Exercise 1 Audit Planning Bureau Veritas

Exercise 1

Audit Planning

Format: Skills based Practical Evaluation - delegates will be evaluated on

their ability to meet the exercise objectives

Objective: To give practical experience of planning an integrated

management system audit.

To determine conformance with management system

requirements

To cover appropriate clauses of ISO 9001:2015, ISO 14001:2015

and ISO 45001:2018 for a particular audit.

To plan different ways of collecting objective evidence and to

estimate the time required to cover a particular scope of audit.

Duration: 1 hour

Delegates Instructions:

This work shop is in 2 steps. The delegates will work in allocated teams to plan
audits for selected departments. The company is involved in EPC projects for
oil and gas industry.

Part One:

The delegates are required to correlate the requirements of the standard and the
corresponding departments / business operations. Use the audit plan matrices for
this purpose.

Part Two:

Based on the results of part 1, audit details of each individual departments /

business operation / function to be planned by using the hand out “department
wise planning”

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Exercise 1 Audit Planning Bureau Veritas

AUDIT PLANNING/SUMMARY GRID

ISO 14001:2015

ISO 14001 PROCESS

Notes:

Management

Procurement
HR/Training
Operation/
R – Requirement

EHS
Top
O – Option

Context of the organisation

4.1 Understanding the organization R R R R
and its context
4.2 Needs & Expectation of R R R R
Interested Party
4.3 Determining the scope of EMS R R O O
4.4 Environment Management R R O O
System
5 Leadership
5.1 Leadership and Commitment R R O O
5.2 Environmental Policy R R R R

5.3 Role, Responsibility and R R R R

Authorities
6 Planning
6.1 Actions to address Risk and R R O O
Opportunities
6.1.1 General R R R R

6.1.2 Environmental Aspects R R O R

6.1.3 Compliance Obligations R R R R

6.1.4 Planning Action R R R R

6.2 Environmental objectives and R R R R

planning to achieve them
7 Support
7.1 Resource R O R R

7.2 Competence O R R R

7.3 Awareness R R O O

7.4 Communication R R O O
7.4.1 General R R R R

7.4.2 Internal communication R R O O

7.4.3 External communication R R O O
7.5 Documented information O O R R

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Exercise 1 Audit Planning Bureau Veritas

7.5.1 General R R R R
7.5.2 Creating and updating O R O O
7.5.3 Control of documented O R O O
information
8 Operation
8.1 Operational planning and control O R O O
8.2 Emergency preparedness and O R O O
response
9 Performance evaluation
9.1 Monitoring, measurement, O R O O
analysis and evaluation
9.1.1 General O R O O
9.1.2 Evaluation of compliance O R O O
9.2 Internal audit R R O O
9.2.1 General R R O O
9.2.2 Internal audit programme R R O O
9.3 Management review R R O O
10 Improvement
10.1 General O R O O
10.2 Nonconformity and corrective R R O O
action
10.3 Continual improvement O R O O

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 Exercise 1 Audit Planning Bureau Veritas

AUDIT PLANNING/SUMMARY GRID

ISO 45001:2018
Notes:

PROCESS

R – Requirement

Top Management
O – Option

Operation/ EHS

Procurement
HR/Training
4.0 Context of the organization
4.1 Understanding the organization and its context
Understanding the needs and expectations of
4.2
workers and other interested parties
Determining the scope of the OH&S Management
4.3
System
4.4 OH&S Management System
5.0 Leadership and worker participation
5.1 Leadership and commitment
5.2 OH&S policy
Organizational roles, responsibilities and
5.3
authorities
5.4 Consultation and participation of workers
6.0 Planning
6.1 Actions to address risks and opportunities
6.1.1 General
Hazard identification and assessment of risks &
6.1.2
opportunities
Determination of legal requirements and other
6.1.3
requirements
6.1.4 Planning action
6.2 OH&S objectives and planning to achieve them
6.3 Planning of changes
7.0 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
8.0 Operation
8.1 Operational planning and control
8.2 Emergency preparedness and response
9.0 Performance evaluation
Monitoring, measurement, analysis and
9.1
performance evaluation

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 Exercise 1 Audit Planning Bureau Veritas

9.2 Internal audit

9.3 Management review
10 Improvement
10.1 General
10.2 Incident, nonconformity and corrective action
10.3 Continual improvement

Internal Audit – Checklist

Process: Environmental compliance__________________ Audit Date _____________

Standard: ISO14001:2015/ ISO45001:2018_____________________________
Auditor(s): _________________________________________________ Page ___ of __

SOURCE CHECKPOINT AUDIT NOTES/FINDINGS RESULT

5.2
Do you have valid environmental
policy?

5.3 With regards to environmental policy

which is in place, roles and
responsibilities evidence to indicate
responsibilities and commitments of
each involved parties with regards to
stipulated policies

7.4.2
Communication-Evidence of HSE
Committees conducted, proof of
attendance/photos as well as closure
of action items indicated in minutes
(NCR closure photos/reports/etc)

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Exercise 1 Audit Planning Bureau Veritas

Internal Audit – Checklist

Process: ____________________________________ Audit Date _____________

Standard: ISO14001:2015/ ISO45001:2018_____________________________
Auditor(s): _________________________________________________ Page ___ of __

SOURC CHECKPOINT AUDIT NOTES/FINDINGS RESUL

E T

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Exercise 1 Audit Planning Bureau Veritas

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