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“Audit and Certification process

of OHS Management

System (OHSAS 18001:2007)”

by Randy Ismail

(Registered OHSAS Lead Assessor and HSE Product

Manager)

Presenter�

Presentation Notes�

Sudah banyak seminar sejenis? What is the different? Seminar ini tidak hanya menjelaskan apa yg berubah & isi dari OHSAS yg barumya? Tapi apa konsekwensi perubahan thd pelaksanaan sistem itu sendiri.�

2Audit and Certification process of OHS Management System (OHSAS 18001:2007)May, 2008

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

Presenter�


Ada 3 section. Section 1: Berubah krn ada konspirasi global, CB, consultan, & toko fotocopy. What is the arrangement for the user/certified or new comer & timeframe for use old version. Key changes ada di FOREWORD std. Bedanya di seminar ini kita bicarakan reason berubah & benefitnya. 2/3 waktu utk intro new ohsas. Tidak detil tapi membahas dampak perubahan thd pelaksanaan sistem yg ada. Terakhir diskusi. Yg tidk sempat, tulis di kertas plus almt emailnya. Dibalas mellui email. �


Introduction and overview of OHS management system

(OHSAS 18001: 2007)

Presenter�


OHSAS 99 sudah 8 thn digunakan dlm penerapan sistem. Persis 14001:1996. Kenapa sekrg dirubah?�


Only a physical problem

Staff function

Responsibility of safety professionals

Safety is “no accidents”

Prevention of human suffering

From ...

Development of OHS Management


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

To ...

Development of OHS Management


Evolution of OH&S Standards

Goal-settingPrescriptive

Proactive

Reactive

Present & Future

Yesterday

& Regulatory & Self-regulatory

Presenter�


On December 4, 1984, a cloud of methyl isocyanate gas, an extremely toxic chemical, escaped from a Union Carbide chemical plant in Bhopal, India. Between 4,000 and 5,000 people* lost their lives. Tens of thousands more were injured, some suffering permanent disabilities. The pending lawsuits claim that approximately 80,000 people* were affected.�


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


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


OHSAS 18001:2007 - Main clause titles

1. Scope

2. Reference Publications

3. Terms and definitions4. 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

Presenter�


Mirip dgn ems, persyaratan di mulai dg psl 4.1 sampai 4.6�


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.

Presenter�


Audit Ohsas bukan audit performance, tapi sistem manajemen. Performance di cek utk dasar continual improvement. Tidak di atur kriteria performance spt incident rate, desaign system, ohsms belum tentu sama di tiap perusahaan. Mis. Risk ass. & investigasi kec.�


OH & Spolicy

Planning

Implementationand operation

Checking andcorrective action

Managementreview

Continualimprovement

OHSAS 18001:2007 MODEL

Presenter�


Idealnya policy di buat setelah risk assessment agar sesuai dg nature & scale of OHS’ risks�


plan do

checkact

METODOLOGI OHSAS 18001

Presenter�


Pdca sama dgn ems, konsep yg sangat logis dlm manajemen secara umum.�


HAZARD IDENTIFICATION 4.3.1

LEGAL & OTHER REQUIREMENTS IDENTIFICATION

4.3.2

RISK ASSESSMENT

4.3.1POLICY

4.2

PLAN

p dca

DO


Presenter�


Dgn asumsi bahwa ohsas adl sistem mgt utk mengelola resiko terkait K3 thd pekerja, maka plan mencakup segala sesuatu ttg menentukan apa yg harus di kelola=unacceptable risk & applicable legal reqs.�


NEED IMPROVEMENT

DO OBJECTIVES

& PROGRAM

4.3.3

EMERGENCY PLAN

EMERGENCY PROCEDURE

4.4.7

CONTROL

RISK CONTROL & OPERATIONAL

CONTROL PROCEDURE

4.3.1 & 4.4.6

p dcaPLAN

CHECK


Presenter�


Apa yg harus di DO tgt kondisi response yg ada thd unacceptable risk or peraturan yg harus di taati.�


p dca


PERFORMANCE MEASUREMENT &

MONITORING

4.5.1COMPLIANCE EVALUATION

4.5.2

INTERNAL AUDIT

4.5.5

CHEC

KDO

ACT

Presenter�


4.5.1 mencakup monitoring effektifias risk control/opeartional control&Obj/program, 4.5.2 compliance ke legal & other, 4.5.5 cek sistem incl. 4.5.1&4.5.2�


