Iso 45001-2018 Oh&s Ms A-La TC Sshow

ISO 45001:2018 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEM
(OH&S MS) AUDITOR/LEAD AUDITOR

FIVE DAY TRAINING COURSE
CQI / IRCA CERTIFICATED COURSE: 1910 – PR 357
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ISO 45001:2018 OH&S MS A/LA TC 01-11-2022 2

COURSE AIM
By the end of this course all learners will have the knowledge and skills
needed to:
 Perform audits of Occupational Health and Safety Management
Systems (OH&S MS) against ISO 45001:2018 in accordance with
ISO 19011 and ISO/IEC 17021 as appropriate
© SGS SA 2020 All Rights Reserved ISO 45001:2018 OH&S MS A/LA TC 01-11-2022 3
AGENDA
Day One
 Session One: Introduction to OH&S MS
 Session Two: Process-Based OH&S MS
Day Two
 National Legislation
 Session Three: Registration, Certification and Auditor Competence
 Session Four: Audits: Definition, Principles and Types
 Session Five: The Audit Process
 Session Six: Preparing for the On-Site Audit (Audit Stage 1)
AGENDA, CONTINUED
Day Three
 Session Seven: Developing a Checklist
 Session Eight: Conducting the On-Site Audit (Audit Stage 2)
 Session Nine: Audit Review
Day Four
 Audit Role-play
 Session Ten: Audit Reporting and Follow-up
 Specimen Examination Paper
AGENDA, CONTINUED
Day Five
 Review of Outstanding Specimen Examination Issues
 Preparation for Closing Meeting and Closing Meeting Roleplay
 Preparation of Audit report
 Written Examination
SESSION ONE: OCCUPATIONAL
HEALTH AND SAFETY
MANAGEMENT SYSTEMS (OH&S
MS) AND ISO 45001:2018
SESSION ONE OBJECTIVES
By the end of this session, you will be able to:

 Describe the purpose and benefits of an OH&S MS
 Describe the purpose of OH&S standards
 State the purpose and benefits of a certificated OH&S MS
 Explain the benefits of third-party certification of an OH&S MS for
organisations and stakeholders
 Be aware of the development and application of ISO 45001:2018
 Explain the terminology used in ISO 45001:2018
 Be aware of the concepts that underpin and OH&S MS
 Explain the PDCA model for continual improvement
PRESSURES ON AN ORGANISATION
Shareholders Management Banks and Insurers
Customers Regulators
Parent Company The Organisation Media
Legislators
Employees and Contractors and
their representatives Suppliers
BENEFITS OF OH&S MANAGEMENT
Fewer accidents Increased staff commitment

Improved compliance
record
Enhanced reputation
Better subcontractor
Confident customers
relations
Less negative media Competitive Advantage

coverage Cheaper finance
Reduced risk exposure

Positive pressure group
Lower insurance premiums relations
OH&S RISK MANAGEMENT
 OH&S system standards were developed to follow risk management

principles:
 Recognise health and safety risks and hazards and existing OH&S
performance levels
 Manage the risk and manage or improve existing performance levels
 Monitor the effectiveness of OH&S management
CONSISTENT WITH OTHER STANDARDS
ISO 9001 Quality Management Systems Requirements
ISO 14001 Environmental Management Systems Requirements
ISO/IEC Information Security Management Systems

27001 Requirements
Business Continuity Management Systems
ISO 22301
Requirements
ISO 19011
 Guidelines for auditing management systems

 Contains information on:
 Terms and definitions
 Principles of auditing
 Managing an audit programme
 Performing an audit
 Competence and evaluation of auditors
ISO/IEC 17021-1:2015
 Conformity assessment – Requirements for bodies providing audit

and certification on management systems
 Contains requirements for CBs on:
 Principles by which CBs should conduct their activities
 Legal and contractual matters
 Structural requirements
 Resource requirements
 Information requirements
 Process requirements
 Management system requirements
THREE PILLARS OF AN OH&S SYSTEM
OH&S Commitments
Overall OH&S
accidents and
Improvement
Performance
Prevention of
Remove one pillar
Continual
ill-health
and the OH&S MS
becomes unstable
H&S RISK IDENTIFICATION AND

MITIGATION
SESSION TWO: PROCESS-
BASED OH&S MS
SESSION TWO OBJECTIVES

 Know the steps needed to establish an OH&S MS
 Explain the PDCA framework and its significance to ISO
45001:2018 and OH&S processes
 Outline the processes involved in establishing, implementing,
operating, monitoring, reviewing and maintaining an OH&S MS,
including the significance for OH&S auditors
 Discuss the formulation of the OH&S policy and objectives
 State the requirements for OH&S documentation
SESSION 2 OBJECTIVES, CONTINUED
 Know the role of the auditor in assessing the organisation’s

operational processes
 Differentiate between documented information, procedures and
records
 Explain the purpose of controlling documented information
 Know how audits can be used as a tool for the maintenance and
improvement of MS
 Explain the role of the OH&S auditor in assessing the effectiveness
of an organisation’s OH&S MS
PLAN-DO-CHECK-ACT
 Plan
 Establish:
• Policy, objectives, targets, controls, processes and procedures
• Support activities – resources / training / documentation
 Do
 Implement and operate controls, processes and procedures
 Check
 Processes are monitored and measured against policies, objectives, targets,
requirements
 Act
 Actions are taken to continually improve the process
PDCA & CONTINUAL IMPROVEMENT
Establish objectives
Take actions to continually
necessary to deliver results in
improve process performance –
accordance
effectiveness and efficiency Act Plan with customer requirements
and the organisation's policies
• What to do
• How to do it
Check Do
Monitor and measure • Did things
processes and product happen • Do what was
according planned
against policies, objectives
to plan? Implement the processes
and requirements
PROCESS APPROACH
PROCESS
 Any activity that takes “inputs” and converts

them to “outputs”
PROCESS APPROACH
 The systematic identification and

management of these activities and the
interactions between activities
OH&S MODEL FOR ISO 45001:2018
NETWORK OF INTERRELATED OR
INTERACTING PROCESSES
APPLICATION OF THE PDCA CYCLE
PLAN
 Set the scope of the OH&S system

 Establish the context of the organisation
 Demonstrate leadership and commitment
 Establish policy
 Assign roles and responsibilities
 Identify OH&S risks and hazards
 Plan actions to address risks and hazards
 Establish objectives and plans to achieve these
 Provide resources
 Ensure competence and awareness
 Determine internal and external communication
 Ensure availability and control of documented information
POLICY AND OH&S ISSUES
(Optional) Initial OH&S

