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Delegate Manual
Delegate Manual
ISO 45001:2018
(Course ID:OHM-003))
DELEGATE MANUAL
Table of Contents Bureau Veritas Certification
This manual, any documentation related thereto (with the exception of any national or
international standards referred to herein) and the information disclosed therein, is
confidential and proprietary to Bureau Veritas (BV). The information may not be used
by or disclosed to others for any purpose except as specifically authorised in writing by
BV. The recipient, by accepting this document agrees that neither the document, the
information disclosed therein nor any part thereof shall be reproduced or transferred to
other documents nor used or disclosed to others for any other purpose except as
specifically authorised in writing by BV.
(Course ID:OHM-003)
DELEGATE MANUAL
TABLE OF CONTENTS
9. Chapter 7 & Recap on auditing ‘CHECK & ACT’- Clause 9 1045 1145
8 &10
Bureau Veritas
Established in 1828 Offices in 140 countries
Turnover over 4.7 billion Euros 1400 offices incl laboratories
Over 400 000 customers worldwide Over 80 000 employees
Our Vision
Become the leader in our industry and a major player in each of our
market segments and key geographical markets.
Our Mission
Deliver economic value to customers through QHSESA management of
their assets, projects, products and systems, resulting in licence to
operate, risk reduction and performance improvement.
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Introduction-BVC
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8 GLOBAL BUSINESSES
MARINE INDUSTRY IN-SERVICE INSPECTION CONSTRUCTION
& VERIFICATION
Classification and certification Risk management, quality Periodic inspection of Conformity assessment of
of ships and offshore assurance, quality control and asset equipment & facilities in buildings and infrastructures
integrity management of facilities
floating units operation
and equipment
Certification of QHSE Commodities inspection and Testing, inspection and Trade facilitation services
management systems and testing: oil & petrochemicals, certification of consumer
second party auditing services metals & minerals, agriculture goods
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WIDE SCOPE OF ACTIVITIES
International Certification
Programs Sector specific standards
Multi-sites / Multi-schemes Food Safety (HACCP, ISO 22000, BRC, IFS, etc.)
Security in IT and Logistics (ISO 27001, ISO 28000)
Auditing programs Forestry management (FSC, PEFC, etc.)
based on customer-specific standards for Aerospace (AS/EN 9100, etc.)
Suppliers Network, Internal Transportation (IATF 16949, IRIS,/ISO 22163 etc.)
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Bureau Veritas is your historical trustful partner
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Total Bureau Veritas Certification Offer
Course Timing
08:45 – 18:00
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Course introduction
House rules
► Facilities
► Courtesy
(mobile phones, pagers, recording devices)
► Local arrangements
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Course introduction
►Learning Methods
Tutorials
Discussions
Exercises
Direct Tutor- Delegate
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Course introduction
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Course introduction
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Course introduction Delegate assessment
Written Exam
Multiple Choise & Short Answer
Question
Max Time : 30 Minutes
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Internal Auditor Training Course on : OHSMS
ISO 45001:2018
Chapter 2 : Auditing ‘Context of the Organisation’
Session Plan
► Objectives
► Understand auditing the requirements for “context of the organisation”, &
‘understanding the needs and expectations of interested parties for an OHSMS’
► Methodology
► Delegate driven discussions with the help of overheads
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4. Context of the Organisation
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4. Context of the Organisation
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4. Auditing Context of the Organisation
CHECK WHETHER….
The organization have determined internal and external issues related with,
Issues, positive or negative and include conditions, characteristics or changing
circumstances that can affect the OH&S management system
competitors, contractors, subcontractors, suppliers, partners and providers, new
technologies, new laws etc are considered
Check whether internal issues, such as governance, organizational structure,
roles and accountabilities are considered
WHAT ELSE…………..?????
Understanding the needs and expectations of workers and other interested
parties
Check whether needs & expectations of workers and other interested parties
have been determined by the organization
Check whether legal and regulatory authorities, parent organizations, suppliers,
contractors, workers’ organization are considered
Check whether, owners, shareholders, clients, visitors, local community and
neighbors general public are considered
WHAT ELSE………..????????
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4. Auditing Context of the Organisation
CHECK :
Has the organization determined the scope of OH&SMS…?
Check how the boundaries and applicability of the OH&S management system are
determined
Check whether the issues and needs & expectations are considered while defining scope of
Its OH&SMS
Check Whether the boundaries and applicability include the whole organization or specific
part(s) of the organization,
Check the credibility of the organization’s OH&S management system with respect to the
scope determined
Check any possible excluded activities, products and services that have or can impact the
organization’s OH&S performance, or to evade its legal requirements and other
requirements
Verify how the organization has ensured that while determining the OH&S management
system boundaries and scope they have considered needs and expectations of the
interested parties
The organization shall establish, implement, maintain and continually improve an OH&S management
system, including the processes needed and their interactions, in accordance with the requirements of this
document.
