Sol Ohsms Lac Student Course Notes 2020

STUDENT COURSE NOTES
CQI & IRCA CERTIFIED

PR357 ISO 45001:2018
LEAD AUDITOR TRAINING COURSE
OHS MANAGEMENT SYSTEM
TUV SUD ME.OLT063 Rev. No.: 02 Rev. Date: 21 May. 2019 Page 1 of 73 FROF
INTRODUCTION
THE COMPANY
TUV SUD Middle East LLC designed this International Register of Certificated Auditors (CQI
& IRCA) approved OHS Management Systems (OHSMS) Auditor / Lead Auditor training
course to;
• provide students with the knowledge and skills required to perform first, second and third-
party audits of OHS management systems against ISO 45001, in accordance with ISO
19011 and ISO/IEC 17021-1, as applicable,
• give students who successfully complete and satisfy the training requirements of the
OHSMS Auditor/Lead auditor course opportunity to become certified CQI & IRCA
OHSMS Auditor (within the five years after completing the course and prior to making
an application to become a certificated auditor).
All references to ISO standards in this document are to the current versions, unless stated
otherwise.
Course Notes for Students is designed for the purpose of detailing the presentation of the
course approved by and registered with the International Register of Certificated Auditors - CQI
& IRCA as an ISO 45001 Auditor / Lead Auditor training course.
This note details the minimum requirements that need to be met by the students, presented
fully in accordance with these requirements and respecting the company confidential nature of
training methods and materials used for this course.
The Course Notes for Student is established and developed to ensure that the learning objective
is effectively attained and meet CQI & IRCA requirement, the company’s training policy and
student’s satisfaction.
In the start of the program, it is only proper to make everybody aware of the rules and
regulations of this training.
TUV SUD.ME created a conducive learning environment to ensure that the established
training objectives are met and achieve learning satisfaction.
Prior knowledge
Before starting this course, Tutor informs students that they are expected to have the following prior
knowledge:
Management systems
• The Plan, Do, Check, Act (PDCA) cycle

• The core elements of a management system and the interrelationship between top
management responsibility, policy, objectives, planning, implementation, measurement, review
and continuous improvement.
a. OHS management
• The concepts of managing occupational health and safety through hazard identification, risk
assessment and risk control and compliance with legal requirements and other requirements.
• The relationship between occupational health and safety management and the provision of
safe and healthy workplaces, the prevention of work-related injury and ill health, and the
proactive improvement of health and safety performance.
• Common examples of relevant national and local OH&S legislation and requirements
b. ISO 45001
Knowledge of the requirements of ISO 45001 and the commonly used occupational health and
safety management terms and definitions, as given in ISO 45001, which may be gained by
completing a CQI and IRCA Certified ISO 45001:2018 Foundation OHSMS training course or the
equivalent.
The Tutor determines the prior knowledge by requiring the students to answer a Pre-Course
Assignment given before the start of the course. The student will bring the answered assignment on
the first day of the course. The assignment is checked by the Tutor.
Course Learning Objectives & Student Evaluation
The aim of this course is to provide delegates with the knowledge and skills required to perform first,
second and third-party audits of OHS management systems against ISO 45001, in accordance with
ISO 19011 and ISO/IEC 17021, as applicable. All references to ISO standards in this document are to
the current versions, unless stated otherwise.
All references to ISO standards in this document are to the current versions, unless stated otherwise.
Students who complete this CQI & IRCA Certified Auditor (OHSMS) Training course successfully
(within the five years prior to making an application to become a certificated auditor) will satisfy the
training requirements for initial certification as an CQI & IRCA OHSMS auditor.
Learning objectives
Learning objectives describe what students shall be able to do by the end of the course. Students
will need to demonstrate acceptable performance in all of these areas in order to complete the course
successfully.
By the end of the course Students should be able to:
• Explain the purpose of OHS management system, of OHS management systems standards, of
management system audit, of third-party certification and the business benefits of improved
performance of the OHS management system.
• Explain the role of an auditor to plan, conduct, report and follow up OHS management system
audit in accordance with ISO 19011:2018 (and ISO 17021 - 1 where appropriate).
• Plan, conduct, report and follow up an audit of OHS management system to establish conformity
(or otherwise) with ISO 45001 and in accordance with ISO 19011:2018 (and ISO 17021 - 1 where
appropriate).
Student Evaluation Process
CQI & IRCA requires students to undergo evaluation while participating on this course, which involve
two separate elements:
1. Continuous assessment of each student base on individual performance on exercises and the
tutor’s personal scoring of the student’s overall manner in the course throughout the duration of
the course.
2. An examination on the final day of the three-day course.
Student must demonstrate acceptable levels of performance in all three learning objectives.
Performance demonstrated through:
• Continuous Assessment document - a written daily examination of achievement of the

learning objective of the students in the entire duration of the course. This record is checked by
the Tutor and the result will be one of the means of grading the participant. If the student shows
not meeting this requirement, the tutor will intervene, discuss the shortcomings of the student
during free time and record the key point of discussion in the space provided in the same
Continuous Assessment record.
• Acceptable output in all practical activities and tasks.
Documented information of the student’s evidence of performance determined in the continuous

assessment and knowledge-based tests are retained in order to identify whether each delegate has
reached the required standard.
CQI & IRCA certified course examination:
The Examination Proctor is responsible for ensuring;

• students are not provided with opportunities to copy, collude or otherwise cheat during
examinations
• the rules and regulations are explained to students for taking and before the examination
• allow students time to read the rules and regulations and deal with any questions before the start
of the examination.
• Reference material allowed into the examination is a copy of the appropriate standard and a
bilingual dictionary. Clean copy of the standard will be distributed for each student for their use
in the examination.
• Students whose first language is not the language in which the course is presented and
examined and whose ability in that language requires them to work more slowly, may be
permitted additional time not exceeding 20% of the allotted 120 minutes (2 hours) or 24
minutes to complete the examination.
• Additional time is given to those students who suffer from particular disabilities, not exceeding
20 minutes to complete the examination.
Evaluation Criteria
OHS courses:
• Examination papers must be marked in accordance with the relevant marking scheme.
Auditing courses:
• CQI & IRCA Approved Training Partners must ensure that marking and overall grading is
consistent and calibrated.
• One tutor must mark all of the papers, indicating any errors, allocating marks and totaling the
marks scored.
• A second tutor (or other competent person defined by your planed arrangements) must check
the accuracy of the calculation of the marks allocated on each paper.
• Where the total pass mark falls between 66% – 74%, a second tutor must re-mark such scripts.
• You must ensure that any significant differences in marking by first and second tutors are
resolved.
At least two of TUV SUD Training tutors assess the completed examination papers. One tutor mark all
of the papers, indicating any errors, allocating marks and totaling the marks scored. A second tutor
checks the accuracy of the calculation of the marks.
To achieve a passing mark for this course the student needs;
• 70% of the total score in the Continuous Assessment exercises,
• 70% passing marks in the CQI & IRCA OHSMS examination papers.
Students who;
• fail the written examination, but pass the continuous assessment must be allowed to retake an
CQI & IRCA examination;
• pass the continuous assessment, but fail the examination can only retake an examination once
(not the same previously failed examination paper) and this retake must occur within 12 months
of initial examination under the same training organization;
• pass the continuous assessment, but fail the re-examination are required to attend another
entire certified course in order to successfully complete the training;
• fail the continuous assessment (less than 70% of the available marks) they will not be permitted
to take the examination;
Student Responsibilities
Student’s responsibilities are:
• this document and all other information are kept confidential;

• secure necessary copy of documents ISO 45001 and ISO 19011 standard for self-study
purposes;
• complete/attend the entire duration of this course;
• observe strictly the timing of each course program;
• demonstrate acceptable levels of performance in all three learning objectives;
• pass the continuous assessment;
• pass the written CQI & IRCA examination paper
Students receive at the end of the course;
• Certificate of Achievement – if they passed the continuous assessment and the written CQI &
IRCA examination paper.
• Certificate includes the full title of the course as follows:
− Name of the delegate