Review
Risks and Hazards Policy 5.2
Significant OH&S Issues Objectives 6.2.1
THE STRUCTURE OF ISO 45001:2018
0. Introduction
1. Scope
2. Normative references
3. Terms and definitions
4. Context of the organisation
4.1 Understanding the organisation and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the management System
Occupational health and safety management system and its
4.4
processes
THE STRUCTURE OF ISO 45001:2018,

CONTINUED
STRUCTURE
5.0 OF ISO 45001:2018
Leadership
5.1 Leadership and commitment
5.2 Policy
5.3 Organizational roles, responsibilities and authorities
5.4 Participation and consultation (workers and representatives)
6.0 Planning
6.1 Actions to address risk and opportunities
6.2 Objectives of the MS and planning to achieve them
CONTINUED
7.0 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information

CONTINUED
8.0 Operation
8.1 Operational planning and control
8.1.1 General
Eliminating hazards and reducing OH&S risks (Hierarchy of
8.1.2
Controls)
8.1.3 Management of change
8.1.4 Procurement
8.1.4.1 General
8.1.4.2 Contractors
8.1.4.3 Outsourcing
8.2 Emergency preparedness and response
CONTINUED
9.0 Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Evaluation of compliance
9.2 Internal audit
9.3 Management review
10. Improvement
10.1 General
10.2 Nonconformity and corrective action
10.3 Continual improvement
Annex A Guidance on the use of this international standard
SCOPE: CLAUSE 1
 ISO 45001:2018 specifies requirements for an occupational health

and safety (OH&S) management system, and gives guidance for its
use, to enable organizations to provide safe and healthy
workplaces, by preventing work-related injury and ill health, as well
as by proactively improving its OH&S performance
CLAUSE 1: APPLICATION
 The requirements are generic and applicable to all organisations,

regardless of type, size and product or service provided
 Requirements which do not apply
 Property damage
 Product safety
 OH&S risks beyond those imperilling workers
CLAUSES 2 & 3
2. Normative references
 None applicable to ISO 45001:2018
3. Terms and definitions
 Terms and definitions in ISO 45001:2018, section 3 apply
CLAUSE 4: CONTEXT OF THE
ORGANISATION
4
Context of the Organisation
4.2 4.4
4.1
Understanding the 4.3 Quality
Understanding the
needs and Determining the management
organisation and its
expectation of scope of the QMS system and its
context
interested parties processes
CLAUSE 5: LEADERSHIP AND WORKER

PARTICIPATION
5 Leadership and Worker

Participation
5.3
5.1 Organisational 5.4
5.2
Leadership and roles, Worker participation
OH&S policy
commitment responsibilities and and consultation
authorities
5. LEADERSHIP, CONTINUED
 Top management is to:

 Take overall responsibility for workers’ protection and health
 Establish an OH&S policy and objectives appropriate to the context of the
organisation
 Ensure the availability of necessary resources for OH&S activities
 Ensure active participation of workers and their representatives to ensure
OH&S good practice
 Communicate necessary and appropriate OH&S information
 Promote OH&S requirements
 Support staff
CLAUSE 6: PLANNING
6
Planning
6.1 6.2
Actions to address risks and OH&S objectives and
opportunities planning to achieve them
CLAUSE 7: SUPPORT
7
Support
7.5
7.1 7.2 7.3 7.4
Documented
Resources Competence Awareness Communication
information
CLAUSE 7.5: OH&S DOCUMENTATION
 Must include documented information:

 Required by ISO 45001:2018
 Necessary for effectiveness of the OH&S system
 Note:
 Documents are statements of what shall happen and are referred to in ISO
45001:2018 as ‘maintained documented information’
 Records are statements of what has happened and are referred to in ISO
45001:2018 as ‘retained documented information’
DOCUMENTS
 Mandatory
 The OH&S policy  Compliance obligations (i.e.,
legislation and other requirements)
 OH&S objectives
 Emergency measures
 Risks and opportunities (normally
a risk register)  An audit programme
 Processes needed to address  The scope of the OH&S system

risks and opportunities, i.e., risk  Organisational roles,
assessments and method responsibilities, accountabilities
statements and authorities
 Process for assessment of risk
DOCUMENTS, CONTINUED
 Typically available, but not

formally demanded:
 Work instructions  Operating instructions
 Training programmes  User manuals
 Identification of applicable  Routine safety inspection plans
legislation and contractual
requirements  Monitoring arrangements
 Register of OH&S risk / hazards  Technical manuals
 Register of legislation  Manufacturer’s recommendations
 Process flow charts  Performance standards, etc.
 Organisation charts .
RECORDS
 Mandatory
 Training records  Emergency drills
 Evidence of its communications  Non-conformities, incidents and

investigations
 Records of monitoring and
measurement  Corrective actions taken
 Evidence of the compliance  Internal audit records

evaluation result(s)  Management review minutes
 Traceability records
CLAUSE 8: OPERATION
8
Operation
8.1 8.2
Operational planning and Emergency preparedness
control and response
8.1.2 8.1.3
8.1.1 8.1.4
Eliminating hazards & Management of
General Procurement
reducing OH&S risks change
8.1.4.1 8.1.4.2 8.1.4.3

General Contractors Outsourcing
CLAUSE 8: OPERATION CONTROL
 8.1.2 Hierarchy of controls

 The organisation shall establish a process and determine controls for
achieving reduction in OH&S risks using the following hierarchy:
• Eliminate the hazard
• Substitute with less hazardous materials, processes, operations or equipment
• Use engineering controls
• Use administrative controls
• Provide and ensure use of adequate personal protective equipment
CLAUSE 8: OPERATION CONTROL,

CONTINUED
 8.1.3 Management of change

The organisation shall establish a process for the implementation and control of
planned changes that impact OH&S performance
 8.1.4 Procurement
The organisation shall establish controls to ensure that the procurement of goods
(for example products, hazardous materials or substances, raw materials,
equipment) and services conform to its OH&S MS requirements
 8.1.4.2 Contractors
The organisation shall establish processes to identify and communicate the hazards and to evaluate
and control the OH&S risks
 8.1.4.3 Outsourcing
The organisation shall ensure that outsourced processes affecting its OH&S MS are controlled
CLAUSE 8: OPERATION CONTROL,
CONTINUED
 8.2 Emergency preparedness and response

 The organisation shall:
 identify potential emergency situations
 Assess OH&S risks associated with these emergency situations (see 6.1.2)
 Maintain a process to prevent or minimise OH&S risks from potential
emergencies
CLAUSE 9: PERFORMANCE EVALUATION
9 Performance evaluation
9.1.1
Monitoring, 9.1.2 9.3
9.2
measurement, Evaluation of Management
Internal audit
analysis and compliance review
evaluation
CLAUSE 10: IMPROVEMENT
10
Improvement
10.2
10.1 10.3
Incident, nonconformity
General Continual improvement
and corrective action
HEALTH AND SAFETY IN THE FOLLOWING

ACTIVITIES
 Product design and development (safe to make/construct etc.)

