Ohsas 18001 ala 2020 ohp 1.2

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Ohsas 18001 ala 2020 ohp 1.2

  1. 1. Auditor/Lead Auditor Training Course based on OHSAS 18001:2007IRCA Course Registration A17438
  2. 2. Occupational Health and Safety (OH&S) Conditions and factors that affect, or could affect, the health and safety of employees or other workers (including temporary workers and contractor personnel), visitors, or any other person in the workplace OHSAS 18001:2007, 3.23Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course OHSA 1 8001 :2007 Rev 1 .2 S
  3. 3. OHSAS 18001:2007 Process Model CONTINUAL IMPROVEMENT OH&S POLICY MANAGEMENT REVIEW PLANNING CHECKING and IMPLEMENTATION CORRECTIVE And OPERATION ACTIONCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  4. 4. Which OH&SMS Standard • ILO - OSH:2001 • International Safety Rating System (ISRS7) • OHSAS 18001:21007Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  5. 5. ILO-OSH:2001Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  6. 6. International Safety Rating System – ISRS7Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  7. 7. OHSAS 18001/18002 • OHSAS 18001:2007 - Occupational Health & Safety Management System Requirements • OHSAS 18002: 2008 - Guidelines for the implementation of OHSAS 18001:2007Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  8. 8. Purpose of the OHSAS 18001:2007 Standard is • To support and promote good OH&S practices, in balance with socio-economic needsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  9. 9. OHSAS 18001:2007 Key Elements • Management System • Consultation and Communication • Risk Assessment and OH&S Control Measures • ILO - OHS PrinciplesCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  10. 10. Why OH&SMS? • Relatively lower Occupational Health & Safety risks • Reduced insurance fees and compensation, rehabilitation and curative costs • Enhanced public image • Higher productivity and profitability • Objectively demonstrate legal compliance • Improved Occupational Health and Safety performance and state of the work environmentCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  11. 11. OH&SMS Framework Company GOALS and TARGETS BEEING ACHIEVED OH&S POLICY BEEING ACHIEVED OH&S OBJECTIVES BEEING ACHIEVED Departmental OBJECTIVES Key Performance IndicatorsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  12. 12. Understanding the Process Approach Transformation Transformation Transformation Input Output Input Output Input Output Process Process Process • ISO 9000:2005 defines a Process as: • “set of interrelated or interacting activities which transforms inputs into outputs” • Data should be gathered to establish process capability and analyze process performance including input and output characteristics • Process performance needs to be linked to organizational performanceCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  13. 13. The PDCA CycleCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  14. 14. High level Process Map S C U U P S P T PROCESS L INPUTS OUTPUTS O I M E E R R S SCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  15. 15. SIPOC Example SUPPLIERS INPUTS PROCESS OUTPUTS CUSTOMERS Hazard/Risk Processes, Products, Register/Safety OH&S Team Activities, Tasks Statement OH&S Team OH&S Team Objectives and Technical Expert Initial Review (IR) Risk Targets Top Management Identification and Assessment OH&S Team Statutory and Technical Expert Regulatory Policy Interested parties Other Interested parties Requirements Meeting Minutes OH&S Team PROCESS STEPS Review Select Risk Assessment Techniques, Risk Significant Hazard, Risk, Safety preliminary data Methodology and Criteria Assessment StatementCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  16. 16. Applying the Process Approach based on the Turtle Methodology With what? With Who? Equipment Installations Training, Knowledge & Skills REQUIREMENTS SATISFACTION INPUT OUTPUT Interested Party PROCESS OH&S Performance who has a need How? Instructions What Results? Procedures Performance Indicator MethodsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  17. 17. Operational Controls/Control Measures • Monitoring and management of OH&SMS Management Program’s (MPs); Control Measures and Key Performance Indicators (KPIs) – Proactive & Reactive • Establishing operating criteria in processes and procedures including the extent to which OH&S objectives are met • Documented procedures, especially where absence could lead to deviations from OH&S Policy and Objectives • Controls related to purchase of goods, equipment and services • Employees completing work related activities under the control of the organization working outside the workplace • Controls related to Suppliers and Subcontractor Control including Visitors to the workplaceCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  18. 18. Emergency Preparedness and Response • Identifying the potential for emergency situations • Establish, implement and maintain a procedure for responding to emergency situations • Prevent or mitigate associated adverse OH&S consequences associated with emergency situations • In planning its emergency response take into account the needs of relevant interested parties • Periodically test its procedures to respond to emergency situations • Periodically review and where necessary revise its emergency preparedness and response proceduresCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  19. 19. Assessment and Management of OH&S risks and significance for Auditors • Identification and evaluation of operational controls and validation of acceptable risk (residual) – Data, Process and Methodology • Policy, objectives and programs to achieve their OH&S policy commitments • Improvements in OH&S performance • Conformity to OHSAS 18001:2007 • Compliance with legal and other requirementsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  20. 