HSE Management System

Awareness Program
 International Standards for HSE Management

 OHSAS 18001:2007

 ISO 14001:2004
 OHSAS 18001:2007
Occupational Health & Safety Assessment Series 18001:2007

 Published by “British Standard Institute”

 Defines the requirements for Occupational
Health & Safety Management System

 1st publication in 1999

 1st revision in Jul 2007
 What is ISO 14001:2004 ?

 Published by “International Organization for

Standardization”

 Defines the requirements for Environmental

Management System

 1st publication in Sep 1996

 1st revision in 2004
 What is HSE Management System?

System for identification of Safety & Health Risks and

Environmental impacts that arise from our

 Activities
 Services
And devising appropriate controls to
mitigate those Risks and Impacts.
Purpose of HSE Management System Implementation

The organization wishes to

1. Implement, maintain and continually improve HSE

Management System.
2. Assure itself of its conformity with stated HSE
Policy.
Elements of OHSAS 18001:2007 / ISO 14001:2004

4.2
HSE
Policy

4.6 4.3
Management Review Planning

4.5 4.4
Implementation &
Checking
Operation
 OHSAS 18001:2007 / ISO 14001:2004 Requirements

• 4.3.1 OHS Hazards / Env

4.2 POLICY
Aspects
4.3 PLANNING • 4.3.2 Legal and other
requirements
4.4 IMPLEMENTATION & • 4.3.3 Objectives, targets and
OPERATION programme(s)

4.5 CHECKING
• 4.4.1 Resources, roles,
responsibility and authority
• 4.4.2 Competence, training and
4.6 MANAGEMENT
awareness REVIEW
• 4.4.3 Communication
• 4.4.4 Documentation
• 4.4.5 Control of documents • 4.5.1 Monitoring and measurement
• 4.4.6 Operational control • 4.5.2 Evaluation of compliance
• 4.4.7 Emergency preparedness • 4.5.3 Nonconformity, Corrective action and
and response Preventive action
• 4.5.4 Control of Records
• 4.5.5 Internal audit
 HSE Policy
OHSAS 18001:2007 Clause 4.2, ISO 14001:2004 Clause 4.2

Requirements:
1. HSE Policy shall be defined by Top Management.

2. Policy shall include commitment to

• Continual improvement of HSE management system and HSE
performance
• Prevention of injury and ill health
• Prevention of pollution
• At least comply with applicable Legal requirements and with Other
requirements to which the organization subscribes that relate to its
OHS Hazards / Environmental Aspects.
 HSE Policy
OHSAS 18001:2007 Clause 4.2, ISO 14001:2004 Clause 4.2

Requirements:

3. HSE Policy shall be communicated to all employees with an

intent that they are made aware of their individual HSE
obligations.

4. HSE Policy shall be available to interested parties.

5. HSE Policy shall be periodically reviewed so that it remains

relevant and appropriate to the organization.
 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

OHS Hazard
Source, Situation or act with a potential to cause
harm in terms of injury or ill health or a
combination of these.

OHS Risk
Combination of Likelihood of occurrence of a
hazardous event and Severity of ill health or
injury that can be caused by the event.
 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

OHS Hazard Category

Physical: Fall of person from trench, Fall of person from

height, Exposure to welding rays, Failure of rigging
equipment, Exposure to cement dust, Exposure to high
noise etc.

Chemical: Loss of containment of flammable substance,

Ignition of flammable substance etc.

Biological: Exposure to biologically active substance

(sewage etc)
 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

Requirements for Hazard Identification

1. Procedure for hazard identification, risk assessment and

determination of necessary controls.

2. OHS Hazards to be identified for all activities and services

within the scope of the organization.
 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

Requirements for Hazard Identification

3. OHS Hazard identification procedure to take into account

- Routine / Non-routine activities
- Activities of all personnel having access to the
workplace (including contractors and visitors)
- Infrastructure, equipment and materials at the
workplace, whether provided by the organization or others
- Hazards occurring outside the workplace capable of
impacting the health and safety of personnel within the
control of the organization.