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Internal Auditor Training Course on : OHSMS ISO
45001:2018
Chapter 3 : Auditing ‘Leadership & Worker Participation’
Session Plan
► Objectives
►Understand auditing the new and enhanced requirements for Leadership covering
► OH&S Policy
► Methodology
► Delegate driven discussions with the help of overhead projector
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5. Leadership & Worker Participation
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5. Leadership & Worker Participation
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5. Auditing Leadership & Worker Participation
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5. Auditing Leadership & Worker Participation
OHS Policy
Check whether the policy is documented and approved by Top Management
Check whether the policy is appropriate to the purpose of the organization
Check whether the OHS policy is adequately aligned with the strategic direction
Check whether policy has a framework for setting objectives.
Check whether the policy has a commitment to improve the OHSMS
Check whether the policy has a commitment to eliminate hazards and reduce OH&S risks
Check whether the policy has a commitment to consultation and participation of workers
Check whether policy is communicated within the organization.
Check the process of making the policy available to interested parties
Check whether the policy is under document control example, is it reviewed/ approved for
adequacy, version controlled etc
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5. Auditing Leadership & Worker Participation
CHECK Whether …
the organization has a process(es) for consultation and participation of workers
at all applicable levels and functions
The organization have provided mechanisms, time, training and resources
necessary for Consultation & Participation
access to clear, understandable and relevant information is provided
are there any obstacles or barriers for Consultation & Participation
Check whether emphasis is given for consultation & Participation of non-
managerial workers
WHAT ELSE………??????
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Internal Auditor Training Course on OHSMS ISO
45001:2018
► Objectives
► Understand Auditing the requirements of ‘planning the OHSMS’ taking into
consideration the Clause 4.1, 4.2 and 4.3 with requirements of Clause 6
► Understanding auditing the ‘Legal and Other Requirements and action plans’
► Methodology
► Delegate driven discussions with the help of overhead projector
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6. Planning
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6. Planning
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6. Auditing Planning
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6. Auditing Planning
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6. Auditing Planning
Planning action
Check how the organization have planned to take action to
address these risks and opportunities
Legal & Other Requirements
prepare for and respond to emergency situations
Check How the Actions are integrated in OHSMS and other business operations
Check whether the organisation has evaluated the effectiveness of these actions.
OH&S objectives
Check whether they consistent with the OHS policy;
Are they measurable (if practicable), monitored at planned intervals communicated at relevant levels and
updated as per need
Have the OHS Requirements, risk & Opportunities, Workers consultation accounted while setting them.
Are they documented
Actions to achieve environmental objectives
Check for the Action Plan evidences about,
what is been targeted to achieve, is it effective
what resources will be required to achieve the set objective and targets, have they been ensured
who is made responsible at various functions and levels to achieve the set objectives and targets
What is the time frame set to achieve the desired targets
How the progress is monitored and evaluated at planned intervals
Check how the management have integrated these objectives with their business policies.
Are the plans documented.
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Internal Auditor Training Course on OHSMS ISO
45001:2018
► Objectives
► Understand auditing the requirements of ‘documented information’ and the
significant differences as compared to the earlier edition of the standard
► Understand auditing other changes in this edition of the standard with respect to
Resource management, Competence, Awareness and Communication
► Methodology
► Delegate driven discussions with the help of overheads
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7. Support
► 7.5.1 General
•
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7. Support
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7. Auditing Support
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7. Auditing Support
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7. Auditing Support
Communication
Check what information is required and is communicated
between whom
What is the time and frequency of communication and
amongst who
Who is responsible for the communication of OHS Information
Have the organization identified what information needs to be communicated
externally
What is the methodology of communication (example : through which media meetings,
emails, displays etc)
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7. Auditing Support
Communication
Check the above for both internal communication within
the organization and for external communication to other
interested parties
Is the documented information maintained on communication
as evidence
How the organization is responding to the external communication received
from external interested party (example feedback or complaints from suppliers, customers,
NGO , Legal Auth. etc.)
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7. Auditing Support
Documented Information
Check whether documented information is reviewed and
approved by authorized persons prior to issue
Check that the distribution of documented information
is controlled. For example whether it is available where
required, is confidentiality/ integrity protected during distribution
Check that the documented information is accessible and retrievable
appropriately
Check that the documented information is stored and preserved in a manner
that it is adequately protected from unauthorized access, unauthorized
modifications, misuse etc
Check that the documented information is legible
Check that changes to documents are controlled. For example review and approval of
changes, identification of version number, ensuring that old versions are not inadvertently used etc
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7. Auditing Support
Documented Information
Check whether documented information is retained as per
needs of the organization or other interested parties.