− The unique delegate number (issued by CQI)
− The title of the course (as indicated in the course specification document) – “ISO
45001:2018 Auditor/Lead Auditor OHS Management Systems (OHSMS) training Course”
− The course dates
− The CQI & IRCA certified logo
− The course unique identification number
− For Practitioner and Professional courses, a statement that confirms that the learner has
successfully passed the required assessment
• Certificates of Attendance - may be issued for Practitioner and Professional level courses to
those who did not successfully complete the required assessment.
• Certificate of Attendance issued to Students contains the following information:
− Name of the delegate
− The unique delegate number (issued by CQI)
− The title of the course (as indicated in the course specification document) – “ISO 45001
Auditor /Lead Auditor (OHS Management Systems (OHSMS) Training Course”
− The course dates
− The CQI and IRCA certified logo
− The course unique identification number
− For Practitioner and Professional courses, a statement that confirms that the learner has
attended the course but has not completed the requirement.
Period of Validity
Certificate of Achievement are valid for five (5) years from the last day of the course, irrespective of
the date of successful completion of the examination, for meeting the training requirements for
certification as an CQI & IRCA auditor.
A student who wishes to become certified CQI & IRCA auditor must apply within the validity period of
the Certificate of Achievement to ISO 45001 Auditor/Lead auditor Training. This information is
written in the certificate of successful completion.
COURSE OUTLINE
The OHS Management System Auditor/Lead Auditor Training Course is a 5-day course combining
tutorials, group exercises and role play activities in relation to the simulated assessment of the case
study company. It will provide with both theory and practical application in a safe learning
environment.
COURSE FORMAT
OHSMS Training course is presented wholly as a classroom-based course in sessions designed for
duration of 5 days.
It is arranged in succession to get the optimum benefits of meeting the learning objectives both for the
tutors and students:
1. Session Plan - This is the plan what to do per day to meet the course criteria including the
corresponding visual aids (slides and flipcharts).
2. Discussions with timing – The Tutor discusses the details of the session plan with interaction
with the Students. The students will perform tasks as per instructions of the Tutor.
This is applied for the whole duration of 5 days.
The course is formatted as follows;
• The first day starts with introduction of participants and tutor/s.

• Course outlined to view the program for the 5-day training schedules.
• Training by formal tutorials, individual task, group exercises and role play involving assessment
of a fictitious company.
• Students’ assessed daily through exercises in the Continuous Assessment document.
• Discussion and feedbacks after the exercises.
• The training days begin with review of the previous day topics and end in consolidation of the
learning objectives for the day.
• Breaks’ timing in between lessons.
The format and structure of the course is subject for continuing improvement by providing allowance for
adjustment or changes thus giving students with both theory and practical applications in a safe learning
environment.
The course has been certificated by the U.K. CQI & IRCA.
The course program outlined below is applicable for courses run with an audit Role Play performed with
the tutor’s instruction. The course may also be presented as a series of modules over an extended
timeframe, however, in this case specific requirements must be met by course organizers and Students,
and permission must first be obtained from TUV SUD Middle East LLC.
Courses for management system disciplines where observation is an essential audit method must
include images (photographs and/or video) to support and provide contexts for learning points. For
example, OHS management, OHS management, and social systems auditing should include images
showing a variety of facilities (factories, sites, farms, etc) that auditors may be faced with, as well as a
variety of issues that the auditor may face (health, safety, work activities and environment, etc).
Classroom-based training
TUV SUD ME provides a training environment conducive to effective learning and the use of
accelerated and participative training methods.
At the beginning of the course, students are provided with
• a description of the learning objectives, course structure, format and program, student
responsibilities, the assessment processes and assessment criteria, and you must also deal
with any concerns or worries that students may have;
• course based on the learning cycle and include opportunities for students to:
a) Experience new ideas and skills.

b) Reflect on their learning and identify strengths and weaknesses.
c) Address and improve on areas of weakness.
• a variety of learning methods to suit the range of learning styles;

• tutor presentations and tutor-led discussions to achieve knowledge-based learning
objectives
The course includes;
• methods for monitoring and providing time for tutors and students to review tasks and activities,
and each student’s achievement of the learning objectives;
• provision for review and remedial work and individual coaching where necessary
COURSE PROGRAM
Day 1 - Understanding of OHS Management System Process

Day 2 - Understanding ISO 45001 Requirements for assessment / audit process
Day 3 - Audit Planning
Day 4 - Practical Auditing
Day 5 - Audit Reporting / Corrective Action Process
COURSE PROGRAM
Day 1 - Understanding OHS Management System Requirements
08.00 Registration
08.30 Introduction: Tutor/Students / Course Content / IRCA Certification
09.00 Pre-course Assignment / IRCA Learning Objectives / Prior Knowledge
09.30 OHS Management Systems, Purpose & Business Benefits Improving OHSMS
10.00 BREAK
10.10 ISO 45001:2018 Structure in PDCA Cycle & OHSMS Requirements
11.10 Terms and Definition
11.25 Continuous Assessment (CA1): Understanding OHSMS
11.55 Discussion & Feedback
12.00 LUNCH
12.45 Documented Information
13.15 Exercise 1: Search for maintained and retained documented information
13.45 Discussion and feedback
13.50 Audit type
14.20 Exercise 2: Identifying audit type
14.50 Discussion and Feedback
14.55 BREAK
15.05 Accreditation/Certification/3rd party audit & its benefits
15.25 CA 2: Documenting Management Systems Requirements
16.30 Consolidation Quiz
16.45 Consolidation of the learning objective in day 1
Discussion and feedback.
Assignment – Specimen Examination Section 1
17.00 End of day 1
Day 2 – Understanding process approach auditing
08.00 Review of day 1 - discussion / concerns

Specimen Examination – Section 1 discussion.
08.30 Audit Process
09.00 Exercise 3 – Applying Principles of Auditing
09.35 Management System Audit
10.05 BREAK
10.15 Preparing Audit Activity / Audit Stages
10.30 CA3: Documented Information Review
12.35 LUNCH
13.20 Preparing stage 2 Audit
13.50 Exercise 4 – Determine the duration of management system audit
14.25 Audit Plan Preparation
15.10 BREAK
15.20 CA 4: Audit Plan Preparation
16.30 Consolidation of learning Objective in day 2

Assignment: Specimen Examination – Section 2
17.00 End of day 2
Day 3 - Audit Planning and Auditing Technique

Specimen Examination – Section 2 assignment discussion.
08.30 People in the audit
09.30 CA 5: Ethical Conduct of an auditor
10.05 BREAK
10.15 Typical Audit Activity
10.30 Exercise 5 – Audit Activities Sequence
11.05 On-site audit preparation
11.30 CA 6 – Writing Audit Checklist
12.35 LUNCH BREAK
13.20 Management of audit interview
13.50 Exercise 6 - Performing audit interview (Collecting information by interview)
14.55 BREAK
15.05 The Audit Trail
15.25 Exercise 7 – Perform Audit trail
15.55 Discussion & feedback
16.00 Consolidation Quiz
16.30 Consolidation of the learning objective in day 3

Assignment: Answer Specimen Examination – Section 3
17.00 End of day 3
Day 4 – Auditing Occupational Health and Management System

08.30 Conducting the Audit
08.45 CA 7 - Conducting Opening Meeting
10.20 BREAK
10.30 Audit Technique
10.45 Exercise 8: Applying Turtle Diagram in Auditing
11.20 Collecting and verifying information
11.30 CA 8: Practical Auditing
12.30 LUNCH
13.15 CA 8: Practical Auditing
14.05 Generating audit findings
14.35 Exercise 9 – Writing Audit Findings
15.15 BREAK
15.25 Audit Conclusion
15.55 CA 9 – Writing Nonconformity
16.30 Consolidation of Learning Objectives of Day 4

17.00 End of day 4
08.00 Review of day 4

Day 4 Consolidation Quiz discussion/Question and answer between students
09.00 Preparation of Audit Report
09.30 CA 10: Conducting Closing Meeting
10.20 BREAK
10.30 CA 10: Conducting Closing Meeting (continuation)
11.25 Reporting the Audit
11.55 CA11: Follow-up Audit
12.30 LUNCH
13.15 Certification Grades and Summary of Grade Applicability

Outline the content and intent of the IRCA Code of Conduct
13.40 Tutor Evaluation
14.00 CQI & IRCA Certified Auditor/Lead Auditor Examination
16.30 Final discussion and course review

Recap of the course after the examination
17.00 End of Course
STUDENT COURSE NOTES
DAY 1
Day 1 - Understanding of OHS Management System Process
SESSION 1:
TIMING STUDENT NOTES

0800 - 0830 Registration
30 min Distribution of training materials
0830 – 0900 Participants/Tutor’s introduction

30 min Attendance
Training rules and regulations
0900 – 0930 Evaluation criteria

30 min
Passed
Failed Failed Passed the
Continuous
Examination Reexamination Examination
Assessment
Given only
Student
Certificate of Given certificate of
allowed to Student will retake
Attendance achievement with
take the whole course
without IRCA IRCA logo
examination
Logo
Allowed to retake
the exam within 12
months from the
date of failed
exam
Learning objectives
IRCA PR357 define the learning objectives of this course that describe in outline
what you will know and be able to do by the end of the course.
KNOWLEDGE
• Explain the purpose of OHS management system, of OHS management
systems standards, of management system audit, of third-party certification and
the business benefits of improved performance of the OHS management
system.
• Explain the role and responsibilities of an auditor to plan, conduct, report and
follow-up OHS management system audit in accordance with ISO 19011, and
ISO/IEC 17021, as applicable.
SKILLS
Plan, conduct, report and follow-up an audit of a OHS management system to
establish conformity (or otherwise) with ISO 45001, and in accordance with ISO
19011 and ISO/IEC 17021-1 as applicable.
Prior Knowledge
All participants of this course are expected to have the following prior knowledge:
Please check if you have the knowledge, if not read the note below.
Management systems
• The Plan, Do, Check, Act (PDCA) cycle

