Trainer Slides

ISO 45001:2018

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Welcome Welcome to your CQI and IRCA Certified ISO 45001:2018 Training Program

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ISO 45001:2018 Lead Auditor Training Course

Occupational Health & Safety Management System with respect to Criteria PR 357

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ISO 45001:2018 Lead Auditor Training Course

Chapter 1

“AUDIT -> ICE-BREAKING” INTRODUCTION SESSION

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ISO 45001:2018 Lead Auditor Training Course

Chapter 2 NECESSITY OF OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM ISO 45001:2018 AUDITING

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Before we proceed further, shall we look at some ground reality of today ? Some 2.78 million people die every year from workrelated accidents and diseases. An estimated 270 million people suffer from workrelated diseases and there are an estimated 374 million fatal and non-fatal work-related accidents per year. In economic terms, the ILO has estimated that 4% of the world's annual GDP is lost as a consequence of occupational diseases and accidents.

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THE HEALTH and SAFETY EXECUTIVE STATISTICS 2015/16

http://www.hse.gov.uk

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1.3 million working people suffering from a work-related illness in 2016/2017 Key Facts Of LIF 2,542 mesothelioma deaths due to past asbestos exposures (2015) 137 workers killed at work 609,000 injuries occurred at work according to the Labour Force Survey 70,116 injuries to employees reported under RIDDOR 31.2 million working days lost due to work-related illness and workplace injury £14.9 billion estimated cost of injuries and ill health from current working conditions (2015/16) 13,000 deaths each year estimated to be linked to past exposure at work, primarily to chemicals or dust 18,000 Estimated annual new cases of self-reported work-related breathing or lung problems 200-300 Estimated new cases of occupational asthma seen by chest physicians each year 507,000 workers suffering from work-related musculoskeletal disorders (new or long-standing) in 2016/17 8.9 million working days lost due to work-related musculoskeletal disorders in 2016/17 932 Estimated new cases of occupational contact dermatitis reported by dermatologists in 2016 526,000 workers suffering from work-related stress, depression or anxiety (new or longstanding) in 2016/17 12.5 million working days lost due to work-related stress, depression or anxiety in 2016/17

http://www.hse.gov.uk

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Key Facts Of LIFE

http://www.hse.gov.uk

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Key Facts Of LIFE

http://www.hse.gov.uk

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Key Facts Of LIFE

http://www.hse.gov.uk

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Key Facts Of LIFE

http://www.hse.gov.uk

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HAVE YOU EVER THOUGHT OF THESE ISSUES FOR THE PRESENT & THE FUTURE??? WHAT TYPE OF EARTH ARE WE GOING TO LEAVE FOR OUR NEXT GENERATIONS!!!!!!

What have we done..?

Where are we heading for..?

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ISO 45001 ISO 45001 is the new international standard for occupational health and safety (OH&S) that can be applied to all types of organisation. The adoption of an OH&S management system intends to enable an organization to provide safe and healthy workplaces, prevent work-related injury and ill health, and continually improve its OH&S performance.

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Benefits of Auditing ISO 45001        

Gives a structured approach to managing an EHS Department, Risks & Opportunities and Harmonized International Standard. Allow for Standardization within companies that have multiple sites Increased legal and other requirements Potential cost saving – workers compensation, manufacturing disruptions Systematically plan, control and monitor operation through operational control Top management involvement Increased employee awareness and involvement including workers participation Positive images with interested parties

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Auditing ISO 45001

Better awareness and control of workplace hazards and risks can reduce the number and severity of lost time incidents and injuries, improve employee health and safety and deliver other benefits, including: ▪ Improved compliance with legal and other requirements, ▪ Potential for fewer, less stringent regulatory inspections, ▪ Evidence of due diligence and corporate social responsibility, ▪ A framework for organizational risk management, ▪ Reduced workers’ compensation costs, insurance premiums and other healthcare costs, ▪ Reduced absenteeism, resulting in increased productivity, ▪ Improved employee satisfaction and retention, and ▪ Increased ability to attract the best new talent.

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ISO 45001:2018 Lead Auditor Training Course

Chapter 3 OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM & AUDITING PDCA STRUCTURE

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Who all should be audited for OH&S in an Organization?

What could be the audit reach to OH&S Management System?

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PDCA (Plan-Do-Check-Act) • • • •

• • • • • •

methodology applies to all processes Context of the Organization Leadership & Participation Policy & Objectives Understand needs & expectations of Interested parties Risks & Opportunities Hazard Identification & Risk Assessment Legal and Other Requirements Resources (4M’s) Documented Information Monitoring & Measurement Criteria

• Operational Planning & Control (Requirements for Products & Services, Design & Development, Externally provided processes Products & Services, Production & Service provision, Release, NonDO Conforming Outputs) • Communication, Competence and Awareness • Controlling these processes to get OH&S performance

DO

PLAN

Continual ACT Improvement • Improvements (NonConformity & Corrective Action, Continual Improvement)

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CHECK • Performance Evaluation (Monitoring, Measurement, Analysis & EvaluationEvaluation of Compliance, Internal Audits, Management Review)

PDCA Cycle in ISO 45001:2018 Scope of the OH&S Management System

External and Internal Issues

P Planning

A

Improvement

Leadership and Worker Participation

Support & Operation

Performance evaluation

C Intended Outcomes of the OH&S Management System Lead Auditor Training Course

D

Needs and Expectations of workers and other Interested Parties

Hazards directly generating the potential for physical injury Hazards generated by Chemical materials Hazards and substances Environmental Hazards generated by the environment Hazards Physical Hazards

Electrical Hazards Mechanical Hazards Psychosocial Hazards

Hazards caused by the use of electrical energy Hazards caused by the mechanical movement of machinery Hazards causing a deterioration in individual health or mental well being Lead Auditor Training Course

What is a Risk Assessment? • A careful examination of what, in the workplace, could cause harm so that the organization can determine whether it has taken enough precautions or should do more • The aim is to make sure that no one gets hurt or becomes ill

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Main Focus • Identify OH&S risks • Control OH&S risks : > Classification and Risk > Analysis with > Mitigation plans (eliminate or reduce the incident impact)

• Improve OH&S performance • Focus on employees and any other persons in the workplace

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Hazard Types Physical Hazards

Chemical Hazards

Hazards directly generating the Noise, Cuts, bone breaking, potential for physical injury bleeding, injury due to mechanical movements of machines etc. Hazards generated by chemical Fumes, allergy, Biological and substances imbalance etc.

