L18 OHSAS 18001 Dr. Dileep Andhare

© Indian Institute of Public Health Gandhinagar, NFP usage only
Certificate Programme in
Health, Safety And Environment Management
OHSAS 18001:2007
Occupational Health and Safety Assessment Series
Dr. Dileep Andhare

Adj. Professor & Course Coordinator
1 IIPHG
What is Health and Safety?

• Health - the condition of body or mind (WHO definition?)
• Safety - not being exposed to danger or risks
• In industry, Health and Safety means preventing accidents
and work related ill health.
2
For the purpose of risk management SAFETY needs to be

defined as:
“not being exposed to an unacceptable risk”
Occupational Health and Safety means preventing as far as
possible accidents and work related ill health.
3
Incidents
• Incidents are any work-related events in which an injury or ill health
or fatality occurred or could have occurred (BS OHSAS 18001:2007, cl. 3.9)
• Incidents in which injury, ill health or fatality occurred are commonly
called ACCIDENTS
• Where no injury or loss happens, the ‘incident‘ is considered a
"NEAR MISS“ (close call, dangerous occurrence, etc.)
4
Heinrich’s Triangle
1
Major Injury
29
Minor Injuries
300
No- Injury Incidents
Unsafe Acts or Conditions ???

5
Work Related Ill Health (Occupational illness)

• Work related ill health is:
• ‘Identifiable, adverse physical or mental condition arising
from and/or made worse by a work activity and/or work
related situation’
6
Why OHSMS
• The costs of occupational accidents and ill health are
enormous
• Increases in the numbers of claims for compensation against
organisations
• Insurance premiums
• Ever stricter legislation and bigger fines
• Customer pressure and access to market place.
• Industrial relations and staff morale
• Public relations
• Moral imperative
7
What Generally Happens…

• Focus on accidents and ignoring occupational health issues
• Ignoring mental health issues
• Focusing on production activities and ignoring auxiliary and
supporting processes
• Ignoring office and offsite risks
• Focusing on spectacular risks
8
Structure of the standard

1 Scope
2 Reference Publications
3 Terms & Definitions
4 OH&S management system elements
4.1 General requirements
4.2OH&S policy
4.3Planning
4.4Implementation and operation
4.5Checking
4.6Management review
Annex A Correspondence between OHSAS 18001:2007, ISO
14001:2004 and ISO 9001:2000
Bibliography
9
Planning
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 fulfil these requirements.
• The organization shall define and document the

scope of its OH&S management system.
10
4.2 OH&S Policy

3.16 OH&S Policy:
overall intentions and direction of an organization (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, 3.11.
11
4.2 OH&S Policy

Top management shall define and authorise the OH&S policy
Appropriate
Available
Commitment to prevent injury / ill health and continual
improvement
Commitment to comply with legal requirements
Communicated
Objectives framework
Reviewed periodically
12 Documented
Concepts
The concept of acceptable risk:
“risk which is accepted in a given context based on the current
values of the society” (ISO/IEC Guide 51:99, 5.3)
Acceptable risk: “risk that has been reduced to a level be
tolerated by the organisation having regard to its legal
obligations and own occupational health and safety policy” (BS
OHSAS 18001:2007, clause 3.1)
13
4.3.1 Hazard identification, risk assessment and

determining controls
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
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 (3.8) that may be caused by the event or
exposure(s).
R = PxS
3.22 Risk assessment:
process of evaluating the risk(s) (3.22) arising from a
hazard(s), taking into account the adequacy of any existing
14 controls, and deciding whether or not the risk(s) is acceptable
Definitions
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, travelling or
in transit (e.g. driving, flying, on boats or trains), working at the
premises of a client or customer, or working at home
15
Hazard Identification and Risk Assessment

A Activities – routine, non routine, people related
L Legal requirements relating to HIRA
C Changes. Modifications
H Human aspects : behaviour, capabilities, other factors
E Equipment
M Material
I Infrastructure
S Surroundings : Impact of hazards created inside and outside the
workplace
T (Tailor) Design – work area, processes, installations, machinery,
16 procedures, -----
Definitions
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)
The objective of the occupational health and safety is to ensure

that all risks would have been reduced to or below the level of
tolerable/acceptable risk.
17
Hazard Identification and Risk Assessment

• Shall be defined with respect to:
• Scope, Nature, Timing
• Shall provide for

• Identification, Prioritization, documentation of risks
and controls
18
Some approximate numbers for practice….