 Handling and packaging of goods-in and goods-out
 Site activities (construction, installation, commissioning)
 Means of transportation of product and goods
 OH&S performance and practices of contractors
 Dealing with visitors
 Mechanisms for dissemination of OH&S information to personnel
The minimum requirement is to comply with legislation
HEALTH AND SAFETY AREAS OF SPECIAL
CONCERN
 General considerations:
 Normal operating conditions
 Abnormal operating conditions
 Incidents, accidents and potential emergency situations
 Past activities, current activities and planned activities
SIGNIFICANCE EVALUATION
 Significance may be defined in terms of:

 International issues / concerns
 Local issues / interested parties
 Legal and other requirements
 Availability of information
 Consequences & magnitude of risk to health and safety
 All are subject to change & evolution over time
AUDITING OBJECTIVES AND TARGETS
 Is everything in place?
Process of
establishing and
Consideration of:
maintaining
 High risk areas
objectives and targets
E.g. Number of incidents

 Legal & other
requirements Demonstration of
 Technology Improvement
 Financial &
business Monitoring
 Views of and Measurement
interested
Time
parties
APPLICATION OF THE PDCA CYCLE
DO
 Implement and operate:

 The OH&S policy
 Operational controls and planning
 Contractor and supplier evaluation and monitoring
 Emergency preparedness and response procedures
APPLICATION OF THE PDCA CYCLE,
CONTINUED
CHECK
 Monitor, measure, analyse and evaluate performance of the OH&S MS against the:
 Policy
 Objectives
 Plans (including risk assessments / method statements)
 Controls
 Conduct the internal audit(s)

 Report the results to management for review
APPLICATION OF THE PDCA CYCLE,

CONTINUED
ACT
 Continually improve the effectiveness of the OH&S MS through:

 Taking action to control and correct non-conformity
 Evaluating the need for investigation and corrective action to prevent recurrence of non-
conformities
 Implementing any actions needed
 Reviewing the effectiveness of actions taken
 Making changes to the OH&S MS if necessary
THE ORGANISATION AND ITS CONTEXT
 The organisation must have an understanding of its OH&S

requirements by evidencing
 Identified interested parties, their issues and expectations
 Established links between occupational health and safety policy and
organisational objectives
 Identified applicable legal and regulatory requirements
 Determined risks associated with threats and opportunities and actions needed
to address these
 Accurately determined the scope of the OH&S system
AMOUNT OF DOCUMENTATION
 The extent of the documentation will depend upon:

 The size and type of organisation
 The need to demonstrate fulfilment of its compliance obligations
 Complexity and interaction of the processes
 Competence of personnel
(ISO 45001:2018, clause 7.5.1, Note)
ELECTRONIC DATA SYSTEMS
 Provide:
 On-line access to information
 Communication
 Elimination of obsolete documents
ELECTRONIC DATA SYSTEMS, CONTINUED
 Considerations:
 Security  Virus checking
 Change control  Record keeping
 Authorisation  Back-up controls
 Document approvals  Availability where needed
 Signatories
CONTINUAL IMPROVEMENT
 Continual improvement to the effectiveness of the OH&S MS through:

 Outputs of analysis and evaluation
 Outputs from management review
 Addressing incidents, nonconformities and corrective action
ROLE OF THE AUDITOR
 To:
 Gather information
 Evaluate the effectiveness of the continual improvement processes
 Ensure that continual improvement is taking place
 Evaluate the evidence that the organisation is able to:
 Ensure conformity of the OH&S MS
 Enhance the OH&S performance
ACTIVITY ONE: CONTEXT OF THE
ORGANSATION
TASK
Using a case study, evaluate and understand an organisation’s context and identify
audit evidence / documented information
OUTPUT
Feedback findings to the whole class
TIME ALLOWED
Preparation: 30 minutes
Feedback: 30 minutes
ACTIVITY TWO: IDENTIFY AND EVALUATE

OH&S HAZARDS AND RISKS
TASK
Using a case study, identify and evaluate OH&S problems and conduct a significance
evaluation
OUTPUT
Prepare a team presentation of identified problems and significance of the resulting
risks, justifying “significance” as based on the arrangements within Montgomery Scott
Fabrications
Present and explain the reasoning and main points behind your team's proposals
TIME ALLOWED
AUDIT EVIDENCE
Records, statements of fact or other information which are relevant to

the audit criteria and verifiable
ISO 19011:2018
THE AUDITING PROCESS
Sources of information
Gathering and selecting
information
Information
Verification
Audit evidence
Comparison with audit criteria
Audit findings
Review
Audit conclusions
AUDIT INFORMATION
 Information relevant to the audit is obtained from:
Equipment /
People Processes Documentation Observation
tools / materials
AUDIT EVIDENCE
 The audit evidence will be:

 Identified
 Documented
 Recorded
 Evaluated against criteria to determine audit findings
ACTIVITY THREE: AUDIT EVIDENCE / AUDIT
TRAIL
TASK
Using photographs, provide and develop an audit trail that could take you through
allocate clauses of ISO 45001:2018
OUTPUT
Flip chart presentations on findings
TIME ALLOWED
END OF DAY ONE

DAY TWO
LOCAL LEGISLATION MODULE

SESSION THREE:
REGISTRATION, CERTIFICATION
AND AUDITOR COMPETENCE
SESSION THREE OBJECTIVES

 Explain the terms used in certification and accreditation
 Describe the certification and accreditation process
 Explain the importance and purpose of ISO/IEC 17021-1
 Distinguish between a stage 1 and stage 2 audit
 Explain the purpose of surveillance visits
 Explain the benefits of third-party certification for an MS for
organisations and stakeholders
 Be aware of the various auditor certification schemes
 Discuss the competence needs of auditors
 Outline the content and intent of the CQI / IRCA code of conduct
THIRD-PARTY CERTIFICATION
International Accreditation Forum (IAF)
National Accreditation Body
Certification Body Auditor Certification Scheme
Organisations Auditor Auditor

certification training
ISO/IEC 17021-1:2015
 Conformity assessment – Requirements for bodies providing audit

and certification of management systems
 Includes:
 Principles for certification bodies
 Resource requirements
 Information requirements
 Process requirements
• Stage 1 audit
• Stage 2 audit
 Management system requirements
CERTIFICATION PROCESS
 Will include:
 Stage 1 audit
• Application
• On-site visit (recommended)
• Documentation review
 Stage 2 audit
• On-site audit
 Regular “surveillance” visits
INITIAL CERTIFICATION AUDIT PROCESS
Select and appoint Resolve