Electrical Hazards

Hazards caused by the use of Electrical Shocks, burns etc. electrical energy

Psychosocia l Hazards

Hazards causing a deterioration in Mind imbalance, etc. individual health or mental well being

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Auditing OH&S Management Systems Auditor should check for: Customer reassurance – improved satisfaction & loyalty Standardization Consistency Disciplined monitoring of competencies, as per requirements Disciplined monitoring & control Involvement of people to own the processes and aim at organizational goals  Awareness of organizational deficiencies and pro-active methodology systematic controls     

 Most important is to check if: PEOPLE DEPEND ON THE SYSTEM & NOT SYSTEM DEPENDING ON PEOPLE

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AUDITING PROCESS APPROACH PROCESS ( Machinery, Process documents, controls, Resources etc.)

EFFECTIVENESS OF PROCESS = Ability to achieve desired results

PRODUCT Result of a process

OUTPUTS INPUTS Juice

MONITORING AND MEASUREMENT OPPORTUNITIES

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EFFICIENCY OF PROCESS = Results achieved vs. resources used

A quick try… Audit Hazard Identification Can you audit the Risks (Hazards) in the snapshot ?

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Few Hazards

HAZARDS SOUND

BROKEN BOTTLES

LOOSE HOSE JOINTS

ANTICIPATED RISKs

The sounds from operations might cause hearing problems to operators of the shift (Minimum 8 Hours) 1. The broken glass bottles might hurt the operators / during maintenance – injuries 2. The product in the bottles might be toxic – breathing problems / death / etc. The hoses of pressure / succession might become loose, causing injuries to operators

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Exercise 3

Auditing- Risk Assessment

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30 Minutes

ISO 45001:2018 Lead Auditor Training Course

Chapter 4 OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM INTRODUCTION TO AUDIT

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Introduction to SYSTEM AUDIT

SYSTEM

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Types of Audit SUPPLIER Self Audit = FIRST PARTY AUDIT

Audit done by Any other Party Other than Customer / Self

=

Customer Audit = SECOND PARTY AUDIT

ORGANIZATION Self Audit = FIRST PARTY AUDIT

THIRD PARTY AUDIT audits conducted by certification body / regulatory authorities, etc.

Customer Audit = SECOND PARTY AUDIT

CUSTOMER Self Audit = FIRST PARTY AUDIT

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Dimensions of Auditing – I, I, E & E INTENT Does Top Management & the team intend to accept & implement OH&S and how is this intent communicated?

EFFECTIVENESS & EFFICIENCY

IMPLEMENTATION Does the implementation of the OH&S reflect the intent of Top Management & it’s team?

Is the implementation effective & efficient ? (i.e., does it meet the parameters established by the intent are met )

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Principles of AUDITING : Honesty, diligence, and responsibility; legal requirements, Competence, Impartial and sensitive to influences. :

Audit findings, audit conclusions and audit reports reflect truthfully and accurately the audit activities. Significant obstacles encountered during the audit and unresolved diverging opinions between the audit team and the auditee are reported. : Auditors exercise care in accordance with the importance of the task they perform placed in them by audit clients and other interested parties. Having the necessary competence is an important factor.

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Principles of AUDITING Protection of information acquired , should not be used Inappropriately For personal gain or in a manner detrimental to the legitimate interest of the auditee. : Auditors are independent of the activity being audited and are from bias and conflict of interest. Auditors maintain an objective state of mind throughout the audit process to ensure that the audit findings and conclusions will be based only on the audit Evidence. : Audit evidence is verifiable. It is based on samples of the information available, Since an audit is conducted during a finite period of time and with finite resources. The appropriate use of sampling is closely related to the confidence that can be Lead Auditor Training Course

Auditing Process – audit life cycle – P.E.R.C. PLAN

EXECUTE (6.4) Conducting the audit activities

(6.2) Initiating the audit • General

 Establishing initial contact with the auditee  Determining the feasibility of the audit

• General

(6.3) Preparing audit activities

•Performing document review in preparation for the audit •Preparing the audit plan •Assigning work to the audit team •Preparing work documents

•Conducting the opening meeting •Performing document review while conducting the audit •Communicating during the audit •Assigning roles and responsibilities of guides and observers •Collecting and verifying information •Generating audit findings •Preparing audit conclusions •Conducting the closing meeting

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REPORT

(6.5) Preparing & distributing the audit report •Preparing the audit report •Distributing the audit report

CLOSE OUT

(6.6) Completin g the audit (6.7) Completin g audit follow up (if specified in the audit plan)

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Chapter 5

AUDITING OCCUPATIONAL HEALTH & SAFETY MANAGEMENT SYSTEM

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Stage 1 Audit Assessment from 17021-1 CL. 9.3.1.2 The objectives of stage 1 are to:

a) review the client’s management system documented information; b) evaluate the client’s site-specific conditions and to undertake discussions with the client’s personnel to determine the preparedness for stage 2; c) review the client’s status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system; d) obtain necessary information regarding the scope of the management system, including: the client’s site(s); processes and equipment used; levels of controls established (particularly in case of multisite clients); applicable statutory and regulatory requirements; e) review the allocation of resources for stage 2 and agree the details of stage 2 with the client; f) provide a focus for planning stage 2 by gaining a sufficient understanding of the client’s management system and site operations in the context of the management system standard or other normative document; g) evaluate if the internal audits and management reviews are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for stage 2. Lead Auditor Training Course

1. Auditing Scope of OH&S The intended outcomes of an OH&S Management System include: continual improvement of OH&S performance; fulfilment of legal requirements and other requirements; achievement of OH&S objectives.