• The core elements of a management system and the interrelationship between
top management responsibility, policy, objectives, planning, implementation,
measurement, review and continuous improvement.
a. Occupational Health & Safety management
• The concepts of managing occupational health and safety through hazard

identification, risk assessment and risk control and compliance with legal
requirements and other requirements.
• The relationship between occupational health and safety management and the
provision of safe and healthy workplaces, the prevention of work-related injury
and ill health, and the proactive improvement of health and safety
performance.
• Common examples of relevant national and local OH&S legislation and
requirements
b. ISO 45001
Knowledge of the requirements of ISO 45001 and the commonly used OHS
management terms and definitions, as given in ISO 45001, which may be gained
by completing an CQI and IRCA Certified ISO 45001:2018 Foundation (OHSMS)
Training or equivalent.
Note:
Recommend prior knowledge: FD116 ISO 45001:2018 Foundation (OHSMS)
SESSION 2: Understanding OHS Management System

0930 - 1000 OHS Management System Purpose:
30 min An organization is responsible for the YOUR NOTES:
occupational health and safety of workers and
others who can be affected by its activities. This
responsibility includes promoting and protecting
their physical and mental health.
The adoption of an OH&S management system

is intended to enable an organization to provide
safe and healthy workplaces, prevent work-
related injury and ill health, and continually
improve its OH&S
performance.
Aim of an OH&S management system
The purpose of an OH&S management system
is to provide a framework for managing OH&S
risks and opportunities.
The aim and intended outcomes of the OH&S

management system are to;
• prevent work related injury and ill health to
workers and
• to provide safe and healthy workplaces;
• eliminate hazards and minimize OH&S risks by
taking effective preventive and protective
measures.
BUSINESS BENEFITS of improving OHSMS

With improved OHSMS implementation,
organization can:
1000 - 1010 BREAK

10 min
1010 - 1110 ISO 45001:2018 Structure in PDCA Cycle
60 min
ISO 45001 requirements in PDCA cycle YOUR NOTES:

The PDCA cycle can be applied to all processes
of OHSMS. The figure shows how the clauses
are grouped according to the PDCA cycle.
The PDCA cycle can be briefly described as

follows:
• Plan: establish the objectives of the system
and its processes, and the resources needed
to deliver results in accordance with
customers’ requirements and the
organization’s policies;
▪ Do: implement what was planned;
• Check: monitor and (where applicable)
measure processes and the resulting
products and services against policies,
objectives and requirements and report the
results;
▪ Act: take actions to improve performance, as
necessary.
The PDCA concept is an iterative process used YOUR NOTES:
by organizations to achieve continual
improvement. It
can be applied to a management system and to
each of its individual elements, as follows:
a) Plan: determine and assess OH&S risks,
OH&S opportunities and other risks and other
opportunities, establish OH&S objectives and
processes necessary to deliver results in
accordance
with the organization’s OH&S policy;
b) Do: implement the processes as planned;
c) Check: monitor and measure activities and
processes with regard to the OH&S policy and
OH&S
objectives, and report the results;
d) Act: take actions to continually improve the
OH&S performance to achieve the intended
outcomes.
ISO 45001:2018 OHS Management Systems Standard:

OHS Management Systems Processes
YOUR NOTES:
ISO 45001 standard is applicable to any
organization that wishes to establish,
implement and maintain OH&S management
system to;
• improve occupational health and safety,

• eliminate hazards and minimize OH&S risks
(including system deficiencies),
• take advantage of OH&S opportunities, and
• address OH&S management system
nonconformities associated with its activities.
The organization shall establish, implement,

maintain and continually improve an OH&S
management system, including the processes
needed and their interactions, in accordance
with the requirements of ISO 45001.
The following processes develops and improves

OHS management system from clauses:
• 5.4
• 6.1.2, 6.1.3
• 7.4
• 8.1, 8.1.2, 8.1.3, 8.1.4, 8.2
• 9.1, 9.1.2, 9.3
• 10.2, 10.3
These processes are significant to auditor

because it directs OHSMS in achieving its
intended outcome and makes it easier to audit if
the requirements has been fulfilled.
YOUR NOTES:
1110 – 1125 Terms and Definition
15 min
Referring to ISO 45001 the terms and definitions
are the terminology used in this international
standard and is commonly used in auditing.
1125 – 1155 CA 1
30 min Understanding OHS Management System
For exercise instruction refer to page 64 - 70.
1155 – 1200 Discussion and feedback

5 min
1200 - 1245 LUNCH

45 min
SESSION 3: Audit Types/ Certification vs Accreditation Body
1245 – 1315 Documented Information

30 min YOUR NOTES:
ISO 45001:2018 requires organization
subscribing to OHS Management System to
establish, implement and maintain control to
documented information required by the
International Standard and those being
necessary for the effectiveness of OHSMS
to;
• communicate a message,
• provide evidence of what was planned has
actually been done,
• knowledge sharing.
Organization’s documented information are;

• maintained – documents that support the
operation that can either internal document
or document of external origin.
• Retained – document stating results of the
operation/activity is performed.
1315 – 1345 E1: Search for Mandatory Maintained/Retained Documented Information

30 min With reference to ISO 45001:2018, research for mandatory maintained documented
information and retained documented information required by this international standard.
1345 - 1350 Discussion and feedback
5 min
1350 – 1420 Types of Audit

30 min YOUR NOTES:
ISO 19011:2018 Standard provides guidance
for all sizes and types of organizations and
audits of varying scopes and scales, including
those conducted by large audit teams, typically
of larger organizations, and those by single
auditors, whether in large or small
organizations.
Different types of audit:
1st party audit - Internal audit

2nd party audit - External provider audit
Other external interested
party audit
3rd party audit - Certification and/or
accreditation audit
Statutory, regulatory and
similar audit
ISO 19011 standard concentrates on internal

audits (first party) and audits conducted by
organizations on their external providers and
other external interested parties (second
party). This document can also be useful for
external audits conducted for purposes other
than third party management system
certification. ISO/IEC 17021-1 provides
requirements for auditing management
systems for third party certification
Role of OHS Management System Auditor
In evaluating organization’s ability to meet

OHSMS international standard requirements,
Auditor;
• Review documented information

• Establish rapport with auditee
• Open communication with audit progress
• Verify audit evidence
• Report audit conclusion
1420 – 1450 Exercise 2:

30 min Identifying Audit Types
1450– 1455 Discussion and feedback

5 min
1455 - 1505 BREAK
10 min
1505 – 1525 Benefits of 3rd Party Certified Certification of OHSMS

20 min
Certification of a management system, such as YOUR NOTES:
the occupational health and safety management
system, quality management system or
information security management system of an
organization, is one means of providing
assurance that the organization has
implemented a system for the management of
the relevant hazards of its activities, products
and services, in line with the organization’s
policy and the requirements of the respective
international management system standard.
Certification of a management system provides

independent demonstration that the
management system of the organization:
a) conforms to specified requirements;

b) is capable of consistently achieving its stated
policy and objectives;
c) is effectively implemented.
Conformity assessment, such as the certification

of a management system, thereby provides
value to the organization, its customers and
interested parties
1525 – 1555 CA 2
30 min Documenting Management Systems Requirements
For exercise instruction refer to page 64 - 70.
.
5 min
1600 – 1630 Day 1 Consolidation Quiz

30 min
1630 - 1700 Consolidation of Learning Objectives in day 1

30 min Assignment – Answer Specimen Examination Section 1
Discussion and feedback
End of day 1
DAY 2
Day 2 - Planning and Practical Auditing
SESSION 4:

0800 – 0830 Review of day 1 - discussion / concerns
30 min Specimen Examination – section 1 assignment discussion
0830 – 0900 Audit Process YOUR NOTES:

30 min Guide for auditing:
• ISO 19011 - provides guidance for
auditing management systems
Intended for all auditors performing
audits.
• ISO 17021 - specifies requirements for

bodies providing audit and
certification of management systems.
Intended for auditors performing audit
and certification of management
systems
Guidelines for auditing management system;

1. Applying the principles of auditing
• ISO 19011 Principles of Auditing
➢ Integrity: the foundation of
professionalism
➢ Fair presentation: the obligation to
report truthfully and accurately
➢ Due professional care: the
application of diligence and
judgement in auditing
➢ Confidentiality: security of
information
➢ Independence: the basis for the
impartiality of the audit and
objectivity of the audit conclusions
➢ Evidence-based approach: the
rational method for reaching
reliable and reproducible audit
conclusions in a systematic audit
process
➢ Risk-based approach: an audit
approach that considers risks and
opportunities
• ISO 17021 Principles of Auditing
➢ impartiality; YOUR NOTES:
➢ competence;
➢ responsibility;
➢ openness;
➢ confidentiality;
➢ responsiveness to complaints;
➢ risk-based approach.
2. Managing an audit program

3. Conducting an audit.
4. Competence and evaluation of auditors
0900 – 0930 Exercise 3 – Applying Principles of Auditing

30 min
0930 – 0935 Discussion and Feedback

5 min
YOUR NOTES:
0935 - 1005 MANAGEMENT SYSTEM AUDIT
30 min Purpose of management system audit
• Provide information on the ability of
organization to meet OHSMS objectives
• Identify problems that will prevent client to
meet OHSMS objectives and opportunities
for improvement and risk that are not
identified or managed.
Management of Audit program.

