Welcome To all the Participants

of
ISO 45001:2018
Lead Auditor Course
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 Arrangements

• Evacuation Plan in case of emergency

• Smoking Policy
• Tea/ Lunch Breaks
• First Aid
• Seating/ Thermal Comfort
• Complaint Procedure
• Use of Cell Phones

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 Course Assessment
• Continuous Assessment by Tutor (During the Course)
– Attendance
– Participation and involvement in activities
– Understanding and Performance
• End of Course Assessment (2 hours)
– 4 Sections in Question paper
– 70% Pass mark required (50% Minimum score for each section)
Note: To achieve a certificate of successful completion, you
need to pass in both the assessments

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 About this Course
• The course has been designed to:
– Meet the requirements of CQI and IRCA for
training OH&S Management system Auditors and
Lead Auditors
– Equip delegates with the knowledge and skills
required to perform audits of Occupational Health
& Safety Management system

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 What is Safety
The absence of risk of personal injury,
disease or health problem

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 What is Health
Being well at the workplace without the risk
of disease or ill health

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 Quiz 1
Do you think that 100% safety can be achieved at the
workplaces? If not, then comment why?

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 What is Audit

A systematic, independent and documented

process for obtaining audit evidence and
evaluating it objectively to determine the
extent to which the audit criteria are fulfilled

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 Quiz 2
What is difference between an OH&S
Management System and ISO 45001:2018?

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 OH&S Management System
• What is OH&S Management system?
• What is purpose of OH&S MS?
• Does an OH&S Management system need to be
documented compulsorily?
• Role of ISO 45001:2018 in OH&S Management
systems

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 Quiz 3
Why can’t we have a one fit for all OH&S
Management system applicable to all
organizations?

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 Exercise 1
Identify which is not the purpose of OH&S
Management System from the following list:-
• To reduce the direct and indirect costs associated with accidents
• To reduce the property damage at the workplace
• To record and investigate accidents to keep employees morale high
• To reduce the cost of operational controls by providing PPE’s
• To safeguard the organizations from civil and criminal prosecution
• To improve the business performance of the organization
• To improve the competence regarding OH&S

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 Exercise 1
Identify which is not the purpose of OH&S
Management System from the following list:-
• To identify the OH&S performance indicators of the organization
• To measure and improve OH&S performance
• To attract competent professionals to join the organization
• To provide full hospital services at the workplace
• To provide compensation to the victim/ family
• To increase the produced products safety

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OH&S Management System Model for ISO 45001:2018

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 Quiz 4
Why do organizations need to review their
OH&S management system once the
measuring/ checking and corrective actions
are already being taken?

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 Exercise 2
Outline the various indicators through which
the organizations can assess their OH&S
Performance?

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 Exercise 3
Decrease in number of OH&S related incident
in an organization does not guaranty the
improvement of OH&S Management system.
Discuss why?

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 Exercise 3A
Audit Terminologies

Flip Cards
You have been provided with 2 sets of cards
each i.e. Green and White. The green Flip
cards contain the terminologies and white
contain the definitions. You have to match
the terminologies with relevant definitions
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 Important Terminologies
• Organization
• Interested party
• Stakeholder
• Worker
• Participation
• Consultation
• Workplace
• Contractor
• Requirement
• Legal requirements and other requirements
Cont…..

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 Important Terminologies
• Management system
• Occupational health and safety management system
• OH&S management system
• Top management
• Policy
• Occupational health and safety policy
• OH&S policy
• Objective
• Occupational health and safety objective
• OH&S objective Cont…..

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 Important Terminologies
• Injury and ill health
• Hazard
• Risk
• OH&S risk
• Occupational health and safety opportunity
• OH&S opportunity
• Competence
• Documented information
• Process
• Procedure Cont…..

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Important Terminologies
• Performance
• Occupational health and safety performance
• OH&S performance
• Outsource,
• Monitoring
• Measurement
• Audit
• Conformity
• Nonconformity
• Incident
• Corrective action
• Continual improvement

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 Quiz 5
Can an ISO 45001:2018 certified organization
mention its certification on the products? If not,
Explain why?

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Sources for Hazard Identifications
• Manufacturer Safety Data Sheet (MSDS)
• Previous Knowledge
• Working Experience
• Accident history
• Ill health records
• Equipment/ Machines’ Manuals
• Regulatory Bodies website
• Industry Journals
• Benchmarking other industries
• Research Articles
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 Principle of Risk Assessment
1. Eliminate the hazard
2. Substitute/ reduce the hazard
3. Apply Engineering Controls
4. Apply administrative controls
5. PPE’s

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 Exercise 3
Think of any workplace and identify any
significant hazard. Apply principle of risk
assessment and identify suitable measures
accordingly. Also discuss the repercussions
with the suggested changes

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 Quiz 6
Outline why PPE’s are the last resort in
controlling the risk?