(Scope in clause 1 is scope of Standard ISO 45001:2018. Scope in Cl. 4.3 is the scope of the organisation for OH&S)

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AUDITING SCOPE OF OH&S MS a) Assess that an OH&S management system is established to eliminate or minimize risks to personnel and other interested parties who could be exposed to hazards b) Assess that an OH&S management system is to implement, maintain and continually improve an OH&S management system c)

Assess that organization assure itself to conformity to OH&S Policy and objectives

d)

Assess that organization demonstrate conformity with this OH&S Standard requirements

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4. AUDITING CONTEXT OF THE ORGANIZATION

4.1 Understanding the Organization and its context 4.2 Understanding the needs and expectations of workers and other Interested Parties 4.3 Determining the Scope of the OH&S Management System

4.4 OH&S Management System

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Exercise 4

Auditing Management Issues

40 Minutes

You need to do Adequacy Audit on SCOPE & Context of the Industrial Gas Company (IGC) #

Issue

1

2

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Manual reference

Standard reference

5. AUDITING LEADERSHIP AND WORKER PARTICIPATION 5.1 Leadership and Commitment 5.2 OH&S Policy 5.3 Organizational Roles, Responsibilities and Authorities 5.4 Consultation and participation of workers

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AUDITING OH&S Policy a) Assess the purpose, size, context, activities and occupational health and safety risks b) Assess an overall framework for setting and reviewing OH&S objectives related to performance improvement c) Assess policy is communicated to, and understood by persons working for and on behalf of the organization d) Assess commitment to consultation and participation of worker’s representatives

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a) Assess that it is periodically reviewed for continuing suitability

Can you audit this…?

b) Assess that the Top management contains clear commitment to continual improvement, compliance with applicable Legal and other requirements, prevention of ill health and injury

c) Assess that policy is a documented information and made Toxic Gas Pipeline Leak Repair being available to the public and other monitored by Sr. Vice President interested parties

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Exercise 5

Auditing Management Issues

40 Minutes

You need to do Adequacy Audit on LEADERSHIP and WORKER PARTICIPATION #

Issue

1

2

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Manual reference

Standard reference

6. AUDITING PLANNING 6.1 Actions to address risks and opportunities 6.1.1 General (Risks & Opportunities) 6.1.2 Hazard identification and assessment of risks and opportunities 6.1.2.1 Hazard Identification 6.1.2.2 Assessment of OH&S risks other risks to the OH&S management system 6.1.2.3 Assessment of OH&S opportunities and other opportunities to the OH&S management system 6.1.3 Determination of legal requirements and other requirements 6.1.4 Planning action

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Auditing Hazard Identification, Assessment & Controls  Assessment of Identification of all Hazards  Assessment Hazards

of Classification of identified

 Assessment of the Risk Assessment of the Identified Hazards

 Assessment of Identification of the controls/actions needed  Assessment of Prioritizing the controls/actions needed

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Audit Classification of Hazards Occurrence Severity

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Simple Risk Estimator

Audit Classification of Hazards Simple Risk Estimator Severity of harm Severity

Occurrence Likelihood of harm

Slight harm

Moderate harm

Extreme harm

Very unlikely

Very low risk Very low risk

High risk

Unlikely

Very low risk Medium risk

Very high risk

Likely

Low risk

High risk

Very high risk

Very likely

Low risk

Very high risk

Very high risk

From BS 8800:2004; Table E3

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Audit Calculation of Risk Simple Risk Estimator

Severity

Less significant

Moderate

Highly unlikely

1

2

3

Unlikely

2

4

6

Likely

3

6

9

Occurrence

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Significant

Audit Classification of Hazards OCCURENCE SCALE

Simple Risk Estimator

SEVERITY SCALE

FACTOR

SCALE

FACTOR

SCALE

Daily

5

Minor Illness (1 Day)

1

Weekly

4

Illness for 2-3 Days

2

Monthly

3

Critical Illnessneeding Hospitalization

3

Half-Yearly

2

Physical Disability

4

Yearly

1

Injury Leading to Death

5

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Audit Risk Assessment

Class Quiz

HAZARDS SOUND

OCCUREN CE SCALE

SEVERITY SCALE

FACTO R

SC ALE

FACTOR

SCAL E

Daily

5

Minor Illness (1 Day)

1

Weekl y

4

Illness for 2-3 Days

2

Monthl y

3

Critical Illnessneeding Hospitalization

3

HalfYearly

2

Physical Disability

4

Yearly

1

Injury Leading to Death

5

BROKEN BOTTLES

LOOSE HOSE JOINTS

ANTICIPATED RISKs

The sounds from operations might cause hearing problems to operators of the shift (Minimum 8 Hours) 1. The broken glass bottles might hurt the operators / during maintenance – injuries 2. The product in the bottles might be toxic – breathing problems / death / etc. The hoses of pressure / succession might become loose, causing injuries to operators

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Risk Assessment : RISK RATING = OCCURANCE X SEVERITY HAZARD S

ANTICIPATED RISKs

Occurrence X Severity

The sounds from SOUND SOUND operations might cause 5 (Physical (Physical hearing problems to Hazard) Hazard) operators of the shift (Minimum 8 Hours) 4 BROKEN 1. The broken glass BOTTLES BROKE bottles might hurt the (1.Physic operators / during al N BOTTLES maintenance – Hazard) 5 (1.Physic injuries al (2.Chemi 2. The product in the Hazard) bottles might be toxic cal – breathing problems Hazard) (2.Chem / death / etc. ical LOOSE 2 HOSE ) Hazard JOINTS LOOSE The hoses of pressure / (1.Physic HOSE succession might al JOINTS become loose, causing Hazard) (1.Physic injuries to operators Lead Auditor Training Course al

Class Quiz =

Risk Rating

4

20

3

12

5

25

4

8

Auditing Legal Requirements  Assessing the identified legal and other applicable OHSAS requirements

 Assess the applicable legal & other requirements are considered for assessment, implementation & maintain controls  Assess the updation of information pertaining to legal and other requirements as and when these are updated by regulators/ interested parties  Assess the communication of relevant information on legal & other requirements within the organization and relevant interested parties Statutory

LEGAL

Regulatory

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OH&S Related LAWS IN INDIA Structure of OH&S Related Law in INDIA

OH&S Related LAWS IN Qatar Structure of OH&S Related Law in Qatar

Statue for safety at workplace s/ substance s/ Regulations activities for Mining / Factories / Ports / Construction s Factories Act 1948 / Mines Act 1952 / Dock Workers (Safety, Health & Welfare) Act 1986 / Plantation Labor Act 1951 / Explosives Act 1884 / Petroleum Act 1934 / Insecticide Act 1968 / Indian Electricity Act 1910 / Building & other Construction Worker Act (BOCW) 1996etc.