For example : are there requirements of customers, legal
bodies that define retention periods of records?
Check that documented information is disposed in controlled manner example
to protect confidentiality after disposal
Check if documented information of external origin such as those received
from Interested parties, legal bodies etc are identified
Check how the identified documented information of external origin are
available at points of use and adequately protected.
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Internal Auditor Training Course on: OHSMS
ISO 45001:2018
► Objectives
► Understand auditing the ‘requirements of executing operational plans’,
‘processes controls’ and ‘emergency preparedness and response’ in OHSMS
► Methodology
► Delegate driven discussions with the help of overheads
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8. Operation
► 8.OPERATION
► 8.1 Operational planning & control 4.4.6 Operational Control
► 8.1.1 General 4.4.7 Emergency preparedness and response
► 8.1.2 Eliminating hazards and reducing OH&S
risks
► 8.1.3 Management of change
► 8.1.4 Procurement
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8. Operation
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8. Auditing Operation
Operations
Check what are the control processes identified and implemented for various
process which are needed in OH&S management
Have the company taken actions to control the risks and opportunities arise from
initial assessment
What are the criteria of operation and control of processes from H&S
perspective
What are the controlled actions to protect the environment, prevent the pollution
and to prevent any noncompliance to compliance obligations
Is there any hierarchy followed for controls of processes (e.g. elimination,
substitution, engineering administrative)
Are the controls mechanism adequate and effective
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8. Auditing Operation
Operations
Check how controls applied for contractors’ activities and operations that impact
the organization or organization’s activities and operations that impact the
contractors’ workers or contractors’ activities and operations that impact other
interested parties in the workplace.
How the Management of changes in OHSMS is controlled
Are the applied controls follow “hierarchy of control”
How these information are documented in the system
Go to the site and observe the practice as per defined system
Interview people at site to understand the actual practices at site
See the site posting of information for operation controls.
Check Controls over outsourcing
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8. Auditing Operation
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8. Auditing Operation
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CQI-IRCA certified :
PT 251:OHSMS ISO 45001:2018 Auditor
Migration Training Course (Module 2)
► Objectives
► Understand auditing the requirements of ‘monitoring, measurement, analysis
and evaluation’ of an OH&SMS performance and effectiveness
► Methodology
► Delegate driven discussions with the help of overheads
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9.Performance evaluation
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9.Performance evaluation
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9.Auditing Performance evaluation
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9.Auditing Performance evaluation
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9.Auditing Performance evaluation
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9.Auditing Performance evaluation
Management Reviews
Check whether management reviews are conducted as
per plan
Check organization’s process for identifying changes to
the internal and external issues relevant to its OHSMS
Check how these are collated and reported for consideration
during management reviews.
Check what decisions are taken by the top management
based on the review of these changes. For example : Due to
changes in internal and external issues, are changes to OHS
policy, objectives,
OHS scope, risk assessment, OHS policies and procedures
considered?
Check whether trends in audit results, nonconformities and corrective actions are
reviewed. Are corrective actions effective? Are there areas/ processes where NCR trend is
increasing?
Check what the trends indicate, in case results are not positive, verify whether the top
management has taken any decisions on continual improvement
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9.Auditing Performance evaluation
Management Reviews
Check whether H&S performance evaluation results are reported in the management reviews. What do
the trends indicate? What decisions has the top management taken for OHSMS processes and controls
for which the trends are performance results are not positive?
Check whether trends in fulfillment of OHS objectives are reviewed. what the trends indicate. Are
objectives met?
Check what decisions the top management has taken based on review of the objectives Are the
objectives still suitable or need to be changed? Do targets need to be revised? Are resources required
to enhance ability to fulfill the objectives?
Check what mechanisms have been put in place to collect and report feedback from interested parties.
Is the mechanism proactive? Are responsibilities for this assigned? Is it comprehensive and timely?
WHAT ELSE……….???????
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CQI-IRCA certified :
PT 251: OHSMS ISO 45001:2018
Auditor Migration Training Course (Module 2)
► Objectives
► Understand auditing the requirements of ‘Improvement’ of OHSMS performance
and effectiveness
► Methodology
► Delegate driven discussions with the help of overheads
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10. Improvement
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10. Improvement
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10.Auditing Improvement
Improvement
Check what actions are being taken on results of OHS monitoring and measurement
Check what actions are taken on the outcome of internal audit. Any actions taken on NCs , OFIs or
observation
Verify the documented information on the improvement actions recommended during management
review
Check, how the nonconformance and noncompliances are identified in the system
Are the immediate actions taken to correct the nonconformities and to control the situation
What are the mitigation actions from management to deal with the consequences of nonconformity
Is there any Pragmatic approach to identify the proper root cause(s)
Check whether management have explored the possibility of similar potential nonconformity in other
process or part of management system
What are the corrective actions taken to eliminate the defect.