4. System of change management shall be in place.

 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

Requirements for Risk Assessment

1. For each hazard, consider likelihood of occurrence and

severity of harm to determine the OH&S Risk.

2. Risk assessment shall be consistent with the operating

experience and the capabilities of risk control measures
already employed.

3. Risk assessment shall provide for classification of risks

and identification of those that are to be eliminated or
controlled.
 Hazard Identification & Risk Assessment

Assessment of Risk: Likelihood of Occurrence of hazard

Rating Likelihood of Hazard

7 At least once in a week

6 At least once in a month
5 At least once in a quarter
4 At least once in 6 months
3 At least once in a year
2 Has happened at least once at HINCOL, Tubhe
1 Has never happened at HINCOL, Turbhe
 Hazard Identification & Risk Assessment

Assessment of Risk: Severity of Harm

Rating Injury Illness

6 Fatality Death

5 Disabling injury Occupational disease or other illness

causing time off work more than a month
4 Medical aid injury, Lost time illness, causing time off work
causing time off work more than 48 hours
more than 48 hours
3 Medical aid injury, Lost time illness, can be recovered
causing time off work through general medical treatment,
up to 48 hours causing time off work up to 48 hours
2 Medical aid injury, can Lost time illness, can be recovered
resume work on the through general medical treatment, can
same day resume work on the same day

1 First aid injury No loss time illness

 Hazard Identification, Risk Assessment &
Determining Controls OHSAS 18001:2007 Clause No. 4.3.1

Risk Prioritization

Prioritization of risk based on the Risk Rating:

Risk Rating: Severity X Likelihood

High Risk – 20 and more

Medium Risk – 8 to 19
Low Risk – 1 to 7
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

 Environmental Aspect
Element of an organization’s activities, products and
services that can interact with the environment.

 Environmental Impact
Changes to the elements of environment due to
occurrence of environmental aspect.
Environmental Aspects
ISO 14001:2004 Clause 4.3.1
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

 Dust generation  Wastewater generation

 Exhaust emission  Solid / Liquid wastes
 Water consumption generation

 Energy / fuel  Spent Lub. Oil generation

consumption  Oily Cotton waste
 Material consumption generation

 Leakage / Overflow  Noise generation

from Storage tanks /  Discarded drums of
pipe lines chemicals
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Environmental Impact
Determine the environmental impact of identified aspects
in terms of:
 Air Pollution
 Water Pollution
 Soil Pollution
 Noise Pollution
 Depletion of Resources
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Requirements

1. Procedure for environmental aspects identification and

significance evaluation.

2. Environmental aspects shall be identified for all activities

and services within the scope of the organization.

3. Environmental aspects shall be identified for activities it

can control and activities it can influence.
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Requirements

4. Environmental aspects shall be identified for

- Normal operating condition

- Abnormal condition
- Reasonably foreseeable emergency condition
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Requirements

5. Criteria for significance evaluation of environmental

aspects shall be defined.

6. All identified environmental aspects shall be evaluated as

per the defined criteria for significance evaluation to
identify those that has potential to cause significant impact
on environment.
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Criteria for Significance Evaluation of Environmental

Aspects

Over-riding criteria

1. Environmental aspects having applicability of Legal or

Other Requirement are considered as significant.
2. Environmental aspects identified under emergency
condition are considered as Significant.
3. Environmental aspects with significant potential for
resource conservation shall be considered as Significant.
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Criteria for Significance Evaluation of Environmental

Aspects

If over-riding criteria is not applicable,

Rating of environmental aspects based on:

• Severity of Impact (S)

• Probability of occurrence of aspect (P)
• Quantity (Q)
• Detectability (D)
 Environmental Aspects
ISO 14001:2004 Clause 4.3.1

Criteria for Significance Evaluation of Environmental

Aspects

Rating Severity of Impact Probability of Quantity Detectability

Occurrence of
Aspect
5 Major Environmental Accident Continuous Excessive More than 24
hours
4 Major soil / water / air Several Times a Very High More than 12
pollution, causing decay of any day hours
on- site /off-site ecological
system
3 Localized impact on flora / Once a day High More than 6
fauna / soil / air/ water hours

2 Minor contribution to global Once a week Moderate More than 1

environmental issues hour

1 Slight impact or negligible Once a month or Low Immediately

impact less frequent
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

Requirements

Procedure for identifying and accessing Legal

HSE requirements applicable to the organization.

