Management System Certification

Audit Summary Report

Organization:

Address:

Standard(s):

Representative:

Date(s) of audit(s):

This report is confidential and distribution is limited to the audit team, audit attendees client representative and the Certification Body office.

1.  Audit objectives

The objectives of this audit were:

To determine conformity of the management system, or parts of it with audit criteria and its:

 -ability to ensure applicable statutory, regulatory and contractual requirements are met,

-effectiveness to ensure the client can reasonably expect to achieve specified objectives, and

-ability to identify as applicable areas for potential improvement.

2.  Scope of certification

Has this scope been amended as a result of this audit?

This is a multi-site audit and an Appendix listing all relevant sites and/or remote locations has been established (attached) and agreed with the client.

For integrated audits, confirm the current level of the client’s IMS integration:

3.  Current audit findings and conclusions

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives required by the standard(s). A sampling process was used, based on the information available at the time of the audit.  The audit methods used were interviews, observation of activities and review of documentation and records. The structure of the audit was in accordance with the audit plan included as an annexe to this summary report.

The audit team concludes that the organization

established and maintained its

4.  Previous Audit Results

The results of the last audit of this system have been reviewed, in particular to assure appropriate correction and corrective action has been implemented to address any nonconformity identified. This review has concluded that:

5.  Audit Findings

The audit team conducted a process-based audit focusing on significant aspects/risks/objectives. The audit methods used were interviews, observation of activities and review of documentation and records.

1-The management system documentation demonstrated conformity with the requirements of the audit standard and provided sufficient structure to support implementation and maintenance of the management system.

2-The organization has demonstrated effective implementation and maintenance / improvement of its management system and is capable of achieving its policy objectives, as well as and the intended results of the respective management system(s).

3-The organization has demonstrated the establishment and tracking of appropriate key performance objectives and targets and monitored progress towards their achievement.

4-The internal audit program has been fully implemented and demonstrates effectiveness as a tool for maintaining and improving the management system.

5-The management review process demonstrated capability to ensure the continuing suitability, adequacy and effectiveness of the management system.

6-Throughout the audit process, the management system demonstrated overall conformance with the requirements of the audit standard.

7-Certification claims are accurate and in accordance with CB guidance and the organization is effectively controlling the use of certification documents and marks.

6.  Significant Audit Trails Followed

The specific processes, activities and functions reviewed are detailed in the Audit Planning Matrix and the Audit Plan. In performing the audit, various audit trails and linkages were developed, including the following primary audit trails, followed throughout:

Relating to Previous Audit Results:

GUIDE TO AUDITORS

• The standard chapters marked with * must be checked during a surveillance audit at random, parts of the remaining chapters will be examined, depending on the time available.
• In the case of multi-site assessment MSA, the proofs per location must be explicitly stated.
  This usually concerns chapter 8.

Color legend:
Black        = Clause applicable for ISO 9001 + ISO 14001 + ISO 45001

Blue          = Clause applicable for ISO 9001

Green       = Clause applicable for ISO 14001

Red          = Clause applicable for ISO 45001 (In the case of migration from OHSAS to ISO 45001, checklist must be used)

Management System Processes

4.CONTEXT OF THE ORGANIZATION

4.1 Understanding the organisation and its context

The organisation has determined their external and internal issues and monitors and reviews the information about the external and internal issues. Proper Strategy has been drawn accordingly.

4.2 Understanding the needs and expectations of the interested parties

The organization has determined the interested parties and their needs and expectations and monitors and reviews the information about the interested parties and their requirements.

4.3 Determining the scope of the management systems

The organisation has determined the (geographic) boundaries and applicability of the management system – considering the external and internal issues, the requirements by the interested parties and their product and services.

The organisation and has correctly defined the scope.

4.4 Management system and its processes

The organization has established a management system including the processes and their interaction, the needed resources, the risks & opportunities, the monitoring to show the intended results / effectiveness of the management system.

The organization maintains documented information to the necessary extent.

5-LEADERSHIP

5.1 Leadership and commitment

Top management shows leadership and commitment according to the standard requirements (policy, resources, awareness, effectiveness). Top Management is fully committed to ensure that products and services fully meet all requirements (legal, customer and own requirements).

Top management demonstrate leadership and commitment with respect to the OH&S management system by:

- protecting workers from reprisals when reporting incidents, hazards, risks and opportunities;

- ensuring the organization establishes and implements a process(es) for consultation and participation of workers;

- supporting the establishment and functioning of health and safety committees

5.2 Policy

The top management periodically reviews the policy;
The policy meets the requirements of the norm;
The policy was publicized within the organization;

The policy is made accessible to interested parties.

