powerpoint presentation...•improving morale, as well as reducing absenteeism and employee turnover...

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© 2018 3FOLD Education Centre . All rights reserved . [email protected] . www.3foldtraining.com . 800 3FOLD

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HOW TO CONDUCT

OHS&MS AUDITS EFFECTIVELYas per ISO 45001:2018 & ISO 19011:2018

PMI, PMP, PMBOK and the PMI Registered Education Provider logo are registered marks of the Project Management Institute, Inc.


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At the end of the session, please fill the Feedback Form! (Yellow sheet in your notebook)

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8 INTRODUCTION

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Objectives• Introduction to Audit of ISO 45001:2018

• Purpose & Benefits

• Key Terms & Definitions related to audit

• Overview of ISO 45001:2018


• Types & Stages of Audit

• Documented Information

Audit Programme

Audit Plan

Audit Checklist

NCR

Audit Report

• Auditor Competence Development

• Golden Rules of Audit

• Critical Success Factors

• Clarifications / Questions


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Keeping workers healthy and safe at work

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OH&S Management:

OH&S management controls the conditions and factors that affect, or could affect, the health and safety of workers (including temporary workers and contractor personnel), visitors, or any other person in the workplace, to avoid their ill health and/or injury

ISO 45001:2018:

• ISO 45001 defines the Requirements for OH&S management system including the Guidance on its use

• ISO 45001 management system provides a framework to establish OH&S management policies, objectives, processes and governance, and facilitates an organization's achievement of its strategic goals

• ISO 45001 utilizes a structured, effective, and efficient process that drives continual improvement for an organization's OH&S performance


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Objectives & Benefits of ISO 45001:2018

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Objectives & Benefits

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• Developing and implementing an OH&S Policy and OH&S Objectives

• Establishing systematic processes which consider its “ context ” and which take into account its risks and opportunities, and its legal requirements and other requirements

• Determining the hazards and OH&S risks associated with its activities; seeking to eliminate them, or putting in controls to minimize their potential effects

• Establishing operational controls to manage its OH&S risks and its legal requirements and other requirements

• Increasing awareness of its OH&S risks

• Evaluating its OH&S performance and seeking to improve it, through taking appropriate actions

• Ensuring workers take active role in OH&S matters


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Direct Benefits

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• Improving the ability to respond to regulatory compliance issues• Reducing the overall costs of incidents• Reducing downtime and the costs of disruption to operations• Reducing the cost of insurance premiums• Improving morale, as well as reducing absenteeism and employee

turnover rates• Recognition for having achieved an international benchmark (which

may in turn influence other interested parties, such as customers who are concerned about their social responsibilities)

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Key Terms & Definitions related to audit:

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• Audit: Systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled

• Audit programme: Arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose

• Audit Scope: Extent and boundaries of an audit

• Audit Plan: Description of the activities and arrangements for an audit

• Audit Criteria: set of requirements used as a reference against which objective evidence is compared

• Objective evidence: Data supporting the existence or verity of something

• Risk: Effect of uncertainty

• Conformity: Fulfillment of a requirement

• Nonconformity: Non-fulfillment of a requirement

• Competence: Ability to apply knowledge and skills to achieve intended results


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Requirements of ISO 45001:2018 in brief

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1. Scope2. Normative References

3. Terms and Definitions

4. Context of the Organization4.1 Understanding the Organization and its context 4.2 Understanding the needs and expectations of workers and other interested

parties4.3 Determining the Scope of OH&SMS4.4 OH&S Management system

5. Leadership and worker participation5.1 Leadership and commitment5.2 OH&S Policy5.3 Organizational Roles, Responsibilities and authorities5.4 Consultation and participation of workers

6. Planning 6.1 Actions to address risks & opportunities

6.1.1 General6.1.2 Hazard identification and risk assessment6.1.3 Determination of legal and other requirements6.1.4 Planning action

6.2 OH&S Objects and planning to achieve them6.2.1 OH&S Objectives6.2.2 Planning achieve OH&S Objectives

Continued…..

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‘New’: with reference to BS OHSAS 18001

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Requirements of ISO 45001:2018 in brief

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7. Support7.1 Resources7.2 Competence7.3 Awareness7.4 Communication

7.4.1 General7.4.2 Internal Communication7.4.3 External Communication

7.5 Documented Information7.5.1 General7.5.2 Creating and updating7.5.3 Control of documented information

8. Operation8.1 Operational Planning and control

8.1.1 General8.1.2 Eliminating hazards and reducing risks8.1.3 Management of Change 8.1.4 Procurement

8.2 Emergency Preparedness and Response

Continued…..