Audit program is the arrangements for a set of
one or more audits planned for a specific time
frame and directed towards a specific purpose.
1. Establishing audit program include:

• Assigning person to manage audit
program;
• Defining the resources for the audit;
2. Implementing the audit program

3. Monitoring the audit program
4. Reviewing and improving the audit program
Road map to auditing management system
YOUR NOTES:
As per ISO 19011:2018, the diagram illustrates
audit management. The audit program is
established that include defining the objective,
scope and criteria for an individual audit.
• Audit objectives define what is to be
accomplished by the individual audit. Refer
to ISO 19011:2018 Clause 5.5.2.
• scope is factor such as locations, functions,
activities and processes to be audited, as
well as the time period covered by the audit
• audit criteria are used as a reference
against which conformity is determined
Management of Audit program.

Audit program is the arrangements for a set of
one or more audits planned for a specific time
frame and directed towards a specific purpose.
1. Establishing audit program that include:

• Assigning person to manage audit
program;
• Defining the resources for the audit;
2. Implementing the audit program

3. Monitoring the audit program
4. Reviewing and improving the audit program
1005 – 1015 BREAK

10 min
THE AUDIT ACTIVITY at AUDIT STAGES:
YOUR NOTES:
1015 – 1030 Preparing Audit Activity / Audit Stages
15 min The initial certification audit of a
management system is conducted in two
stages: stage 1 and stage 2.
Purpose:
• To review client’s documentation is
adequate and auditable.
See 9.3.1.2.2 of ISO 17021-1 2015 for the

objectives of stage 1 audit.
Stage 1 audit - Planning audit activity includes;

• documented information review
• preparation of audit plan
• assigning work to audit team
• preparation of work document
The relevant management system documented

information of the auditee should be reviewed in
order to:
• gather information to understand the
auditee’s operations and to prepare audit
activities and applicable audit work
documents, e.g. on processes, functions;
• establish an overview of the extent of the
documented information to determine
possible conformity to the audit criteria and
detect possible areas of concern, such as
deficiencies, omissions or conflicts.
The review include, but not limited to:

• management system documents and records;
• result of previous audit report;
• details of auditee’s context of the
organization, and
• taking into account the audit scope,
criteria and audit objective.
1030 – 1230 C3: Documented Information Review

120 min

5 min
1235 – 1320 LUNCH

45 min
SESSION 5:The Audit Activity

YOUR NOTES:
1320 – 1350 Preparing Stage 2 Audit
30 min Purpose:
- to evaluate the implementation and
effectiveness of the organization’s
management system.
Audit Planning
- planning involves establishing the overall
strategy for the engagement and
developing an audit plan.
Planning the Audit:
The audit team leader should adopt a risk-

based approach to planning the audit based on
the information in the audit program and the
documented information provided by the
auditee.
Risk-based approach to planning the audit;

• is adopted by the audit team leader based
on the information in the audit program and
the documented information provided by the
auditee.
• reflects the scope and complexity of the
audit, as well as the risk of not achieving the
audit objectives.
In planning the audit, the audit team leader

should consider the following:
• the composition of the audit team and its
overall competence;
• the appropriate sampling techniques (see
A.6);
• opportunities to improve the effectiveness
and efficiency of the audit activities;
• the risks to achieving the audit objectives
created by ineffective audit planning;
• the risks to the auditee created by
performing the audit.
Risks to the auditee can result from the

presence of the audit team members
adversely influencing the auditee’s
arrangements for;
• health and safety, environment, and
• its products, services, personnel or YOUR NOTES:
infrastructure (e.g. contamination in clean
room facilities).
The amount of detail provided in the audit plan

should reflect the scope and complexity of the
audit, as well as the risk of not achieving the
audit objectives.
ISO 19011:2018 clause 6.3.2.2 Audit planning

details gives what to address and considered in
planning the audit. Refer to the clause to
determine all information to include in an
audit plan.
Duration of management system audit

The certification body shall have documented
procedures for determining audit time. For each
client the certification body shall determine the
time needed to plan and accomplish a complete
and effective audit of the client’s management
system.
In determining the audit time, the certification

body shall consider, among other things, the
following aspects:
• the requirements of the relevant management
system standard;
• complexity of the client and its management
system;
• technological and regulatory context;
• any outsourcing of any activities included in
the scope of the management system;
• the results of any prior audits;
• size and number of sites, their geographical
locations and multi-site considerations;
• the risks associated with the products,
processes or activities of the organization;
• whether audits are combined, joint or
integrated.
1350 – 1420 Exercise 4: Determine Audit Duration and Man Days requirements.
30 min

5 min
1425 - 1510 Audit Plan Preparation

45 min
Auditing activities are step-by-step methods for;
YOUR NOTES:
• preparing,
• performing,
• reporting, and
• following up on the audit.
The Purpose and significance of the audit

objectives, scope and criteria.
Before there can be a system or process audit,

the audit objectives, scope, and criteria must be
defined. This is the ‘why do the audit’ and
‘what needs to be audited’ step.
ISO 19011, clause 6.2.2 for defining audit

objectives, scope and criteria, individual audit
should be;
• based on documented objectives, scope and
criteria and
• specific statements that would apply to all
process or system audits.
Audit Program Resources
Resourcing the audit, includes but not

limited to:
• Audit program
• Audit method
• Competent Auditors and relevant people to
handle the audit program,
• Documented information availability from
auditee
• Financial support and other resources
allocation required to perform the audit.
Audit Method
Selecting and determining audit methods
The individual(s) managing the audit program
selects and determines the methods for
effectively and efficiently conducting an audit,
depending on the defined audit objectives,
scope and criteria.
Audits can be performed on-site, remotely or as

a combination. The use of these methods should
be suitably balanced, based on, among others,
consideration of associated risks and
opportunities.
Selecting audit team members

Selecting audit team members should take into
account the;
• competence needed to achieve the objectives YOUR NOTES:
of the individual audit within the defined scope.
• the ability to work and interact effectively with
the representatives of the auditee and relevant
interested parties;
• the relevant external/internal issues, such as
the language of the audit, and the auditee’s
social and cultural characteristics.
• type and complexity of the processes to be
audited.
Auditors should have knowledge and skills in the

followings:
1. Audit principles, processes and methods to
ensure audits are performed in a consistent
and systematic manner.
2. Management system standards and other
references enable the auditor to understand
the audit scope and apply audit criteria.
3. The organization and its context enable the
auditor to understand the auditee’s structure,
purpose and management practices.
4. Applicable statutory and regulatory
requirements and other requirements enable
the auditor to be aware of, and work within, the
organization’s requirements.
Maintaining and improving auditor

competence.
Auditors and audit team leaders should
continually improve their competence through
regular participation in management system
audits and continual professional development
(CPD).
The continual professional development

activities:
• changes in the needs of the individual and the
organization responsible for the conduct of
the audit;
• developments in the practice of auditing
including the use of technology;
• relevant standards including
guidance/supporting documents and other
requirements;
• changes in sector or disciplines.
Audit plan
- is the description of the activities and
arrangements for an audit.
Audit plan preparation;
• is established prior to each audit identified in
the audit program to provide the basis for
agreement regarding the conduct and
scheduling of the audit activities
• be appropriate to the objectives and the
scope of the audit
• be communicated and the dates of the audit
shall be agreed upon, in advance, with the
client.
Refer to clause 6.3.2.2 of ISO 19011:2018 for

the details of an audit plan.
1510 – 1520 BREAK

10 min
1520 – 1625 CA4: Preparing Audit Plan

65 min See Exercise brief on page 65 – 70 for instruction.