Activity Hazard Probability Severity Risk
Driving Accident 2 4 8
- Loss of limbs
Vehicle Exposure to 4 2 8
painting VOC
- Respiratory
problems
Electrical Electrocution 1 5 5
maintenance - Death
Minor Cuts 5 1 5
Fall from height 2 3 6
19
- Fracture

Hierarchy of Controls:
Elimination
Substitution
Engineering controls
Signage/warnings/administrative control
Personal protective equipment
Apply controls to:

Eliminate/Reduce risks
20 Meet Legal and other (including policy) requirements
4.3.2 Legal and other requirements

Applicable legal and other requirements:
• Identify and access
• Communicate : persons working under control,
interested parties
• Update
21
4.3.3 Objectives and programme(s)

3.14 OH&S objective:
OH&S goal, in terms of OH&S performance (3.15), that an
organization (3.17) sets itself to achieve
NOTE 1 Objectives should be quantified wherever practicable.
NOTE 2 Clause 4.3.3 requires that OH&S objectives are

consistent with the OH&S policy
22
4.3.3 Objectives and programme(s)

OH&S objectives: Management programme(s):
• Responsibility & authority
Measurable -------where practicable
• Means
Consistent with policy • Time frame
At relevant functions and levels Shall be reviewed regularly.
Before setting up objectives consider:
Legal and other requirements 3.10 Interested party:
OHS Risks person or group, inside or
outside the workplace
Technological options (3.18), concerned with or
Financial requirements affected by the OH&S
performance (3.15) of an
Business requirements
23 organization (3.17).
Views of interested parties
4.4.1 Resources, roles, responsibility, accountability

and authority
Resources: (top) Management
• Human, specialized skills appointee:
• Infrastructure • Ensures that OHSMS is
• Technology established,
implemented and
• Finance
maintained
Human resource
• Reports on the
Define, document and
communicate: performance of OHSMS
to top management.
roles, responsibilities,
accountabilities, and
authorities,
24
4.4.2 Competence, training and awareness

Competence of person(s) on the basis of:
• Education,
• Training
• Experience
Retain associated records
Training needs associated with OHS risks:
• Identify
• Provide or take other action
• Evaluate effectiveness
Training procedures shall take into account:
• Responsibility, ability, language skills and literacy
25
• Risks
4.4.3 Communication, participation and

consultation
4.4.3.1 Communication
a) various levels and functions
b) contractors and other visitors to the workplace
c) receiving, documenting and responding to communications from
external interested parties.
4.4.3.2 Participation and Consultation
• Hazard identification, risk assessment and control determination
• Incident investigation
• Development and review of polcies and objectives
• Consultation when there are changes
• Consultation with contractors
26 Employee representative
4.4.4 Documentation
OHSMS documentation :
a) Policy
b) Objectives
c) Scope
d) description of the main elements of the OH&S management
system and their interaction, and reference to related
documents,
e) documents, including records, required by the standard, and
f) 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.
27 To be kept to the minimum required for effectiveness and efficiency.
4.4.5 Control of documents

a) Procedure(s) to:
b) approve for adequacy prior to issue,
c) review and update as necessary and re-approve documents,
d) Ensure that changes and the current revision status of
documents are identified,
e) ensure that relevant versions of applicable documents are
available at points of use,
f) Ensure control of documents of external origin
g) Prevent unintended use of obsolete documents
28
4.4.6 Operational control

Operational control related to:
• Activities
• Goods, Equipment, Services
• Contractors and visitors
Controls shall include the management of change (see 4.3.1)
Stipulate operating criteria
Documented procedure where their absence could lead to

deviations
29
4.4.7 Emergency preparedness and response

• Identify the potential of emergency situations
• Respond to Emergency
• Prevent or mitigate adverse OH&S consequence
• Emergency planning to address needs of interested parties
• Test the empergency preparedness plans periodically, where
practicable
• Involve relevant interested particies in testing --- as
appropriate
• Review and revise after testing or actual emergency
30
Definition
3.15 OH&S Performance:
measurable results of an organization's (3.17) management of its
OH&S risks (3.22)
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),

results can also be measured against the organization's (3.17)
OH&S policy (3.16), OH&S objectives (3.14), and other OH&S
performance requirements.
31
4.5.1 Performance measurement and monitoring

Monitoring and measurement shall be:
• Proactive as well as reactive
• Quantitative as well as qualitative
Monitoring and measurement of:
• Objectives
• Effectiveness of controls
• Operational criteria
• Accidents, incidents
Calibration and maintenance of monitoring and measurement
equipment.
32
Record monitoring, measurement and calibration/maintenance results
4.5.2 Evaluation of compliance

4.5.2.1
Periodic evaluation of compliance with applicable legal
requirements
Maintain records.
4.5.2.2
Periodic evaluation of compliance with applicable other
requirements
Maintain records.
Note The frequency of periodic evaluation may vary for differing

33 legal and other requirements .
4.5.3 Incident Investigation, Nonconformity,

Corrective Action And Preventive Action
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
34