Is there any undue delay or deliberate delay from management to take further actions
Is there a system exist to review the effectiveness of actions taken
Check whether the corrective actions are appropriate to the nature of nonconformity
Is there any change resulted in OHSMS due to the actions taken (example: change in risk assessments,
analysis, OHS policy, processes)
Check the documentation of this entire process
Verify the overall system of achieving continual improvements through this process.
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10.Auditing Improvement
► Objectives
► Understand the requirements of Planning to achieve the intended objectives of
an audit
► Methodology
► Delegate driven self Study with the help of slides
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Who manages the audit?
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Parties involved in an audit
Auditee
Auditee Provides
Providesaccess,
access,data,
data,
Organisation
Organisation information
information
Determines
Determinesobjectives,
objectives,
AuditClient
Audit Client
scope,
scope,criteria
criteria
1st.,2nd.,
2nd.,3rd
3rdParty
Party Auditor
AuditorTeam
Team
1st., (includes Audit
Auditing (includesauditors,
auditors, Audit
Auditing technical performance
Organisation technical expertsand
experts and performance
Organisation auditors in-training)
auditors in-training)
Audit
Auditreport
report
LeadAuditor
Lead Auditor
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From collecting information to audit conclusions
Collecting information by
appropriate sampling
Audit Evidence
Evaluating against
audit criteria
Audit Finding
picture taken from the Article „Electromagnetism for brain disorders”
written by Michael Webb, July 29, 2008, blog.log.sciseek.com
Reviewing
Audit Conclusion
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How do auditors find evidence ?
► Reviewing Documents
► Reviewing Records
►Observing practices and physical environment
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Visit the field – SEE the “real world”
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Observations
► Communications Postings
► Awareness Reminders
► Calibration Tags
► Warning Signs
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Interviewing People
► Explain what you are doing ► Introduction (why you are here)
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Follow Audit Trails
► As you audit
you will find interesting opportunities for follow-up (= audit trails).
► Pick promising audit trails:
► Follow it through
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Always take notes
Comprehensive
Accurate
Precise
Legible
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Time management
► Plan well
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Audit Programme in ISO 19011 –
more than just an audit plan!
►ISO 19011 Section 3.11 – Definition of audit programme
Set of one or more audits,
Planned for a specific timeframe and
Directed towards a specific purpose.
Note: it includes all activities necessary for planning, organizing and conducting the audits.
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The different phases of an audit
Time
6.2 Initiating the audit
?
Stage 1 Audit 6.3 Preparing audit activities
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Initiating the Audit
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Initiating the Audit – criteria and scope
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Initiating the Audit –
Considerations in Selection of Team
►Independence ►OH&SMS knowledge
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Conducting Document Review
►Addition
Assess readiness for full systems audit (at times not applicable for
Internal audits)
Focus on planning for Stage 2 (main) audit
Establish personal contact and rapport with auditee
Validates scope, purpose, methods
Gather additional information
Identify potential problems
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Preparing for the ‘On-site Audit’ Activities
►Prepare plan
►Logistics
travel, accommodation, office space, ..
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The audit plan and working documents
►Areas / Processes
►Auditors
►Consider shifts,
meetings and breaks
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Conducting on-site Audit Activities
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Conducting On-site Audit Activities
Meetings and Communications
►Opening and Closing meetings
Formally required
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Nonconformity Report
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A Nonconformance Must Also Be...
►Factual
►Precise
►Objective
►Traceable
►Concise
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Example 1
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NCR for Example 1
OHSMS AUDITS Incident Number …....................
NONCONFORMITY REPORT
Company under Audit: XYZ plc Note Number SW/01
.............................
Area under review: ISO 45001 Clause Number
………………………………………. MAINTENANCE ………………………… 8.1
► Area
Category MAJOR* MINOR* * delete one
Auditor A. U. Ditor
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Good Meeting Practice
►?
►?
Key consideration –
What is this meeting intended to accomplish?
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Opening & Closing Meetings
►Be on time
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Opening meeting agenda
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Team Liaison Meetings
► To review nonconformance
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Closing Meeting
►No surprises!
►Acknowledge achievements
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Closing Meeting Agenda
► Either
Recommendation for Certification/ Re Certification/ Continuation of Certification
► Or
Corrective actions & time-scale & Follow-up
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Preparing, approving and distributing the audit report
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Follow-up action
► At agreed time
Records
► Re-audit on the site
Training certificates
Only review of corrective actions
Amended procedures
Don’t start it all over again
Photographs
Videos
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