Auditor/Lead Auditor Training Course: Based On OHSAS 18001:2007

Auditor/Lead Auditor
Training Course
based on OHSAS 18001:2007
IRCA Course Registration A17438
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, 3.23
Copyright © Kelmac Group TM Limited, All Rights Reserved OHSMS Auditor/Lead Auditor Course OHSAS 18001:2007 Rev 1.2
OHSAS 18001:2007
Process Model
CONTINUAL
IMPROVEMENT
OH&S POLICY
MANAGEMENT
REVIEW
PLANNING
CHECKING and IMPLEMENTATION

CORRECTIVE And OPERATION
ACTION
Copyright © Kelmac Group TM Limited, All Rights Reserved OHSMS Auditor/Lead Auditor Course_OHSAS 18001:2007 Rev 1.2
Which OH&SMS Standard
• ILO - OSH:2001
• International Safety Rating System (ISRS7)
• OHSAS 18001:21007
ILO-OSH:2001
International Safety
Rating System – ISRS7
OHSAS 18001/18002
• OHSAS 18001:2007 - Occupational Health & Safety Management System

Requirements
• OHSAS 18002: 2008 - Guidelines for the implementation of OHSAS 18001:2007
Purpose of the
OHSAS 18001:2007 Standard is
• To support and promote good OH&S practices, in balance with socio-economic needs
OHSAS 18001:2007 Key Elements
• Management System
• Consultation and Communication
• Risk Assessment and OH&S Control Measures
• ILO - OHS Principles
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
environment
OH&SMS Framework
Company GOALS
and TARGETS
BEEING
ACHIEVED
OH&S POLICY
BEEING
ACHIEVED
OH&S OBJECTIVES
BEEING
ACHIEVED
Departmental
OBJECTIVES
Key Performance
Indicators
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 performance
The PDCA Cycle
High level Process Map
S I P O C
MODEL
S C
U U
P S
P T
PROCESS
L INPUTS OUTPUTS O
I M
E E
R R
S S
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
OH&S Team Statutory and Assessment
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 Statement
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
Methods
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
workplace
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 procedures
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 requirements
Common Risk Assessment Tools
• Checklists/Questionnaires
• Risk Matrices
• Ranking/Voting tables
• FMEA/HAZOP
• Exposure assessment Strategy
• Computer Modeling
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&SMS
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 Houses
Models and Methodologies
• Occupational Health & Safety Enforcement Agency

• Certification Body/Registrar – Document Review + Sample review of evaluation of
compliance
• ISO System/Process Approach – EA7-04
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 necessary
Typical OH&SMS
Documentation Hierarchy
Policy, Objectives
Organization,
Risk Assessment
Describes Processes
WHO? WHAT? WHEN? WHERE?
Describes HOW
TASKS and SPECIFIC ACTIVITIES are DONE
Provides OBJECTIVE EVIDENCE

of CONFORMITY to EMS REQUIREMENTS
Benefits of a documented OH&SMS
• Demonstrate conformity + compliance

• Due Diligence
• Communication
• Training & Development
• Marketing
• Auditing
• Plus two other business benefits – what are they?
(1) _________________
(2) _________________
Types of Conformity Assessments
• Preliminary Assessment (Mock/Trial)

• Initial Registration assessment (System)
• Surveillance assessment (Partial)
• Follow-up assessment (Partial)
• Re-registration assessment (System)
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 Management
Introduction and Scope of
ISO 19011:2002
• An audit is a management tool for monitoring and verifying the effective

implementation of an organization's 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 standards
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 process
OH&SMS Audit Types
• Regulatory
• Process
• Performance
• Certification
• Supplier
• Due diligence
• Liability
• Combined
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 Body
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’S
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 professionally
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 required
What is an Audit Plan?
• Description of the activities and arrangements for an audit
ISO 19011:2002
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 audit
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 Meeting
What is Evidence?
Qualitative or quantitative information, records, or statements of fact pertaining to:
a) the safety of the employees or persons working on behalf of the

organization
b) 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.
Different methods of
gathering Evidence (On-site/Off-site)
• Observation
• Interviewing
• Data Analysis
• Document Review
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 necessary
Typical Questions
Information Verification
• How • Show me
• What
• When
• Where
• Who
• Why
Observation
• People
• Product and service
• Processes
• Information systems
Taking Notes
• Employee names and job titles

• Product identification
• Quotes and statements
• Rough sketches
• Surroundings
• Issues which may impact other functions/Audit team members
Mental Notes
• Workload
• Employee behavior
• Management approach
• Organization
• Knowledge of business and applicable standards
• Reactions
Sampling
• Sample frame/Sample
• Representative
• Random
• Reduced time and costs
Importance of
Audit Team Performance
• Keep to the original audit plan

• Auditor/Lead auditor checks progress regularly
• Manage delays
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 unattainable
Handling Difficult Situations
• Time Wasting • Undermining
• Discrimination • Deception
• Hostility
• Obstruction
• Avoidance
• Usurping Control
• Finger Pointing
• Flattery
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 organization
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 level
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 organization's Occupational Health and Safety Management System
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.
A Summary Audit Report is
• A summary or record of the outcome of an audit, in line with the agreed audit
objectives, scope and criteria
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 Minutes
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 findings
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
requirements
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)
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)
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 used
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 exist
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 measured
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 granted
Methods for
Closing Out Corrective Actions
• Off-site
– Documentation review
– Interview (Web conference/Online Meetings)
• On-Site Re-audit
– Partial
– Full
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 plan
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)
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 attendance
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
• Questions
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Auditor/Lead Auditor

OHSAS 18001:2007, 3.23

CHECKING and IMPLEMENTATION

• OHSAS 18001:2007 - Occupational Health & Safety Management System

• Relatively lower Occupational Health & Safety risks

Transformation Transformation Transformation

• ISO 9000:2005 defines a Process as:

• Data should be gathered to establish process capability and analyze process

• Process performance needs to be linked to organizational performance

SUPPLIERS INPUTS PROCESS OUTPUTS CUSTOMERS

OH&S Team Objectives and

With what? With Who?

• Monitoring and management of OH&SMS Management Program’s (MPs); Control

• Identifying the potential for emergency situations

• Identification and evaluation of operational controls and validation of acceptable risk

• Overall Effectiveness of the OH&SMS

• Occupational Health & Safety Enforcement Agency

Provides OBJECTIVE EVIDENCE

• Demonstrate conformity + compliance

• Plus two other business benefits – what are they?

• Preliminary Assessment (Mock/Trial)

• An audit is a management tool for monitoring and verifying the effective

• Ethical conduct – the foundation of professionalism

• Various psychometric tools in use, namely Myers Briggs, http://www.myersbriggs.org/

INITIATING the AUDIT

PREPARING for the AUDIT

• Description of the activities and arrangements for an audit

• Structured list of points to evaluate

Qualitative or quantitative information, records, or statements of fact pertaining to:

a) the safety of the employees or persons working on behalf of the

which is based on observation, measurement or test and which can be independently

• Use appropriate types of question

• Employee names and job titles

• Keep to the original audit plan

• The Audit Team should confer periodically to

• Time Wasting • Undermining

• A Major nonconformity is where there is a total break-down or absence of objective

• An Observation/Opportunity for Improvement is a remark by an Auditor which

• Audit objectives, scope and criteria

• Distribution should be limited to the Management Representative

• Review the audit findings against the audit objectives

• Collate all the information

• Be mindful of the level of your authority

• Corrective action takes place in a timely manner

Audit Team Client

• Lead Auditor • Top Executive/Manager

• Re-statement of audit objectives, scope, and criteria

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