5 min
1630 – 1700 Consolidation of Learning Objective for Day 2

30 min Discussion and feedback
DAY 3
Day 3 – AUDIT PROCESS
SESSION 6: On-site Audit Activities

0800 – 0830 Review of day 2 – discussion / concerns
0830 – 0930 People in the audit: Roles and YOUR NOTES:

60 min Responsibilities
Audit Team
- Audit team leader
• assign to each team member responsibility
for auditing specific processes, functions,
sites, areas or activities.
• Evaluate competence and roles and
responsibilities of the people in the audit;
• Make changes to the work assignments as
the audit progresses.
- Audit team members

• review the audit findings;
• agree upon the audit conclusions, inherent
in the audit process;
• agree any necessary follow-up actions;
• confirm the appropriateness of the audit
program or identify any modification
required for future audits.
The size and composition of the audit team,

shall be based on:
• audit objectives, scope, criteria and estimated
audit time;
• whether the audit is a combined, joint or
integrated;
• the overall competence of the audit team
needed to achieve the objectives of the audit
• certification requirements (including any
applicable statutory, regulatory or contractual
requirements);
• language and culture.
Certification Client
The certified client has the responsibility for
consistently achieving the intended results of
implementation of the management system
standard and conformity with the
requirements for certification.
Certification Body YOUR NOTES:
The certification body has the responsibility to
assess sufficient objective evidence upon which
to base a certification decision.
Auditee
The auditee has the responsibility for ensuring
and consistently achieving the intended results
of implementation of the management system
standard and conformity with the requirements
for the standard.
Observer
Observers can be members of the client’s
organization, consultants, witnessing
accreditation body personnel, regulators or
other justified persons.
Technical Expert
Technical experts can provide advice to the
audit team for the preparation, planning or audit.
Guide
The responsibilities of a guide can include:
• ensuring that rules concerning site safety and
security procedures are known and respected
by the audit team members;
• witnessing the audit on behalf of the client;
• providing clarification or information as
requested by an auditor
Auditors-in-training may participate in the audit,

provided an auditor is appointed as an
evaluator.
Management responsibility of Audit team leader

is to ensure:
• effective management of the audit process
including working relationships among the
people of the audit.
• Effective communication during the audit;
• Confidentiality of information is exercised.
CQI professional code of conduct

For the purposes of this code “members” refers
to all individuals whose competence is
recognized formally by The Chartered OHS
Institute (The CQI). This includes but is not
restricted to CQI members, IRCA registered
auditors and individuals on other CQI registers,
as well as all members of the Board of Trustees,
Advisory Council and other governance bodies.
Statement of Personal Responsibility YOUR NOTES:
It is the ethical and professional responsibility of
all members;
• to demonstrate the required professional
competence and behaviors in discharging
the responsibilities of their role.
• uphold the highest ethical standards and
integrity in exercising their professional
duties or other activities which might impact
on the reputation of the profession and of the
CQI
• are expected to understand and comply with
this code of conduct.
Furthermore, the CQI reserves the right to

suspend or withdraw membership and all
associated benefits from members who fail to
comply with this code of conduct, in accordance
with the Enforcement Processes detailed below.
0930 - 1000 CA 5: Ethical Conduct of an Auditor

30 min
1000 - 1005 Discussion and Feedback

10 min
1005 - 1015 BREAK

10 min
1015 - 1030 Typical Audit Activity

15 min
PREPARING CONDUCTING PREPARATION

INITIATING THE COMPLETING FOLLOWUP
AUDIT AUDIT OF AUDIT
AUDIT THE AUDIT AUDIT
ACTIVITY ACTIVITY REPORT
YOUR NOTES:
1030 - 1100 Exercise 5:
30 min Audit Activities Sequence

5 min
1105 - 1130 On-site audit preparation YOUR NOTES:

25 min The audit team leader ensure any location-
specific arrangements for access, health and
safety, security, confidentiality or other
determined prior to visiting auditee’s location
to be audited.
The audit methods chosen for an audit

depend on the defined audit objectives,
scope and criteria, as well as duration and
location. Applying a variety and combination
of different audit methods can optimize the
efficiency and effectiveness of the audit
process and its outcome.
The responsibility of the effective application

of audit methods for any given audit in the
planning stage remains with either the
individual(s) managing the audit program or
the audit team leader. The audit team leader
has this responsibility for conducting the audit
activities.
Work Document: Audit Checklist
When preparing audit work documents, the

audit team should consider the questions
below for each document.
a) Which audit record will be created by
using this work document?
b) Which audit activity is linked to this
particular work document?
c) Who will be the user of this work
document?
d) What information is needed to prepare
this work document?
The audit work documents should be

adequate to address all those elements of
the management system within the audit
scope and may be provided in any media.
1130 – 1230 CA 6: Writing Audit Checklist

60 min See Exercise instruction 11 on page 64 - 70 for instruction.
5 min
1235 – 1320 LUNCH

45 min
SESSION 7: Preparing Work Document

YOUR NOTES:
1320– 1350 Management of audit interview
30 min
Building rapport with the auditee
Auditor should;
• possess the necessary attributes to enable
them to act in accordance with the principles of
auditing,
• ethical - fair, truthful, sincere, honest and
discreet;
• open-minded - willing to consider alternative
ideas or points of view;
• diplomatic- tactful in dealing with individuals in
order to build harmonious relationship with the
auditee;
Collecting information by interview.

Interviews are an important means of collecting
information and should be carried out in a
manner adapted to the situation and the
individual interviewed, either face to face or via
other means of communication.
Auditor:
• interviews individuals from appropriate levels
and functions performing activities or tasks
within the audit scope;
• interviews be conducted during normal
working hours at the normal workplace of the
individual being interviewed;
• attempts to put the individual being interviewed
at ease prior to and during the
• interview;
• say the reason for the interview;
• interviews may be initiated by asking
individuals to describe their work;
• selects the type of question used (e.g. open,
closed, leading questions, appreciative
inquiry);
1350 - 1450 Exercise 6:
60 min Performing audit interview (Collecting information by interview)

5 min
1455 - 1505 BREAK

10 min
1505 - 1525 Audit Trail

YOUR NOTES:
20 min
An audit trail is defined as;
a security-relevant chronological record, set of
records, and/or destination and source of
records that provide documentary evidence of
the sequence of activities that have affected at
any time a specific operation, procedure, or
event
1525 – 1555 Exercise 7: Perform Audit Trail

30 min

5 min
1600 - 1630 Day 3 Consolidation Quiz

30 min
1630 - 1700 Consolidation of learning Objective in day 2

End of Day 3
DAY 4
Day 4 – PRACTICAL AUDITING
SESSION 8: Auditing OHS Management System
0800 - 0830 Review of day 3

0830 - 0845 Conducting the Audit

15 min
Conducting Opening Meeting YOUR NOTES:

The process of conducting an audit include an
opening meeting at the start of the audit and a
closing meeting at the conclusion of the audit.
Conducting the opening meeting

A formal opening meeting held with the client’s
management and those responsible for the
functions or processes to be audited.
Led by the audit team leader, the opening

meeting is to;
• confirm the agreement of all participants (e.g.
auditee, audit team) to the audit plan;
• introduce the audit team and their roles;
• ensure that all planned audit activities can be
performed.
• Introduce participants and outline their roles;
• Identify the audit methods to manage risks to
the organization which may result from the
presence of the audit team members.
• Confirmation of the content of the audit plan.
0845 - 1015 CA 7: Conducting the Opening Meeting
90 min

5 min
1020 - 1030 BREAK

10 min
1030 - 1045 Audit technique YOUR NOTES:

15 min A “Turtle Diagram” is a quality tool used to
visually display process characteristics such as
inputs, outputs (expectations), criteria (metrics)
and other high-level information to assist in the
effective execution and improvement of key
business processes.
There is a requirement for organizations to

determine and manage numerous linked
activities to enable the transformation of inputs
into outputs.
“Turtle Diagrams” are an effective tool to

understand the processes from both a
managerial and workforce perspective. These
diagrams can also be used to identify gaps in the
organizations structure and further develop
organizational procedures.
To support auditing activities the auditor needs

assess process owner, stakeholders of the
process, procedures, mechanisms and controls,
competence, training and awareness of the
personnel involved, and linked processes.
Based upon the “Turtle Diagram” it gives the

auditor a “guide” to perform a process audit, and
helps the identity of the direction the audit will
follow.
1045 – 1115 Exercise 4: Applying Turtle Method of Auditing
30 min

5 min
1120 - 1130 Collecting and verifying information

10 min
The sources of information selected may vary
according to the scope and complexity of the
audit and may include the following:
• interviews with employees;

• observations of activities and the surrounding
work environment and conditions;
• policies, objectives, plans, procedures,
standards, instructions, licenses and permits,
specifications, drawings, contracts and
orders;
• records
• data summaries, analyses and performance
indicators;
• information on the auditee’s sampling plans
and on any procedures for the control of
sampling and measurement processes;
• reports such as customer feedback, external
surveys and measurements;
• databases and websites;
• simulation and modelling.
Reference: ISO 19011:2018
Continuous Assessment:
1130 - 1230
CA 8: Practical Auditing
60 min
Collecting and verifying information/audit evidence
See Exercise instruction on page 64 - 70 for instruction.
Auditing OHS management system requirements
Part 1:
Evaluate:
• Auditees understanding of the organization and its context.