Procedure for identifying and accessing Other

HSE Requirements to which the organization
subscribes.

Information on obligations under Legal and Other

requirements shall be collated and kept updated.

Relevant requirements shall be communicated to the

concerned personnel.
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

Examples of Other HSE Requirements

Corporate HSE Requirements

Customer defined HSE Requirements
Industry code of conduct
Requirements of Industry association
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

1. Factories Act, 1948 & State Factories Rules

2. Manufacture, Storage and Import of Hazardous Chemical
(amendment) Rules, 2000
3. Petroleum Act, 1934 and Petroleum Rules 2000
4. Environment Protection Act, 1986 & Environment Protection
Rules, 1986; Amendment 2006
5. Hazardous Waste (Management & Handling) Rules, 1989
Amended 2003
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

6. Noise Pollution (Regulation & Control) Rules, 2000

Amended 2002

7. Batteries (Management & Handling) Rules, 2001

8. The Central Motor Vehicles Rules, 1989 Amendment 2001
9. Gas Cylinders Rules, 1981 (Amendment 1993)
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

10. The Workmen’s Compensation Act, 1923 – Amendment

2000
11. The Workmen’s Compensation Rules, 1924
12. The Contract Labour (Regulation & Abolition) Act, 1970
13. The Contract Labour (Regulation & Abolition) Rules, 1971
14. The Electricity Act, 2003 and The Indian Electricity Rules,
1956
 Legal & Other Requirements
OHSAS 18001:2007 Clause 4.3.2, ISO 14001:2004 Clause 4.3.2

15. Environment Protection Act, 1986 & Environment Protection

Rules, 1986; Amendment 2006
16. Air (Prevention & Control of Pollution) Act, 1981 amended
1987 & Rules, 1982
17. Water (Prevention & Control of pollution) Act, 1974,
amended 1988 & Rules, 1975
18. Noise Pollution (Regulation & Control) Rules, 2000
Amended 2002
 Objectives, Targets & Programs
OHSAS 18001:2007 Clause 4.3.3, ISO 14001:2004 Clause 4.3.3

Requirements:

Establish & maintain HSE Objectives & Targets.

 While establishing HSE Objectives & Targets, consider:

- Legal & other requirements
- Significant OHS Risks
- Significant Environmental aspects
- Financial, operational & business requirements
- Views of interested parties
 Objectives, Targets & Programs
OHSAS 18001:2007 Clause 4.3.3, ISO 14001:2004 Clause 4.3.3

Requirements:

 HSE Objectives & targets need to be

- In coherence with HSE Policy
- Measurable (to the extent practicable)
 Objectives, Targets & Programs
OHSAS 18001:2007 Clause 4.3.3, ISO 14001:2004 Clause 4.3.3

 Establish & maintain Programs for achievement of

HSE Objectives & Targets.

 Programs to include:
- Responsibility for achieving objective
- Actions planned for achieving Objectives / targets
- Time frame for achievement of Objective
Programs shall be reviewed at planned intervals and
adjusted, as necessary to ensure that Objectives /
targets are achieved.
 HSE Management System: Planning

Working Emergency HSE

Methods Response Policy

Monitoring Training

Control Route
Significant
Priority
Hazard / Aspect Improvement
Screening
(50) Route
Hazard / Aspect
Significance
Identification
Screening
(500)
Non-Significant HSE Objectives
Hazard / Aspect & Targets
(450) (15)

No Action
Required currently
Programs
 Resources, Roles, Responsibility & Authority
OHSAS 18001:2007 Clause 4.4.1, ISO 14001:2004 Clause 4.4.1

Requirements
 Provide resources essential to establish, implement,
maintain and continually improvement HSE Management
System

Define the Role, responsibility & accountability, and

authority of personnel within the HSE Management
system.