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Law No. 30 of 2002, Environme ntal Protection Internationa l Convention for Safety of Life at Sea (1960) on Convention Civil Liability for Oil Pollution Damage (Oman and Qatar 1969) Law No. 11 of 2000, Supreme Council for the Environment and Natural Reserves (SCENR) Radiation Protection Programme (Industrial Radiography) (Qatar Law: Industrial Radiation (MOE))

HSE LAWS IN UAE

HSE LAWS IN UK

Structure of HSE Law in UAE

Structure of HSE Law in UK

Federal Law No :8 & 9/1980

MH

Ministerial Order No: 32 of 1982

PPE

Local Order No: 61/1991

RIDDOR Act

Administrative Orders 211/91, 73/93 Trade Waste & 20/92 cover environment & hygiene

PUWER, COSHH

Law of Tort

HASAWA Act 1974

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HSE LAWS IN South Africa Structure of HSE Law in South Africa

HSE LAWS IN Saudi Arabia Structure of HSE Law in Saudi Arabia

Labour Relation Act, 1956

Social Insuranc e Law

Medical, Dental and supplementary Health Service Professions Act, 1974

Labour Law

Employment Act, 1983

Occupational Hazards Branch Benefits Regulations

Machinery and Occupational Safety Act, 1983

Public Environmental Law

Aviation Act, 1962

Regulations and Procedures for Hazardous Waste Control

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Auditing Objectives & Programs DO’s 



       

DON’Ts

Assess the consideration of safety issues  Assess if ignorance of safety issues when purchasing equipment or until someone gets hurt chemicals  Assess if allowing faulty equipment Assess the planning to do jobs safely and are to be used think about the safety of everyday work  Assess if ignorance of breaches of processes safety procedures Assess the participation / discussion on  Assess if ignorance of hazards safety matters with / within employees Assess the training of employees in  Assess if removal of guards from implementing health & safety practices. machines Assess the workplace inspections  Assess if operating faulty equipment regularly  Assess if working at heights without Assess the action on reporting incidents, fall protection e.g. harness/safety injury & further actions. belt etc Assess the implementation of safety  Assess if forgetting to consider the procedures safety of others Assess the use of protective equipment  Assess if taking short cuts to get the provided – ear plug, gloves etc Assess the reporting of injuries and ill job done quickly heath  Assess if the fire exits are blocked Assess the cleanliness of work area as safe Lead Auditor Training Course

Auditing Objectives & Programs  Assessment of achievement of Established, Documented Objectives

&

Implemented

measurable

 Assessment of Commitment to eliminate or reduce hazards & risks  Assessment requirements

of

Compliance

to

legal

 Assessment of Considered Technology, Finance & other business requirements  Assessment of Interested Parties

consideration of views of

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INPUT

OUTPUT

6. AUDITING PLANNING 6.2 OH&S objectives and planning to achieve them 6.2.1 OH&S objectives 6.2.2 Planning actions to achieve OH&S objectives

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Objectives

T2

T1

b1

T1

b2

b1 t1

S.M.A.R.T =

T = TARGET t = TIME FRAME b = BASELINE

t1

t2

Specific / Measurable / Agreed / Realistic / Time-bound is a useful ‘system’ to use when setting and testing objectives

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Objectives S.M.A.R.T = Specific / Measurable / Agreeable / Realistic / Time-bound T2

PDCA

SDCA

b2 S = STABILIZE D = DO C = CHECK A = ACT

Example : Number of spillages in acid plant to reduce to 3 per month from 5 per month by 31.12.2016 Target

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Present base line

Time

DIPLOYMENT OF Environmental OBJECTIVES

MANAGEMENT REPRESENTATIVE

A

P

P

D

P D

A

C

C

D

MANAGEMENT REPRESENTATIVE

P

A

P

A

D

C

D

C

A

D

P

TOP MANAGEMENT

C

P

A

C

D

A C

P A

P A

P A

D C

D C

D C

PROCESS HEADS / INHARGES

PROCESS HEADS / INHARGES

10.3 Continual Improvement OPERATIONAL AREAS

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OPERATIONAL AREAS

FEED BACK FOR MANAGEMENT PDCA

TOP MANAGEMENT

Exercise 6

Auditing Planning

30 Minutes

You need to do Adequacy Audit on PLANNING and audit the same for adequacy. #

Issue

1

2

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Manual reference

Standard reference

7. AUDITING SUPPORT 7.1 Resources 7.2 Competence 7.3 Awareness 7.4 Communication 7.4.1 General 7.4.2 Internal Communication 7.4.3 External Communication 7.5 Documented Information 7.5.1 General 7.5.2 Creating and updating 7.5.3 Control of documented information

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Exercise 7

Auditing Support

40 Minutes

You need to do Adequacy Audit on SUPPORT #

Issue

1

2

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Manual reference

Standard reference

8. AUDITING OPERATION 8.1 Operational Planning and Control 8.1.1 General 8.1.2 Eliminating hazards and reducing OH&S risks 8.1.3 Management of Change 8.1.4 Procurement 8.1.4.1 General 8.1.4.2 Contractors 8.1.4.3 Outsourcing 8.2 Emergency preparedness and response Lead Auditor Training Course