The policy includes a commitment to:

- provide safe and healthy working conditions for the prevention of work-related injury and ill health;

- eliminate hazards and reduce OH&S risks;

- consultation and participation of workers, and, where they exist, workers’ representatives.

5.3 Organizational roles, responsibilities and authorities

Top Management makes sure that responsibilities and authorities for relevant roles are assigned to ensure the effectiveness of the management system.

5.4 Consultation and participation of workers

The organization has established, implemented and maintains a process for consultation and participation of workers, and, where they exist, workers’ representatives, that:

• provide mechanisms, time, training and resources necessary for consultation and participation;
• provide timely access to clear, understandable and relevant information about the OH&S management system;
• determine and remove obstacles or barriers to participation and minimize those that cannot be removed;
• emphasize the consultation of non-managerial workers.

6-PLANNING

6.1 Actions to address risks and opportunities

The organization has established, maintains and reviews a systematic analysis of the business risks and opportunities (process- and product-related) as well as an action plan to address them.

6.1. Actions to address risks and opportunities

6.1.2 Environmental aspects; 6.1.3 Compliance obligations; 6.1.4 Planning actions

The organization has determined using defined criteria the environmental aspects and the associated environmental impacts of its activities, products and services that it can keep under control, or on which it can exert influence considering a "life cycle" perspective.

The organization has determined the compliance obligations relating to its environmental aspects to a sufficiently detailed level and how these obligations apply to the organization.

The organization has planned actions to address its significant environmental aspects, its compliance obligations, as well as the risks and opportunities identified.

6.1 Actions to address risks and opportunities

6.1.2 Hazard identification and assessment of risks and opportunities, 6.1.3 Determination of legal requirements and other requirements; 6.1.4 Planning action

The organization has established, implemented and maintain a process for hazard identification that is ongoing and proactive and assesses the risks/opportunities according to defined methods.

The organization has identified a process for determining legal requirements and other updated requirements that are applicable to its hazards and risks to OH&S and to its OH&S management system. The organization has determined how these legal requirements and other requirements apply to the organization and what it is necessary to communicate.

The organization has planned actions to address the identified OH&S risks, legal requirements and other applicable compliance obligations and assess the effectiveness of the actions implemented.

6.2 Objectives and planning to achieve them

The organization has established measurable (if practicable) objectives at relevant functions and levels which are monitored and updated where appropriate.

6.3 Planning of changes

8.1.3 Change management

The organization ensures that all changes of the management system are managed in a planned and systematic manner.

7. SUPPORT

7.1 Resources

7.1.2 People

 7.1.3 Infrastructure; 7.1.4 Environment for the operation of processes

The organization has determined, makes available and maintains the necessary infrastructure (machines, EDP systems, buildings, etc.) and environment for the functioning of its processes in order to guarantee the conformity of the products/services provided.

 7.1.5 Monitoring and measuring resources

The monitoring and measurement equipment and the people made available by the organization to verify the conformity of the products/services are suitable - and are kept suitable - for the purpose and in this regard there are adequate documented evidences.

 7.1.6 Organizational knowledge

The organization has determined and keeps up-to-date the necessary knowledge (in particular those of the personnel) to guarantee the conformity of the products / services provided.

7.1.2 People

7.2 Competence

7.3 Awareness

The organization has identified and empowered people who are necessary for the effective implementation of the Management System (MS) and for the realization and management of its processes

The organization has determined the necessary competences for the personnel who carry out work activities under its control and verifies that the personnel satisfy them or has undertaken the appropriate actions to guarantee their acquisition (including the ability to identify hazards).

Personnel who work under the control of the organization are aware of the policy and objectives set by the organization, as well as the contribution they can make to the effectiveness of the MS, as well as the consequences of not complying with the requirements of the MS.

Workers are aware of the accidents, dangers, risks and related actions that concern them, as well as the ability to move away from work situations that can represent a serious and immediate danger for them and the arrangements to protect them from unjustified consequences if they do so.

7.4 Communication

The organization has established and maintains a concept about internal and external communication.

(including contractors and visitors to the workplace).

In establishing its communication modalities, the organization has considered the aspects of diversity and opinions of interested parties and these modalities allow workers to contribute to the improvement of the OH&S-Management System.

7.5 Documented information (Create and update, steering documented information)

The documental structure of the Management System is adequate to the complexity of the organization, its processes / products / services and the skills of the people and includes the documented information required by the applicable reference standard.