 Role, responsibility & accountability, and authority shall

be documented and communicated.
 Resources, Roles, Responsibility & Authority
OHSAS 18001:2007 Clause 4.4.1, ISO 14001:2004 Clause 4.4.1

 Appoint HSE Management Representative

Responsible to ensure that HSE Management System is
established, implemented and maintained.
Report to the Top Management on the performance of HSE
Management System
Identity of MR shall be made available to all employees.
 Competence, Training & Awareness
OHSAS 18001:2007 Clause 4.4.2, ISO 14001:2004 Clause 4.4.2

Requirements - Competence
 Competent person shall perform task
that can impact on OHS
having potential to cause significant environmental impact

 Competence shall be measured on the basis of

Education
Training, or
Experience

 Identify training needs based on HSE risks / impacts

 Evaluate the effectiveness of training
 Record of competence, training and effectiveness
evaluation shall be maintained.
 Competence, Training & Awareness
OHSAS 18001:2007 Clause 4.4.2, ISO 14001:2004 Clause 4.4.2

Requirements – Awareness

At a minimum, the following is required to be known by all:

 HSE Policy
 OHS Hazards / consequences of their work activities
 Significant Environmental Aspects / Impacts of their
work activities
 Roles & responsibilities in HSE Management System
 Roles & responsibilities in emergency preparedness
and response
 Consequences of departure from specified procedures
 Communication, Participation & Consultation
OHSAS 18001:2007 Clause 4.4.3, ISO 14001:2004 Clause 4.4.3

Requirements - Communication

Internal communication system among various levels

and functions

Communication system with contractors and visitors to

the workplace

System of receiving, recording and responding to

communication from external interested parties
 Communication, Participation & Consultation
OHSAS 18001:2007 Clause 4.4.3, ISO 14001:2004 Clause 4.4.3

Requirements – Participation & Consultation

Specific requirement of OHSAS 18001

Participation of workers in
HIRA
Incident investigation
Review of OHS policies and procedures
Consultation / representation of OHS matters
Consultation with contractors
 Documentation
OHSAS 18001:2007 Clause 4.4.4, ISO 14001:2004 Clause 4.4.4

 HSE Policy  Programs

 HSE Objectives  Working Methods
 OHS Hazards  Procedures
Identification & Risk  HSE Manual
Assessment Sheets
 Emergency Plan
 Environmental Aspects /
Impacts Evaluation
 Training Schedules
Sheets
 HSE Legal Register
 Control of Documents
OHSAS 18001:2007 Clause 4.4.5, ISO 14001:2004 Clause 4.4.5

Requirements are same as ISO 9001:2000.

 Control of Documents
OHSAS 18001:2007 Clause 4.4.5, ISO 14001:2004 Clause 4.4.5

Requirements
 Identification of documents
 Approval of documents for adequacy prior to issue
 Control of changes to the documents
 Documents shall be available at the point of use
 Documents of external origin shall be identified and their
distribution controlled
 Identify obsolete documents for preventing their
unintended use.
 Operational Control
OHSAS 18001:2007 Clause 4.4.6, ISO 14001:2004 Clause 4.4.6

Requirements

 Identify activities associated with significant OHS

Hazards / significant environmental aspects.

 Ensure effective control over these activities by

institutionalizing operational controls procedures
(Working methods).
 Operational Control
OHSAS 18001:2007 Clause 4.4.6, ISO 14001:2004 Clause 4.4.6

Requirements

 Operational controls to be defined for

Purchased goods, equipment and services
Contractor’s activities
Visitors
 Emergency Preparedness & Response
OHSAS 18001:2007 Clause 4.4.7, ISO 14001:2004 Clause 4.4.7

Requirements

Documented procedure / plan for

Identification of potential HSE emergencies
Response to these emergencies including mitigation of
adverse HSE consequences

Test effectiveness of preparedness periodically.