Plan Perform
competent Stage 1 Audit
Stage 1 Audit Stage 1 Audit
Stage 1 Audit team areas of concern
Resolve
Appoint Perform
Plan Stage 2 Audit
Stage 2 Audit Stage 2 Audit
Stage 2 Audit areas of concern
team
Initial
Initial certification
certification
audit conclusions
decision
TO GAIN ACCREDITATION
 Certification bodies must:

 Have a formal documented quality management system
 Be audited by an accreditation body
 Hold records on auditors
 Prove knowledge and experience in applicable industry
 Have certificated lead auditors
AUDITOR CERTIFICATION SCHEMES
 To certify as competent:
 Auditors trained and qualified in the principles and practices of auditing OH&S
management systems in accordance with:
• ISO 19011 and
• ISO/IEC 17021-1, as appropriate
AUDITOR CERTIFICATION SCHEMES,
CONTINUED
 Categories:
 Internal OH&S Auditor
 OH&S Auditor
 OH&S Lead Auditor
 OH&S Principal Auditor
 OH&S Associate Auditor
CQI / IRCA SCHEME MANAGEMENT
 Requirements set for each grade based on:

 Education
 Training
 Work and OH&S management experience
 Audit experience
 Approval and certification of auditor training courses

 Records of auditor CPD maintained
AUDITOR COMPETENCE
 Based upon:
 Personal characteristics
 Knowledge
SESSION FOUR: AUDIT

DEFINITIONS, PRINCIPLES AND
TYPES
SESSION FOUR OBJECTIVES

 Know the definition of auditing
 Explain the principles of auditing
 Explain the purpose and differences between first, second and third-
party certification audits of management systems
 Explain the need for auditor confidentiality
AUDIT DEFINITION
“Systematic, independent and documented process for obtaining

objective evidence and evaluating it objectively to determine the extent
to which audit criteria are fulfilled”
ISO 19011:2018
AUDITING MANAGEMENT SYSTEMS
 ISO 19011:2018 provides guidance on:

 Principles of auditing
 Managing an audit programme
 Performing an audit
 Competence and evaluation of auditors
PRINCIPLES OF AUDITING
Due Risk-Based
Fair Professional Approach
Presentation Care
TYPES OF AUDIT
 First party (internal)

 Second party (external)
 Third party (external)
ACTIVITY FOUR: CONTINUAL

IMPROVEMENT
TASK
Based on the requirements of ISO 45001:2018 clause 10.2 produce a flow chart
showing a process for continual improvement, considering the PDCS cycle and links to
other clauses of the standard
OUTPUT
Flipchart presentations on findings
TIME ALLOWED
SESSION FIVE: THE AUDIT
PROCESS
SESSION FIVE OBJECTIVES

 Determine the audit objectives, the purpose and significance of the
audit scope and criteria
 Explain resourcing of the audit, the importance of the auditor and
team competency and the selection of team members
 Outline the different audit methods including on-site and remote audit
activities and audit activities requiring human interaction and non-
human interaction
 Describe the roles and responsibilities of the audit client, auditors,
guides and observers
SESSION 5 OBJECTIVES, CONTINUED
 Explain the management responsibilities of the lead auditor in

managing the audit and audit team
 Explain the need for effective communication with the auditee
throughout the audit process
 Be aware of the best practices at meetings
CONDUCTING AN EFFECTIVE PROCESS-BASED AUDIT

Pre-audit planning
meeting
Meeting with Mgt. Rep. Overview of processes Overview of key process records
Understand sequence Understand

Agree scope of audit
of activities process performance
Document review; Audit plan

Construct checklist
Conduct audit
Identify improvements
Document & issue audit report

& CARs
Closing meeting
Present findings
Audit follow-up and close out 94

© SGS SA 2020 All Rights Reserved ISO 45001:2018 OH&S MS A/LA TC 01-11-2022
PLANNING THE AUDIT
 Points to consider:
 The objectives of the audit
 Audit scope
 Audit criteria
 Feasibility of the audit
 Establishing the audit team
AUDIT TEAM ROLES AND

RESPONSIBILITIES
 Team leader
 Team members
 Guides
 Communication during the audit
ACTIVITY FIVE: OH&S SYSTEM
QUESTIONNAIRE
TASK
Analyse the statement provided and Indicate the clause you consider to be relevant to
the statement in the question. State whether the activity is conforming to the
requirements of that clause
OUTPUT
Present your conclusions for discussion by the whole class
TIME ALLOWED
SESSION SIX: PREPARING FOR

THE ON-SITE AUDIT (AUDIT
STAGE 1)
SESSION SIX OBJECTIVES

 Explain the purpose of a stage 1 audit, including the document
review, and describe a typical stage 1 audit process and outputs
 Determine the duration of an audit
 Prepare an audit plan
STAGE 1 AUDIT
 Purpose
 Audit the management system documentation
 Evaluate the location and site-specific conditions
 Determine preparedness for the Stage 2 audit
 Collect all necessary information
 Plan and allocate resources for Stage 2 audit
 Evaluate if the internal audits and management review are being planned and
performed
 Determine if the auditee is ready for the Stage 2 audit
INITIAL CONTACT WITH AUDITEE
 To:
 Establish communication channels
 Obtain information for audit team selection
 Request documentation and records
 Make appropriate arrangements
DOCUMENT REVIEW
 Documentation:
 Relevant OH&S documentation
 Arrangements for record keeping set up
 Previous audit reports
 Purpose:
 To acquaint auditors with the processes to be audited
 Devise an audit plan
 Develop a checklist
AUDIT PLAN
 Purpose:
 To provide information to audit team, auditee, audit client
 To enable the scheduling and co-ordination of the audit activities
ACTIVITY SIX: STAGE 1 AUDIT DOCUMENT

REVIEW
TASK
Prepare an audit plan for a stage 1 visit and document review for Montgomery
Fabrications Ltd or The Grange based on the documented information that is provided,
ISO 45001:2018 and any other background information gleaned
OUTPUT
Audit plan showing the itinerary for the audit of the organisation based on the process
flow diagram
Be prepared to feedback your considerations on the areas to be audited to the whole
class
TIME ALLOWED
END OF DAY TWO