20. Common Risk Assessment Tools • Checklists/Questionnaires • Risk Matrices • Ranking/Voting tables • FMEA/HAZOP • Exposure assessment Strategy • Computer ModelingCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  21. 21. Evaluating Measures of Performance of the OH&SMS • Overall Effectiveness of the OH&SMS • Acceptable/Residual risk level of the OH&SMS • Conformity with OHSAS 18001:2007 requirements • Compliance with regulations and other requirements etc. • Performance improvement • Effectiveness of implementation of operational risk control, verification and validation • Safety Culture of the Organization • Maturity level of the OH&SMSCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  22. 22. Sources of Statutory and Regulatory Requirements • Internet • Government Publications • Chambers of Commerce/Industry • Industry Representative Organizations • Enforcement Agencies • Legal Practices • Consulting Organizations • Academia • Specialist Publishing HousesCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  23. 23. Models and Methodologies • Occupational Health & Safety Enforcement Agency • Certification Body/Registrar – Document Review + Sample review of evaluation of compliance • ISO System/Process Approach – EA7-04Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  24. 24. ISO Objectives - Documentation • ISO requires (and always has required) a “Documented Occupational Health and Safety Management System”, and not a “System of Documents” • OHSAS 18001:2007 allows an organization flexibility in the way it chooses to document its OH&SMS. This enables each individual organization to develop the minimum amount of documentation needed in order to demonstrate the effective development, implementation and updating of the OH&SMS, when necessaryCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  25. 25. Typical OH&SMS Documentation HierarchyCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  26. 26. Benefits of a documented OH&SMS • Demonstrate conformity + compliance • Due Diligence • Communication • Training & Development • Marketing • Auditing • Plus two other business benefits – what are they? (10)_________________ (11)_________________Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  27. 27. Types of Conformity Assessments • Preliminary Assessment (Mock/Trial) • Initial Registration assessment (System) • Surveillance assessment (Partial) • Follow-up assessment (Partial) • Re-registration assessment (System)Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  28. 28. OHSAS 18001:2007 and Other Management Systems ISO 20000 IT Service Management ISO 9000 Quality Management ISO 18001:2007 Occupational Health & Safety ISO 22000 Food ISO 14001 Safety Environment Management PAS 99 Integrated ManagementCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  29. 29. Introduction and Scope of ISO 19011:2002 • An audit is a management tool for monitoring and verifying the effective implementation of an organizations policy for quality and/or environmental management • This International Standard provides guidance on conducting internal or external QMS and/or EMS audits, as well as on the management of audit programs • It is discretionary whether or not QMS and/or EMS audits are conducted separately or integrated • Can be applied to other management system standardsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  30. 30. Principles of Auditing • Ethical conduct – the foundation of professionalism • Fair presentation – the obligation to report truthfully and accurately • Due professional care – application of diligence and judgment in auditing • Independence – the basis for the impartiality and objectivity of the audit conclusions • Evidence-based approach – the rational method for reaching reliable and reproducible audit conclusions in a systematic audit processCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  31. 31. OH&SMS Audit Types • Regulatory • Process • Performance • Certification • Supplier • Due diligence • Liability • CombinedCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  32. 32. Audit Types & Roles INTERNAL EXTRNAL Audit of one’s 1st Party own organization Audit of a Supplier 2nd Party by a Customer Audit by an 3rd Party Independent BodyCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  33. 33. Personal Qualities of an Auditor • Precise • Integrity • Reasonable • Organized • Objective • Not afraid of reporting the • Fair facts • Energetic • Astute and analytical • Sensitive • Listener • Supportive • Sensitive to local customs PROFESSIONAL’SCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  34. 34. Psychometric Testing and their role in identifying, selecting and developing Auditors • Various psychometric tools in use, namely Myers Briggs, http://www.myersbriggs.org/ Kiersey temperament Sorter, http://www.kiersey.com or Belbin, http://www.belbin.com • When used, they act as a guideline when identifying and selecting Auditors • The aim is to ensure the audit team consists of a team which can suitably, adequately and effectively complete the audit professionallyCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  35. 35. Main activities during the Planning Phase INITIATING the AUDIT • Agreeing the audit objectives, scope and criteria • Communicating with the Auditee/Audit Client • Determining the feasibility of the audit PREPARING for the AUDIT • Forming a competent audit team/audit team assignments • Developing an audit plan • Creating process based checklists • Holding an audit team briefing, if requiredCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  36. 