OHSAS 18001:2007 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEMS SELF-ASSESSMENT CHECKLIST COMPASS ASSURANCE SERVICES PTY LTD

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1 OHSAS 18001:2007 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEMS SELF-ASSESSMENT CHECKLIST COMPASS ASSURANCE SERVICES PTY LTD NOTE: THIS IS A SIMPLIFIED SUMMARY OF THE REQUIREMENTS OF OHSAS SAFETY MANAGEMENT SYSTEM FOR THE SPECIFIC PURPOSE OF HELPING ORGANISATIONS UNDERTAKE A PRELIMINARY CHECK OF THEIR READINESS FOR AN OHSAS 18001:2007 AUDIT OR ASSESSMENT.

2 OHSAS 18001:2007 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEMS SELF-ASSESSMENT CHECKLIST GENERAL MANDATORY PROCEDURES 1. OHS Policy (as per 4.2) 2. Procedure to cover situations where absence of control measures could lead to deviation from the OH&S policy and objectives (4.4.6 (d)) KEY RECORDS 1. Objectives and Targets (as per 4.3.3) 2. Records of the results of identification of hazards, risk assessments and determined controls (as per 4.3.1) 3. Responsibilities and Accountabilities (as per ) 4. Records of the evaluation of the effectiveness of training (as per 4.4.2) 5. Communication from external interested parties (as per ( c)) 6. Recording data and results of monitoring and measurement to enable analysis of corrective and preventative actions (as per (f)) 7. Calibration records for monitoring and measurement Equipment (as per 4.5.1) 8. Records of periodic evaluation of legal compliance (as per 4.5.2) 9. Records of investigations (as per ) 10. Results of corrective actions (as per ) 11. Management Review minutes (as per 4.6) 1

3 1. SCOPE & APPLICATION 1. SCOPE & APPLICATION NOTES What is the scope of the system / certification? Are there any exclusions such as sites/branches or business processes? 4. OHSMS REQUIREMENTS 4.1 GENERAL REQUIREMENTS NOTES Have we established and maintained a safety management system that meets all of the following requirements? Is the scope of the system documented? 4.2 OHS POLICY 4.2 OH&S POLICY NOTES Is our policy authorized by top management? Does the policy provide the framework for setting objectives and targets? Does it state a commitment to continually improve OHS performance? Does it state a commitment to prevent illness and injury? Does the policy: Include a commitment to prevention of injury and ill health Include a commitment to comply with relevant OHS legislation and other requirements Is the policy documented, implemented and maintained? Is the policy communicated to employees and available to relevant parties? Is the policy reviewed regularly? 2

4 4.3 PLANNING PLANNING HAZARDS AND RISKS Have we developed our methodology for hazard identification, hazard/risk assessment and control of hazards/risks based on our experience and commitment to prevention of injury and ill health? NOTES Does the documented procedure take into account routine and non-routine activities Activities of all persons entering the work place (including visitors and contractors) Human behavior Hazards outside the work place that may impact on workers Infrastructure/equipment/materials at the work place provided by either our organization or others Changes or proposed changes to the organization Modifications to the OHS management system Any applicable legal obligations relating to risk assessment The design of work areas, machinery and installations Is our method of hazard identification proactive rather than reactive? Does our method of hazard identification provide for identification, prioritization and documentation of risks and the application of controls? Does our system enable us to identify hazards associated with changes to the organization? Is the hierarchy of controls used to select appropriate risk controls? Do we document and retain records of risk assessment? LEGAL AND OTHER REQUIREMENTS NOTES Have we procedures to identify and have access to OHS legal and other requirements that are applicable to the OHS issues related to our activities / products / services? Do we keep this up to date? Do we communicate relevant information to employees? 3

5 4.3.3 OBJECTIVES AND TARGETS NOTES Have we developed OHS objectives and targets at each relevant function and level in the organisation? Have we established, implemented, maintained and documented them? Are they consistent with our policy? Have we considered our legal and other requirements, hazards and risks, operations, views of stakeholders, business requirements as part of this process? Have we established and maintained plans to achieve our OHS objectives and targets? Do the plans include how the plans will be achieved, responsibilities and timeframes? Do we have procedures to review and amend plans (as required) at regular intervals? 4