MANAGEMENT REVIEW

4.6

ACT

/ REV

IEW

p dca

Supportingprocess:

4.4.1 Resources, roles, responsibility, accountability and authority

4.4.2 Competence, training & awareness

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

CHECK

PLAN


Presenter�


Mgt output menjadi input utk planning. Pasal lainnya sbg supporting: utk documen, record & orang:training&komunikasi & NCPA�


Management System

Root CausesIndividual &

Occupational Factors

Immediate Causes

Unsafe Acts and Conditions

Contacts Accidents

Programs and Procedures Checks and

CorrectionsContact Controls

Response & Mitigation

Causes

Controls

Causes And Control Model


Certification process of OHS management system

(OHSAS 18001: 2007)

Presenter�


Mengingat waktu, tdk detil, tapi lebih ke konsep dasar & dampak perubhn ke pelaksanaan sistem.�


Generic types of audit

Customer

Independent Organisation Organisation 1st Party

Audit

2nd Party Audit

3rd Party Audit


Accreditation structure

Government Agencies*Government Agencies*

Accreditation BodiesAccreditation Bodies

Certification BodiesCertification Bodies

OrganisationsOrganisations

Officially Recognise

Accredit

Certificate

*Where applicable. Alsoother interested parties.


3 years

Stages in certification

Contract review

Pre-audit

Document review

Main Audit

Review of audit findings

Surveillance

Certificate renewal


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.


Submit Manual & Procedure

Stage 1Audit

Stage 1 Audit Report

Submitted

Pre-Audit

CorrectiveAction

Stage 2Audit

CorrectiveActions

Follow-up audit

6-monthlySurveillance

Audit

CorrectiveActions

Follow-up audit

3 yearY

Renewal Certification Process

CERTIFICATION PROCESS – OHSAS

Min. 3 weeks before audit

OPTIONAL

majormajor

Max.3

months

N

Y Y

Max.3

months

Company


Submit Manual & Procedure

Stage 1Audit

Stage 1 Audit Report

Submitted

Pre-Audit

CorrectiveAction

Stage 2Audit

CorrectiveActions

Follow-up audit

6-monthlySurveillance

Audit

CorrectiveActions

Follow-up audit

3 yearY

Renewal Certification Process

CERTIFICATION PROCESS – OHSAS

Min. 3 weeks before audit

OPTIONAL

majormajor

Max.3

months

N

Y Y

Max.3

months

Company

Submission action taken

Max.1 month

Submission action taken

Max.2 weeks


STAGE 1 AUDIT

The purpose :Evaluate the state of readiness of the auditee to undergo stage 2 auditObtain pertinent information for the effectiveness of stage 2 auditPrepare plan for stage 2 auditProvide feedback to company to facilitate continual improvement


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

STAGE 1 AUDIT


STAGE 2 AUDIT – On Site

The purpose :Confirm that the organization’s management system and associated activities conform to standard and other company’s requirementsConfirm that company’s management system has the capability to maintain conformance over timeProvide feedback to company to facilitate continual improvement


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

SITE ASSESSMENT


NO SURPRISES AT THE CLOSING MEETING !!