36. What is an Audit Plan? • Description of the activities and arrangements for an audit ISO 19011:2002Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  37. 37. What is a Checklist? • Structured list of points to evaluate • Identifies and communicates the scope of an audit • An Auditor’s tool to gather evidence and provide an audit trail • Guides the course and controls the pace of an auditCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  38. 38. Main activities during the Performance Phase • Opening Meeting • Gathering Evidence • Writing Audit Finding Reports • Collating and generating the Final Audit Report • Preparing for the Closing/Exit Meeting • Closing/Exit MeetingCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  39. 39. What is Evidence? Qualitative or quantitative information, records, or statements of fact pertaining to: • the safety of the employees or persons working on behalf of the organization • to the existence and implementation of an occupational health and safety management system requirement which is based on observation, measurement or test and which can be independently verified.Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  40. 40. Different methods of gathering Evidence (On-site/Off-site) • Observation • Interviewing • Data Analysis • Document ReviewCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  41. 41. General Points on Questioning Techniques • Use appropriate types of question • Adopt a logical approach • Follow a natural sequence • Actively listen to what is being said • Use silence appropriately • Seek clarification, where necessary • Verify responses, where necessaryCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  42. 42. Typical Questions Information Verification • How • Show me • What • When • Where • Who • WhyCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  43. 43. Observation • People • Product and service • Processes • Information systemsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  44. 44. Taking Notes • Employee names and job titles • Product identification • Quotes and statements • Rough sketches • Surroundings • Issues which may impact other functions/Audit team membersCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  45. 45. Mental Notes • Workload • Employee behavior • Management approach • Organization • Knowledge of business and applicable standards • ReactionsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  46. 46. Sampling • Sample frame/Sample • Representative • Random • Reduced time and costsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  47. 47. Importance of Audit Team Performance • Keep to the original audit plan • Auditor/Lead auditor checks progress regularly • Manage delaysCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  48. 48. Communication during the Audit • The Audit Team should confer periodically to – Exchange information – Assess audit progress – Reassign work between audit team members as needed – Discuss concerns about any issues outside the scope of the audit • The Lead Auditor should communicate to the auditee/audit client any – Significant risks identified during the audit process – Concerns about any issues outside the audit scope – Evidence which indicates audit objectives are unattainableCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  49. 49. Handling Difficult Situations • Time Wasting • Undermining • Discrimination • Deception • Hostility • Obstruction • Avoidance • Usurping Control • Finger Pointing • FlatteryCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  50. 50. What is a Nonconformity? • The absence of, or the failure to implement and maintain, one or more safety management system requirements, or a situation which would, on the basis of available objective evidence, raise significant doubt as to the safety of the work environment within the organizationCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  51. 51. Audit Finding Definitions • A Major nonconformity is where there is a total break-down or absence of objective evidence to satisfy one or more occupational health management system requirements, or a situation which would, on the basis of available objective evidence, raise significant doubt as to the safety of the work environment within the organization • A Minor nonconformity is where there is a defined and documented system which generally satisfies one of more occupational health and safety management system requirements, or a situation which would, on the basis of available objective evidence, raise a concern as to the safety of the work environment within the organization, e.g. the system and/or one or more processes have not reached an acceptable maturity levelCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  52. 52. Audit Finding Definitions • An Observation/Opportunity for Improvement is a remark by an Auditor which warrants clarification or investigation so as to improve the overall effectiveness and/or efficiency of the organizations Occupational Health and Safety Management SystemCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  53. 53. Key Elements of a Nonconformity • Nonconformity Statement - what is wrong, namely test, sample frame, sample and test result • Supporting evidence, namely objective evidence supporting the nonconformity statement • Record of the Requirement, namely OHSAS 18001 criteria or clause • Audit Finding Risk Classification, namely major, minor • Reference Number, Area Under Review, Auditor Identification, Auditee Representative Signature, Date etc.Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  54. 54. A Summary Audit Report is • A summary or record of the outcome of an audit, in line with the agreed audit objectives, scope and criteriaCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  55. 