Ohsas Audit and Certification Process TL Itb Rev1

Audit and Certification process of OHS Management System (OHSAS 18001:2007)
by Randy Ismail (Registered OHSAS Lead Assessor and HSE Product Manager)
Agenda
Section-1 Introduction and overview of OHS management system (OHSAS 18001: 2007) Certification process of OHS management system (OHSAS 18001: 2007) Audit process of OHS management system (OHSAS 18001: 2007) Section-2 Discussion

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Introduction and overview of OHS management system (OHSAS 18001: 2007)

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Development of OHS Management
From ...

Only a physical problem Staff function Responsibility of safety professionals Safety is no accidents Prevention of human suffering

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Development of OHS Management
To ...

A management responsibility Involves staff and line functions Control of all risks and potential accidents that may result in harm and damage Accidents are preventable Near-misses, property damage and poor quality share same basic causes

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Evolution of OH&S Standards
Proactive
Present & Future
Reactive
Yesterday
Prescriptive & Regulatory

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Goal-setting & Self-regulatory

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Development of the OH&S MS Standards

OHSAS 18001:1999 published April 1999 (obsolete)

Occupational health and safety management system Specification
OHSAS 18001:2007 published July 2007

Occupational health and safety management systems Requirements
OHSAS 18002:2000 published February 2000

Occupational health and safety management systems - Guidelines for the implementation of OHSAS 18001

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OHSAS 18001:2007
Sets out requirements for OH&S management system Similar to ISO 9001 and 14001 Describes good management practice but does not state how procedures and controls are to be operated Applicable to small or large organisations Applicable to any industry, organisation or activities
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OHSAS 18001:2007 - Main clause titles

1. Scope 2. Reference Publications
3. Terms and definitions 4. OH&S management system requirements

4.1 General requirements 4.2 OH&S policy 4.3 Planning 4.4 Implementation and operation 4.5 Checking and corrective action 4.6 Management review

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Scope
To enable an organization to control its OH&S risks and improve its performance. It does not state specific OH&S performance criteria, nor does it give detailed specifications for the design of a management system. The extent of the application will depend on such factors as the OH&S policy of the organization, the nature of its activities and the risks and complexity of its operations. This OHSAS standard is intended to address occupational health and safety rather than product/services safety or property damage.

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OHSAS 18001:2007 MODEL
Continual improvement Management review Checking and corrective action OH & S policy Planning Implementation and operation

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METODOLOGI OHSAS 18001
plan act
do check

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p d a c
HAZARD IDENTIFICATION 4.3.1
LEGAL & OTHER REQUIREMENTS IDENTIFICATION 4.3.2
PLAN
RISK ASSESSMENT 4.3.1
POLICY 4.2
DO
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PLAN
NEED IMPROVEMENT EMERGENCY PLAN
p d a c
CONTROL
DO
OBJECTIVES & PROGRAM 4.3.3
EMERGENCY PROCEDURE 4.4.7
RISK CONTROL & OPERATIONAL CONTROL PROCEDURE 4.3.1 & 4.4.6
CHECK
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DO
PERFORMANCE MEASUREMENT & MONITORING 4.5.1 COMPLIANCE EVALUATION 4.5.2 INTERNAL AUDIT 4.5.5
p d a c
CHECK
ACT
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ACT / REVIEW CHECK PLAN
MANAGEMENT REVIEW 4.6
p d a c
4.4.1 Resources, roles, responsibility, accountability and authority 4.4.2 Competence, training & awareness
Supporting process:
4.4.3 Communication, participation & consultation 4.4.4 Documentation 4.4.5 Control of documents 4.5.2 Incident investigation, NC, corrective & preventive action 4.5.4 Control of records

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Causes And Control Model

Causes
Root Causes
Individual & Occupational Factors
Immediate Causes
Unsafe Acts and Conditions
Contacts
Accidents
Programs and Procedures
Checks and Corrections
Contact Controls
Response & Mitigation
Controls
Management System
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Certification process of OHS management system (OHSAS 18001: 2007)

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Generic types of audit
Customer
2nd Party Audit
3rd Party Audit
Independent Organisation
Organisation
1st Party Audit

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Accreditation structure
Government Government Agencies* Agencies*
*Where applicable. Also other interested parties.
Officially Recognise
Accreditation Accreditation Bodies Bodies

Accredit
Certification Certification Bodies Bodies

Certificate
Organisations Organisations

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Stages in certification

Contract review Pre-audit Document review Main Audit Review of audit findings Surveillance Certificate renewal
3 years

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PREREQUISITES FOR REGISTRATION

All factors relating to the scope of Registration have been included in the documented management system System implemented at least 3 months A complete round of Internal Audits has been carried out on the entire Management System, and that corrective action has been performed on any significant non-conformances discovered in the system. A Management Review according to OHSAS 18001 requirements has been carried out after completion of the Internal Audits and evidence of this review has been maintained.