9. Performance Evaluation9.1. Monitoring, measurement , analysis and performance

evaluation9.1.1 General9.1.2 Evaluation of Compliance

9.2 Internal audit9.2.1 General9.2.2 Internal audit programme

9.3 Management Review

10. Improvement10.1 General 10.2 Incident, nonconformity and corrective action10.3 Continual Improvement

Annex A: Informative – Guide to use ISO 45001:2018

Continued…..

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ISO 19011:2018- Guidelines for auditing management systems

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1. Scope

2. Normative References

3. Terms and Definitions

4. Principles of auditing

5. Managing an audit programme

5.1 General

5.2 Establishing the audit programme objectives

5.3 Determining and evaluating audit programme risks and opportunities

5.4 Establishing the audit programme

5.5 Implementing the audit programme

5.6 Monitoring audit programme

5.7 Reviewing and improving the audit programme

6. Conducting an audit

6.1 General

6.2 Initiating the audit

6.3 Preparing audit activities

6.4 Conducting the audit activities

6.5 Preparing and distributing the audit report

6.6 Completing the audit

6.7 Conducting the audit follow-up

7.Competence and evaluation of auditors

7.1 General

7.2 Determining auditor competence

7.3 Establishing auditor evaluation criteria

7.4 Selecting the appropriate auditor evaluation method

7.5 Conducting auditor evaluation

7.6 Maintaining and improving auditor competence

•Annex A: (informative): Additional guidance for auditors planning and conducting audits

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Types & Stages of Audit

Check lists

Audit Team Briefing

AuditorTraining / Qual

Audit Team

Decision

Training Materials

Roles & Resp.

Preparation

Audit Plan

Opening Meet

Conduct

Auditing

Closing Meet

Individual Reporting

Consolidated Reporting

Communicate the Report

Follow up

Corrective Actions

Follow Up

Input to MRM

Audit

Preliminary

Pre-Audit Post-Audit

Scope & Criteria

Actions & Improvements

Types: 1st party, 2nd party and 3rd party audits

Stages of audit


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AUDITOR SKILLS & ATTRIBUTES

Attributes• Ethical

• Open-minded

• Diplomatic

• Punctual

• Professional

• Versatile

• Tenacious

• Un-biased

SKILLS• Planning

• Listening

• Observing

• Interview

• Analyzing

• Reporting

• Reviewing

• Judgment

KNOWLEDGE • Process / Function

• Compliance Requirements

• Criteria

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Documented Information

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Audit Plan

• What is an Audit Plan

• Contents

• Advantages

Check-Lists

• What is a Checklist

• Contents

• Advantages


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Audit Checklist


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Nonconformity Report

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Auditor Competence Development

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• Risk based approach

• Auditors shall be competent

• Criteria for competence to be defined

• Competence development programs & Refresher

• Avoid “One Man Army” approach

• Auditor independence to be ensured


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Golden Rules of Audit

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• Check for conformity & effectiveness

• ‘Improvement’ is important

• Balanced observation, listening, interviewing

• Be diplomatic as well as Professional

• Communication, Coordination & Follow up shall be effective

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Critical Success Factors - Leadership

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• Leadership Commitment

• Empowerment for the Audit Team

• Enforcement within organization

• Top Management shall set an example to respect the Audit

• Communication and Support for the audit


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Critical Success Factors – Middle Managers

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• Cooperate with the Audit Plan

• Allow the staff for their respective roles

• No personal issues, only teamwork

• Transparency required

• Don’t exhibit the attitude “My Dept. is better than others”

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Critical Success Factors : Audit Team

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• Competence development (Cross functional)

• Audit beyond checklist

• Communication, Coordination & Follow up shall be effective

• Focus value addition than completing the task


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Critical Success Factors : Process Owners

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• Transparency during audit

• Corrective Actions – Effective / Timely

• Pro-active feedback till close-out

• Seek value addition rather than saving faces

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Objectives Achieved?• Introduction to Audit of ISO 45001:2018

• Purpose & Benefits

• Key Terms & Definitions related to audit



• Types & Stages of Audit

• Documented Information

Audit Programme

Audit Plan

Audit Checklist

NCR

Audit Report

• Auditor Competence Development

• Golden Rules of Audit

• Critical Success Factors

• Clarifications / Questions


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Clarification… If any?

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END OF THE SESSIONPlease return the feedback form at the reception!

powerpoint presentation...•improving morale, as well as reducing absenteeism and employee turnover...

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