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

SITE ASSESSMENT


Auditors meeting after Assessment

Review findings

Classify findings

Prepare CAR’s

AUDITORS MEETING


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

Findings during the audit are classified as:


Team leader advises company of RECOMMENDATION

Confirmation of scope

Explanation of findings

MR acknowledges CAR’s

CLOSING MEETING


Official Report

Certificate and Assessment Schedule

Promotional MaterialsBannerFlags

Post Audit


Certificate OOO1

The management system of

PERMATA BANK, PT. TbkJl. MH Thamrin Blok B1 no. 1

Bintaro, JakartaIndonesia

has been assessed and certified as meeting the requirements of

OHSAS 18001For 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. 29-31Jakarta 12920

t +62 (21) 5211211□f +62 (21) 5264536□www.sgs.co.idPage 34 of 1

THE CERTIFICATE


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

SURVEILLANCE VISITS


Some of SGS Experiences in OHSAS 18001 Certification

ABB Transmission and Distribution IndonesiaApartemen Eksekutif MentengAsia Health Energi BeveragesAstra Sedaya FinanceDankos Laboratories TbkElnusa Workover ServicesHutama Karya (Persero)Dunia Kimia JayaKaltim Prima Coal



Indo Raya Kimia

Indofood Sukses Makmur Bogasari Flour Mills -Surabaya

Indominco Mandiri

Kalbe Farma Tbk

Monagro Kimia

Musashi Auto Parts Indonesia

National Gobel



Peroksida Indonesia PratamaPulau Sambu Kuala EnokRumah Sakit Duren SawitTerminal Petikemas Surabaya / TPSVosen Pratita KemindoWaskita KaryaZebra Asaba IndustriesApril Group - Riau ComplexRiau Fiber


Audit process of OHS management system

(OHSAS 18001: 2007)


Planning Preparation Performance Reporting &Follow-up

Audit criteriaAuditor resourcesCompany informationScope of Audit

Team with relevant skillsDuration of auditWho/When/Where

Four phases of any audit



Review documentation, including:OHSMS PolicyOHSMS ManualHazard Identification and Risk AssessmentLegal and other requirements

Audit PlanChecklistsInformation to brief teamCommunicate with client




Findings based on audit evidenceIdentifying nonconformity or areas of riskOpportunities for improvement

Communication established between company and auditorsInterviewsObservationReview of ProceduresAnalysis of Records

Audit Evidence




ScopeMethodologyFindingsConclusions

Record as input to planningfor future auditsClosure of n/c, recommendations etc.



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


Training and experience

Auditor Team Leader

Education Secondary Education

Total Work Experience 5 years, or 4 years with a degree or near

degreeWork Experience in OHS Management System

2 of total 5 years

Auditor Training 40 hours for an IRCA certified OH&S Auditor/Lead Auditor course or accepted alternative (if already

Quality auditor, 24 hours)Audit Experience 4 complete audits at least

20 days under supervision3 complete audits at least 15 days under supervision


Competence

Audit principles, procedures and techniques.

OHS Management system and Standard

Organizational situations that enable you to comprehend the organization’s operational context.

Applicable OHS laws, regulations and other requirements.

OH&S management methods and techniques.

Generic Auditing Competences :


Competence

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.

OH&S Technical Competences :


Hard working

Self disciplined

Well organised

Professional

Assertive

Diplomatic

Good Communicator

Patient

Alert

Inquiring

Tenacious

Interested

Impartial

Open minded

Good Listener

Analytical

Good judgement

Articulate

Honest

Accepts unpopularity

Resilient

Human

Sober

Personal Attributes


SGS as

a Certification Body


Is THE Global GroupEstablished in 1878 - Head Office in Geneva, Switzerland

33’000 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


North America100 offices105 laboratories

Latin America98 offices30 laboratories

Europe422 offices115 laboratories

AfricaMiddle East137 offices39 laboratories

Asia - Pacific212 offices54 laboratories

with Global capability at your service!


No1

* as of 06/2003

In the Certification industry*

50’000 clients

70’000 certificationsin 130 countries


ReputationAuditor ExpertiseAuditor ProfessionalismAuditor Contribution to ImprovementIntegrityAdministrationCommunication and follow upSales & MarketingInformation about new standards

*As per customer satisfaction survey result (2005)

SGS RANKS NO. 1 in:

Systems and Services Certification - Indonesia

No1In Indonesia Certification industry*

Over 1,000 clients


WANT MORE THAN

JUST

A CERTIFICATE?