DAY THREE
ACTIVITY SEVEN: PLANNING AN AUDIT
TASK
Prepare an audit plan based on the documented information provided and identify
areas, processes, individuals and documents needed to conduct the audit
OUTPUT
Audit plan showing the itinerary for the audit of the organisation based on the process
flow diagram
Be prepared to feedback your considerations on the areas to be audited to the whole
class
TIME ALLOWED
SESSION SEVEN: DEVELOPING A

CHECKLIST
SESSION SEVEN OBJECTIVES

 Explain the use of the “Turtle Diagram”
 Explain the use, benefits and potential limitations of using checklists
 Explain the advantages and possible disadvantages of using a
checklist
 Prepare an audit checklist
AUDIT CHECKLIST
 Purpose:
 To ensure audit objectives and scope are met
 To ensure every part of the audit is completed
 To provide guidelines for auditor
PREPARING A CHECKLIST
 Consider:
 The processes taking places
 Relevant procedures
 Documents in use
 Records
 Requirements of the standard
 Requirements of the management system
SYSTEM BREAK-DOWN
System
Sub-system
Process
Task
Activity
MAPPING A PROCESS
Level 1
Level 2
Level 3
ANALYSING THE PROCESS – KEY ISSUES

TO CONSIDER
Resources
- With what?
Inputs ? Process Outputs?
Controls Analysis
- How? - What results?
TURTLE DIAGRAM
RESOURCES: WITH WHO?
RESOURCES: WITH WHAT? PROCESS Competence / Skills / Training
 Competent people  Process manager
 Materials  Team leaders, operators
 Equipment  Roles & responsibilities
 Hardware  Job description
 Measuring instruments  Competence & skill matrix
 Software  On-the-job training & records
 Maintenance OBJECTIVES
 Training courses & records of
 Measuring instruments OF THE competence
 Work environment PROCESS  Performance appraisals
 Communications
INPUTS? OUTPUTS?
 Business / product requirements  OH&S improvement
 Legal / regulatory requirements
ACTIVITY  Reduced incidents / accidents
 Equipment / services from suppliers STEPS  Safe to make and operate designs
 Process interface (inputs from other  Service, knowledge
processes)  Audit and monitoring programmes
 Risk assessments
PROCESS
FLOW
CONTROLS: HOW? DIAGRAM ANALYSIS:
Support processes & procedures WHAT RESULTS?
 Procedures Performance indicators
 Work instructions  Targets achieved?
 Virus controls  Expects IS performance?
 Firewalls  Incidents?
 Back-up  Satisfactory monitoring?
 PPE
ACTIVITY EIGHT: PREPARING FOR A STAGE 2

AUDIT & THE DEVELOPMENT OF A CHECKLIST
TASK
Each team is to prepare for an audit against the requirements of ISO 45001:2018,
produce an outline plan appropriate to the scope, objectives and audit criteria for use in
the practical audit exercise that will take place later in the course
OUTPUT
A checklist of points / questions addressing the issues outlined in the LG
Present your findings to the whole class
TIME ALLOWED
SESSION EIGHT: CONDUCTING
THE ON-SITE AUDIT (AUDIT
STAGE 2)
SESSION EIGHT OBJECTIVES

 Explain the process of, and different methods for, gathering evidence
during an audit
 Describe the purpose, structure, content and attendees typically at
opening meetings
 Explain the roles and responsibilities of guides
 Describe the benefits and limitation of sampling
 Conduct and control audits
 Gather audit evidence
 Appreciate the various techniques of questioning auditees
 Identify the channels of communication between auditors and
auditees
STAGE 2 AUDIT PROCESS
 Purpose
 To evaluate the implementation, and effectiveness of the client’s management
system
 The audit will normally be where the auditee is
 Remote auditing MAY take place in special circumstances where travel and
security or other issues are difficult
 Use:
• Video
• Photographs
• Records
• IT
STAGE 2 AUDIT PROCESS, CONTINUED
 Areas covered include:

 Information and evidence about conformity to the requirements
 Performance monitoring, measuring, reporting and reviewing against key
performance objectives and targets
 Legal compliance
 Operational control of processes
 Internal auditing and management review
 Management responsibility
COLLECTING AND VERIFYING
INFORMATION
Source of information
Collecting by means of appropriate sampling
Audit evidence
Evaluating against audit criteria
Audit finding
Reviewing findings
Audit conclusions
AUDIT EVIDENCE
Records, statements of fact or other information which are relevant to

the audit criteria and verifiable
ISO 19011:2018
AUDIT INFORMATION
 Information relevant to the audit is obtained from:
Equipment /
People Processes Documentation Observation
tools / materials
SAMPLING
 A skill in audit to examine evidence

 Sufficient examples to establish a degree of conformity or
nonconformity
 No sampling plans
 No statistical method
A GUIDE TO SAMPLING
HIGH RISK
Larger sample
size
LOW RISK
Smaller sample
size
AUDIT FINDINGS

 Identified
 Documented
 Recorded
 Evaluated against audit criteria to determine audit findings
AUDIT FINDINGS
OPENING
OPENINGMEETING
MEETING
 be
Opening meetings should Identified
held with:
 Documented
 Management of the organisation
being audited
 Recorded
 Those responsible for the functions /
 Evaluated against audit criteria to determine audit findings
processes to be audited
The purpose of meeting is to:
 Present / confirm the audit plan
 Clarify how the auditing activities
will be undertaken
 Establish communication
THE AUDITOR’S APPROACH
 Meet the area representative first

 Always talk to those performing the task
 Explain the purpose of the visit
 Be calm, polite, reassuring
 Never “talk down” to people
 Speak clearly and carefully
CONDUCTING THE AUDIT
 Examine audit evidence

 Ask open-ended questions
 Refer to checklists
 Take notes
Ask Listen
Look
QUESTIONING TECHNIQUES
 Six important words when questioning:

 How
 What
 Where
plus
 When
 Who “SHOW ME”
 Why
CONTROL THE AUDIT
 Do not:
 Be side-tracked
 Be led or misled
 Get “bogged down”
 Let auditee dictate the pace of the audit
 Make assumptions or presumptions
CONTROL THE AUDIT, CONTINUED
 Do:
 Be prepared
 Be punctual
 Insist on person questioned answers for themselves
 As little talking as necessary
 Avoid misunderstandings
 Keep questions clear and concise
 Be polite and calm
 Thank the auditee
CONDUCTING THE AUDIT
 Be aware of:
 Aggressive auditees
 Timid auditees
 Missing people
 Missing documents
 Pre-prepared samples (choose your own)
 Special cases
 Local issues and cultural customs
 Emotional blackmail
SESSION NINE: AUDIT REVIEW