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 Exercise 4
In a number of hazards explained below, suggest
suitable control measure against each
• A construction worker standing at 50 ft height on a
platform without a guard rail
• A worker is moving cement bags (50Kg each) from 1st
floor to 3rd floor placing them on his back
• A worker is demolishing a concrete structure with
hammer

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 Exercise 4
• An organization is involved in overhead welding
projects
• Nursing staff taking blood samples from the patients
• Movement of forklift truck in a warehouse where
workers are also performing storage and retrieval

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 Risk Assessment Process
• Identify the hazards
• Identify the people who might be harmed
• Evaluate the risk and suggest suitable control measures
• Record the findings and implement changes
• Review as necessary

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 Exercise 5
Identify a range of hazards you see at your
workplaces and around your daily life. Also
briefly explain the risk associated with each
hazard

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 Types of Audits

• First Party (Internal Audits) 1P

• Second Party (External Audits) 2P

• Third Party (External Audits) 3P

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 Difference Amongst Types of Audits
Suggestion/
Type Purpose Influence Consultancy Effectiveness

To measure effectiveness of Depends on

1P OH&S MS and to improve the Top Mgt Yes Effective if backed by
competence in-house Commitment top management

Least influence
2P To gain Business/ Certification on Auditors Depends on Highly effective
from a Client Client

Conflict of Not quite effective

interest is very unless Top Management
3P To gain 3rd party Certification high so there is Not Allowed has a clear will to
some improve its OH&S MS
influence on
Auditors
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 Benefits of 3rd Party Accredited
Certification
• Do you think there is any benefit for getting
ISO 45001:2018 certification from a famous
Certification body? If yes, then explain why?

• Tutor will write down the students’ response

on white board and after writing all, it will be
discussed if the responses are relevant or not
and why

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Benefits of 3rd Party Accredited Certification

• Marketing Advantage
• Capturing overseas markets
• Gains customers trust and loyalty
• Value addition in the OH&S MS
• Legal & Other requirements are fulfilled
• 2nd Party audits may be exempted from
clients

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 The Audit Process: 3rd Party
Audit Request by Seek Corrective Actions
Auditee from the Auditee No

CB seeks Scope, OH&S MS Documented Desktop

criteria, profile Information sought for Audit Yes
from auditee Document review Successful?
Onsite Audit
Feasibility for Plan
Optional onsite visit by
audit is assessed
the Lead Auditor
by CB Onsite Audit

Agreement Planning for Audit by CB Audit Findings

between Auditee i.e. Selection of
and CB Auditors team etc.
Audit Report

Lead Auditor’s Corrective Action

Closing Meeting
recommendation to CB Program and Follow up 36
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 Audit Request by Auditee
• Reason for getting audited
• Choice of Certification body

Which certification body will you choose if you

are going to get your company ISO 45001:2018
certified and why?

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 Review of Request by CB
• Scope of Audit
• Criteria for Audit e.g. ISO 45001:2018
• Audit objectives
• Geographical Spread
• Location/s
• Number of personnel in the organization
• Complexity of Processes
• Applicable Legal requirements
• Security Issues
• Audit Language
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 Review of Request by CB
• Customer worth in terms of Marketing benefits
• Returning customer e.g. re-certification audit
• Financial Benefits
• Previous experience of working with same
client (if applicable)
• Availability of Auditors/ technical experts

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 Outcome of Review
• Price proposal
• Number of Auditors
• Addition of relevant technical experts
• Inclusion of Language translators
• Competencies of Auditors
• Planning for Onsite visit (Optional)
• Planning for document review
• Planning for onsite audit

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Audit Man-Days requirement: IAF
Guideline

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 Exercise 6
• The profile of Proftech Machining Services (PMS) PMS-
Profile-1 and PMS Audit Programme Form 9.2-OA have
been given as at page (88 and 166 to the book). Please review
both documents and assess the requirements for audit in
terms of selection of auditors and their competencies,
technical experts, number of audit man-days.
• Type: Individual
• Ref Doc: PMS Profile (PMS-Profile-1), 15 Audit Programme
Form 4.5.5-OA, ISO 45001:2018 standard.
• Purpose: To nurture and measure skills for selection of
auditors and their competencies, technical experts, number
of audit man-days for an organization
• Time : 25 Min for Review and 15 mins for students response
and 10 mins for discussion

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 Onsite Visit before Desktop Audit
• Optional
• To assess the overall organizational safety culture
• To estimate the complexity of processes w.r.t
Hazards and risks to OH&S
• Organizations readiness for the audit
• To have an idea about the way processes are being
carried out to understand the human behaviors
• To estimate the extent of documented information

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 Desktop Review of OH&S MS
• Reasons for Document Review
• Document Review Process
• Document review outcome
• Document review report submission
• Sampling
• Check list preparation
• Interview Questions

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 Reasons for Document Review
• To ensure the OH&S MS has been established and
documented
• To ensure the adequacy, suitability & effectiveness of
established OH&S MS as per the nature, scale and
complexity of the processes of the organization
• To establish the onsite audit sampling plan on the basis of
document review
• To prepare the checklists on the basis of document review
• To prepare an audit plan for onsite audit
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 Document Review Process
• What to look for?
– Compliance with the criteria in terms of adequacy
and sufficiency
– Provisions for review and continual improvements
– Documents identification and traceability

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 Document Review Outcome
Desktop Desktop Onsite Audit Plan is
audit by audit agreed
Yes
Auditor successful

No

NCR/IR/IO
raised by No
auditor

Auditee Org. takes Auditor reviews Corrective actions

corrective actions and the corrective are adequate & Yes
resubmits to auditor actions effective

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 Document Review Outcome
• Desktop Audit Report
– Non-Conformities (Require corrective actions by
auditee organization before proceeding to next step)
– Observations / Improvement Opportunities (Not a
non-conformity but an alarming situation i.e. a
potential non-conformity. Not a binding on the
auditee to take corrective actions but will be helpful
for them if addressed)
– Some issues highlighted in desktop audit may be
verified by onsite documented information review/
interview and only then it can be concluded if the
issue is a non-conformity or else
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