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CERTIFICATION PROCESS OHSAS

Renewal Certification Process Submit Min. 3 weeks before audit Manual & Stage 2 Procedure Audit 6-monthly Surveillance Audit
PreAudit
Stage 1 Audit
major
Y
major
Y
3 year
Corrective Action OPTIONAL
Stage 1 Audit Report Submitted
Corrective Actions
Max. 3 months
Corrective Actions Max. 3 months
Follow-up audit
Follow-up audit
Company
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CERTIFICATION PROCESS OHSAS

Renewal Certification Process Submit Min. 3 weeks before audit Manual & Stage 2 Procedure Audit Submission action taken N major Max. 1 month Y Corrective Actions Max. 3 months 6-monthly Surveillance Audit Submission action taken Y 3 year major Max. 2 weeks Y Corrective Actions Max. 3 months
PreAudit
Stage 1 Audit
Corrective Action OPTIONAL
Stage 1 Audit Report Submitted
Follow-up audit
Follow-up audit
Company
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STAGE 1 AUDIT
The purpose : Evaluate the state of readiness of the auditee to undergo stage 2 audit Obtain pertinent information for the effectiveness of stage 2 audit Prepare plan for stage 2 audit Provide feedback to company to facilitate continual improvement

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STAGE 1 AUDIT
Auditor will look at :
OHS Manual OHS Policy OHS Procedure HIRARC identification
To ensure that All elements of the Management System Standards are being addressed
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STAGE 2 AUDIT On Site
The purpose : Confirm that the organizations management system and associated activities conform to standard and other companys requirements Confirm that companys management system has the capability to maintain conformance over time Provide feedback to company to facilitate continual improvement

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SITE ASSESSMENT
Opening Meeting Team Leader introduces team Confirmation of scope of registration Confirmation of audit agenda/itinerary Confirmation of confidentiality Explanation how assessment will be done Explanation findings (Observation, Minor, Major) Explanation of possible outcomes of assessment
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SITE ASSESSMENT
Familiarization tour site (if needed) Process based audit Obtain objective evidence to verify implementation of procedures Conversation with staff at all levels to ascertain understanding system Informal discussions with MR/escorts when potential Nonconformances are found Debriefing at end of each day NO SURPRISES AT THE CLOSING MEETING !!
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AUDITORS MEETING
Auditors meeting after Assessment Review findings Classify findings Prepare CARs

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Findings during the audit are classified as:

Minor CARs (Corrective Action Requests) Will be recommended for registration Close out during next surveillance audit (6 months later) Major CARs (Corrective Action Requests) NOT failure - but a delay in award of certificate Will be recommended for registration after successful close out within 3 Months Opportunities for Improvement Areas of improvement Potential non-conformance
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CLOSING MEETING
Team leader advises company of RECOMMENDATION Confirmation of scope Explanation of findings MR acknowledges CARs
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Post Audit
Official Report Certificate and Assessment Schedule Promotional Materials Banner Flags

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Certificate OOO1
The management system of
PERMATA BANK, PT. Tbk

Jl. MH Thamrin Blok B1 no. 1 Bintaro, Jakarta Indonesia has been assessed and certified as meeting the requirements of
THE CERTIFICATE
OHSAS 18001
For the following activities
Building Management of Permata Bank Tower 3, Bintaro
This certificate is valid from 3 December 2007 until 03 December 2010 Issue 01. Certified with SGS since December 2007
Authorised by
SGS Indonesia World Trade Center, 14th fl. Jl. Jend Sudirman kav. 29-31 Jakarta 12920 t +62 (21) 5211211f +62 (21) 5264536www.sgs.co.id Page 34 of 1

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SURVEILLANCE VISITS
Conducted every six months at a date convenient to you Review of new procedures and any other changes Close out of Corrective Action Request (CAR) raised on previous visit Review 20 - 40 percent of system Always review of Internal Audit & Management Review, Preventive and Corrective Action, Certification claims, Objectives and Continual Improvement, Communication with interested parties, Significant changes to the documentation, Accidents and other reported incidents

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Some of SGS Experiences in OHSAS 18001 Certification