4.5.3.1 Incident investigation
Investigate and analyze incidents:
a) Determine Underlying OH&S Deficiencies And Other Factors.
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
Implement identified corrective and prevent actions in accordance with

35 4.5.3.2

4.5.3.2 Nonconformity, corrective action and preventive action
Procedure to define requirements for:
a) identifying and correcting nonconformity
b)investigating nonconformity(ies), determining their cause(s) and
taking actions in order to avoid their recurrence,
c) evaluating the need for action(s) to prevent nonconformity(ies) and
implementing appropriate actions designed to avoid their occurrence,
d) recording and communicating the results
e) reviewing the effectiveness
Review proposed corrective and preventive actions through risk assessment

prior to implementation.
36 Amend documentation, as appropriate
4.5.4 Control of records

Procedure(s) for:
Identification,
Storage,
Protection,
Retrieval,
Retention
Disposal
Traceablility
Legibility
37
4.5.5 Internal audit

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
[ISO9000:2005, 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.
38
4.5.5 Internal audit

Audit programme(s) based on
•results of risk assessments and
•results of previous audits.
Audit procedure(s) to address:

a) Responsibilities, Competencies, And Requirements For Planning
And Conducting Audits, Reporting Results And Retaining
Associated Records,
b) Audit Criteria, Scope, Frequency And Methods
Selection of auditors and conduct of audits shall ensure objectivity

and the impartiality of the audit process.
39
4.6 Management review

Top management shall review at planned intervals:
• Suitability
• Adequacy
• Effectiveness of OHSMS
Input to management reviews shall include:

• Results of internal audits
• Evaluations of compliance
• Results of participation and consultation
• Communication(s) from external interested parties, including
complaints
• The OH&S performance of the organization,
• The extent to which objectives have been met,
• Status of incident investigations
• Follow-up actions from previous management reviews,
40 • Changing circumstances
• Recommendations for improvement.
4.6 Management review

The outputs of management reviews shall include
decisions and actions related to possible changes to:
• Oh&s performance
• Oh&s policy and objectives
• Resources, and
• Other elements of the oh&s management system.
Records of the management reviews shall be retained

Relevant outputs from management review shall be made
available for communication and consultation (see
41 4.4.3)

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© Indian Institute of Public Health Gandhinagar, NFP usage only

Dr. Dileep Andhare

What is Health and Safety?

For the purpose of risk management SAFETY needs to be

Unsafe Acts or Conditions ???

Work Related Ill Health (Occupational illness)

What Generally Happens…

Structure of the standard

• The organization shall establish, document,

• The organization shall define and document the

4.2 OH&S Policy

NOTE 1 The OH&S policy provides a framework for action and

NOTE 2 Adapted from ISO 14001:2004, 3.11.

4.2 OH&S Policy

4.3.1 Hazard identification, risk assessment and

NOTE : When giving consideration to what constitutes a

Hazard Identification and Risk Assessment

The objective of the occupational health and safety is to ensure

Hazard Identification and Risk Assessment

• Shall provide for

Some approximate numbers for practice….

4.3.1 Hazard identification, risk assessment and

Apply controls to:

4.3.2 Legal and other requirements

4.3.3 Objectives and programme(s)

NOTE 1 Objectives should be quantified wherever practicable.

NOTE 2 Clause 4.3.3 requires that OH&S objectives are

4.3.3 Objectives and programme(s)

4.4.1 Resources, roles, responsibility, accountability

4.4.2 Competence, training and awareness

4.4.3 Communication, participation and

4.4.5 Control of documents

4.4.6 Operational control

Controls shall include the management of change (see 4.3.1)

Stipulate operating criteria

Documented procedure where their absence could lead to

4.4.7 Emergency preparedness and response

NOTE 1 OH&S performance measurement includes measuring

NOTE 2 In the context of OH&S management systems (3.13),

4.5.1 Performance measurement and monitoring

4.5.2 Evaluation of compliance

Note The frequency of periodic evaluation may vary for differing

4.5.3 Incident Investigation, Nonconformity,

NOTE 1 An accident is an incident which has given rise to injury,

NOTE 2 An incident where no injury, ill health, or fatality occurs

NOTE 3 An emergency situation (see 4.4.7) is a particular type

4.5.3 Incident Investigation, Nonconformity,

Implement identified corrective and prevent actions in accordance with

4.5.3 Incident Investigation, Nonconformity,

Review proposed corrective and preventive actions through risk assessment

4.5.4 Control of records

4.5.5 Internal audit

NOTE 1 Independent does not necessarily mean external to the

NOTE 2 For further guidance on "audit evidence" and "audit

4.5.5 Internal audit

Audit procedure(s) to address:

Selection of auditors and conduct of audits shall ensure objectivity

4.6 Management review

Input to management reviews shall include:

4.6 Management review

Records of the management reviews shall be retained

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