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4.1 GENERAL REQUIREMENTS Y N REMARKS

 Does the organization established and maintained an
OH&S management system described in the whole of
Clause 4?
4.2 OH&S POLICY
 Does the organization’s top management authorize and
clearly states the overall OH&S objectives?
 Is the organization’s OH&S policy appropriate to the
nature and scale of the organization’s OH&S risks?
 Is there a commitment to continual improvement?
 Does the organization comply with current applicable
OH&S legislations and other requirements?
 Is the OH&S policy documented, implemented and
maintained?
 Is the OH&S policy communicated to all employees?
 Are all employees aware of their individual OH&S
obligations?
 Is the OH&S policy available to interested parties?
 Is the OH&S policy reviewed periodically and remains
relevant and appropriate to the organization?
4.3 PLANNING
4.3.1 Planning for hazard identification, risk
assessment and risk control
 Does the organization establish and maintain
procedures for the ongoing identification of hazards,
the assessment of risks, and the implementation of
necessary control measures?
 Was the identification of hazards, the assessment of
risk, and the implementation of control measures
applied to:
-Routine and non-routine activities?

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-Activities of all personnel having access to the workplace

(including subcontractors and visitors)?
-Facilities at the workplace provided by the organization
and others?
 Are the results of those assessments and the effects of
those controls kept and updated?
 Is the organization’s methodology for hazard
identification and risk assessment
-Defined with respect to its scope, nature and timing?
-Classify the risks and identify those that are to be
eliminated or controlled?
-Consistent with operating experience and capabilities of
risk control measures?
-Provide input into the determination of facility
requirements, identification of training needs and / or
development of operational controls?
-Provide for the monitoring of required actions to ensure
the effectiveness and timeliness of their implementation?
4.3.2 Legal and other requirements
 Does the organization establish and maintain a
procedure to identify and ensure access to the legal and
other requirements that are applicable to it?
 Is the legal and relevant requirements kept up-to-date?
 Are the relevant information on the legal and other
requirements communicated to the employees and
other interested parties?
4.3.3 Objectives
 Does the organization establish and maintain
documented OH&S objectives at each relevant
function and level within the organization?
 Are the objectives consistent with the OH&S policy,

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including the commitment to continual improvement?

4.3.4 OH&S management programme(s)
 Are OH&S management programs for achieving its
objectives established and maintained?
 Are the designated responsibility and authority for
achieving the objectives at relevant functions and
levels of the organization documented?
 Are the means and time-scale by which objectives are
to be achieved documented?
 Are the OH&S management programme(s) reviewed at
regular and planned intervals?
 Are the OH&S management programme(s) amended
when required due to changes in the activities,
products, services, or operating conditions of the
organization?

4.4 IMPLEMENTATION AND OPERATION

4.4.1 Structure and responsibilities
 Are the roles, responsibilities of authorities of
personnel who manage perform and verify activities
having an effect on the OH&S risk of the
organization defined, documented and
communicated?
 Did the organization appoint a member of top
management to be responsible for ensuring the OH&S
management system is properly implemented and
performing to requirements in all locations and spheres
of operation within the organization?
 Are resources essential to the implementation, control
and improvement of the OH&S management system?
 Does the organization’s management appointee:

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-Ensure that the OH&S management system requirements

are established, implemented and maintained as stated in
OHSAS 18001?
-Regularly report to top management on the performance
of the OH&S management system?

4.4.2 Training, awareness and competence

 Are all employees competent in performing their task?
 Have all employees received appropriate education,
training and / or experience in order to be competent?
 Are procedures in place to ensure that employees are
fully aware of:
-The need to conform to the OH&S policy, procedures and
the requirements of the OH&S management system?
-The OH&S consequences of their work activities and
benefits of improved individual performance?
-Their roles and responsibilities in achieving conformance
to the OH&S policy requirements?
-The potential consequences of departure from specified
operating procedures?
-The emergency preparedness and response requirements?
 Does the training procedures take into account:
-The differing levels of responsibilities, ability and literacy
of the employees?
-The differing levels of risks?

4.4.3 Consultation and communication

 Are there procedures for ensuring pertinent OH&S
information is communicated to and from employees
and other interested parties?
 Are employee involvements and consultation
arrangements documented and interested parties
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informed?
 Are employees:
-Involved in developing and reviewing of policies and
procedures to manage risk?
-Consulted when there are changes that affect workplace
health and safety?
-Represented on health and safety matters?
-Informed of their OH&S representative(s)?

4.4.4 Documentation
 Are information that describes the core elements of the
management system and their interaction established
and maintained in a suitable medium?
 Does the information provide direction to related
document?