55. Contents of a Summary Audit Report • Audit objectives, scope and criteria • Statement of the confidential nature of contents • Audit conclusions • Strengths and Weaknesses • Number of nonconformities (including classification) and observations, if any • Nonconformity/Observation Reports • Recommendations (risk assessment audit findings), if any • Obstacles encountered • Follow-up activities • Audit Plan • Audit Checklists (Appendix) • Identification of the Lead Auditor and team members • Identification and contact details of Auditee/Client • Opening/Closing/Exit Meeting MinutesCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  56. 56. Summary Audit Report Approval • The Auditor/Lead Auditor should sign and date the summary audit report signifying the audit objectives have been met and the fact the report is accurate and complete • The Top Manager or Management Representative should sign and date the summary audit report to signify agreement with and commitment to act on the findingsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  57. 57. Summary Audit Report Distribution, Timing & Retention • Distribution should be limited to the Management Representative • Ideally it should be available for the Closing/Exit Meeting If not, it should be available within an agreed timescale • It should be retained in accordance with audit organization policy and/or regulatory requirementsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  58. 58. Activities to be covered during the Final Team Meeting • Review the audit findings against the audit objectives • Agree the audit conclusions (recommendation) • Decide your strategy for presenting the findings • Ensure any nonconformity and/or observation reports are signed in advance of the Closing/Exit meeting • Anticipate possible areas of disagreement • Decide the follow-up strategy (recommendation)Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  59. 59. Process for Collating the Audit Findings • Collate all the information • List the strengths • Evaluate and distil • List the weaknesses (Nonconformities) • Evaluate and distil • List any observations • List any obstacles encountered, if any • Decide the overall conclusion (recommendation) • Decide the follow-up strategy (recommendation)Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  60. 60. If the Client does not conform • Be mindful of the level of your authority • Maintain control • Double check the findings are based upon sound evidence • Do not waiver from the intended message • Ensure the client does not see it as purely a negative message • Check the tone and choice of language usedCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  61. 61. Risks associated with Offers of Advice • Ownership • Possible confusion in roles • Legal and financial • Therefore, never give advice in an external audit. • There is greater scope to give advice in an internal audit, however the risks albeit small still existCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  62. 62. Audit Follow-up, why is it important ? • Corrective action takes place in a timely manner • Corrective action is effective and suitable • The real benefits of the audit can be realized • The effectiveness of the audit program can be measuredCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  63. 63. Evaluating CAPA Proposals? • The Lead Auditor or assigned Auditor technically assesses the proposed corrective and preventative action and root cause analysis data • Ideally the Auditor/Lead Auditor who raised the audit finding should verify and validate closure of any nonconformities raised • CAPA proposals should be received and reviewed within 10 calendar days or sooner and verified + validated and closed out within 12 weeks, unless a variation is grantedCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  64. 64. Methods for Closing Out Corrective Actions • Off-site – Documentation review – Interview (Web conference/Online Meetings) • On-Site Re-audit – Partial – FullCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  65. 65. Purpose of a Closing/Exit Meeting • To verbally present the audit team’s findings and conclusions in such a manner that they are understood and acknowledged by the client, and to agree, if appropriate, on the time period for the auditee to present a corrective action planCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  66. 66. Who attends the Closing/Exit Meeting? Audit Team Client • Lead Auditor • Top Executive/Manager • Auditor(s) • OH&SMS Representative • Trainee Auditor(s), if used • Functional Representative(s) • Translator(s), if used • Consultant, if present • Guide(s) (Optional) • Observer(s) (Optional) • Employees (Optional)Copyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  67. 67. Contributions during the Closing/Exit Meeting • The Lead Auditor should always lead and manage the presentation and deliver the audit report executive summary • The Lead Auditor may request individual auditors to clarify individual nonconformities, if required • The Lead Auditor should assign an audit team member to take minutes of the meeting and record attendanceCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  68. 68. A Typical Closing/Exit Meeting Agenda • Re-statement of audit objectives, scope, and criteria • Representative sample statement/confidentiality • Audit conclusion - executive summary • Audit findings – detail • Follow-up activities • Obtaining ownership and commitment • Reporting • QuestionsCopyright © Kelmac Group TM Limited, A Rights Reserved ll OHSMS Auditor/ Lead Auditor Course_ OHSA 1 8001 :2007 Rev 1 .2 S
  69. 69. Copyright © 2009 Business Edge, All Rights Reserved | QMS Auditor/Lead Auditor Course_ISO 9001:2008 Rev 3.0

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