TURN YOURAUDITINGINTO

A MANAGEMENT

IMPROVEMENT TOOLS


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


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 world’s most extensive coverage

Recognised independence and impartiality

The most supporting and complete client’s development medium

Company Logo at certificate

Additional Certificate of any chosen language at reasonable cost (English, Japanese, Bahasa Indonesia, Mandarin Simplified and French)

We provide you with:


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


Systems and Services Certification against ISO standards and other proprietary / public Normative Reference DocumentsQuality Aerospace Corporate ResponsibilityHealth and Safety Environment Social ResponsibilityLogistics Food Information TechnologyServices Forestry 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

The widest range of 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

Training services


QualifiedOur 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

ExperiencedOur 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

Experienced…abroad

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

The most experienced and qualified Auditors


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


360º World coverageWe certify customers everywhere in the world!

SGS has certification operations in more than 70 countriesSGS 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


Colombia

SGS Accreditations

Belgium

Brazil

France

Canada

Japan

Germany

Australia/N. Zealand

Italy Switzerland

Chile

Spain

China Philippines

Hungary

Mexico

Indonesia

Singapore

Thailand

TaiwanKorea

FinlandPortugal

98/OCF.01

CertificaçãoGestão daQualidade

98/OCF.01

CertificaçãoGestão daQualidade

ArgentinaUSA

Hong Kong

UK

Bulgaria Romania South Africa

Malaysia

Europe / Africa / Middle East

North and South AmericaAsia Pacific

Holland

Reg. No SC 002

OCSC NRO. 003

Uruguay


ISO 9001 : 981 companies

ISO 14001 : 155 companies

QS 9000 : 16 companies

ISO/TS 16949 : 21 companies

SA8000/WRAP : 26 companies

HACCP : 60 companies

GMP : 15 companies

BRC/IFS : 14 companies

BS 7799 : 1 company

OHSAS 18001 : 28 companies

Healthmark : 3 hospitals

CE Mark : 1 company

TOTAL 1321 companies

SGS Indonesia Clients (as per Dec 2005)


EAC 01: Agriculture , fishingEAC 02: Mining and quarryingEAC 03: Food products, beverage and tobaccoEAC 04: Textiles and textile productsEAC 05: Leather and leather productsEAC 06: Wood and wood productsEAC 07: Pulp, paper and paper productsEAC 08: Publishing companiesEAC 09: Printing companies

Some of SGS ClientsEAC 10: Manufacture of coke and refined petroleum productsEAC 11: Nuclear fuelEAC 12: Chemicals, chemical products and fibersEAC 13: PharmaceuticalsEAC 14: Rubber and plastic productsEAC 15: Non-metallic mineral productsEAC 16: Concrete, cement, lime, plaster etc.EAC 17: Basic metals and fabricated metal products


EAC 18: Machinery and equipmentEAC 19: Electrical and optical equipmentEAC 20: ShipbuildingEAC 21: AerospaceEAC 22: Other transport equipmentEAC 23: Manufacturing not elsewhere classifiedEAC 24: RecyclingEAC 25: Electricity supplyEAC 26: Gas supplyEAC 27: Water supplyEAC 28: Construction

Some of SGS ClientsEAC 29: Wholesale and retail tradeEAC 30: Hotels and restaurantsEAC 31: Transport, storage and communicationEAC 32: Financial intermediation, real estate and rentingEAC 33: Information technologyEAC 34: Engineering servicesEAC 35: Other servicesEAC 36: Public administrationEAC 37: EducationEAC 38: Health and social workEAC 39: Other social services


WHEN YOU NEED TO BE SURE!

Randy IsmailSystem & Services Certification HSE Product Manager

PT SGS IndonesiaCilandak Commercial Estate #108 CJl. Raya Cilandak KKO, Jakarta, Indonesia, 12560

Phone : +62 21 781 8111 Fax: : +62 21 780 7914

Mobile : +62 811 892 983E-mail : [email protected]


Discussion