6 4.4 IMPLEMENTATION AND OPERATION STRUCTURE AND RESPONSIBILITY RESOURCES, ROLES RESPONSIBILITY, ACCOUNTABILITY AND AUTHORITY Have we defined, documented and communicated OHS accountability and responsibility to personnel involved in our OHS management system? Has top management appointed an OHS management system management representative? Has this person responsibility and authority for: (a) ensuring our OHS management system requirements are established, implemented and maintained (b) reporting performance of the OHS management system to top management Is the identity of the management representative made known to all people in our organization and are they accessible to employees? Do all those in top management demonstrate a commitment to continual improvement of OHS performance? Do we ensure that all persons in the workplace take responsibility for aspects of OH&S over which they have control (including ensuring that staff adhere to our applicable OH&S requirements)? NOTES 5

7 4.4.2 TRAINING AND COMPETENCY NOTES Have we identified training needs related to performing work competently (including OHS training) in consultation with employees? Do we evaluate the effectiveness of training and maintain records? Are procedures in place to ensure OHS competencies are developed and maintained? Is competency assessed on the basis of skills achieved through education, training and experience? Have procedures been developed for providing OHS training? Do they take into consideration characteristics and composition of the workforce, responsibilities, hazards and risks? Have we ensured all workers have undertaken training appropriate to the identified needs? Have we ensured that all staff are aware of the consequences of their work activity potential or actual, their behavior and the benefits of improved OHS performance? Does the training taken cover potential consequences of departure from specified procedures? Does training ensure staff are aware of their roles and responsibilities (including emergency response requirement s)? COMMUNICATION, PARTICIPATION AND CONSULTATION COMMUNICATION Do we have procedures to communicate pertinent OHS information to employees at all levels of the organisation? Do we have procedures for communicating with contractors and other visitors to the workplace? Do we have procedures for receiving, documenting and responding to communication from relevant bodies? NOTES 6

8 PARTICIPATION AND CONSULTATION Have we established procedures (do not need to be documented) for employee involvement and consultation in OHS issues? Is information regarding these arrangements available to interested parties? Can we demonstrate that employees: Are involved in risk assessment and selection of risk controls Are involved in incident investigation Are involved in policy review and setting of objectives Are consulted when there are changes that affect their work place Are represented on OHS matters Are aware of participation arrangements and who is representing them on OHS matters Have representatives received appropriate training to undertake these roles? Do we have procedures in place to ensure contractors are consulted where there are changes that affect their OHS&S? DOCUMENTATION NOTES Have we established, implemented and maintained information that includes: The policy and objectives a description of the scope a description of the main elements of the system, their interaction and reference to related documents a description of the documents, including records which are required to ensure effective planning and control of processes. Is documentation kept to a minimum for efficiency and effectiveness? 7

9 4.4.5 CONTROL OF DOCUMENTS NOTES Have we established, implemented and maintained procedures for controlling relevant documents? Do we ensure that: (a) they can be readily located (b) they are reviewed, revised and approved as required and changes are able to be identified. (c) current versions are available at locations (d) obsolete documents and data is promptly removed (e) documents of external origin are controlled. Is our documentation legible, dated and readily identifiable? Do our procedures include creation and modification of documents and data? Do we prevent the use of obsolete documents and apply suitable identification to them if they are required to be retained? OPERATIONAL CONTROL NOTES Have we determined the operations and activities where risk controls are necessary? Are operational controls maintained and integrated into the overall OHS management system? Are controls identified and maintained in relation to purchased goods, services and equipment? Have controls been identified which cover contractors and other visitors to the work place? Are there DOCUMENTED procedures to cover situations where the absence of controls could lead to deviation from the OHS policy and objectives? Have we implemented and maintained stipulated operating criteria where the absence of controls could lead to deviation from the OHS policy? 8