Auditing Operation Auditing Operational Planning and Controls Audit Criteria for the processes, controls implemented- are the effective as planned Audit that are hazards eliminated or risks reduced? Check hierarchy of control of work effectively ? Less Hazardous processes, operations, materials, equipment Check engineering controls, PPEs Check Management of change- New products, services, processes or changes to existing once. Check work place locations, surroundings, work conditions, work culture, trends in technology, trends in knowledge development Check control of procurements w.r.t. above principles Check contractors and outsourcing w.r.t. above principles Lead Auditor Training Course

Auditing Operation Auditing Emergency Preparedness  Assess identification of potential OH&S emergencies  Assess the planned responses in advance for each such emergency situation

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Auditing Outsourced Processes •Check controls in outsourced processes, arrangements with parties including legal/ other requirements •Check type and degree of control applied (Details in Cl. 8.1.4.3)

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Exercise 8

Auditing OPERATION

45 Minutes

You need to do Adequacy Audit on OPERATION #

Issue

1

2

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Manual reference

Standard reference

9. AUDITING PERFORMANCE EVALUATION 9.1 Monitoring, Measurement, Analysis and Performance Evaluation 9.1.1 General 9.1.2 Evaluation of compliance 9.2 Internal Audit 9.2.1 General 9.2.2 Internal audit programme 9.3 Management Review Lead Auditor Training Course

Auditing Checking Auditing Assessment Performance Evaluation

of

Assessment of Performance Measurement & Monitoring

Assessment of Evaluation of Compliance Assessment of Incident Investigation Assessment of NC, CA & PA Assessment of Control of Records Assessment of Internal Audits and Management Review

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Auditing Management Review (9.3)   



Planned Intervals Continuing Suitability, Adequacy & effectiveness Review Inputs, o Previous Management reviews o External and internal issues relevant to OH&S management system o Needs and expectations of Interested parties o Legal requirements and other requirements o Risks and opportunities o Extent to which OH&S Policy and OH&S objectives achieved OH&S performance, includes o Incidents, nonconformities, corrective actions and continual improvement o Monitoring and measurement results o Results of evaluation of compliance with legal requirements and other requirements o Audit results o Consultation and participation of workers o Risks and Opportunities Lead Auditor Training Course

Auditing Management Review (9.3) Maintaining effective OH&S management system Communication with Interested Parties Opportunities for continual improvement Review output o Continuing suitability, adequacy and effectiveness of OH&S MS in achieving intended outcomes o Continual improvement Opportunities o Any need for changes to the OH&S management system o resources needed o Opportunities to improve integration of OH&S management system with business processes o Implications for strategic direction of organization o o o 

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Exercise 9

AUDITING PERFORMANCE EVALUATION

You need to do Adequacy Audit on PERFORMANCE EVALUATION #

Issue

1

2

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Manual reference

45 Minutes

Standard reference

10. AUDITING IMPROVEMENT 10.1 General 10.2 Incident, Corrective Action

Non-Conformity

10.3 Continual Improvement

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and

Improvements 100

100

Organizational Results

Organizational Objectives

0

0 Improvement in the OH&S

% 100

75

50

25

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0

Exercise 10

Auditing IMPROVEMENTS

You need to do Adequacy Audit #

Issue

1

2

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30 Minutes- Group Exercise 15 Minutes- Tutor on IMPROVEMENTS Feedback Manual reference

Standard reference

ISO 45001:2018 Lead Auditor Training Course Chapter 6

SKILLS

•Planning the Audit •Conducting the Audit •Generating Audit Findings •Reviewing Corrective Actions & Recommendations Lead Auditor Training Course

And Audit Programme

What is the difference b/w Audit Plan & Audit Program?

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Audit Clients, Guides & Observers 1. audit client organization or person requesting an audit 2. auditee organization being audited 3. guide person appointed by the auditee to assist the audit team 4. observer person who accompanies the audit team but does not audit An observer is not a part of the audit team and does not influence or interfere with the conduct of the audit. An observer can be from the auditee, a regulator or other interested party who witnesses the audit.

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Principles for inspiring confidence as in ISO 17021-1:2015

Impartiality; Competence; Responsibility; Openness; Confidentiality; Responsiveness to complaints; Risk-based approach.

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AUDITOR ATTRIBUTES (Personal Behavior) Collaborati ve

Ethical

Culturally Sensitive

Open Minded

Morally Courageo us

Diplomati c Observa nt

Auditor Attribute

Profession al

(Personal Behavior)

Self-reliant

Perceptiv e

Decisive Versatil e

Tenacio us

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Audit Team – Responsibilities & Authorities Audit Team Leader Responsibilities

Auditor Responsibilities

All the responsibilities of an Auditor adhered are as mentioned:-

Conduct the audit of processes allotted in the Audit Plan, keeping the scope of Audit in mind…as per defined procedures of Audit.

To control the complete Audit as per Audit Plan & to ensure the Time Management & Discipline is maintained during the entire life cycle of Audit.

Control the Audit process in the area allotted and maintain Confidentiality, Integrity & Availability of the information of evidences.

Ensure all the processes of the Audit Scope is covered and decide for any changes based on the audit outcome, if need be, without affecting the scope.

Practicing Good Qualities of the Auditor, keeping in mind the bad qualities (in mind, - not practice), during Audit.

Guide the audit team in building team work and help in bringing maturity in each Auditor – developing good audit practices in reference to live Audit surroundings.

During the audit process, noting down the positive as well as non-conformities (with objective evidences) in the prescribed audit documents of the Audit procedure.

Review the Audit findings of the Auditors, before finalizing the same & that there are sufficient evidences to prove the judgment.

Practicing Good Communication within the Audit Team - exchanging the information and demonstrate good team work.

Final authority in giving judgment on the outcome of the audit.

Reconfirming the audit findings with the auditee or the process owner & report to Audit Team leader, with objective evidences

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AUDIT PROCESS – only FACTS Perception OR Facts … ? JUDGEMENT IS BASED ON PERCEPTION OF MIND

Actually they all are running to save a person …….What you thought ? And Now Now– what did you arechange they your views ? doing ? ? Whatdoing is she

In today’s world, what you see, raises many such perceived situations & output is not up to the mark & delayed – As auditor COMPLETE FACTS , you have to look for ?