4.4.5 Document and data control

 Are procedures established and maintained for
controlling all documents and data required by OHSAS
specifications?
 Can the procedures be located?
 Are the procedures periodically reviewed, revised
when necessary and approved by authorized
personnel?

 Is there document control procedure to ensure that the

current version of documents is available at all
locations where their accessibility is essential to the
effective functioning of OH&S system?
 Are obsolete data removed to assure against
unintended use?

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 Are Documents and data for legal and knowledge

preservation purpose retained or suitably identified?

4.4.6 Operational control

 Are those operations and activities that are associated
with identified risks where control measures need to be
applied, identified?
 Are those activities planned to ensure that they are
carried out in specific conditions?
 Are there any established and maintained procedures to
cover situations where their absence could lead to
deviation from OH&S policy and objectives?
 Are the procedures stipulating operating criteria?
 Are there procedures to identify the OH&S risks of
goods and services purchased from outside suppliers
and contractors?
 Are there procedures for the design of workplace,
process, installation, machinery, operating procedures
and work organization, in order to eliminate or reduce
OH&S risks?

4.4.7 Emergency preparedness and response

 Are there procedures to identify and response to
incidents and emergency situations and to prevent and
mitigate the likely illness and injury associated with
them?
 Does the organization review its emergency
preparedness and response plans and procedures
especially after the occurrence of incidents or
emergency situations?
 Does the organization periodically test out such

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procedures?

4.5 CHECKING AND CORRECTIVE ACTION Y N REMARKS

4.5.1 Performance measurement and monitoring
 Are the procedures to monitor and measure OH&S
performance on a regular basis established and
maintained?
 Does the procedures provide for:
-Both qualitative and quantitative measures that are
appropriate to the needs of the organization?
-Monitoring the extent to which the OH&S objectives are
met?
-Proactive measures of performances that monitor
compliance with the OH&S management programme,
operational criteria and applicable legislation and
regulatory requirements?
-Reactive measures of performance to monitor accidents,
ill health, incidents and other historical evidence of
deficient OH&S performance?
-Recording of data and result of monitoring and
measurement sufficient to facilitate subsequent corrective
and preventive action analysis?
 Are procedures for the calibration and maintenance of
monitoring equipment that are used for performance
measurement and monitoring established and
maintained?
 Are the records of calibration and maintenance
activities and results retained?

4.5.2 Accidents, incident, non-conformances and

corrective and preventive action
 Does the organization establish and maintain
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procedures for defining responsibility and authority

for:
-The handling and investigation of accidents, incidents and
non-conformances?
-Taking action to mitigate any consequences arising from
accidents, incidents or non-conformances?
-The initiation and completion of corrective and preventive
actions?
-Confirming the effectiveness of corrective and preventive
actions taken?
 Does the procedure require all proposed corrective
actions to be reviewed through the risk assessment
process before implementation?
 Are the corrective action taken appropriate to the
magnitude of problems and commensurate with the
OH&S risk encountered?
 Were the changes in procedures due to the corrective
and preventive action taken implemented and
recorded?
4.5.3 Records and records management
 Are the procedures for the identification, maintenance
and disposition of OH&S records, established and
maintained?
 Are the records legible, identifiable and traceable?
 Are the records readily retrievable and protected
against damage, deterioration or loss?
 Are the retention times of the records established and
recorded?
 Are the records maintained to demonstrate
conformance to the requirements of the OHSAS
standard?

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4.5.4 Audit
 Are there procedures for the periodic OH&S
management system audit to be carried out, established
and maintained?
 Does the internal audit determine if the OH&S
management system:
-Conforms to the planned arrangements for OH&S
management and the requirements of the OHSAS
specification?
-Has been properly implemented and maintained?
 Does the audit provide information on the results of
audits to management for review?
 Does the organization’s audit program, including
schedule, consider the results of risk assessments of the
organization’s activities, and the results of previous
audits?
 Does the audit procedures cover the scope, frequency,
methodologies and competencies, as well as
responsibilities and requirements for conducting audits
and reporting results?
4.6 MANAGEMENT REVIEW Y N REMARKS
 Does the organization’s top management periodically
review the OH&S management system to ensure its
suitability, adequacy, and effectiveness?
 Are there sufficient and necessary information
collected to allow management to carry out the
management review?
 Is the management review documented?
 Does the management review address:
-Possible changes to policy?
-Possible changes to objectives and other elements of the

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OH&S management system?

-Possible changes in the light of OH&S management
system audit results?
-Possible changing circumstances?
-The commitment to continual improvement?

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