• Scope of the OHS management system
• consultation and participation
• roles and responsibilities
• Top management commitment to the OHSMS.
Verify OHS Policy as established by top management;
• reflects the purpose, the size and context of the organization and the specific nature of
its OH&S risks and opportunities
• is compatible with the organization’s strategic direction and provides a framework for
setting OH&S objectives
• Commits to provide safe and healthy working conditions for the prevention of work-
related injury and ill health
• commits to compliance with applicable statutory and legal requirements and other
requirements
• commits to eliminating hazards, reducing OH&S risks, and to continual improvement of
the OH&S management system
• commits to consultation and participation of workers, and where they exist, workers
representatives
• is documented, communicated and understood within the organization
• is available to interested parties, as appropriate.
• Determination of legal requirements and other requirements.
• Hazard identification and assessment of OHS risks and OHS opportunities
• Auditee’s arrangement for planning OHS objectives
• Competence
• Awareness
• Communication
1230 - 1315 LUNCH

45 min
1315 - 1400 CA 8: Collecting and verifying information/audit evidence (conrinuation)

45 min Part 2:
Evaluate:
• operational processes, its implementation and control including the determination and
review of requirements, the elimination of hazards and reduction of OH&S risks,
procurement, contracting and outsourcing,
• changes to OHSMS
• emergency preparedness and response and incident investigation.
• Monitoring, measuring, analysis and evaluation of the OHSMS performance.
• Management review
• Continual improvement including effectiveness of dealing with incident, nonconformity
and corrective action

5 min
SESSION 9: Generating Audit Findings

1405 - 1435 Generating audit findings
30 min Audit evidence obtained from documented YOUR NOTES:
information are evaluated against the audit
criteria in order to determine audit findings.
Audit findings can indicate conformity or
nonconformity with audit criteria.
Annex 18 Audit findings of ISO 19011:2018

enumerates what to consider in determining
audit findings.
Recording conformities considers:

• description of or reference to audit criteria
against which conformity is shown;
• audit evidence to support conformity and
effectiveness, if applicable;
• declaration of conformity, if applicable.
Recording nonconformities considers:

• description of or reference to audit criteria;
• audit evidence;
• declaration of nonconformity;
• related audit findings, if applicable.
1435 – 1510 Exercise 8: Write audit findings

30 min See Exercise brief on page 64 - 70 for instruction.

5 min
1515 - 1525 BREAK

10 min
1525 - 1555 Preparation of Audit Conclusion YOUR NOTES:

30 min The audit team leader and the team member
confer prior to closing meeting to:
• review the audit findings
• agree on audit conclusions and any
arrangement for follow-up action.
• Confirm the appropriateness of the audit
program
• Arrange any future modification in the audit
program.
See ISO 19011:2018 clause 6.4.9.2 Content YOUR NOTES:
of audit conclusions to determine what
issues are addressed in preparing the audit
conclusion.
Auditing risks and opportunities

As part of the assignment of an individual
audit the determination and management of
the organization’s risk and opportunities can
be included.
ISO 19011:2018 A 10 Auditing risks and

opportunities enumerate the steps and
collection of objectives evidence in auditing
organization’s approach to the determination
of risks and opportunities
Reporting and writing nonconformity:

• Grading the nonconformity
Nonconformities can be graded depending on
the context of the organization and its risks.
• Classification of nonconformity
Audit findings summarizing conformity and
detailing nonconformity shall be identified,
classified and recorded to enable an informed
certification decision to be made or the
certification to be maintained.
• Well documented nonconformity report

A finding of nonconformity shall be recorded
against a specific requirement, and shall
contain a clear statement of the nonconformity,
identifying in detail the objective evidence on
which the nonconformity is based.
1555 – 1625 CA 9: Writing Nonconformity

30 min

5 min
1630 - 1700 Consolidation of learning objective in day 4

SESSION 10:

0800 - 0900 Review of day
60 min Specimen Examination – section 4
Assignment discussion
0900 - 0930 Presentation of Audit Conclusion YOUR NOTES:

30 min The audit team leader:
- ensures the audit report is prepared,
- responsible for the content of the audit report.
The audit team presided by the audit team

leader present the audit conclusion in a closing
meeting.
.
Conducting the closing meeting
The closing meeting should be chaired by the
audit team leader and attended by the
management of the auditee and include, as
applicable:
• those responsible for the functions or
processes which have been audited;
• the audit client;
• other members of the audit team;
• other relevant interested parties as
determined by the audit client and/or auditee.
A formal closing meeting, where attendance is

recorded, shall be held with the client’s
Management.
The agenda of the meeting is to:

• advise auditee of the audit evidence
collected,
• explain;
- the method and timeframe of reporting and
the grading of audit findings,
- process of handling nonconformities
- consequences relating to the status of the
client’s certification
- timeframe for the client’s presentation of
plan for correction and corrective action to
NC found during the audit
- post audit activities including complaint
handling and appeal process.
Any nonconformities shall be presented in such

a manner that they are understood, and the
timeframe for responding shall be agreed.
Reference: ISO 17021 – 1 : 2018
0930 - 1020 CA 10: Closing Meeting

50 min See Exercise instruction on page 65 – 70 for instruction.
1020 – 1030 BREAK

10 min
1030 - 1120 CA 10: Conducting Closing Meeting (continuation)

50 min

5 min
Reporting the Audit YOUR NOTES:

1125 - 1155
30 min The certification body shall provide a written
report for each audit to the client. The audit
team may identify opportunities for
improvement but shall not recommend specific
solutions. Ownership of the audit report shall be
maintained by the certification body.
ISO 17021-1:2015 clause 9.4.8 state that audit

team leader shall ensure that the audit report is
prepared and shall be responsible for
its content. See the content of the report in
clause 9.4.8.2
Corrective action process

Cause analysis of nonconformities
The certification body auditor shall require the
client to analyze the cause and describe the
specific correction and corrective actions
taken, or planned to be taken, to eliminate
detected nonconformities, within a defined
time.
The auditor:
- review the corrections, identified causes and
corrective actions submitted by the auditee if
they are acceptable,
- verify the effectiveness of the actions taken,
- record the evidence obtained to support the
resolution of nonconformities,
- inform the auditee of the result of the review
and the verification,
- inform the client if an additional full audit, an
additional limited audit, or documented
YOUR NOTES:
evidence (to be confirmed during future
audits) will be needed to verify effective
correction and corrective actions.
Completing audit
The audit is completed when all planned audit
activities have been carried out.
Documented information pertaining to the

audit are retained or disposed of by
agreement between the participating parties
and in accordance with audit program and
applicable requirements.
When distributing the audit report, appropriate

measures to ensure confidentiality should be
considered.
Lessons learned from the audit can identify

risks and opportunities for the audit program
and the auditee.
1155 - 1225 CA11: Follow-up Audit.

30 min See Exercise instruction on page 65 – 70 for instruction.

5 min
1230 – 1315 LUNCH

45 min
SESSION 11:

1315 – 1340 Guidelines for applying to be a registered CQI & IRCA Auditor
25 min
1340 – 1400 TUTOR / ASSISTANT TUTOR (if applicable) EVALUATION

20 min
1400 – 1630 CQI & RCA CERTIFIED AUDITOR/LEAD AUDITOR COURSE EXAMINATION
150 min
1630 – 1700 Recap of Learning Objectives

30 min Final discussion and course review
END OF COURSE
EXERCISES BRIEF
Student Instruction for Group Works
This course involves activities such as group/team works and role play. Students are
formed into suitably sized work teams in various course exercises and role play activities.
Course exercises and role play activities are done by group. Each group choses their Audit
team leader. Under the tutor’s guidance, each member of the team plays an importance
and equal roles. They are expected to contribute and cooperate. All are given chance to
become Audit team leader. These team groupings must be effectively assembled with
student’s initiative to facilitate good performance. The Tutor will grade the performance
accordingly.
The results of the exercises and role play activities are presented in the class at the end
of the time allotted for it. The Lead auditor can make an arrangement on the presentation
of the results of their activity and the documents they produced (if necessary).
CASE STUDY COMPANY
URISE Construction Company was established in 2009 in Dubai as part of ELK Group of
Companies.
URISE CONSTRUCTION CO. has been one of major domestic Singapore construction
company in the field of civil engineering, providing a high quality of services and production,
since it is founded in 1974, specializing in civil engineering field, such as Slurry Wall Works,
S.C.W. Works, H-PILE works, R.C.D. Works, Marine Large Diameter Bored Piling, Cell Type
Temporary Levee Protector Construction, S.G.R, LW Grouting, NATM-method-applying
Works (subway, road, utility pipe conduit, etc.), Underground Drilling Works and Soil Works.
URISE established oversea branches in Singapore, Hong Kong, Taiwan, Vietnam,