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Exercise 11

Auditing – FACTS OR INFERENCES

30 Minutes

You need to identity FACTS & INFERENCES from cases #

Statement

Judgment (Select by “X”)

1

The Safe guard at the pool seen that the boy slipped into the pool and jumped into the water to save the boy.

2

The boy suddenly “help” and fainted after coming out of the pool.

3

The boy himself swim to safety as he knew swimming.

4

Every one pulled out the boy out of swimming pool when he fainted

5

The boy was taken to the duty doctor for checkup, after he came to senses, as everyone insisted for the same.

___ Fact ___ Inference

___ Fact ___ Inference ___ Fact ___ Inference

___ Fact ___ Inference

___ Fact ___ Inference

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Reasons

Audit Activities Difference between Stage 1 & Stage 2 Audit as per ISO 17021-1STAGE 1 STAGE 2 Adequacy Audit

Conformance & Effectiveness

Where ?

Where =?

Desktop Review (on site / off site)

At Process Sites

HOW =?

HOW ?

The System Documents are compared with requirements of applicable Standards

The Implemented System Documents are compared with requirements of Standard & Documents

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Audit Activities Audit objectives includes:  Determination of the extent of conformity of OH&S with audit criteria  Evaluation of capability of OH&S to ensure compliance with statutory, regulatory, and contractual requirements of customers  Evaluation of effectiveness of the OH&S to meet its objectives  Identification of areas of improvement Audit scope describes extent and boundaries of audit:  Physical audit locations of Organization  Activities and processes  Time required for coverage of audit Audit criteria describes requirements of the Management System for audit:  ISO 45001:2018 standard  Interested Party requirements  Legal requirements pertaining to product

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Criteria

Audit Schedules  An audit schedule (or detailed audit plan) is an output from the high level audit plan  Audit schedules give details about the audit, including:  Which processes audited by which auditor at what time  Which clauses audited by auditor in which process  What are the logistic issues in the audit program  What are the classifications of reporting structure (Optional)

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Auditor Competence Requirements as per ISO 17021-1:2015

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Audit Activities – Audit Planning

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Example of Audit Plan

Audit Life Cycle

Exercise 12

90 Minutes

You need to prepare the AUDIT PLAN of Industrial Gases Co. Assessment Plan

Date:

Organization: M/s Industrial Gas Company Scope: Objective: Criteria

ISO 45001:2018

System Documentation:

OH&S Manual

Team Leader:

Audit Start Date

Opening Meeting

Team Member:

Audit End Date

Closing Meeting

Audit Schedule

Date

Client Function

Auditor

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Time

Audit Activities – Audit Checklist

1. Helps auditor in logical sequence of the process 2. Ensures that auditor does not allow any point to be missed out 3. Gives guidance to auditor to focus on the scope of the audit 4. Checklists may lead to rigid adherence to pre-planned questions

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Audit Activities – audit checklist Drawback of Audit Checklists

Benefits of Audit Checklists

• Keep audit scope and objectives clear • Provide evidence of audit planning • Maintain audit pace and continuity • Reduce auditor bias • Reduce workload during audit • Provide space for auditor notes • Identify expected evidence

• Checklists tend to lose value if they are: – Tick lists – Questionnaires • Checklists may lead to rigid adherence to pre-planned questions Prepare them as memory aids

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Audit Checklist

Exercise 13

Group Exercise – 105 Minutes Tutor Review- 15 Minutes

You need to prepare the AUDIT CHECKLIST of Industrial Gases Co. Process Area (Department) : Clause #

CHECK POINT (For Verification)

Objective Evidences (PIR)

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Finding (Compliance / NC / Observation)

Conduct On-site Audit Activities 1. 2. 3. 4. 5. 6. 7. 8.

Conduct Opening Meeting Allocating the auditors as per scope & competency Communicate during the audit Explain roles and responsibilities of participants Collect and verify information Generate audit findings Prepare audit conclusions Conduct Closing Meeting

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Opening Meeting a) introduction of the participants, including an outline of their roles; b) confirmation of the scope of certification; c) confirmation of the audit plan (including type and scope of audit, objectives and criteria), any changes, and other relevant arrangements with the client, such as the date and time for the closing meeting, interim meetings between the audit team and the client’s management; d) confirmation of formal communication channels between the audit team and the client; e) confirmation that the resources and facilities needed by the audit team are available; f) confirmation of matters relating to confidentiality; g) confirmation of relevant work safety, emergency and security procedures for the audit team; h) confirmation of the availability, roles and identities of any guides and observers; Lead Auditor Training Course

Opening Meeting i) the method of reporting, including any grading of audit findings; j) information about the conditions under which the audit may be prematurely terminated; k) confirmation that the audit team leader and audit team representing the certification body is responsible for the audit and shall be in control of executing the audit plan including audit activities and audit trails; l) confirmation of the status of findings of the previous review or audit, if applicable; m) methods and procedures to be used to conduct the audit based on sampling; n) confirmation of the language to be used during the audit; o) confirmation that, during the audit, the client will be kept informed of audit progress and any concerns; p) opportunity for the client to ask questions. Note: For actual conducting Opening meeting, prepare a script covering all the above points. Lead Auditor Training Course

Mock Opening Meeting

Tutor shall allocate formation of the Audit Team & Auditee Team to conduct a Mock Audit in the class. The Audit Team shall Do the Opening Meeting for Industrial Gases Company. The other groups will observe and give their observations at the end of the opening meeting. This should cover all groups preferably.