The documented information, incl. those of external origin, are identified, reviewed, approved, kept under control (distribution, access, retrieval, updating, storage and preservation, retention and elimination) and protected (confidentiality, integrity and maintenance of legibility), as appropriate.

8. OPERATION

Comment: Please report about all shifts which have been audited

8.1 Operational planning and control

The organization has established and monitors the processes identified as relevant of its Management System (incl. the outsourced processes) in order to implement the actions necessary to address risks and opportunities and governs these processes by implementing the necessary controls.

8.1.2 Eliminating hazards and reducing OH&S risks

The organization has established, implements and maintains a process for the elimination of dangers and the reduction of risks for OH&S using the "Hierarchy of controls".

8.1.3 Management of change

⇒see point 6.3

8.1.4 Procurement

⇒see point 8.4

8.2 Determination of requirements for products and services (PRODUCT QUALITY)

The organization has established and maintains processes to evaluate and review the requirements related to their products and services (client-specific, legal, company-specific) over the whole supply chain (including preservation during production, storage, transport and consuming) and including declaration of the products (country-specific in case of export).

8.2 Emergency preparedness and response

8.2 Emergency preparedness and response

The organization has established and maintains a procedure specifying how to respond to potential emergency situations and potential accidents.

8.3 Design and development of products and services

The organization has established and maintains a design process including all steps according to the standard requirements.

8.4 Controls of externally provided products and services

8.1.4 Procurement

The organization ensures that externally provided products and services conform to specific requirements via adequate selection and control processes of the provider and its product & service about its capabilities and management system.

8.5 Production and service provision

The organization ensures that the processes according to clause 8.1 are implemented. The organization has established and maintains a procedure to ensure identification and traceability of the products & services as well as correct use of property belonging to customers or external providers. The organization controls and reviews unplanned changes / is able to manage unplanned changes.

8.6 Release of products and services

The organization has established and implemented the planned arrangements at appropriate stages to verify and approve that the product and service requirements are met.

8.7 Control of nonconforming process outputs, products and services

The organization ensures a correct handling of products & services which do not fully meet the requirements:

1. Correction
2. Segregation
3. Acceptance under conditions
4. Etc

9. PERFORMANCE EVALUATION

9.1 Monitoring, measurement, analysis and evaluation

The organization has implemented a monitoring & measurement program including analysis and evaluation of the data as evidence of management system efficiency.

9.1.2 Customer satisfaction

The organization monitors and assesses the degree of satisfaction of customer needs and expectations and has determined the methods to obtain, monitor and evaluate this information.

9.1.2 Evaluation of compliance

9.1.2 Evaluation of compliance

The organization has determined the frequency for the assessment of the fulfilment of its compliance obligations and, based on the assessments performed, undertakes the appropriate actions. In addition, the organization keeps its knowledge of its compliance status up to date.

9.2 Internal audit

The organization has established and implemented an internal audit program including frequency, methods, responsibilities, planning and reporting requirements which takes into consideration:

1. Objectives
2. Importance of the processes concerned
3. Customer feedback
4. Changes impacting on the organization
5. Results of previous audit
6. The results are reported to Top Management

9.3 Management Review

Top Management perform some review of the effectiveness of the management system at planned intervals; the content of the management review meets the standard requirements.

10. IMPROVEMENT

10.1 General

10.2 Incident, nonconformity and corrective action

The organization systematically collects all findings arising from audits, complaints & appeals, failures; it evaluates the root causes, defines some corrective actions and controls their effectiveness.

When an incident or a nonconformity occurs, the organization:

1. Evaluate with the participation of workers and the involvement of other relevant interested parties the need for corrective actions;
2. Determines the necessary actions according to the “Hierarchy of controls”;
3. Review existing assessments of OH&S risks.

10.3 Continual improvement

The organization brings evidence that it continually improves the adequacy and effectiveness of the management system.

7.  Nonconformities

Number NCRs were raised as the result of this visit.

Next visit will be on

Nonconformities detailed here shall be addressed through the organization’s corrective action process, in accordance with the relevant corrective action requirements of the audit standard and shall include actions to analyse the cause of the nonconformity and prevent recurrence, and complete records maintained.

Note: - Initial, Re-certification and Extension audits – recommendation for certification cannot be made unless check box 4 is completed. For re-certification audits the time scales indicated may need to be reduced in order to ensure re-certification prior to expiry of current certification.

Note: At the next scheduled audit visit, the CB audit team will follow up on all identified nonconformities to confirm the effectiveness of the corrective actions taken.

8.  General Observations & Opportunities for Improvement

9.  Opening and Closing Meeting Attendance Record

3 Year Audit Programme:

Appendix A - Opening and Closing meeting agenda