SESSION NINE OBJECTIVES

audit review meetings
 Know and apply the processes of identifying and drafting finding
statements
 Explain the methods for identifying nonconformities
 Describe the purpose and typical content of corrective action
request (CARs)
 Describe the classification of CARs and the implications
 Describe the use of “opportunities for improvement”
 Explain the further actions required for the different grades of CARs
AUDIT FINDINGS
 An audit finding* may be:

 Positive evidence of conformity
 Nonconformity
 Opportunity for improvement
 * Normally used by auditors as a negative finding
NONCONFORMITY
“The non-fulfilment of a requirement”
ISO 45001:2018
A NONCONFORMITY
 A nonconformity may be a failure to:

 Comply with the standard
 Implement a process or following a risk assessment or other documented
requirement
 Implement a legal or contractual requirement
NO REQUIREMENT = NO NONCONFORMITY
FINDINGS
 However, all incidents which could or do lead to injury or ill-health

must be recorded
 This includes near-misses where actual injury does not necessarily
occur
 ISO 45001:2018 and OH&S systems should be seen as
PREVENTIVE management tools – hence the concept of risk
identification and mitigation
 If a near-miss results from an unidentified risk, the risk register may
have to be updated to address this
A FINDING STATEMENT
 Includes:
 Clear statement of the nonconformity
 Evidence om which nonconformity is based
 Summary of requirement
EXAMPLE OF A FINDING STATEMENT
During the audit of the tunnel area of a building under construction,

the auditor noticed electricians working on light fittings in the roof.
They were lying horizontally on high trestles with appropriate guards
and rails in place, but without hard hats, gloves and goggles as
demanded by regulations posted at the tunnel entrance
When the manager was quizzed on this he stated that it was obvious
that staff could not carry out their wiring tasks with PPE that interfered
with doing the job properly – wiring lighting with wobbly hard hats and
gloves on was crazy – not to mention goggles
There were no risk assessments or permits to work without full PPE
CORRECTIVE ACTION REQUEST (CAR)
 The CAR form is used to:

 Report nonconformities
 Classify nonconformities
 Record acceptance of nonconformities
 Record actions to correct nonconformities
 Record auditor’s acceptance of corrective actions taken
CORRECTIVE ACTION REQUEST (CAR),
CONTINUED
 CARs contain references to:

 The applicable function, process or procedure
 Standard and clause number
 Auditor’s name
 Finding statement
 Acceptance by the auditee
CARs CONTAIN
 The applicable function, process or procedure

 Standard and clause number
 Auditor’s name
 Finding statement
 Acceptance by auditee
CLASSIFICATION OF CARS
 Major
 A failure to fulfil:
• One or more requirements of ISO 45001:2018, or
• A situation that raises significant doubt about the ability of the OH&S to prevent
injury or ill-health
 Minor
 A less severe lapse in process, procedure or operation of the OH&S
MAJOR CAR
 Raised when there is:

 A significant doubt that effective process control is in place
 A serious potential for injury or ill-health
 A MINOR nonconformity that has not been addressed within the specified time
 A significant number of MINOR nonconformities against a particular element of
the OH&S or process
 Misuse of a certification mark or an accreditation mark
CLASSIFICATION: THIRD-PARTY AUDIT
 Major
 Must be corrected and verified before registration can be recommended
 May lead to registration being suspended if raised during surveillance
 Minor
 More time allowed for correction
 Usually verified at next surveillance visit
 May lead to major if not closed
CLASSIFICATION: SECOND-PARTY AUDIT
 Major
 Contracts may be withdrawn, not awarded or renewed
 Minor
 Corrected and verified as agreed
CLASSIFICATION: FIRST-PARTY AUDIT
 Not essential
 Purpose is system improvement
 Audits should be positive and constructive
 Effective corrective action more important
OPPORTUNITIES FOR IMPROVEMENT
 Good points which may benefit other areas of organisation

 Areas of concern
 Deficiencies given the “benefit of the doubt”
 Considerations for improvement
END OF DAY THREE

DAY FOUR
ACTIVITY NINE: INTERPRETATION OF THE
STANDARD
TASK
Determine nonconformities and classify as major/minor; identify the clause from ISO
45001:2018 that identifies the nonconformity and write finding statements to be
presented to management
OUTPUT
Be prepared to discuss your findings with the course tutor
TIME ALLOWED
ACTIVITY TEN: CASE STUDY – AUDIT

ROLE-PLAY
TASK
Role-play an audit against the requirements of ISO 45001:2018 based on the
preparation made in activity eight
OUTPUT
TIME ALLOWED
Feedback: 10 minutes (10 minutes each team)
SESSION TEN: REPORT AND
FOLLOW-UP (AUDIT STAGE 2)
SESSION TEN OBJECTIVES

closing meetings
 Describe the preparation, approval and distribution of audit reports
 Be aware of the information needed to recommend the certification
decision in a third-party audit
 Know the role of auditors in explain the roles and responsibilities for
taking and verifying corrective action
SESSION TEN OBJECTIVES, CONTINUED
 Explain the steps necessary to address corrective actions

 Identify the types of evidence that may be required to demonstrate
effective implementation of corrective and preventive action
 Discuss the role of the management review
 Appreciate the steps necessary to follow-up and close out corrective
actions
 Discuss the content of a final audit report
CLOSING MEETING
 Present all findings and evidence carefully, and precisely

 Be prepared to support and justify findings
 Do not be drawn into arguments
 If an error transpires, apologise; alter or withdraw if necessary
 Do not accept a "quick fix" to CARs
AUDIT REPORT
 Accurate record
 Contains conclusions concerning:
 Extent of conformance
 Effective implementation of OH&S
 Ability of management review process to ensure continuing suitability and
effectiveness of OH&S to enhance OH&S performance
CORRECTIVE ACTION
“Action to eliminate the cause(s) of a nonconformity or an incident and

to prevent its recurrence”
ISO 45001:2018
TYPICAL CORRECTIVE ACTION “CYCLE”
Auditor identifies Management implements Auditor verifies

nonconformity CA effectiveness
Auditor writes finding

Auditor agrees CA Auditor closes out
statement
Auditor classifies & issues Management determines

CAR CA to prevent recurrence
Management eliminates Management investigates

detected nonconformity root cause
CONTINUAL IMPROVEMENT
 The organisation must continually improve the suitability, adequacy

and effectiveness of the OH&S by considering:
 Outputs of analysis and evaluation
 Outputs from management review
 Opportunities for improvement
 The audit process provides information and evidence that:

