance;

b) OH&S policy and objectives;

c) resources; and

d) other elements of the OH&S management system.

Relevant outputs from management review shall be made available for communication and

consultation.

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ANNEX A

CORRESPONDENCE BETWEEN OHSAS 18000:2007, ISO 14001:2004 and ISO 9001:2000

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

- Introduction - Introduction 0

0.1

0.2

0.3

0.4

Introduction

General

Process Approach

Relationship with ISO

9004

Compatibility with

Other Management

Systems

1 Scope 1 Scope 1

1.1

1.2

Scope

General

Application

2 Normative References 2 Normative References 2 Normative References

3 Terms and Definitions 3 Terms and Definitions 3 Terms and Definitions

4 OH&S Management

System Elements

4 Environmental

Management System

Requirements

4 Quality Management

System

4.1 General Requirements 4.1 General Requirements 4.1

5.5

5.5.1

General Requirements

Responsibility, Authority and

communication

Responsibility and Authority

4.2 OH&S Policy 4.2 Environmental Policy 5.1

5.3

8.5.1

Management

Commitment

Quality Policy

Continual Improvement

4.3 Planning 4.3 Planning 5.4 Planning

4.3.1 Hazard Identification,

Risk Assessment and

Determining Controls

4.3.1 Environmental Aspects 5.2

7.2.1

7.2.2

Customer Focus

Determination of Requirements Related

to the product

Review of

Requirements Related

to the Product

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ANNEX A

CORRESPONDENCE BETWEEN OHSAS 18000:2007, ISO 14001:2004 and ISO 9001:2000

(continued)

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

4.3.2 Legal and Other

Requirements

4.3.2 Legal and Other

Requirements

5.2

7.2.1

Customer Focus

Determination of

Requirements Related

to the Products

4.3.3 Objectives and

Programme(s)

4.3.3 Objectives, Targets and

Programme(s)

5.4.1

5.4.2

8.5.1

Quality Objectives

Quality Management

System Planning

Continual Improvement

4.4.1 Resources, Roles,

Responsibility,

Accountability and

Authority

4.4.1 Resources, Roles,

Responsibility and

Authority

5.1

5.5.1

5.5.2

6.1

6.3

Management

Commitment

Responsibility and

Authority

Management

Representative

Provision of Resources

Infrastructure

4.4.2 Competence, Training

and Awareness

4.4.2 Competence, Training

and Awareness

6.2.1

6.2.2

Human Resources _

General

Competence, Training

and Awareness

4.4.3 Communication,

Participation and

Consultation

4.4.3 Communication 5.5.3

7.2.3

Internal

Communication

Customer

Communication

4.4.4 Documentation 4.4.4 Documentation 4.2.1 Documentation

Requirements _ General

4.4.5 Control of Documents 4.4.5 Control of Documents 4.2.3 Control of Documents

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ANNEX A

CORRESPONDENCE BETWEEN OHSAS 18000:2007, ISO 14001:2004 and ISO 9001:2000

(continued)

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

4.4.6 Operational Control 4.4.6 Operational Control 7.1

7.2

7.2.1

7.2.2

7.3.1

7.3.2

7.3.3

7.3.4

7.3.5

7.3.6

7.3.7

7.4.1

7.4.2

7.4.3

7.5

7.5.1

7.5.2

7.5.5

Planning of Product

Realization

Customer-Related

Processes

Determination of

Requirements Related

to the Product

Review of

Requirements Related

to the Product

Design and Development Planning

Design and

Development Inputs

Design and

Development Outputs

Design and

Development Review

Design and

Development

Verification

Design and

Development

Validation

Control of Design and

Development Changes

Purchasing Process

Purchasing Information

Verification of

Purchased Product

Production and Service

Provision

Control of Production

and Service Provision

Validation of Processes

for Production and

Service Production

Preservation of Product

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ANNEX A

CORRESPONDENCE BETWEEN OHSAS 18000:2007, ISO 14001:2004 and ISO 9001:2000

(continued)