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Auditing Process INTERVIEW  Personnel responsible to manage, perform, and verify activities  Listen carefully to responses      

Activities Plans Controls Strategies Exercises Tests

     

Identity, Status, Condition, Activities Processes, Equipment, Environment, People

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Auditing Process- Sampling – Sample Sources  Processes – There may be same processes running simultaneously  People

- Selecting people for interviewing in any process  Documents & Records - Verification of evidences (effectiveness and compliance) of outputs of process Examples: Processes: 

Filling Machine 2



Maintenance Process



Supervisor & Operator



Aspect Impact



Compliance Obligations



Mock Drill Records

People Documents

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Auditing processes

Corrective Actions Processes People

Documents

FACTS (Evidences)

•Cause 1 •Cause 2 •Cause 3 •Cause 4

Identification OF Causes

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•The corrective actions be prioritized based on the causes

Auditing Process – Interview (questioning) The sequence is generic.

Open Questions

Use the questioning techniques based on situations and criticality of the Processes and availability of time. ANSWERS

Probing Questions

Closed Questions ANSWERS

FACTS

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Auditing Process – Interview (questioning) TYPE OF QUESTIONS

OPEN

PROBING

CLOSED

EXPLANATION

EXAMPLES

RISK / POINTS

Lead to wide range of answers – a chance for auditor to proceed further

Could you please explain the integrated system maintained here..?

May sidetrack the objectives and focus

Based on the answers from open questions, probing or leading Qs. On those points of answer which are critical to the process

Do you discuss the OH&S & its other issues in the Management Review Meetings, in detail..?

Auditee might go defensive mood

Direct Qs. To get the answer– ‘YES’ or ‘NO’ – Revealing the final EVIDENCE or FACT

What authorities do you have as Head of environmental…?

Provide Very Limited Information

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CAUTION

Auditing Process – Interview (questioning) TYPE OF QUESTIONS NOT TO BE ASKED INTERROGATIVE

SARCASTIC

CONFRONTING

SHOOTING

EXPLANATION Auditing is interrogating Police

Avoid these questions

EXAMPLES not like

Auditors are invited at the place of audit – has no right to criticize

Your Internal Auditors are not confident of their Jobs. Mr. don’t you ever feel so, from your records of Internal Audit.? Is this a Calibration Record ? Being so educated & experienced, you are doing calibration like this..? It’s Surprising

Auditors has no right to confront with auditee – as auditors are visitors only with a positive & open mind

You said you would cooperate, but you are taking so much time in showing records…be fast.

Auditors shoot many Qs. at same time – not waiting for auditee to answer

Are you responsible for this process..?2. Do you authorize the reports..? 3.Did you attend previous MRM. 4. Are you one of the Internal Auditors..?

RISK / CAUTION POINTS

This

shall

effect the relationship

– auditee

shall

go

into

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defensive mood

Auditing Process - Reporting

NONCONFORMITY

“non-fulfillment of a requirement” requirements of ….. Standard / of Documented System (including legal requirements)

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CONSITITUENTS OF A NONCONFORMITY

EVIDENCE W H E R E ….?

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CLASSIFICATION OF NONCONFORMITIES

Observations & Opportunities for Improvements

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CLASSIFICATION OF NON-CONFORMITY MINOR NC (NON-CONFORMITY) “nonconformity that does not affect the capability of the management system to achieve the intended results” ( Source 3.13 of ISO 17021-1 :2015)

MAJOR NC (NON-CONFORMITY) Nonconformity that affects the capability of the management system to achieve the intended results ( Source 3.12 of ISO 17021-1 :2015) — if there is a significant doubt that effective process control is in place, or that products or services will meet specified requirements; — a number of minor nonconformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major nonconformity.

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OBSERVATION Observations should be used when identifying potential areas of non-conformance.

OPPORTUNITIES FOR IMPROVEMENT An OFI may be where strengths of the system might be further improved. (However a compliance is still being achieved). (This is where a value addition comes in. Be careful it does not lead to consultancy).

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Exercise 14

Recording Non-conformities

75 Minutes

You need to prepare the NON-CONFORMITIES of Industrial Gas Co. & 4 Case Scenarios Process Area (Department) : Clause #

CHECK POINT (For Verification)

Objective Evidences (PIR)

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Finding (Compliance / NC / Observation)

Mock Assessment

Exercise 15

Group Exercise – 450 Min. for Role Play 30 Minutes for presenting audit findings 20 Minutes for Tutor Review

Role Play – Interview Process ISO 45001:2018 CLAUSE No: Company documents

Area unit involved MAJOR / MINOR [Strike out as required]

Failure (Nonconformity) (WHAT):

Evidence (reference of Process/Personnel/Documents) (WHERE):

Requirement (WHY):

Auditor

Auditee

Date

Teams to be made – Each Team will audit for the specific function allotted by tutor. Tutor will act as Auditee. Do the role play involving each team (3 Departments) so that all get a chance for the LIVE AUDIT.

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Auditing Process – Review & De-briefing with client

The review meeting, normally 15 to 20 minutes in duration, is carried out at the end of each auditing day with the management representative and guides to:     

Review any nonconformities Resolve any problems Report audit progress Clarify any misunderstandings Obtain signatures to any nonconformities

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Auditing Process – PREPARING AUDIT CONCLUSIONS Audit team in groups should conduct audit team review to reach an appropriate audit conclusion prior to the closing meeting: • • •

Scheduled within the audit plan To prepare plan for closing meeting Purpose is to:  Review audit findings and other information  Agree on audit conclusions and prepare an audit recommendations; 1. No non-conformity - straight recommendation for certification. 2. Some minor non-conformities – recommendation for certification subject to timely corrective action plan 3. Many minor no n-conformities or at least one major non-conformity –recommendation for limited re-audit 4. Many major non-conformities or major breakdown in the system - recommendation for full re-audit

•

To prepare the audit report.