ABB Transmission and Distribution Indonesia Apartemen Eksekutif Menteng Asia Health Energi Beverages Astra Sedaya Finance Dankos Laboratories Tbk Elnusa Workover Services Hutama Karya (Persero) Dunia Kimia Jaya Kaltim Prima Coal

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Indo Raya Kimia Indofood Sukses Makmur Bogasari Flour Mills Surabaya Indominco Mandiri Kalbe Farma Tbk Monagro Kimia Musashi Auto Parts Indonesia National Gobel


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Peroksida Indonesia Pratama Pulau Sambu Kuala Enok Rumah Sakit Duren Sawit Terminal Petikemas Surabaya / TPS Vosen Pratita Kemindo Waskita Karya Zebra Asaba Industries April Group - Riau Complex Riau Fiber

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Audit process of OHS management system (OHSAS 18001: 2007)

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Four phases of any audit
Audit criteria Auditor resources Company information Scope of Audit
Planning
Preparation
Performance
Reporting & Follow-up
Team with relevant skills Duration of audit Who/When/Where

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Review documentation, including: OHSMS Policy OHSMS Manual Hazard Identification and Risk Assessment Legal and other requirements
Planning
Preparation
Audit Plan Checklists Information to brief team Communicate with client
Performance

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Communication established between company and auditors Interviews Observation Audit Evidence Review of Procedures Analysis of Records
Planning
Preparation
Performance
Findings based on audit evidence Identifying nonconformity or areas of risk Opportunities for improvement

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Scope Methodology Findings Conclusions
Planning
Preparation
Performance
Record as input to planning for future audits Closure of n/c, recommendations etc.

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OHSMS auditor certification schemes

Based on ISO 19011 (Guidelines for quality and/or environmental management systems auditing) Specific requirements for certification and maintenance (e.g. through CPD / Continuing Professional Development) Review and verification of qualifications, experience etc. Registration at appropriate grade, e.g.
IRCA (International Register of Certificated Auditors)
OH&S Internal Auditor OH&S Provisional Auditor OH&S Auditor OH&S Lead Auditor OH&S Principal Auditor


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Training and experience

Auditor Education Total Work Experience Work Experience in OHS Management System Auditor Training Team Leader
Secondary Education 5 years, or 4 years with a degree or near degree 2 of total 5 years
40 hours for an IRCA certified OH&S Auditor/Lead Auditor course or accepted alternative (if already Quality auditor, 24 hours) 4 complete audits at least 3 complete audits at least 20 days under supervision 15 days under supervision
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Audit Experience

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Competence
Generic Auditing Competences :

Audit principles, procedures and techniques. OHS Management system and Standard Organizational situations that enable you to comprehend the organizations operational context. Applicable OHS laws, regulations and other requirements. OH&S management methods and techniques.


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Competence
OH&S Technical Competences :
The management of risk.

Causes of accidents and ill health, principles of risk evaluation and risk management, measuring, monitoring and reviewing health & safety performance etc.

Legal and organizational factors within the country or area of operation. Workplace activities.
Safety in construction and demolition, Safety during maintenance work, Fire safety etc.

Work equipment.
Selection, use and maintenance of work equipment, Machinery safety etc.
Agents in the workplace

Chemical, Physical and Biological health hazards etc.

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Personal Attributes
Hard working Resilient Inquiring Well organised Assertive Accepts unpopularity Alert Tenacious Analytical Interested Honest Good Listener Patient Self disciplined
Diplomatic Professional Impartial
Sober Good Communicator Open minded Human Articulate
Good judgement

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SGS as a Certification Body

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Is THE Global Group

Established in 1878 - Head Office in Geneva, Switzerland 33000 employees -1000 Offices and 320 Laboratories in more than 120 Countries SGS is recognized as the global benchmark for the highest standards of expertise, quality and integrity

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with Global capability at your service!