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

4.4.7 Emergency Preparedness

and Response

4.4.7 Emergency

Preparedness and

Response

8.3 Control of

Nonconforming Product

4.5 Checking 4.5 Checking 8 Measurement, Analysis

and Improvement

4.5.1 Performance

Measurement and

Monitoring

4.5.1 Monitoring and

Measurement

7.6

8.1

8.2.3

8.2.4

8.4

Control of Monitoring

and Measuring Devices

General

Monitoring and

Measurement of

Processes

Monitoring and Measurement of

Product

Analysis of Data

4.5.2 Evaluation of

Compliance

4.5.2 Evaluation of

Compliance

8.2.3

8.2.4

Monitoring and

Measurement of

Processes

Monitoring and

Measurement of

Product

4.5.3 Incident Investigation,

Nonconformity,

Corrective Action and

Preventive Action

- - - -

4.5.3.1 Incident Investigation - - - -

4.5.3.2 Nonconformity,

Corrective and

Preventive Action

4.5.3 Nonconformity,

Corrective and

Preventive Action

8.3

8.4

8.5.2

8.5.3

Control of

Nonconformity Product

Analysis of Data

Corrective Action

Preventive Action

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ANNEX A

CORRESPONDENCE BETWEEN OHSAS 18000:2007, ISO 14001:2004 and ISO 9001:2000

(continued)

OHSAS 18001:2007 ISO 14001:2004 ISO 9001:2000

4.5.4 Control of Records 4.5.4 Control of Records 4.2.4 Control of Records

4.6 Management Review 4.6 Management Review 5.1

5.6

5.6.1

5.6.2

5.6.3

8.5.1

Management

Commitment

Management Review

General

Review Input

Review Output

Continual Improvement

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ANNEX B

CORRESPONDENCE BETWEEN OHSAS 18001, OHSAS 18002, and the ILO-OSH: 2001

GUIDELINES ON OCCUPATIONAL SAFETY AND HEALTH MANAGEMENT SYSTEMS

1. INTRODUCTION

This annex identifies the key differences between the International Labour Organization’s

ILO-OSH Guidelines and the OHSAS documents, and provides a comparative assessment of

their differing requirements.

It should be noted that no areas of significant difference have been identified.

Consequently, those organizations that have implemented an OH&S management system that

is compliant with OHSAS 18001 may be reassured that their OH&S management system will

also be compatible with the recommendations of the ILO-OSH Guidelines.

A correspondence table between the individual clauses of the OHSAS documents and those

of the ILO-OSH Guidelines is given in Annex C.

2. OVERVIEW

The two prime objectives of the ILO-OSH Guidelines are:

a) to assist countries in the establishment of a national framework for occupational health and safety management systems; and

b) to provide guidance to individual organizations regarding the integration of OH&S elements into their overall policy and management arrangements.

OHSAS 18001 specifies requirements for OH&S management systems, to enable

organizations to control risks and to improve their OH&S performance.

OHSAS 18002 gives guidance on the implementation of OHSAS 18001.

The OHASAS documents are therefore comparable with Section 3 of the ILO-OSH

Guidelines “The occupational safety and health management system in the organization”.

3. DETAILED ANALYSIS OF SECTION 3 OF THE ILO-OSH GUIDELINES AGAINST THE OHSAS DOCUMENTS

a) Scope

The focus of the ILO-OSH Guidelines is on workers. The focus of the OSHAS

Standards, towards persons under the control of the organization and other interested

parties, is broader.

b) OH&S Management System Models

The model picturing the main elements of an OH&S management system is directly

equivalent between the ILO-OSH Guidelines and the OHSAS documents.

c) ILO-OSH Section 3.2

(Worker Participation)

In the ILO-OSH Guidelines, subsection 3.2.4 recommends that:

“The employer should ensure as appropriate, the establishment and efficient functioning

of a health and safety committee and the recognition of workers health and safety

representatives in accordance with national laws and practice”.

OHSAS 18001, 4.4.3, requires the organization to establish a procedure for

communication, participation and consultation, and to involve a wider spectrum of

interested parties (due to the broader scope of application of the document).

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d) ILO-OSH Section 3.3

(Responsibility and Accountability)

The ILO-OSH Guidelines recommend in 3.3.1 (h) the establishment of prevention and

health promotion programmes. There is no requirement in the OHSAS Standards for this.

e) ILO-OSH Section 3.4

(Competence and Training)

The recommendation of the ILO-OSH Guidelines subsection 3.4.4:

“Training should be provided to all participants at no cost and should take place during

working hours if possible”.

It is not a requirement of the OHSAS documents.

f) ILO-OSH Section 3.10.4

(Procurement)

The ILO-OSH Guidelines emphasize that safety and health requirements of the

organization should be incorporated into purchasing and leasing specifications.

