OHSAS 18001 - (Section 4.5. - Checking and Corrective Action)

4.5.3. Records and Record ManagementAction

Section 4.5.3.1 Records and Record Management - Written Procedure

Is there a written procedure dealing with records and record management?


Guidance: OHSAS 18001 requires organisations to establish and maintain procedures for dealing with OH&S records and their management and these procedures should be documented. The written procedure dealing with records and their management must meet certain criteria and these are the subject of the questions in this section.

Verification guidance: This question is a document check. Give a "Yes" answer if there is a document which purports to be the organisation's OH&S record and record management procedure. The adequacy of this document is tested by the remainder of the questions in this section.


Question 4.5.3.1.1

Is the identification of required records dealt with adequately in the written procedure on records and record management?


Guidance: Organisationsmust, initially, identify their requirements for OH&S records and write down details of the records which are to be kept. In addition, there must be written arrangements for monitoring the need for additional types of OH&S records.

Verification guidance: Answer "No" to this question if the written procedure on records and record management does not deal with the ongoing identification of needs for OH&S records, OR there is no list of OH&S records given or referenced, OR the statement on the identification of required OH&S records is inadequate in any other way.


Question 4.5.3.1.2

Is the maintenance of records dealt with adequately in the written procedure on records and record management?


Guidance: Records must be maintained in ways which enable the organisation to demonstrate that the OH&S management system is operating effectively. This will include ensuring that the records are stored in ways which avoid damage or loss, which ensure confidentiality when this is necessary, and which enable retention for time periods sufficient to meet legal and other OH&S requirements on document retention. Where records are stored electronically, any legal issues, or technical issues, associated with such storage must be addressed. Records, whether on paper or on electronic media, must be readily retrievable.

Verification guidance: Answer "No" to this question if the written procedure on records and record management does not deal with the maintenance of OH&S records, OR one or more of the issues listed in the guidance to this question is not addressed, OR the statement on the maintenance of required OH&S records is inadequate in any other way.


Section 4.5.3.2 Records and Record Management - Implementation


Question 4.5.3.2.1

How adequate is the organisation's range of OH&S records?


Guidance: Organisationsshould have a range of OH&S records which is appropriate to the organization and its OH&S management, system, and which enables the organisation, to demonstrate conformance to the OHSAS 18001 specification. Typical requirements for OH&S records include the following.

- Accident and incident reports and reports on the follow up to accidents and incidents.

- Reports from audits, management reviews and OH&S meetings.

- Medical test results and health surveillance results.

- OH&S training records.

- Hazard identification, risk assessment and risk control records.

- The results of OH&S inspections.

Award 100% for this question only if the range of OH&S records in use in the organisation is commensurate with the organisation's activities and its OH&S management system. Deduct 10% for each type of record which should be in use and is not. Note. Where one or more types of record is not in use, auditors should reduce the percentage scores for the remainder of the questions in this section. See the relevant verification guidance for details.


Question 4.5.3.2.2

What percentage of OH&S records are legible?


Guidance: Illegible records are of limited value, and may be of no value at all. Where documents are signed, it should be possible to identify the name of the signatory.

Verification guidance: Inspect a representative sample of the organisation's OH&S records. Award percentage score depending on the proportion of records containing one or more illegible items.

Note. Where the organisation does not have a complete range of OH&S records, the starting percentage for this question should be reduced. For example, if 80% was awarded for the question on the organisation's range of records, then the present question should have a maximum score of 80%.