Europe
422 offices 115 laboratories
North America
Asia - Pacific Africa Middle East

Latin America

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In the Certification industry*

50000 clients
No1
70000 certifications
in 130 countries
* as of 06/2003
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Systems and Services Certification Indonesia
In Indonesia Certification industry*
No1
SGS RANKS NO. 1 in:

Over 1,000 clients
Reputation Auditor Expertise Auditor Professionalism Auditor Contribution to Improvement Integrity Administration Communication and follow up Sales & Marketing Information about new standards
*As per customer satisfaction survey result (2005)

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WANT MORE THAN JUST A CERTIFICATE?
TURN YOUR AUDITING INTO A MANAGEMENT IMPROVEMENT TOOLS

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CERTIFICATION FROM THE WORLD LEADER CAN BE MORE AFFORDABLE THAN YOU THINK
INCLUDES INTERNATIONAL CREDIBILITY, TRANSPERANCY, PROVEN REABILITY AND THE OPTION TO LEVERAGE INTO ADVANCED SYSTEM MANAGEMENT

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We provide you with:

The widest range of auditing and certifications services Innovative services that measurably increase the return on your certification investment The most experienced and qualified auditors in the industry The worlds most extensive coverage Recognised independence and impartiality The most supporting and complete clients development medium Company Logo at certificate Additional Certificate of any chosen language at reasonable cost (English, Japanese, Bahasa Indonesia, Mandarin Simplified and French)
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May, 2008
We provide you with:

Free-of-charge Executive briefing Get ready for your
certification audit
Free-of-charge Annual SGS Quality Network
Conference
Free-of-charge Horizons (SGS newsletter) Participate in SGS Annual Quality Award Free-of-charge marketing promotion tools support
upon Initial Certification (e.g. mouse pad, banners, flags)

Key account service to assist clients with technical
and administrative inquiries

Toll Free Technical Help Desk to assist clients in any
queries relating to Certification matters

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The widest range of services

Systems and Services Certification against ISO standards and other proprietary / public Normative Reference Documents
Quality Health and Safety Logistics Services Aerospace Environment Food Forestry Corporate Responsibility Social Responsibility Information Technology Product
2nd Party Auditing to Client developed standards and Codes of Practice

(Supplier Assessments, Code of Practice audit, Internal audit)
Integrated Services
Multiple 3rd party certification and 2nd Party auditing on demand
Training Services
Registered Lead Assessor training programs
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Training services
ISO 9001:2000 Lead Auditor Course (IRCA Registered) ISO 14001 EMS Advanced Lead Auditor Course (IEMA Registered) OHSAS 18001 Advanced Lead Auditor Course (IRCA Registered) HACCP/ISO 22000 Lead Auditor (IRCA Registered) HACCP/ISO 22000 Internal Audit ISO/TS 16949 Interpretation, Documentation and Internal Audit Six Sigma Introduction Course Management Representative for QHSE Management System Calibration (based on ISO 17025) Hazard Identification, Risk Assessment and Risk Control

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The most experienced and qualified Auditors

Qualified
Our auditors are trained as qualified lead auditors in a minimum of three industry sectors and two standards. They acquire specific audit techniques, industry and relevant regulatory knowledge to conduct the most professional certification audits
Experienced
Our auditors are required to identify and cross-reference the best practices within these industries, to increase their experience and judgement in order to make real value added recommendations
Experiencedabroad
Our auditors have international exposure: we believe international exposure increases the level of our auditors expertise and responsiveness to unusual situations / industry configurations
Auditors that share knowledge:

Our auditors share knowledge and best practices whenever our Audit code of conduct allows it

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Recognised independence, impartiality & integrity

Independence
SGS has no manufacturing or trading interests which could compromise its independence
Impartiality
Over 125 years worldwide track record of impartiality in Verification, Testing and Certification services
Integrity
All SGS employees are bound by the SGS CODE OF ETHICS (be honest and transparent in all SGS activities, avoid conflict of interest, comply with all applicable laws and regulations, maintain a culture where ethical conduct is recognised and valued). Nothing, not client wishes, nor revenue growth, nor profitability, nor instructions from above, is more important than integrity. All employees, manager and executives are responsible for making compliance a vital part of our business process
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360 World coverage

We certify customers everywhere in the world!
SGS has certification operations in more than 70 countries SGS has certified Customers in more than 130 countries
against practically any standard

SGS is currently accredited by 32 national accreditation bodies from 34 countries and authorised to conduct certification audits under these accreditations in every country around the world

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SGS Accreditations
Europe / Africa / Middle East
Spain Italy Switzerland UK Holland France Germany
Finland Belgium Portugal

98/OCF.01 98/OCF.01
Hungary
Certificao Certificao Gesto da Gesto da Qualidade Qualidade
Bulgaria
Romania
South Africa
Asia Pacific North and South America

Canada USA Argentina Brazil Australia/ N. Zealand Malaysia China Japan Thailand Philippines Indonesia
Chile
Reg. No SC 002
Colombia
Mexico
Uruguay
OCSC NRO. 003
Hong Kong
Korea
Singapore
Taiwan