10 4.4.7 EMERGENCY PREPAREDNESS AND RESPONSE NOTES Have we identified all potential emergency situations? Have we established a procedure for responding to such emergency situations? Does our emergency response take into account the needs of other interested parties? Have we reviewed and revised procedures as necessary? Have we tested the procedures (such as drills)? 4.5 CHECKING PERFORMANCE MEASUREMENT AND MONITORING Have we established, implemented and maintained procedures to monitor and measure the performance of the OH&S on a regular basis? Do the procedures take into account both qualitative and quantitative measures? Do the procedures enable measurement of the extent to which our objectives have been met? Do the procedures enable monitoring of effectiveness of controls (for both health and safety)? Do the procedures provide for proactive measurement of OH&S performance? Do the procedures enable reactive measures of performance that monitor ill health, incidents (including accidents and near misses) and other historical evidence of past system performance? Have we retained records of this which are sufficient to enable any corrective action and preventative action analysis? Have we developed procedures for ensuring any measuring equipment is calibrated and maintained (records required to be kept)? NOTES 9

11 4.5.2 EVALUATION OF COMPLIANCE Have we established and implemented procedures for periodically evaluating compliance with applicable legal requirements? (note records to be kept) Do we evaluate compliance with other requirements to which we subscribe? (records of evaluation to be kept) NOTES INCIDENT INVESTIGATION, NONCONFORMITY, CORRECTIVE ACTION AND PREVENTATIVE ACTION Incident Investigation Have we established, implemented and maintained procedures to record, investigate and analyse incidents in order to: (a) determine the OH&S deficiencies and other factors that might cause or contribute to incidents (b) identify the need for corrective action (c) identify opportunities for preventative action and continual improvement (d) communicate the results of investigations Are our investigations performed in a timely manner? Are our investigations recorded? Nonconformity, corrective action and preventative action Have we established and implemented and maintained a procedure to deal with non-conformities? Does the procedure provide for: Identifying and correcting nonconformities and taking actions to mitigate consequences Investigation nonconformities and determining their causes and taking action to prevent recurrence Evaluating the need for actions to prevent nonconformities and implementing appropriate actions to avoid recurrence Recording and communicating the results of corrective and preventative actions 10

12 Reviewing the effectiveness of corrective and preventative actions Does the procedure include a risk assessment prior to implementation where the corrective action and preventative action identifies changed hazards or the need for new or changed controls? Do we ensure that any necessary changes are made to any system documentation as a result of corrective and preventative action? CONTROL OF RECORDS Have we established and maintained records to demonstrate conformity of the system? Have we developed a procedure for identification, storage, protection, retrieval, retention and disposal of records? Are our records legible and traceable? INTERNAL AUDIT Have we established, implemented and maintained a program for OHS system audits? Are the audits carried out by a competent person? Does the audit determine whether the system: (a) conforms to planned arrangements (including 4801) (b) been properly implemented and maintained (c) is effective to meet the policy, objectives and targets and for continual improvement Do we provide information on the results of audits to management and employees? Is the audit program based on the results of risk assessments and previous audit results? Do the audit procedures include scope, frequency, methods, competencies, responsibilities and requirements for the audit and results? NOTES 11

13 4.6 MANAGEMENT REVIEW NOTES Does top management review the system at intervals to ensure suitability, adequacy and effectiveness? Does the input to the review include: 1. Results of audits and evaluation of compliance 2. Results of participation and consultation 3. Relevant communication with external interested parties (including complaints) 4. Review of OHS performance 5. Review of OHS objectives and targets 6. Status of investigations, corrective and preventative actions 7. Follow up from previous review 8. Changing circumstances that may affect the OH&S, including legal developments or changes to other requirements 9. Recommendations for improvement Do the outputs from the review include: 1. OH&S performance 2. OH&S policy and objectives 3. Resources 4. Other elements of the OH&S management system Is the review documented? Are relevant outputs made available for communication and consultation? 12