 Review and revise, as necessary, the emergency
preparedness and response procedure / plan,
particularly after periodical testing and after occurrence
of emergency situations.
 Performance Measurement and Monitoring
OHSAS 18001:2007 Clause 4.5.1, ISO 14001:2004 Clause 4.5.1

Requirements

Documented procedure to monitor & measure periodically:

 Performance against HSE Objectives & Targets

 Implementation status of Programs
 Deviations from operating criteria defined in Working
Methods
 Ill Health, Incidents (including near misses),
Environmental parameters
 Performance Measurement and Monitoring
OHSAS 18001:2007 Clause 4.5.1, ISO 14001:2004 Clause 4.5.1

Requirements

There shall be system of

 Calibration
 Maintenance
of instruments used for monitoring / measurement.
 Evaluation of Compliance
OHSAS 18001:2007 Clause 4.5.2, ISO 14001:2004 Clause 4.5.2

Requirements

Procedure for periodic evaluation of compliance against

applicable

 Legal Requirements
 Other Requirements
Record of periodic evaluation of compliance shall be
maintained.
 Incident Investigation, Nonconformity,
Corrective Action and Preventive Action
OHSAS 18001:2007 Clause 4.5.3, ISO 14001:2004 Clause 4.5.3

Requirements – Incident Investigation

Procedure to record and investigate incidents in order to

 determine root cause of incident

 identify need for corrective action
 identify opportunity for preventive action
 communicate the results of incident investigation
 Incident Investigation, Nonconformity,
Corrective Action and Preventive Action
OHSAS 18001:2007 Clause 4.5.3, ISO 14001:2004 Clause 4.5.3

Requirements – Nonconformity, Corrective Action and

Preventive Action

Procedure for dealing with actual and potential

nonconformities.
 Correction, including actions to mitigate HSE
consequences
 determine root cause of nonconformity
 implement corrective actions
 identify need for preventive actions and implement
 Incident Investigation, Nonconformity,
Corrective Action and Preventive Action
OHSAS 18001:2007 Clause 4.5.3, ISO 14001:2004 Clause 4.5.3

Requirements – Nonconformity, Corrective Action and

Preventive Action

Risk assessment shall be carried out for the proposed

corrective actions / preventive actions, prior to
implementation.
 Control of Records
OHSAS 18001:2007 Clause 4.5.4, ISO 14001:2004 Clause 4.5.4

Requirements are same as ISO 9001:2000.

Typical HSE records may be

 Operational control related records

 Program implementation related records
 Equipment maintenance / calibration related records
 Training records
 Legal & other requirements related records
 Monitoring and Measurement records
 Incident investigation, CAPA records
 Results of audits & reviews
 Control of Records
OHSAS 18001:2007 Clause 4.5.4, ISO 14001:2004 Clause 4.5.4

Requirements
Procedure for
 Identification of records
 Storage of records
 Retention of records
 Internal Audit
OHSAS 18001:2007 Clause 4.5.5, ISO 14001:2004 Clause 4.5.5

Internal Audit to be carried out to verify

 conformance of system to OHSAS 18001:2007 &

ISO 14001:2004
 implementation of the documented system
 effectiveness of system in meeting organization’s policy
and objectives.

Requirements for Internal Audit are comparable to ISO

9001:2000 requirements.
 Management Review
OHSAS 18001:2007 Clause 4.6, ISO 14001:2004 Clause 4.6

Review by Top Management to ensure adequacy and

effectiveness of HSE Management System.

Inputs to management reviews:

 Results of audits
 Results of evaluation of compliance to legal / other
requirements
 Changes in Legal requirements
 Results of participation / consultation
 Communication / complaints from external interested parties
 Results of performance monitoring & measurement
 Status of incident investigation, CAPA