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SGS Indonesia Clients (as per Dec 2005)

ISO 9001 ISO 14001 QS 9000 ISO/TS 16949 SA8000/WRAP HACCP GMP BRC/IFS BS 7799 OHSAS 18001 Healthmark CE Mark TOTAL
: 981 companies : 155 companies : 16 companies : 21 companies : 26 companies : 60 companies : 15 companies : 14 companies : : : 1 company 3 hospitals 1 company : 28 companies
1321 companies
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Some of SGS Clients

EAC 01: Agriculture , fishing EAC 02: Mining and quarrying EAC 03: Food products, beverage and tobacco EAC 04: Textiles and textile products EAC 05: Leather and leather products EAC 06: Wood and wood products EAC 07: Pulp, paper and paper products EAC 08: Publishing companies EAC 09: Printing companies

EAC 10: Manufacture of coke and refined petroleum products EAC 11: Nuclear fuel EAC 12: Chemicals, chemical products and fibers EAC 13: Pharmaceuticals EAC 14: Rubber and plastic products EAC 15: Non-metallic mineral products EAC 16: Concrete, cement, lime, plaster etc. EAC 17: Basic metals and fabricated metal products
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May, 2008
Some of SGS Clients

EAC 18: Machinery and equipment EAC 19: Electrical and optical equipment EAC 20: Shipbuilding EAC 21: Aerospace EAC 22: Other transport equipment EAC 23: Manufacturing not elsewhere classified EAC 24: Recycling EAC 25: Electricity supply EAC 26: Gas supply EAC 27: Water supply EAC 28: Construction

EAC 29: Wholesale and retail trade EAC 30: Hotels and restaurants EAC 31: Transport, storage and communication EAC 32: Financial intermediation, real estate and renting EAC 33: Information technology EAC 34: Engineering services EAC 35: Other services EAC 36: Public administration EAC 37: Education EAC 38: Health and social work EAC 39: Other social services
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WHEN YOU NEED TO BE SURE!

Randy Ismail System & Services Certification HSE Product Manager PT SGS Indonesia Cilandak Commercial Estate #108 C Jl. Raya Cilandak KKO, Jakarta, Indonesia, 12560 Phone : +62 21 781 8111 Fax: : +62 21 780 7914 Mobile : +62 811 892 983 E-mail : randy.ismail@sgs.com

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Discussion
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Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Introduction and overview of OHS management system (OHSAS 18001: 2007)

Development of OHS Management

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Development of OHS Management

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Evolution of OH&S Standards

Present & Future

Prescriptive & Regulatory

Goal-setting & Self-regulatory

Development of the OH&S MS Standards

OHSAS 18001:1999 published April 1999 (obsolete)

OHSAS 18001:2007 published July 2007

OHSAS 18002:2000 published February 2000

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

OHSAS 18001:2007 - Main clause titles

1. Scope 2. Reference Publications

3. Terms and definitions 4. OH&S management system requirements

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

OHSAS 18001:2007 MODEL

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

METODOLOGI OHSAS 18001

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

METODOLOGI OHSAS 18001

HAZARD IDENTIFICATION 4.3.1

LEGAL & OTHER REQUIREMENTS IDENTIFICATION 4.3.2

RISK ASSESSMENT 4.3.1

METODOLOGI OHSAS 18001

OBJECTIVES & PROGRAM 4.3.3

EMERGENCY PROCEDURE 4.4.7

RISK CONTROL & OPERATIONAL CONTROL PROCEDURE 4.3.1 & 4.4.6

METODOLOGI OHSAS 18001

METODOLOGI OHSAS 18001

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Causes And Control Model

Programs and Procedures

Checks and Corrections

Response & Mitigation

Certification process of OHS management system (OHSAS 18001: 2007)

Generic types of audit

2nd Party Audit

3rd Party Audit

1st Party Audit

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Government Government Agencies* Agencies*

*Where applicable. Also other interested parties.

Accreditation Accreditation Bodies Bodies

Certification Certification Bodies Bodies

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

PREREQUISITES FOR REGISTRATION

Audit and Certification process of OHS Management System (OHSAS 18001:2007)

CERTIFICATION PROCESS OHSAS

Corrective Action OPTIONAL

Stage 1 Audit Report Submitted

Corrective Actions Max. 3 months

CERTIFICATION PROCESS OHSAS

Corrective Action OPTIONAL

Stage 1 Audit Report Submitted

Audit and Certification process of OHS Management System (OHSAS 18001:2007)