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Auditing Process – AUDIT CONCLUSIONS

Audit team should confer prior to the closing meeting: • Scheduling of the audit plan • To plan for closing meeting • Purpose is to:  Review audit findings and other information  Agree on audit conclusions

• To prepare the audit report and recommendations • If included in audit plan, to discuss audit follow-up

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Closing Meeting Start the closing meeting by thanking the client for their cooperation even if they have not cooperated and re-confirm audit standard, scope, criteria and locations. a) advising the client that the audit evidence obtained was based on a sample of the information; thereby introducing an element of uncertainty; b) the method and timeframe of reporting, including any grading of audit findings; c) the auditing authority/ certification body’s process for handling non-conformities including any consequences relating to the status of the client’s certification; d) the timeframe for the client to present a plan for correction and corrective action for any nonconformities identified during the audit; e) the auditing authority/ certification body’s post audit activities; f) information about the complaint and appeal handling processes. Note: For actual conducting Closing meeting, prepare a script covering all the above points. Lead Auditor Training Course

Mock Closing Meeting

Tutor shall allocate formation of the Audit Team from the mock Audit conducted in the class for doing the CLOSING MEETING for Industrial Gas Company.

The other groups will observe and give their observations at the end of the closing meeting. This should cover all groups preferably.

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Auditing Process – Report Preparation

AUDIT REPORT The report shall contain the important issues of the complete audit : a) identification of the certification body/ auditing authority; b) the name and address of the client and the client’s representative; c) the type of audit (e.g. initial, surveillance or recertification audit or special audits); d) the audit criteria; e) the audit objectives; f) the audit scope, particularly identification of the organizational or functional units or processes audited and the time of the audit; g) any deviation from the audit plan and their reasons; h) any significant issues impacting on the audit programme; i) identification of the audit team leader, audit team members and any accompanying persons; j) the dates and places where the audit activities (on site or offsite, permanent or temporary sites) were conducted; k) audit findings, reference to evidence and conclusions, consistent with the requirements of the type of audit; l) significant changes, if any, that affect the management system of the client since the last audit took place; m) any unresolved issues, if identified; Lead Auditor Training Course

Auditing Process – report preparation

AUDIT REPORT The report shall contain the important issues of the complete audit :

n) where applicable, whether the audit is combined, joint or integrated; o) a disclaimer statement indicating that auditing is based on a sampling process of the available information; p) recommendation from the audit team q) the audited client is effectively controlling the use of the certification documents and marks, if applicable; r) verification of effectiveness of taken corrective actions regarding previously identified nonconformities, if applicable. The report shall also contain: a) a statement on the conformity and the effectiveness of the management system together with a summary of the evidence relating to: — the capability of the management system to meet applicable requirements and expected outcomes; — the internal audit and management review process; b) a conclusion on the appropriateness of the certification scope; c) confirmation that the audit objectives have been fulfilled.

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Exercise 16

Audit Report- Stage 1 Document Review Section A

90 Minutes

Conclusion

Audit Report Preparation Minor NCs (Total) : ________________ Section B

Exclusions & Justifications

Section C

Management Responsibility

Section D

Resources

Section E

Product Realization

Prepare the Audit Report based on: 1. Audit Checklist .. Interview Process Output, in previous exercises 2. Non-conformities Raised in previous exercises

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Major NCs (Total) : _____________

Exercise 17

Audit Report- Stage 2 On Site Mock Assessment Section A

Audit Report Preparation

Conclusion

Minor NCs (Total) : ________________ Section B

Exclusions & Justifications

Section C

Management Responsibility

Section D

Resources

Section E

Product Realization

Prepare the Audit Report based on: 1. Audit Checklist .. Interview Process Output, in previous exercises 2. Non-conformities Raised in previous exercises

90 Minutes

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Major NCs (Total) : _____________

Review of Corrective Actions (If Any) Corrective Action includes:

 Ensure Five Disciplines (5Ds) are taken:  1. Understanding the Non-conformities and effect on the OH&S;  2. Identifying the Root Causes of Non-conformities (one or more);  3. For each root cause the evidence of corrective action is taken;  4. In relevance to the proposed action at the time of acknowledging the NC., the corrective actions may be matching (they need not be same);  5. THE CORRECTIVE ACTIONS COVER NOT ONLY THE SAMPLES BUT Audit Records Maintenance covers: ALSO THE OTHER SIMILAR ISSUES OF THE OH&S;  Audit Reports;  Non-conformities and their closures;  Any other relevant documentation (may include complaints etc.).

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Audit Life Cycle

Exercise 18

50 Minutes

Detail of Investigation :Causes Please “√” OR “X”as appropriate ___Policy Issues ___Process Not Defined ___Process Not correctly implemented ____Data Analysis __Competency issues ___ Contractual Issue with client(s) ____Resources Issue ____Others ____________________________________________________ Note : Details of the causes can mention or attach separate with CAR Number, Date & evidence

Audit Follow up NC Closures

If time permits, do the role play involving each team so that all get a chance for the Live exercise

PROPOSED ACTION: AUDITEE

Team to be made – One Team Audit Team and the other Auditee Organization

Date: ________________________Name: ________________Sign.:______________________ Details of Corrective Action (By AUDITEE):

Date: _________________Name: _____________________Sign.:______________________

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Any Questions On OH&S Auditing…?

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ISO 45001:2018 Lead Auditor Training Course Chapter 7

CQI-IRCA REGISTRATIONS

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Infrastructure WTO-TBT-Accrediting authority (IAF NABCB, JASANZ, DAC)

Certification bodies (BSCIC)

CERTIFICATION OF THIRD PARTY AUDITORS

CQI- IRCA

APPROVED TRAINING PROVIDERS

Training organizations CERTIFICATION FIRST PARTY (INTERNAL AUDITORS)

Registered organizations

END USER

Prospective registered organizations

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Independent auditors

Auditor/ Lead Auditor Certification The Criteria for Certification as an OH&S Auditor under IRCA 1000 requires: • • • • • •

Auditor training course Education and qualifications Work experience (general and specific) Auditing experience Continuing professional development (CPD) Code of conduct declaration (Appendix III of IRCA 1000)

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Auditor Certification New applications: INTERNATIONAL REGISTER OF CERTIFICATED AUDITORS 2nd Floor North Chancery Exchange 10th Furnival Street London, EC4A IAB Tel +44 (0)207 245 8603 Email [email protected] Website https://www.quality.org/

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Any Questions ….? Thank You….!

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Lead Auditor Training Course