The OHSAS Standards address procurement by their requirements for risk assessment,

identification of legal requirements and the establishment of operational controls.

g) ILO-OSH Section 3.10.5

(Contracting)

The ILO-OSH Guidelines define the steps to be taken to ensure that organization’s safety

and heath requirements are applied to contractors (that also provide a summary of the

actions needed to ensure that they are). This is implicit in OHSAS.

h) ILO-OSH Section 3.12

(Investigation of Work Related Injuries, Ill Health, Diseases and Incidents, and Their

Impact on Safety and Health Performance)

The ILO-OSH Guidelines do not require corrective actions or preventive actions to be

reviewed through the risk assessment process prior to implementation, as they are in

OHSAS 18001, 4.5.3.2.

i) ILO-OSH Section 3.13

(Audit)

The ILO-OSH Guidelines recommend consultation on the selection of auditors. In

contrast, the OHSAS documents require audit personnel to be impartial and objective.

j) ILO-OSH Section 3.16

(Continual Improvement)

This is a separate subclause in the ILO-OSH Guidelines. It details arrangements that

should be taken into account for the achievement of continual improvement. Similar

arrangements are detailed throughout the OHSAS documents, which consequently do not

have a corresponding clause.

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ANNEX C

CORRESPONDENCE BETWEEN THE CLAUSES OF THE OHSAS DOCUMENTS AND

THE CLAUSES OF THE ILO-OSH GUIDELINES

Clause OHSAS Clause ILO-OSH Guidelines

- Introduction -

3.0

Introduction

The Occupational Safety and Health

Management System in the Organization

Foreword - The International Labour Organization

1 Scope 1.0 Objectives

2 Reference Publications - Bibliography

3 Terms and Definitions - Glossary

4 OH&S Management System Elements - -

4.1 General Requirements 3.0 The Occupational Safety and Health

Management System in the Organization

4.2 OH&S Policy 3.1

3.16

Occupational Safety and Health Policy

Continual Improvement

4.3 Planning - Planning and Implementation

4.3.1 Hazard Identification, Risk Assessment

and Determining Controls

3.7

3.8

3.10

3.10.1

3.10.2

3.10.5

Initial Review

System Planning, Development and

Implementation

Hazard Prevention

Prevention and Control Measures

Management of Change

Contracting

4.3.2 Legal and Other Requirements 3.7.2

3.10.1.2

Initial Review

Prevention and Control Measures

4.3.3 Objectives and Programme(s)

3.8

3.9

3.16

System Planning, Development and

Implementation

Occupational Safety and Health Objectives

Continual Improvement

4.4 Implementation and Operation - -

4.4.1 Resources, Roles, Responsibility,

Accountability and Authority

3.3

3.8

3.16

Responsibility and Accountability

System Planning, Development and

Implementation

Continual Improvement

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ANNEX C

CORRESPONDENCE BETWEEN THE CLAUSES OF THE OHSAS DOCUMENTS AND

THE CLAUSES OF THE ILO-OSH GUIDELINES

(continued)

Clause OHSAS Clause ILO-OSH Guidelines

4.4.2 Competence, Training and Awareness 3.4 Competence and Training

4.4.3 Communication, Participation and

Consultation

3.2

3.6

Worker Participation

Communication

4.4.4 Documentation 3.5 Occupational Safety and Health

Management System Documentation

4.4.5 Control of Documents 3.5 Occupational Safety and Health

Management System Documentation

4.4.6 Operational Control

3.10.2

3.10.4

3.10.5

Management of Change

Procurement

Contracting

4.4.7 Emergency Preparedness and Response 3.10.3 Emergency Prevention, Preparedness and

Response

4.5 Checking - Evaluation

4.5.1 Performance Measurement and

Monitoring 3.11 Performance Monitoring and Measurement

4.5.2 Evaluation of Compliance - -

4.5.3 Incident Investigation, Nonconformity,

Corrective Action and Preventive Action - -

4.5.3.1 Incident Investigation

3.12

3.16

Investigation of Work Related Injuries, Ill

Health, Diseases and Incidents and Their

Impact on Safety and Health Performance

Continual Improvement

4.5.3.2 Nonconformity, Corrective and Preventive

Action 3.15 Preventive and Corrective Action

4.5.4 Control of Records 3.5 Occupational Safety and Health

Management System Documentation

4.5.5 Internal Audit 3.13 Audit

4.6 Management Review 3.14

3.16

Management Review

Continual Improvement

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ANNEX C

BIBLIOGRAPHY

1. ISO 9000:2005, Quality Management Systems – Fundamentals and Vocabulary

2. ISO 9001:2000, Quality Management Systems – Requirements

3. ISO 14001:2004, Environmental Management Systems – Requirements with Guidance for Use

4. ISO 19011:2002, Guidelines for Quality and / or Environmental Management Systems Auditing

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