Philippines, U.A.E., Saudi Arabia, in an attempt to effectively respond to the requirements
of globalization, and successfully completed various type of the construction such as slurry
wall works for new port, subway and sewage treatment facility in Singapore, bullet train
tunnel construction in Taiwan, water pipeline works in Philippines, slurry wall works for Kwun
Tong building in Hong Kong, New Oil Pier 1st and 2nd marine large diameter works in
Kuwait, sewage treatment facility slurry wall works in Vietnam, impressing the world with the
technology of URISE. We are still expanding our business scope and leading the civil
engineering field, currently installing the slurry wall for the subway system in Singapore, LRT
slurry wall in U.A.E. Dubai.
Now, URISE has established the goal which pursues to evolve into the world’s top ranking
company in 2000s in the field of civil engineering on the basis of our 4 core values-customer,
teamwork, challenge, enthusiasm-under our motto, “We Pursue the Happiness of Customer,
Members and Society, Based on People and Technology.” We will continue to attain a
sustainable growth by pursuing our business administration strategy that focuses on
vigorous investment, talent cultivation, profit increase, as part of our effort to make a new
leap through the innovation and unyielding will, to keep abreast of challenge of globalization.
With its new location in Abi Dhabi, UAE, the management believe their expertise in
construction will take a share in giving quality construction products and services.
ORGANIZATIONAL CHART
ELK Group of
Companies
Chairman of the
Board
URISE PACKAGING
ELK PROPERTIES URISE CONSTRUCTION
CORP. Ltd
Chief Executive Officer Chief Executive Officer
Chief Executive Officer
URISE CONSTRUCTION COMPANY
CHIEF EXECUTIVE
OFFICER
(CEO)
Administration Sales Executive Logistics Executive Operations QHSE Executive

Executive Officer Officer Officer Executive Officer Officer
Accounting Manager Procurement

Account Manager Project Manager Planning supervisor HSE Manager HSE Team
Manager
Human Resource Quality Assurance

Sales Manager Purchasers Site Manager
Manager Manager/ M.R.
Site inspector Site supervisor Construction workers Inspection
Testing
STUDENT EXERCISE BRIEF
Your Tutor(s) will require you to work together in groups or individually to prepare for and ultimately
undertake an audit of a case study company. The full details of this will be explained at the appropriate
time by the course tutors; however, it will basically involve the following:
DAY CONTINUOUS ASSESSMENT EXERCISES
CA 1 - Understanding Occupational Health & E1 - Maintained and Retained

Safety Management System Documented Information search.
1
CA 2 - Documenting Management System
E2 - Identifying audit type
Requirements
CA 3 - Documented Information Review E3 - Applying Principles of Auditing

2
E4 - Determine Audit Duration and man
CA 4 - Audit Plan Preparation
day requirements exercise
CA 5 - Ethical conduct of an auditor E5 – Audit Activities Sequence
3 E6 - Performing audit interview

(Collecting information by interview)
CA 6 - Writing Audit Checklist
E7 – Perform Audit trail
CA 7 - Conducting Opening Meeting E8 - Applying Turtle Diagram in Auditing
4 CA 8 - Practical Auditing
E9 – Writing Audit Findings
CA 9 - Writing Nonconformity
CA10 - Conducting Closing Meeting
CA11 – Follow-up Audit
EXERCISES INSTRUCTION:
1. The Occupational Health & Safety Management System Process – CA1
The purpose of this exercise is to assess the student’s understanding of the Occupational Health &
Safety management systems and the standards. Tutor will instruct the students to answer the
questions in continuous assessment exercise 1;
This is one of the continuous assessment exercises and therefore be marked.
2. Maintained and Retained Documented Information search in the standard - E1
To prepare you for using the standard and in using the clauses for evidence-based audit, tutor will
guide you to perform phrase search. In ISO 45001 standard search the documented information
that is maintained and retained. Identify the corresponding clause of the standard that requires
them.
.
3. Identifying audit type – E2
Individual exercise: Using the scenario given by the Tutor, answer the following by identifying what
audit type correspond to the activities given.
4. Documenting Management Systems Requirement – CA 2
To understand the processes of the Occupational Health & Safety management system, Tutor will
distribute the continuous assessment exercise documentation for individual exercise to determine
the learning objectives is met by the students in the requirements of OHSMS. As per Tutor’s
instruction the students will answer the questions on the form provided.
5. E 3: Applying Audit Principles
Individual exercise:
The student explains in its own words his/her understanding of the given principles of audit and
give relevant example how an auditor applies these principles in practical auditing. The answer to
this exercise is written in the form the tutor will provide.
The purpose of this exercise is to determine the understanding and comprehension of the future
auditor in applying the principles of auditing in actual situation.
6. Documented Information Review - CA3
The purpose of this exercise is to provide experience in undertaking a "Document "Review". A full
assessment of an organization against the requirements of ISO 45001 requires the assessing
organization to adopt the two stage approach:
Stage 1: A review of the documentary evidence provided by the organization to demonstrate that it
has understood and developed processes designed to implement the requirements of ISO 45001,
and to confirm that the organization is ready to be audited.
Stage 2: An on-site audit to verify that the organization is implementing its documented system and
effective
You will be working with the supplied case study manual and the results of the Day 1 discussion
group activities your team should now undertake a "Document Review" of the case study
organization's manual, prepare a formal presentation and also complete the Document Review form
in your Continuous Assessment documents as instructed by your tutor(s).
Although this is a team exercise, however, the entries into the Continuous Assessment documents
will be made by the individual delegates and should be identical to the respective group findings.
Your presentation will need to comprise the completed document review form and also address the
following questions:
1. Do the supplied case study manual provides sufficient assurance that:

a. the organization has met the requirements of ISO 45001?
b. the organization has the processes been designed to meet the requirements of ISO
45001, and would be appropriate to progress to Stage2?
2. Are there areas of concern (weakness) that you think should be focus out for in-depth verification
during the Stage 2 audit.
7. E 4: Audit Duration Exercise
You will perform audit duration exercise as per the instruction of your tutor.
The tutor will ask you to refer to IAF-MD5:2019 Issue 4 Determination of Audit Duration for Quality,
Environmental and Occupational Health & Safety Management System when computing for man
days. With the scenario given by your tutor determine the audit duration in man days using the
Annex C – Occupational Health & Safety Management Systems - Table OH&SMS1 – OH&S
Management Systems Relationship between Effective Number of Personnel and Audit Time of IAF
- MD 5:2019 Issue 4. This exercise will be for 30 minutes and 5 min discussion
8. CA 4: Audit Plan Preparation
The purpose of this exercise is for the students understand the importance and function of Audit
Plan in the audit process. The Team Leader will prepare the detailed plan of the activities, purpose,
objectives, time lines who will be the auditor and auditee, activities and areas to be audited at the
time of the audit. This is for both auditee and auditor information what will be done at the time of
the audit. This is to be given to the auditee well in advance for them to prepare for the audit. After
the tutor explains the details of an audit plan, the groups will prepare the audit plan as per the
tutor’s instructions of the case study company and they will record their plan on to the form
supplied.
9. Ethical Conduct of an Auditor. CA 5
The purpose of this exercise is to make student aware of the conduct of an auditor as a professional
individual and according to the guidelines of CQI & IRCA.
Tutor will distribute the exercise documentation and allow individual participants to answer the
questionnaire. If time allowed, Tutor will discuss the answer of a chosen student to determine the
perception in CQI & IRCA Code of Conduct.
10. Audit Activity Sequence Exercise – E5
With the same group formed in Audit Plan preparation, each group will be given audit activity cards,
where the sequence of audit activities is written. The groups will arrange the audit activities
according to the right audit sequence as described in Typical audit activity of ISO 19011:2011.
After the allotted time, group will show there arrangement and tutor will check if the sequence is
correct.
The purpose of this exercise is to build camaraderie and rapport between group members as if they
are the composition of an audit team.
11. Writing Audit Checklist – CA6
As a group it is now time for you to think about all the questions you wish to ask and things you
would like to examine (audit sample) at the time of audit.
Using the case study manual, you should work with your plan of action as detailed in your audit
plan. You need to verify and think about what questions you need to ask, the documents, records,
tools, materials that you need to examine (together with sample sizes) in order to get the necessary
information to answer your questions.
These check lists are for your use and benefit during the role-play audit, so that you know exactly
what to look at and look for and what questions to ask.
You have to prepare questions on the following in reference to the Case Study organization:
Part 1:
Evaluate:

• Top management commitment to OHSMS

• reflects the purpose, the size and context of the organization and the specific nature of its
OH&S risks and opportunities
• is compatible with the organization’s strategic direction and provides a framework for setting
OH&S objectives
• Commits to provide safe and healthy working conditions for the prevention of work-related
injury and ill health
requirements
• commits to eliminating hazards, reducing OH&S risks, and to continual improvement of the
OH&S management system
representatives
Part 2:
Evaluate:
• Hazard identification and assessment of OHS risks and OHS opportunities
• Competence
• Awareness
• Communication
• operational processes, its implementation and control including the determination and review
of requirements, the elimination of hazards and reduction of OH&S risks, procurement,
contracting and outsourcing,
12. Performing audit interview (Collecting information by interview) – E6
Using the audit checklist prepared, students by group interview the Tutor one after the other till the
round is complete. The Tutor will reply base on the questions and ensure the objective of the audit
is achieved.
13. Perform Audit trail – E7
The students in groups are tasked by the Tutor to perform audit trail based on the processes
assigned to them. They will ask the relevant questions and they should give the corresponding
standard clauses. The leader in behalf of the group will reach an outcome of the performed audit
trail. The answers will be written on the flipchart and the leader will explain their answers.
14. Conducting Opening Meeting – CA7
Under the guidance of your course tutor(s) prepare to conduct an Opening Meeting with the case
study company management team. You will need to use the previously prepared schedule at the
meeting and should request the tutor(s) to take some copies for you, one of which should be given
to the tutor for use by the management team. Please allow each team member to provide a brief
input at a suitable time in the meeting to explain what areas they will be auditing.
The Team Leader will need to chair the meeting and work to a prepared agenda following the format
given in the course notes. The groups will perform the opening meeting in front of the other groups
acting as the auditee one at a time allotted by the tutor. The tutor will rate the performance of the
students during the opening meeting and marked. This is one of the continuous assessment
exercises and therefore be marked.
15. Applying Turtle Diagram in Auditing – E8
The purpose of this exercise is to equip students with ease in following the system of auditing a
particular process where they miss-out nothing in the interrelating processes that might affect the
results and effectiveness of collecting objective evidences.
Using the Turtle Diagram, the tutor will group students and allow them to choose their leader. Each
group will be given a process to audit. Tutor will demonstrate in example the use of the diagram and
ensure students understand the instructions before giving the assignment.
The Tutor, at the end of the exercise, choose one or two groups to present their answers. Student
leaders write the answer in the flipchart and explain how they obtain their answers. Tutor/s collect
the answered forms of the rest of the students.
16. Performing the Audit – CA8
Stage 2 – Role Play exercise
Your tutor will explain what needs to be done at each stage, if you are in any way confused please
do not hesitate to ask for clarification.
During the simulated assessment (role play) you will work as a team, with each member of the group
conducting his/her own part of the audit in turn.
You decide for yourselves the best approach to this, however it is important that each team member
has an opportunity to ask questions of the auditees and control their part of the audit, and also to
follow trails if felt to be relevant to the overall objectives and scope of the assessment.
You may find it easier to work in pairs so that one auditor can take good notes whilst the other is
conducting the audit, however the team should all carefully listen to each interview and discuss /
exchange information when the opportunities for team meetings arise.
You will need to take good notes but are not required to fill out Nonconformity reports at the time of
audit. Your tutor will explain how the audit role play will be undertaken.
The students will perform simulated audit using the scenarios the Tutor will provide to evaluate the
following:
Part 1:
Evaluate:

• Top management commitment to OHSMS

• reflects the purpose, the size and context of the organization and the specific nature of its
OH&S risks and opportunities
• is compatible with the organization’s strategic direction and provides a framework for setting
OH&S objectives
• Commits to provide safe and healthy working conditions for the prevention of work-related
injury and ill health
requirements
• commits to eliminating hazards, reducing OH&S risks, and to continual improvement of the
OH&S management system
representatives
Part 2:
Evaluate:
• Hazard identification and assessment of OHS risks and assessment of OHS
opportunities
• Competence
• Awareness
• Communication
Evaluate:
• operational processes, its implementation and control including the determination and review
of requirements, the elimination of hazards and reduction of OH&S risks, procurement,
contracting and outsourcing,
During the audit you may ask to speak to any person at the company, but do not jump from person
to person in too rapid succession, and you are not required to go through the protocol of formal
introductions as there is simply insufficient time for this.
You may ask to see any document, material, component or product. If you ask the right questions of
the right people you will obtain the audit evidence - please do not write on this or mark it in any way.
Sometimes you may ask to see evidence that does not exist for role play purposes, in these
situations your tutors will 'show' you whatever you wish to see in role play but will immediately ask
you (out of role play) what evidence you are looking for. Just tell them what objective evidence you
are seeking and they will tell you honestly if it is there or not.
You will need to use some imagination to gain the most from the role play exercise, however in some
cases you will be shown actual documentation which you will then need to study carefully before
handing back to the tutors.
17. Write Audit Findings – E8
The purpose of this exercise is to verify how the participant can demonstrate the ability to evaluate
audit evidence to correctly identify conformity and nonconformity with requirements.
Tutor instruct students to write their audit findings in the form provided for. The audit findings shall
be shown in the class by using the provided flipchart and explain how they collected the findings
and their supporting evidences. This exercise shall be discussed further during audit conclusion
whether the findings are acceptable to the auditee, tutor shall ensure that this activity is further
discuss during presentation of audit conclusions.
18. Writing Nonconformity – CA9
Each team prepares the audit nonconformity report based on the practical audit CA 8 generated
audit findings. Tutor insures that the team demonstrated the responsibilities in this activity. The
audit findings must be verified if its content is consistent with the requirements of ISO 17021 and
iso 19011 by the tutor. This is one of the continuous assessment exercises and therefore be
marked.
Using the audit findings generated on the Practical Auditing- CA8 activity, you will write the
nonconformity/ies in the management system documentation of the case study company. This
exercise aims to determine your understanding regarding the parts of a well-documented
nonconformity report.
19. Closing Meeting Exercise – CA 10
You will work in groups and perform closing meeting exercise as instructed by your tutor. Referring
to ISO 19011 clauses 6.4.9 prepare and perform closing meeting in front of the auditee team
explaining the findings they got from the role-play and other matters as discussed in ISO 19011
clause 6.4.9.
20. Follow-up – CA 11
From the scenarios given in the continuous assessment, instruct student to suggest a suitable
approach that an auditor might take to verify that the corrective action is effective in dealing with
the root cause of the problem.
END OF COURSE

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STUDENT COURSE NOTES

CQI & IRCA CERTIFIED

• The Plan, Do, Check, Act (PDCA) cycle

By the end of the course Students should be able to:

Student Evaluation Process

• Continuous Assessment document - a written daily examination of achievement of the

Documented information of the student’s evidence of performance determined in the continuous

CQI & IRCA certified course examination:

The Examination Proctor is responsible for ensuring;

Student’s responsibilities are:

• this document and all other information are kept confidential;

Students receive at the end of the course;

• Certificate includes the full title of the course as follows:

− Name of the delegate

This is applied for the whole duration of 5 days.

The course is formatted as follows;

• The first day starts with introduction of participants and tutor/s.

a) Experience new ideas and skills.

• a variety of learning methods to suit the range of learning styles;

The course includes;

Day 1 - Understanding of OHS Management System Process

Day 1 - Understanding OHS Management System Requirements

08.30 Introduction: Tutor/Students / Course Content / IRCA Certification

09.00 Pre-course Assignment / IRCA Learning Objectives / Prior Knowledge

10.10 ISO 45001:2018 Structure in PDCA Cycle & OHSMS Requirements

11.10 Terms and Definition

11.25 Continuous Assessment (CA1): Understanding OHSMS

11.55 Discussion & Feedback

12.45 Documented Information

13.15 Exercise 1: Search for maintained and retained documented information

13.45 Discussion and feedback

13.50 Audit type

14.20 Exercise 2: Identifying audit type

14.50 Discussion and Feedback

15.05 Accreditation/Certification/3rd party audit & its benefits

15.25 CA 2: Documenting Management Systems Requirements

16.25 Discussion and Feedback

16.30 Consolidation Quiz

16.45 Consolidation of the learning objective in day 1

Discussion and feedback.

Assignment – Specimen Examination Section 1

17.00 End of day 1

08.00 Review of day 1 - discussion / concerns

08.30 Audit Process

09.00 Exercise 3 – Applying Principles of Auditing

09.30 Discussion and feedback

09.35 Management System Audit

10.15 Preparing Audit Activity / Audit Stages

10.30 CA3: Documented Information Review

12.30 Discussion and feedback

13.20 Preparing stage 2 Audit

13.50 Exercise 4 – Determine the duration of management system audit

14.20 Discussion and feedback

14.25 Audit Plan Preparation

15.20 CA 4: Audit Plan Preparation

16.25 Discussion and feedback

16.30 Consolidation of learning Objective in day 2