 Can be used in the evaluation
 Continual improvement is taking place to enhance OH&S performance
SPECIMEN EXAM: PAPER-BASED / SGS ONLINE EXAM Or CQI AND IRCA ONLINE EXAM
CQI AND IRCA ONLINE

EXAMS: GUIDE FOR
LEARNERS
INTRODUCTION
 CQI and IRCA online exams are delivered through an online assessment system called SARAS. You will have
access to two SARAS portals – one for your practice questions and the other for your exam. The portal links are
shown below.
 https://practice.quality.org/TNA/PracticePortal
 https://assessment.quality.org/TNA/TestPlayer/Login/Login.aspx
 To log into your practice questions and exam you will need a username and password. You will receive two
emails from the CQI - one with login instructions for the SARAS practice questions portal and the other with
login details for the SARAS exam portal. Please check your junk email folder as well as your inbox for the
emails. If you have not received the emails by the end of your course, please contact your training provider.
 Once you have logged into SARAS, you will have access to your learner homepage. This will either display
details of your scheduled practice questions or your scheduled exam, depending on which portal you have
logged into.
EXAM FORMAT
EXAM QUESTIONS
The exam questions will be a mix of:

 Multiple choice (choose one correct answer)
 Multiple response (choose several correct answers)
 Fill in the blanks (drag and drop the correct words into the sentence)
 Matching (drag and drop responses to correctly match items)
 Sequencing (drag and drop responses to form the correct order)
The last two sections of the exam will include scenario questions related to conducting, reporting on, and closing out
audits. You will be asked to evaluate the scenario presented to you and select the correct course(s) of action.
All questions will be computer-marked. Once you have answered a question and clicked Next, you will not be able to
navigate backwards to review or change your answer. This is a security measure to reduce the risk of cheating.
The exams are open book, so you can refer to your notes. You are not permitted to use the internet to search for
answers to your questions. You will also need access to a copy of the ISO management systems requirements standard
associated with your course to answer some of the questions. The standards can be paper or electronic format.
You will have 30 days from the last day of your course to take your exam.
REMOTE PROCTORING
CQI and IRCA online exams are invigilated remotely, using Easy Proctor. The system will:
 (a) Take a photo of your face and a photo of your photo identification.
 (b) Record you for the duration of your exam using your webcam and microphone.
 (c) Record your computer screen for the duration of your exam.
 Details of acceptable forms of photo identification can be found in the section ‘Online Exam Regulations’
 Once you have completed the exam, Easy Proctor will compare your photo ID with your facial image to verify you
are the same person and will analyse the recording of your exam session for any anomalies such as unexpected
sounds, movements, objects, or people. It will then flag these incidents to the CQI for further investigation.
EQUIPMENT AND SYSTEM
REQUIREMENTS
 A computer or laptop with a working webcam and microphone (smart phones, iPads/tablets, touchscreens,
and 2-in-1/hybrid laptops with front and rear cameras are not permitted). If you are using an external monitor with
a laptop, you must have an external mouse, keyboard, and webcam and the lid of your laptop must be closed.
 A system that meets the following minimum requirements:

REQUIREMENTS, CONTINUED
 Continuous, stable internet connection. Cellular connection and/or VPN are not suitable due to
their unreliability and unstable nature. A wired connection is ideal, but a strong and stable Wi-Fi
connection should be sufficient.
 To enable video proctoring, the following bandwidth is required:
 NB: the bandwidth requirement for HD cameras increases between 10-12 Mbps.
REQUIREMENTS, CONTINUED
 We strongly recommend that you use the System Check Tool on the CQI home pages on the SARAS portals to
check whether your laptop or computer meets the minimum requirements. You can access the portals here:
 On the same webpages you will also find tools for checking whether your webcam and microphone are working
correctly.
 https://practice.quality.org/TNA/PracticePortal
 https://assessment.quality.org/TNA/TestPlayer/Login/Login.aspx
 Please test the device that you are going to use for your exam. Don’t assume, for example, that if your work
laptop meets the IT requirements, then your personal laptop will too.
 It’s a good idea to run the system test at about the same time of day you expect to take your exam to get a
better feel for the internet connectivity you are likely to have. If you run the system test at 10:00 pm and take
your exam at 2:00 pm, the bandwidth available may be quite different.
CQI AND IRCA ONLINE EXAM

REGULATIONS
 Before you can start your exam, SARAS will ask you to confirm that you have read, understood, and accept
CQI’s regulations for online exams. If you decline, you will not be able to take the exam.
Photo identification
 At the start of the exam you will be required to show photo identification so that we can verify the identity of the
person taking the exam. You must present one of the following forms of government-issued identification:
 Current valid passport
 Current photocard driving licence
 National identification card
 If you do not have any of the above, please contact the CQI at assessment@quality.org as soon as possible to
discuss alternative arrangements.
 Learners who do not present valid photo identification may have their exam voided.
EXAM CONDITIONS
You can take your exam in any location, provided it meets the following requirements:
 Quiet: Somewhere where you will not be disturbed by others or by external noise, e.g. building work or traffic
noise.
 Well lit: Do not sit in front of a window or other bright light. If you are backlit, draw shades or curtains and/or
turn off lights behind you.
 Private: Make sure others cannot see your computer or monitor.
 Access to a power socket: So you can plug in your laptop to ensure it does not run out of battery during the
exam.
 If you need extra support or time to take the exam due to a physical or learning disability or require a female
CQI member of staff to review your proctoring recording for religious reasons, you must notify your training
provider as soon as possible and well in advance of taking your exam so they can submit a reasonable
adjustment request to the CQI on your behalf. Please refer to Appendix 1 CQI’s Reasonable Adjustments
Policy for more information.
CQI AND IRCA ONLINE EXAMS: GUIDE FOR

LEARNERS
 You must behave professionally and honestly at all times during the exam.
 Your face must be uncovered for the duration of the exam. If you wear a headscarf, you must show your ears.
Hoodies, hats, and sunglasses are not permitted.
 Your webcam and microphone must remain switched on for the duration of the exam. When using your
webcam, please ensure that your head is positioned in the centre of the camera image, facing the camera head
on and that the webcam is not pointing to the side, above or below your face.
 You must remain silent for the duration of the exam.
 You are permitted a 10 minute break. You must use the ‘Take a break’ button so that it is logged as an official
break for proctoring purposes. If you leave the room at any other time, the proctoring system will record your
absence and flag to CQI for further investigation.
LEARNERS, CONTINUED
 Do not bring any food into the exam room. You are allowed to bring a drink but at your own risk as spillage may
compromise the functionality of your computer and therefore your ability to complete the exam.
 Smoking and vaping are not permitted.
 You must not attempt to communicate either in person or electronically with anyone inside or outside the exam
room.
 Do not bring any unauthorised electronic devices into the exam room. This includes mobile phones, iPads/tablets,
smart watches, headphones, and earphones. The only electronic equipment you are permitted to use is the
device you are using to take your exam.
INTELLECTUAL PROPERTY
RIGHTS/CONFIDENTIALITY/ INTEGRITY
You must not do anything that could infringe CQI’s intellectual property rights and/or compromise the
confidentiality and integrity of CQI online exams.
 Examples of misconduct include but are not limited to:

 Providing access to, disclosing, distributing, copying, photographing, recording, downloading, transmitting any exam
questions, answers or content in any form or by any means;
 Misrepresenting your identity or impersonating another individual during the exam;
 Being in possession of any non-authorised items whilst taking the exam such as mobile phones, electronic devices, smart
watches, headphones, earphones;
 Helping others with the exam or receiving assistance either online or in person during the exam;
 Turning off your webcam and/or microphone, obscuring your face with a face covering, positioning your webcam so that
there is always not a clear image of your face;
 Continuously looking around in any direction or looking at your wrist;
 CQI will investigate any potential breaches of the Online Exam Regulations in accordance with their Malpractice
and Maladministration policy. If you are found to have committed malpractice, CQI reserves the right to void your
exam result and disqualify you from future CQI exams either for a fixed period or indefinitely.
PHOTO IDENTIFICATION
When you are ready to take your exam, log into your learner home page on SARAS and click ‘Start Exam’.
SARAS will ask you to hold up your Photo ID to your webcam and take a picture. The picture of your ID must
clearly show your name and photo and fit within the red frame on the screen. You will have a chance to review
the picture before submitting it to SARAS, so please check all the required information is visible. Next SARAS
will ask you to take a photo of your face. Please ensure that your head and face are not covered by a hat or
face covering, that you are looking directly at the camera and that your face fits within the oval red frame on
the screen.
When you are satisfied with the quality of both images, submit your photos. You will then see some instructions
on how to navigate the exam and allocate your time. You will also be asked to accept CQI’s Online Exam
Regulations. Once you click ‘accept’ you can then start your exam.
If you have any problems during the exam, please contact the CQI at assessment@quality.org. Please note,
this inbox will only be monitored during UK working days.

LEARNERS
 You now have 30 mins to read and understand the next few sections in the Guide:
 7. Exam Results
 8. Special Consideration
 9. Appeals
 10. Exam Checklist
 On completion of reading, do you have any questions?

 Does everyone have access to their exam and log-ins?
Good luck! And don’t forget to complete the Learner

Experience Survey at the end of the exam.
AIM
 To equip learners with the knowledge and skills required to perform

audits to OH&S management systems against ISO 45001:2018 in
accordance with ISO 19011 and ISO/IEC 17021-1 as appropriate
END OF DAY FOUR

DAY FIVE
ACTIVITY ELEVEN: CLOSING MEETING

ROLE-PLAY
TASK
Roleplay an audit against the requirements of ISO 45001:2018 based on the
documentation issued, findings and other material determined in any role-play
scenarios
OUTPUT
TIME ALLOWED
Role-play: 10 minutes (each team)
Feedback: 10 minutes (each team)
ACTIVITY TWELVE: REPORTING THE AUDIT
TASK
Prepare an audit report together with any nonconformities and/or opportunities for
improvement
OUTPUT
TIME ALLOWED
Feedback: 10 minutes (each team)

EXAMIINATION
END OF COURSE
 QUESTIONS
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ISO 45001:2018 OCCUPATIONAL HEALTH AND SAFETY MANAGEMENT SYSTEM

(OH&S MS) AUDITOR/LEAD AUDITOR

CQI AND IRCA ONLINE EXAM POLICIES

 Appeals Policy Link

ISO 45001:2018 OH&S MS A/LA TC 01-11-2022 2

SESSION ONE OBJECTIVES

By the end of this session, you will be able to:

Shareholders Management Banks and Insurers

Parent Company The Organisation Media

BENEFITS OF OH&S MANAGEMENT

Fewer accidents Increased staff commitment

Less negative media Competitive Advantage

Reduced risk exposure

 OH&S system standards were developed to follow risk management

CONSISTENT WITH OTHER STANDARDS

ISO 9001 Quality Management Systems Requirements

ISO 14001 Environmental Management Systems Requirements

ISO/IEC Information Security Management Systems

 Guidelines for auditing management systems

 Conformity assessment – Requirements for bodies providing audit

H&S RISK IDENTIFICATION AND

SESSION TWO OBJECTIVES

By the end of this session, you will be able to:

 Know the role of the auditor in assessing the organisation’s

 Any activity that takes “inputs” and converts

 The systematic identification and

 Set the scope of the OH&S system

POLICY AND OH&S ISSUES

(Optional) Initial OH&S

Risks and Hazards Policy 5.2

Significant OH&S Issues Objectives 6.2.1

THE STRUCTURE OF ISO 45001:2018,

7.5 Documented information

THE STRUCTURE OF ISO 45001:2018,

9.0 Performance evaluation

 ISO 45001:2018 specifies requirements for an occupational health

 The requirements are generic and applicable to all organisations,

 None applicable to ISO 45001:2018

3. Terms and definitions

 Terms and definitions in ISO 45001:2018, section 3 apply

CLAUSE 5: LEADERSHIP AND WORKER

5 Leadership and Worker

 Top management is to:

CLAUSE 7.5: OH&S DOCUMENTATION

 Must include documented information:

 Processes needed to address  The scope of the OH&S system

 Typically available, but not

 Register of OH&S risk / hazards  Technical manuals

 Register of legislation  Manufacturer’s recommendations

 Process flow charts  Performance standards, etc.

 Evidence of its communications  Non-conformities, incidents and

 Evidence of the compliance  Internal audit records

8.1.4.1 8.1.4.2 8.1.4.3

 8.1.2 Hierarchy of controls

CLAUSE 8: OPERATION CONTROL,

 8.1.3 Management of change

 8.2 Emergency preparedness and response

CLAUSE 9: PERFORMANCE EVALUATION

HEALTH AND SAFETY IN THE FOLLOWING

 Product design and development (safe to make/construct etc.)

The minimum requirement is to comply with legislation

 Significance may be defined in terms of:

 All are subject to change & evolution over time